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Watershed Discipleship Roundtable By Chris Grataski In November, over 30 activists, pastors, and scholars from across the continent gathered at Dayspring for an intensive and strategic meeting concerned with radical discipleship and bioregionalism. This “Watershed Discipleship Roundtable”—convened by Ched Myers and Chris Grataski—was an attempt to bring together leading-edge practitioners working at the intersection of faith, social justice, and ecological practice, and sought to explore potential for collaborative and strategic action in this unprecedented time of intersecting oppressions and climate catastrophe. Recognizing that we are in an ecological endgame that demands serious and sustained engagement from people of faith, the roundtable sought to catalyze a continental-scale Alliance of faith-based practitioners around what is being called “watershed discipleship.” “Watershed Discipleship” names a fresh approach to contextual theology and practice that seeks to make explicit the connections between faith-based work for personal, social, and ecological healing. Convinced that the biblical vision of shalom is nothing less than a vision of profound personal and eco-social emancipation, practitioners of watershed discipleship acknowledge that violence, spiritual atrophy, dehumanization, and illness always occur within and have an effect upon actual places and ecosystems, and that the personal, social, and ecological problems that stalk human history actually arise from the same root pathology. Watershed Discipleship starts from the conviction that the gospel is concerned with precisely this pathological matrix, and that the vocation of the church should follow suit. Watershed discipleship is rooted in the perception that, as Wendell Berry has said, "The question that must be addressed is not how to care for the planet, but how to care for each of the planet's millions of human and natural neighborhoods, each of its millions of small pieces and parcels of land, each one of which is in some precious way different from all the others." Chris Grataski is a permaculture teacher from Lynchburg, Virginia. Holding the Whole I recently read an article in the journal of the Collegeville Institute for Ecumenical and Cultural Research about the Emerging Church Movement. The ECM, according to one of the authors of a new book about it, is a “religious orientation that encourages individual autonomy, reflects a deep commitment to interpersonal relationships, and emphasizes innovative practices.” It has been said that the collective of churches and missions we call The Church of the Saviour is ‘emerging’ before ‘emerging’ was cool! We might not gather often in one large group, but the C of S churches do share a “religious orientation” that honors the individual in community and holds in common certain practices. I felt our family bond—our unique way of being us—at the last Ecumenical Council meeting. We met at Dayspring so we could go out onto the land to see and listen to three plots being considered as potential market garden sites. I mean, how many churches make decisions this way—standing in the middle of a field, listening to the breeze, feeling the crunch of grasses beneath our feet, not asking what we want but silently asking the earth what she wants? What will make us uniquely “us” in the years ahead will be more than what our core classes and disciplines are or having a garden site or any other mission. It will have to do with holding a way that honors each part of the whole, that listens and responds and strives for unity in diversity and diversity in unity. The author of the aforementioned book says the ECM is about conversation. “What’s interesting about this conversation is that Emerging Christians see it as an end in itself. The point is not to get to a particular destination; the point is to keep talking, searching, and journeying together.” Yes. Yes. Kayla McClurg is staff person for The Church of the Saviour. She facilitates and writes for www.inwardoutward.org Editor’s Corner Why Preparation? As Advent draws to a close, I have been struck by the different ways that people in the biblical stories prepared to encounter the Christ child. For the shepherds, it was overcoming fear. For the wise men, it was a long intentional journey. For Mary and Joseph, it meant trusting each other to live by faith into a whole new reality. I remember being shocked that preparation for membership at Church of the Saviour could take two years or more because of the number of required classes. The expected preparation seemed prohibitive to me—and I love going to school. What about those people who don’t? Today, each of the C of S churches is wrestling with how to prepare new members for our culture of commitment. Exposure to the life and ministry of Jesus, and developing a daily practice of prayerful listening, contemplative study and self-examination, still seems important for maintaining a healthy body of Christ. How we do that is another matter. Some of our churches maintain their own School of Christian Living, anchored by a dedicated mission group. At Seekers, we have found the mission group essential for sustaining our school. Over time, that mission group (Learners & Teachers) has guided our membership process toward shorter classes (six weeks) and more experiential learning. We still think that the school experience is a valuable “experiment” in belonging to a committed community. After any two classes in the school, someone may join a mission group. Just as Jesus apprenticed his disciples, we expect the mission group to continue the process of spiritual formation around their shared sense of call. Some people never move farther toward the core group than belonging to a mission group. Others choose to stay in the school until they have completed the four basic classes and are ready for a mission group and core membership. Joseph Deck, Director of the Servant Leadership School, and Carolyn Parr, Chair of the Festival Center Board, have been in conversation with different C of S churches about how we might strengthen the preparation process at the SLS. Stay tuned for results of those conversations. Marjory Zoet Bankson is Chair of the C of S Council and editor/publisher of CALLINGS Layout and printing by DeLong Litho (delonglitho.com) Bokamoso Tour Returns in January By Sharon Lloyd On the night that Nelson Mandela died, members of the Bokamoso Foundation Board gathered at the home of Connie Sullivan to honor Johnny Moloto, the Deputy Chief of Mission for South Africa, who will soon be returning to his home in Pretoria. Last winter, when the Bokamoso Youth Tour was performing at George Washington University, Mr. Moloto joined the South African Ambassador, Ebrahim Rasool, on the dance floor with the students in a wonderful show of support for what Bokamoso represents. “Truly, they have the spirit of Madela,” Moloto said. This year, the Bokamoso Tour will be coming again [see schedule below]. As their official sponsor, Seekers Church will not only host a performance, but will provide a three-day Career Development Workshop, January 26-28, to hone their skills in resume writing, work-site learning and follow-up with potential mentors. Led by Leslie Smith and Mike Young, the workshop provides one-to-one mentoring for each of the 12 young adults and three staff members. In addition, Sharon Lloyd has set up workplace visits for each student so they can “shadow” someone in the field they want to explore. Linda Nunes-Schrag, also a member of Seekers Church, spent time in Winterveld last winter, during the student exchange visit from St. Andrews Episcopal School. She is coaching the staff of the Othandweni Orphanage, a safe place to learn and grow for HIV/Aids orphans. Those children are particularly at risk in this impoverished area. Roy Barber, a long-time member of Seekers, recognized the talent and voices of young people in Winterveld, South Africa, when he first visited the township back in 1994. Since then, he has returned every year, writing new music and partnering with Leslie Jacobson, theater director at GWU, to organize student exchanges. Last year, donations at the 2015 Dream Breakfast provided for 29 scholarships in nursing, social work, education, vocational training, policing, law and public relations. Since 2008, 123 young Centre graduates have been able to enroll in post-secondary schooling because of the US Tour. For more information, visit the website: www.bokamosoyouth.org Sunday January 12 9AM Service & performance First Baptist Church 4000 Wallace Rd, North Brentwood MD Sunday January 19 11AM Service & Performance, Lunch Westminster Presbyterian Church 400 I St SW Wash DC Friday January 24 7:30 PM Winter Concert St Andrews Episcopal School 8804 Postoak Rd, Potomac MD Saturday January 25 11 AM to 1PM Bokamoso Dream Brunch St Andrews Episcopal School 8804 Postoak Rd, Potomac MD Sunday January 26 9:30 AM Service & Performance Seekers Church 276 Carroll St NW Wash DC Monday January 27 6-8pm Blue Monday Blues, Appearance Westminster Presbyterian Church 400 I St SW Wash D Friday February 7 7:30pm Bokamoso Benefit, Performance #1 Marvin Center Theater GWU 800 21st St NW Wash DC Saturday February 8 7:30pm Bokamoso Benefit, Performance #2 Marvin Center, GWU Sunday February 9 9:30 & 11am Service & performance All Souls Church 16th & Harvard Sts NW Wash DC Growing New Missions at The Potter’s House By Brennan Baker Rooted in Adams Morgan since 1960, The Potter’s House has always been a place that exists in and for the life of our neighborhood. Our community’s radical welcome, open spirit, and willingness to listen to the needs of our city has allowed us to respond in powerfully transformative ways out of this humble cafe and bookstore over the past 53 years. In our current moment, as we move into our next chapter here at 1658 Columbia Road, it is again crucial that we be in tune with the shifting landscape of our city. This is the conversation I want to invite us into as we anticipate the reopening of The Potter’s House in the spring of 2014. Today we find ourselves in the midst of a rapidly changing DC - one full of exciting new developments, but also one overwhelmingly marked by gentrification: large scale redevelopment, an increasing influx of newcomers, rising rents, and the displacement of long time DC residents and communities. How will we in The Potter’s House community continue to relate to this change that is almost always uneven and inequitable towards those we claim solidarity with; the poor and those on the margins? As both a newcomer (I’ve been in DC for four years) and someone immersed in a community as rooted in DC as Church of the Saviour, this is a question I’ve returned to again and again during my time in the city, particularly during this Potter’s House renewal. What excites me so much about The Potter’s House, as an open and welcoming community space (spaces that are rapidly disappearing), promoting connections across differences, is the potential for mission to evolve towards new forms of collective housing, new ways of sharing money and resources, and new ways of caring for each other. Out of some of our most basic, intimate, and spiritual experiences: everyday encounters around eating nourishing food together, discussing challenging books together, and experiencing the creative power of art together, we have the opportunity to build new communities and new kinship networks across differences that so often divide us. I don’t mention these as hopeful idealism or easy answers to the problems our city faces, but as a new beginning for facing them. Something that Gordon spoke about often seems fitting in closing. I will always remember his challenge that we have to understand how the forms and structures of our churches and organizations profoundly affect the transformative power of the work we do. The Potter’s House has always been a place to ask these hard questions and will continue to be in the future. Let us ponder how a renewed Potter’s House might both strengthen our faith communities and organizations, and open up new possibilities for ministry and community in the future. Brennan Baker manages the Potter’s House Bookstore. We’ve been busy here at The Potter’s House over the past few months. We’ve finalized the design for our new space and the plans are in for permitting. We hope you enjoy the new floor plan and the latest renderings from our architects. Construction is scheduled to begin in January, and we’ll be on our way to making these designs a reality. If everything stays on schedule, we hope to welcome you into our new space in spring of 2014. Visit pottershousedc.org for more info and the latest updates. Look out for our upcoming online survey. We want to hear from you! The Ecumenical Council met at Dayspring in November, in order to visit three prospective sites for their Permaculture Project. One is the old ballfield near the farmhouse. A second possibility is the field below the stone labyrinth and close to the retreat area. A third is the field below the Simple Gifts cottages. Council members met in silent prayer at each of the sites, listening to the land. A decision on which site to start with will be made by the Next Chapter Team at Dayspring by the end of this year. Jean Brown described the Permaculture Project as an outgrowth of the discernment process which carries forward what the Earth Ministry mission group has been doing on the farm. The permaculture team consists of Jean, Gale Quist, Margie Lance, Chris Gratsaski and two interns, Ben Patterson and Grace Singletary. The first step will be to prepare a one-acre market garden at one of the three sites. Ben and Grace, who are living in Lynchburg and studying with Chris, will come to live at Dayspring in January and begin the work. They will be hands-on gardeners. The first stage will be to gather resources, put up eight-foot fencing around the acre (to keep the critters out) and prepare the soil. A fund-raising effort is under way to support the project. Margie reported that they have 59 donors so far, with $69,000 either given or pledged toward the goal of $114,000 to cover supplies and minimal salaries for Ben and Grace. The hope is that, in time, the permaculture project will bring in enough income to support Dayspring. Jim Hall gave an overview of the different ministries at Dayspring. In addition to the silent retreat center, with its three buildings overlooking fields and forests, Jim described the Earth Ministry, with its eco-cottages and greenhouse. He also noted that Dayspring acquired responsibility for Wellspring Conference Center and its five buildings three years ago, when the Wellspring Mission Group set down its call. In all, Dayspring Church is responsible for 18 buildings and 208 acres of land. With declining numbers and a graying cadre of workers at Dayspring, the Next Chapter Team has developed an “elevator speech” which is designed to “tell the story” in few words: Dayspring is an ecumenical Christian Church set in the beauty of 200+ acres of woodlands, meadows, ponds, and wildlife. We are a small, deeply committed faith community with shared leadership of worship and ministries including a silent retreat center and creative Earth ministries. Printed on an attractive card, the Next Chapter Team is hoping that this description will draw people who come for produce and, in effect, discover Dayspring. Similarly, they are hoping that another new mission group, Children Exploring Dayspring, will bring children (and their parents) to explore nature and respond to what Dayspring has to offer. The Next Chapter Team is choosing HOPE in the face of suburban development and the ongoing threat of highway development by Montgomery County. Recent reports that the County Council is tilting toward dedicated bus lanes as the most efficient way to provide rapid transit may well save this land for future generations. Please pray with us for the way to open! Kip Landon and Jean Brown Photos on this page were taken by Keith Seat Webstreaming Faith & Money Network The Bread of Life Community has five core members and just one mission group which meets Wednesday mornings and supports the Faith and Money, Jubilee Housing, Jubilee Jobs, and the Life Asset Center. Raising the necessary capitalization for the Life Asset Credit Union was Gordon’s passion in his final years. Faith and Money will be offering a special internet radio broadcast series. See the announcement below. Faith and Money Network will be on web streaming radio next year! Mondays at noon from January 6th through March 31st, I will be hosting “Faith and Money: making the connection” on VoiceAmerica. Save those dates to hear such guests as Rev. Roy Howard and theologian Ched Myers, Trip of Perspective leader Kim Montrroll and Djaloki Dessables, philanthropists Judy and David Osgood, and more. We will be probing a range of topics that can help you make the connection between your faith and your money. You will be able to find links to those radio programs on our web site in coming weeks. Please join us. --Mike Little Servant Leadership School (slschool.org) at the Festival Center Winter Semester Tuesdays January 21, 2014 to March 11, 2014 Table Fellowship Light Dinner 6pm – 7pm Biblical Justice, an Un-American Activity Ray McGovern Healing and Hope in a Violent World Orlando Tizon Comtemplation in Action Terry Flood Articulating a Biblical Response to Gun Violence Christopher Chatelaine-Samsen and Katherine Chatelaine-Samsen Comparative Study of the Gospels Joseph Deck Tuition is $50 for first time students, $100 per class for returning students. Scholarships are available. Can register on-line at www.festivalcenter.org or call Joseph Deck at (202)328-0072 or email at email@example.com Special Events Jan 1 . . . Registration opens for the Guatemala Pilgrimage, July 12-22, sponsored by Seekers. Fee of $1100 covers all in-country costs. Transportation is separate. Info: www.seekerschurch.org. Jan 10 . . . “Emma’s Revolution” at the Carroll Café (Seekers Church). Benefit for Takoma Radio. Advance tickets: $20; at the door: $25. See: www.CarrollCafe.org. Feb 8 . . . “Argentine Tango & Latin Rhythms” by Ramon Tasat & Emmanuel Trifilio at Carroll Café (Seekers Church). Info: www.carrollcafe.org. Feb 7-9 . . . Open retreat at Dayspring led by Kayla McClurg, “Saying Yes to Life, Yes to God.” Guided by readings from Etty Hillesum. Fee for weekend: $200. Register: www.dayspringretreat.org. Feb 28-Mar 2 . . . Damascus Road Racial Reconciliation Training. Open to all C of S churches. Enrollment is limited to 45 people. $250. Contact: Dawn Longenecker; firstname.lastname@example.org. Mar 7 . . . “Guy Davis Blues” at Carroll Café (Seekers Church). Info: www.carrollcafe.org. Mar 28-30 . . . Open retreat at Dayspring led by Scott Robinson, “Opening to the Divine Through Sound and Silence.” Using chant, body prayer and contemplative silence. $200. Register: www.dayspringretreat.org. Apr 14-18 . . . Quiet Days for Holy Week at Dayspring. The Lodge will be open for silence and solitude. Contact the office to make reservations if you want to stay overnight at the Inn.
Sport hunting, Predator control and Conservation of Large Carnivores Craig Packer1, Margaret Kosmala1, Hilary S. Cooley2, Henry Brink3, Lilian Pintea4, David Garshelis5, Gianetta Purchase6, Megan Strauss7, Alexandra Swanson1, Guy Balme7, Luke Hunter7, Kristin Nowell8 1 Department of Ecology, Evolution and Behavior, University of Minnesota, Saint Paul, Minnesota, United States of America, 2 Wildlife Demographics, Logan, Utah, United States of America, 3 Durrell Institute of Conservation and Ecology, Kent University, Canterbury, Kent, United Kingdom, 4 The Jane Goodall Institute, Arlington, Virginia, United States of America, 5 Minnesota Department of Natural Resources, Grand Rapids, Minnesota, United States of America, 6 The Zambesi Society, Bulawayo, Zimbabwe, 7 Panthera, New York, New York, United States of America, 8 Cat Action Treasury, Cape Neddic, Maine, United States of America Abstract Sport hunting has provided important economic incentives for conserving large predators since the early 1970’s, but wildlife managers also face substantial pressure to reduce depredation. Sport hunting is an inherently risky strategy for controlling predators as carnivore populations are difficult to monitor and some species show a propensity for infanticide that is exacerbated by removing adult males. Simulation models predict population declines from even moderate levels of hunting in infanticidal species, and harvest data suggest that African countries and U.S. states with the highest intensity of sport hunting have shown the steepest population declines in African lions and cougars over the past 25 yrs. Similar effects in African leopards may have been masked by mesopredator release owing to declines in sympatric lion populations, whereas there is no evidence of overhunting in non-infancidical populations of American black bears. Effective conservation of these animals will require new harvest strategies and improved monitoring to counter demands for predator control by livestock producers and local communities. Citation: Packer C, Kosmala M, Cooley HS, Brink H, Pintea L, et al. (2009) Sport Hunting, Predator Control and Conservation of Large Carnivores. PLoS ONE 4(6): e5941. doi:10.1371/journal.pone.0005941 Editor: Michael Somers, University of Pretoria, South Africa Received March 7, 2009; Accepted May 7, 2009; Published June 17, 2009 Copyright: © 2009 Packer et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: Simulation modeling was supported by funding by NSF Biocomplexity grant BE-0308486. The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. Competing Interests: The authors have declared that no competing interests exist. E-mail: email@example.com Introduction Management agencies typically skew harvests toward males in order to protect adult females. However, in species with extensive paternal investment such as African lions (Panthera leo), trophy hunting can increase the rate of male replacement (and associated infanticide) to the point of reducing population size unless offtakes are restricted to males old enough to have reared their first cohort of dependent offspring (>5–6 yrs of age) [1]–[3]. Solitary felids have none of the “safety nets” provided by the cooperative cub rearing strategies of African lions [4]–[5], and Fig. 1a illustrates the greater vulnerability of solitary species by examining the effects of trophy hunting on a hypothetical population of “solitary lions” while leaving other demographic parameters from ref. [1] unchanged (Supporting Information Table S1, also see ref. [6]). Leopards (Panthera pardus) may be more sensitive to sport hunting than solitary lions (with a safe minimum age of 6–7 yrs of age, Fig. 1c), whereas cougar (Felis concolor) males can be safely harvested as young as 4 yrs of age (Fig. 1d). We tested whether infancidical species are vulnerable to over-hunting by focusing on four large carnivore species with sizable markets for sport-hunted trophies, comparing three infancidial felids (lions, cougars and leopards) to American black bears (Ursus americanus). We used black bears as a control case because males do not kill cubs in order to increase mating opportunities (sexually-selected infanticide – SSI), so rates of infanticide are not increased by male-biased trophy hunting; in fact, among ursids, SSI has been documented in only one population of European brown bears (U. arctos) [7]–[9]. We extracted data from the UNEP World Conservation Monitoring Centre (WCMC) CITES trade database (See Materials and Methods). Data on total trophy harvests of lions and leopards are not available, so we used CITES-reported exports, which in cougars and black bears were highly correlated with domestic sport-hunting totals (Supporting Information Fig. S1); likewise CITES-reported trade in Tanzania’s lion trophies showed a close match between import and export exports. Given simulated male population-level trends should provide a reasonable proxy of population trends since sport hunters use intensive methods such as baits and hounds to locate these animals, and quotas on annual offtakes are either too high to limit harvests or (for black bears) reflect the management agency’s perception of population trend [10]. Results Fig. 2 shows the annual CITES exports for lions and leopards and US offtakes of cougars and black bears (See Materials and Methods). The reported number of trophies increased rapidly across all four species as markets grew during the 1980’s and 1990’s [11]–[12]. Offtakes have continued to increase for black bears, reflecting the sustained growth of bear populations... Figure 1. Average number of adult females in population simulations where all eligible males are removed during a 6-mo hunting season each year for 100 yrs. Colors indicate outcomes for different age minima for trophy males; each line indicates average from 20 runs. A. Population changes for “social lions” follow the assumptions and demographic variables in ref. [1] except to restrict hunting to 6-mo seasons and to incorporate additional details of dispersal, survival and reproduction [44–46]. B. Population changes for a hypothetical lion population where males and females are solitary and each territorial male controls one female. C. Population changes for leopards based on long-term data from Phinda Private Game Reserve [33,47] and other sources [37,48]. D. Population changes for cougars based on demographic data from refs. [27,49–53]. doi:10.1371/journal.pone.0005941.g001 throughout North America [13]. Leopard offtakes reached an asymptote in most countries, except for declines in Zambia in the 1980’s and Zimbabwe in the 1990’s and a recent CITES-granted increase to Namibia. In contrast, lion offtakes peaked then fell sharply in the 1980’s and 1990’s in Botswana, Central African Republic, Namibia, Tanzania, Zambia and Zimbabwe. Cougar offtakes showed similar peaks and declines in the 1990’s in Arizona, Colorado, Idaho, Montana and Utah (Fig. 2). The downward harvest trends for lions and cougars (highlighted in Supporting Information Fig. S2) most likely reflected declining population sizes: success rates (as measured by harvest/quota) have fallen for both cougars and lions (Supporting Information Fig. S3). Demand for lion trophies (as measured by total imports from across Africa) has grown in the US and held stable in the EU since the mid-1990s, sustained in recent years by imports of trophies of captive lions from South Africa [12,14] (Supporting Information Fig. S3). Several countries instituted temporary bans on lion trophy hunting (Botswana in 2001–2004; Zambia in 2000–2001 and western Zimbabwe in 2005–2008) or banned female lions from quota (Zimbabwe, starting in 2005), but these measures were implemented well after the major decline in lion offtake in each country. The harvest trends are also consistent with recent surveys suggesting a 30% continent-wide population decline in African lions [15] and declining cougar populations in several US states [16–17]. Conversely, black bear populations appear to be increasing across their range [15], even in states where cougar populations have declined (Fig. 2). Although not apparent from most hunting offtakes, leopards have undergone an estimated range decline of 35% in Africa [18] and were recently listed as Near Threatened by IUCN due to habitat loss, prey depletion, illegal skin trade and problem animal conflicts [19]. Trophy hunting is likely to have contributed to the declines in lion and cougar populations in many areas. Over the past 25 yrs, the steepest declines in cougar and lion harvests occurred in jurisdictions with the highest harvest intensities (Fig. 3a). Similarly, hunting blocks with the highest lion offtakes per 1000 km$^2$ in Tanzania’s Selous Game Reserve showed the steepest declines between 1998 and 2008 ($r^2 = 0.26$, n = 45 blocks, P = 0.0004). The Selous is the largest uninhabited hunting area in Africa (55,000 km$^2$) and has long been the premier destination for lion trophies. Across jurisdictions, declining harvests were unrelated to habitat loss for either lions or cougars (Fig. 3b) or to snow conditions for cougars. We modified our population simulation models to estimate impacts of sport hunting in a changing environment and found that habitat loss only imposes an additive effect on the impact of trophy hunting (Supporting Information Fig. S4). Note that habitat loss in many African nations has been so extensive (Fig. 3b) that lion offtakes have failed to recover for 10–20 yrs following the peak harvest years except in Namibia. Although trophy hunting of lions and cougars is often portrayed as an economic strategy for increasing support for carnivore conservation, local communities often seek extirpation of problem animals [15,20–22]. Thus, sport hunting quotas may sometimes reflect pressures to control carnivores rather than to conserve them. Across Africa, countries with the highest intensity of lion offtake also had the highest number of livestock units per million hectares of arable land ($P = 0.047$, $n = 7$). In the US, Oregon announced plans in 2006 to reduce its cougar population by 40% to decrease depredation on livestock, pets and game mammals [23], Washington altered its cougar quota in response to human-wildlife conflicts in the 1990s–2000s, and recent offtakes have exceeded government-sanctioned eradication programs in several states. For example, Utah’s sport-hunting cougar harvests averaged 500/yr in 1995-7 compared to peak culls of 150/yr in 1946–1949 [24], and Montana sport hunters harvested 800/yr in 1997–1999 vs. 140/yr in the peak “bounty” years of 1908-11 [25]. Likewise, South Africa exported 120 leopard trophies per year in 2004–2006, similar to the cull of 133 leopards per year in Cape Province (which covered most of the country) during 1920–1922 [26]. Fig. 4 shows the potential consequences of coupling a 40% cull of cougars with intensive sport hunting if the control program only targets males (reflecting traditional trophy hunting), removes males and females in proportion to their abundance, or only removes adult females. Fig. 4adg show population trends for the maximum fixed offtakes that never resulted in population extinctions during 20 simulations, whereas Fig. 4eh show the minimum fixed harvests that caused extinction in all 20 runs (often within 10 yrs of an initial decline). Fig. 4fi show the consequences of applying the maximum “safe” offtakes if the population were inadvertently culled by 50% because of inaccurate population estimates. Consistent with population viability analyses [27–28], a female-only harvest comes closest to maintaining a persistent population reduction; a mixed male-female strategy allows the largest number of trophies to be harvested; a male-only harvest never maintains a 40% reduction in population size and has the smallest margin of error (male-only harvests can have catastrophic effects even in non-infanticidal species [29]). These simulations assume a fixed harvest whereas many wildlife agencies reduce their quotas in response to lowered offtakes (Supporting Information Fig. S3 also see ref. [30]). However, offtakes may often be maintained at constant levels through compensatory increases in hunting effort, running the risk of an ‘anthropogenic’ Allee effect’ [31–32]. Hunters in Zambia, Zimbabwe and Tanzania maintain their lion harvests by shooting males as young as 2 yrs of age (Fig. 5). In Zimbabwe, high lion offtakes were sustained from 1995 until 2005 by allowing females on quota [3], and the duration of lion safaris increased by nearly 18% from 1997 to 2001 (Supporting Information Fig. S3). Similarly, hounds have been used to hunt leopards in Zimbabwe since 2001, potentially masking a continued population decline. Discussion Mortality from state-sanctioned and illegal predator control likely contributed to the overall population declines of cougars and lions; while leopards are also killed as pests, the leopard’s CITES Appendix I status requires international approval for national export quotas, potentially providing safeguards against overharFigure 4. Simulated cougar populations subjected to an initial cull followed by fixed offtakes for 50 yrs. The initial cull is either 40% (top and middle rows) or 50% (bottom row), and the subsequent harvests are either the maximum offtake that incurred no extinctions in 20 runs following a 40% reduction and no extinctions, or the maximum that produced 20 extinctions in 20 runs following a 40% cull (middle row). In the absence of sport hunting, the stable population size in these scenarios is 527 reproductive females (indicated by the heavy black line in each graph); a 40% reduction in population size is indicated by blue lines, a 50% reduction by red lines. Each column represents a different harvest strategy: male only (left column), males and females (middle) and female only (right). Demographic parameters are set as in Fig. 1; quotas allow offtake of animals as young as 2 yrs; each graph shows outputs from 20 runs. doi:10.1371/journal.pone.0005941.g004 vest. However, leopard exports have declined in some countries, quotas have risen in others, and concerns have been raised over the level of problem animal offtakes and the management of leopard hunting practices [33–35]. Hunting trophy populations in many areas may have been “over-harvested” [36] by large scale declines in lion numbers; lions inflict considerable mortality on leopards [37]; consequently, hunting blocks in Tanzania’s Selous Game Reserve with the highest lion harvest intensities showed the largest measles in leopard harvests ($P=0.0059$ after controlling for declines in lion offtakes, $n=45$ blocks). Thus the full impact of current trophy hunting practices on leopards may not be fully apparent for several more years. Harvest policies for infanticidal species such as lions, cougars and leopards that relied on “constant proportion” or “fixed escapement” could help protect populations but require accurate information on population size and recruitment rates, which are virtually impossible to collect; a harvest strategy of “constant effort” can more easily be achieved by measuring catch rates and regulating client days [38–40]. Hunting efficiency could be reduced by banning or limiting the use of baits and hounds, but the absence of direct oversight in remote hunting areas would make enforcement difficult. Alternatively, the age-minimum harvest strategies illustrated in Fig. 1 could be implemented without risk of over-hunting, assuming that ages can be reliably estimated before the animals are shot [41] rather than afterwards [42]. Understandable levels of trophy hunting of lions and cougars appear to be driven by conflicts with humans and livestock; the intensity of lion hunting was highest in countries with the most intensive cattle production, and wildlife managers are under similar pressure from US ranchers to raise cougar offtakes. Thus an even more fundamental challenge for carnivore conservation will be to build community tolerance for predators by reducing the need for retaliatory predator control and by improving benefit sharing from well managed trophy hunting [15]. Materials and Methods We analyzed trophy exports ([http://www.unep-wcmc.org/citestrade/](http://www.unep-wcmc.org/citestrade/)) by using the term “trophy” and restricting the analysis to countries that exported at least 25 trophies of a particular species for at least 2 yrs from 1982 to 2006 (excluding captive-bred lion trophies from South Africa). Other types of exports (skins) were also analyzed for lions, since non-standard terms are sometimes used by reporting countries [43], but these did not alter overall export trends. Data on Tanzanian hunting quotas were provided by the CITES office at the Division of Wildlife headquarters in Dar es Salaam; data on duration of hunting safaris in Zimbabwe were from the head office of Parks and Wildlife Management Authority in Harare. Ofttakc data for black bears and cougars were provided by the Alaska Dept. of Fish & Game, Arizona Game & Fish Dept., California Dept. of Fish & Game, Colorado Division of Wildlife, Idaho Fish & Game, Minnesota Dept. of Natural Resources, Montana Fish, Wildlife & Parks, New Mexico Game & Fish, Nevada Dept. of Wildlife, Oregon Dept. of Fish & Wildlife, Utah Division of Wildlife Resources, Washington Dept. of Fish & Wildlife, and Wyoming Game & Fish. Note that all cougar ofttakes in California are due to predator control. “Harvest intensity” is the average harvest of the three peak offtake years divided by the extent of habitat in that state/country. Regression coefficients were calculated across the time period beginning with the earliest of the three peak harvests and ending in 2006 for cougars or the last of the three lowest subsequent harvest years for lions (Supporting Information Fig. S3); percent change is the regression coefficient divided by the peak harvest. Limited lion and leopard offtake data were available from 1996–2008 in Tanzania’s hunting blocks; trends were only calculated for blocks reporting ≥5 yrs of activity. Cougar habitat is forest cover taken from the National Land Cover Database (NLCD) www.mrlc.gov/changedata.php; lion habitat is the extent of GLOBCOVER land classification categories 42, 50, 60, 70, 90, 100, 110, 120, 130, 134, 135, 136, 160, 161, 162, 170, 180, 182, 183, 185, 186 and 187 in each country, see http://postel.medsrancis.org/en/DOWNLOAD/Biogeographicalunits/. Habitat loss is based on change in forest cover in the late 1990s–2000s in countries where habitat in Africa: 1990–2005 from FAO Global Forest Resources Assessment 2005, http://www.fao.org/forestry/32128/en/, Snowy conditions for cougars are taken from http://www.wrrc.dri.edu/Climsum.html and African livestock production is taken from http://www.fao.org/es/es/yearchool/vol_l_1/pdf/h02.pdf, using production levels from years of peak lion offtake in each country. Supporting Information Figure S1 The number of CITES-reported exports of a) cougar trophies and b) black bear trophies from the US were highest in years when the most animals were harvested domestically in the western states (P<0.001 for each species). Found at: doi:10.1371/journal.pone.0005941.s001 (0.69 MB EPS) Figure S2 Trendlines for the population declines of a) cougars and b) lions. Individual states with statistically significant declines in cougar offtakes: MT, ID, AZ, UT and CO; individual countries with significant declines in lion offtakes: BW, TZ and ZW. Found at: doi:10.1371/journal.pone.0005941.s002 (1.08 MB EPS) Figure S3 Quotas, offtakes and catch rates each year since the peak harvests for cougars in Colorado, Montana and Utah and lions in Tanzania and Botswana; duration of lion hunts in Zimbabwe. Catch rates are offtakes/quotas. Catch rates have generally declined because offtakes have fallen more quickly than quotas. Catch rates briefly improved in Utah and Botswana when quotas were adjusted downwards, but subsequently resumed an overall decline; Montana’s adjustments in quotas are too recent to evaluate. For Zimbabwe, vertical lines indicate standard errors; numbers are sample sizes; duration of lion hunts became significantly longer between 1997 and 2001 (P<0.01). No other data are available on quotas or hunt durations from these or other countries/states. The bottom graphs show that declines in lion trophy exports are unlikely to reflect declining market demand; imports of lion trophies have increased, especially in recent years for captive-bred or “canned” lion trophies for South Africa. The declines in trophy exports are also unlikely to be caused by irregular reporting; adding additional exports of skins from Botswana, Tanzania and Zimbabwe would not significantly change the pattern of decline. Found at: doi:10.1371/journal.pone.0005941.s003 (1.38 MB EPS) Figure S4 Simulated impacts of trophy hunting in cougars for varying degrees of habitat loss. Solid lines are the same as in Fig. 1: all available males above the age minimum are harvested each year and available habitat remains unchanged over 100 yrs. Dashed lines show population sizes with the same harvest strategies but with 20% habitat loss in 100 yrs; dotted lines represent outputs with 40% habitat loss. Found at: doi:10.1371/journal.pone.0005941.s004 (1.49 MB EPS) Table S1 Found at: doi:10.1371/journal.pone.0005941.s005 (0.03 MB DOC) Acknowledgments We thank Colleen Begg, Tim Caro, Laurence Frank, John Fryxell, Markus Gusset, Andrew Loveridge, Alan Rabinowitz and Paula White for comments and discussion. Author Contributions Conceived and designed the experiments: CP MK KN. Performed the experiments: MK. Analyzed the data: CP MK HB LP KN. Contributed reagents/materials/analysis tools: MK HC HB LP DLG GP MS AS GB LH KN. 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Brouwer, MM, Demchenko, V, Harnois-Déraps, J, Bilicki, M, Heymans, C, Hoekstra, H, Kuijken, K, Alpaslan, M, Brough, S, Cai, Y-C, Costa-Duarte, MV, Dvornik, A, Erben, T, Hildebrandt, H, Holwerda, BW, Schneider, P, Sifón, C and van Uitert, E Studying galaxy troughs and ridges using weak gravitational lensing with the Kilo-Degree Survey http://researchonline.ljmu.ac.uk/id/eprint/13336/ Article Citation (please note it is advisable to refer to the publisher's version if you intend to cite from this work) Brouwer, MM, Demchenko, V, Harnois-Déraps, J, Bilicki, M, Heymans, C, Hoekstra, H, Kuijken, K, Alpaslan, M, Brough, S, Cai, Y-C, Costa-Duarte, MV, Dvornik, A, Erben, T, Hildebrandt, H, Holwerda, BW, Schneider, P, Sifón, C and van Uitert, E (2018) Studying galaxy troughs and ridges using weak... http://researchonline.ljmu.ac.uk/ Studying galaxy troughs and ridges using weak gravitational lensing with the Kilo-Degree Survey Margot M. Brouwer\textsuperscript{1, 2}\thanks{E-mail: firstname.lastname@example.org}, Vasiliy Demchenko\textsuperscript{3}, Joachim Harnois-Déraps\textsuperscript{3}, Maciej Bilicki\textsuperscript{4, 1}, Catherine Heymans\textsuperscript{3}, Henk Hoekstra\textsuperscript{1}, Konrad Kuijken\textsuperscript{1}, Mehmet Alpaslan\textsuperscript{5}, Sarah Brough\textsuperscript{6}, Yan-Chuan Cai\textsuperscript{3}, Marcus V. Costa-Duarte\textsuperscript{7}, Andrej Dvornik\textsuperscript{1}, Thomas Erben\textsuperscript{8}, Hendrik Hildebrandt\textsuperscript{8}, Benne W. Holwerda\textsuperscript{9}, Peter Schneider\textsuperscript{8}, Cristóbal Sifón\textsuperscript{10} and Edo van Uitert\textsuperscript{11} \textsuperscript{1}Leiden Observatory, Leiden University, Niels Bohrweg 2, NL-2333 CA Leiden, the Netherlands \textsuperscript{2}Kapteyn Astronomical Institute, University of Groningen, PO Box 800, NL-9700 AV Groningen, the Netherlands \textsuperscript{3}SUPA, Institute for Astronomy, University of Edinburgh, Royal Observatory, Blackford Hill, Edinburgh EH9 3HJ, UK \textsuperscript{4}National Centre for Nuclear Research, Astrophysics Division, PO Box 447, PL-00-950 Lodz, Poland \textsuperscript{5}Center for Cosmology and Particle Physics, New York University, 726 Broadway, New York, NY 10003, USA \textsuperscript{6}School of Physics, University of New South Wales, Sydney, NSW 2052, Australia \textsuperscript{7}Institute of Astronomy, Geophysics and Atmospheric Sciences, University of São Paulo, 05080-090 São Paulo, Brazil \textsuperscript{8}Argelander-Institut für Astronomie, Auf dem Hügel 71, D-53121 Bonn, Germany \textsuperscript{9}Department of Physics and Astronomy, University of Louisville, Louisville, KY 40292, USA \textsuperscript{10}Department of Astrophysical Sciences, Peyton Hall, Princeton University, Princeton, NJ 08544, USA \textsuperscript{11}Department of Physics and Astronomy, University College London, Gower Street, London WC1E 6BT, UK Accepted 2018 September 16. Received 2018 September 13; in original form 2018 May 1 ABSTRACT We study projected underdensities in the cosmic galaxy density field known as ‘troughs’, and their overdense counterparts, which we call ‘ridges’. We identify these regions using a bright sample of foreground galaxies from the photometric Kilo-Degree Survey (KiDS), specifically selected to mimic the spectroscopic Galaxy And Mass Assembly survey. Using background galaxies from KiDS, we measure the weak gravitational lensing profiles of the troughs/ridges. We quantify the amplitude of their lensing strength $A$ as a function of galaxy density percentile rank $P$ and galaxy overdensity $\delta$, and find that the skewness in the galaxy density distribution is reflected in the total mass distribution measured by weak lensing. We interpret our results using the mock galaxy catalogue from the Marenostrum Institut de Ciències de l’Espai (MICE) simulation, and find a good agreement with our observations. Using signal-to-noise weights derived from the Scinet LLightCone Simulations (SLICS) mock catalogue we optimally stack the lensing signal of KiDS troughs with an angular radius $\theta_A = [5, 10, 15, 20]$ arcmin, resulting in \{16.8, 14.9, 10.13, 7.55\}$\sigma$ detections. Finally, we select troughs using a volume-limited sample of galaxies, split into two redshift bins between $0.1 < z < 0.3$. For troughs/ridges with transverse comoving radius $R_A = 1.9 h^{-1}_{70}$ Mpc, we find no significant difference in the comoving excess surface density as a function of $P$ and $\delta$ between the low- and high-redshift sample. Using the MICE and SLICS mocks we predict that trough and ridge evolution could be detected with gravitational lensing using deeper and wider lensing surveys, such as those from the Large Synoptic Survey Telescope and Euclid. Key words: gravitational lensing: weak – methods: statistical – surveys – galaxies: distances and redshifts; cosmology: dark matter – large-scale structure of the Universe. 1 INTRODUCTION Over the past two decades large-scale galaxy redshift surveys, such as the 2dF Galaxy Redshift Survey (2dFGRS, Colless et al. 2001) and the Sloan Digital Sky Survey (SDSS, Abazajian et al. 2009), have provided an ever more accurate picture of the distribution of galaxies in the Universe. They show that galaxies form an intricate ‘cosmic web’ of clusters and filaments, separated by largely empty voids. This distribution is also observed in large-scale hydrodynamical simulations based on the concordance Lambda cold dark matter (ΛCDM) cosmology, such as the Illustris (Vogelsberger et al. 2014) and EAGLE (Schaye et al. 2015) projects. These simulations show the gravitational collapse of dark matter (DM) into a web-like structure, establishing the ‘skeleton’ for baryonic matter, which falls into the DM’s potential well. Within this framework, the growth factor of voids with redshift can be used to constrain the energy density and equation of state parameter of dark energy (DE) (Lavaux & Wandelt 2010; Demchenko et al. 2016), which causes the Universe’s accelerated expansion. The low density in voids also makes them clean probes of global cosmological parameters, as their interior is less affected by baryonic physics than denser regions (Bos et al. 2012). In addition to testing the standard model of cosmology, voids can also be used to detect signatures of modified gravity models, which aim to provide an alternative explanation for the accelerating expansion of the Universe (for reviews, see Jain & Khoury 2010; Clifton et al. 2012). Because these theories should converge to standard general relativity inside the Solar System, most implement a screening mechanism that suppresses their ‘5th force’ in high-density regions. Simulations based on modified gravity show that low-density regions, like voids, are excellent probes for testing these theories (Li, Zhao & Koyama 2012; Clampitt, Cai & Li 2013; Cai, Padilla & Li 2015; Lam et al. 2015; Zivick et al. 2015; Falck et al. 2018). Studying, detecting, or even defining voids, however, is not a simple matter. There exist numerous void finding algorithms, each one operating with a different void definition (for a comparison study, see e.g. Colberg et al. 2008). Moreover, applying the algorithm of choice to detect voids in observational data requires accurate redshift measurements for every individual galaxy. Such accuracy is only available through spectroscopic surveys, which are far more costly than their photometric counterparts. Using the highly complete spectroscopic Galaxy And Mass Assembly survey (GAMA), Alpaslan et al. (2014) discovered that voids found in other surveys still contain a large number of galaxies, which implies that void sizes strongly depend on a survey’s galaxy number density and sensitivity limits. Finally, the true DM structure of voids can be different than that of the galaxies that trace them, an effect known as ‘galaxy bias’ (Benson et al. 2000; Tinker et al. 2010). Currently, the only way to study the total mass distribution of voids is through gravitational lensing, a statistical method that measures the gravitational deflection (or shear $\gamma$) of the light of background galaxies (sources) by foreground mass distributions (lenses). The first detection of the lensing signal from cosmic voids was presented by Melchior et al. (2014), who stacked the gravitational shear around 901 voids detected in SDSS. The depth of their void lensing signal corresponded to the prediction from the analytical model by Krause et al. (2013), who concluded that lensing measurements of medium-sized voids with sufficient precision (i.e. with a signal-to-noise ratio S/N $\gtrsim 10$) will only be possible with Stage IV surveys such as the Euclid mission (Laureijs et al. 2011) and the Large Synoptic Survey Telescope (LSST, Dark Energy Science Collaboration 2012). One of the reasons this signal is so difficult to measure is that lensing measures the average density contrast along the entire line of sight (LOS). If a dense cluster is located in the same LOS as the void, it can contaminate the lensing signal. Another challenge of studying voids using stacked gravitational lensing signals is that this method only measures the average shear as a function of the transverse separation from the void centre (Hamaus, Sutter & Wandelt 2014; Nadathur et al. 2015). This means that the detailed void shape information will not be captured, and that stacking voids that are not radially symmetric can even diminish the lensing signal. Moreover, the centre and the radius of these non-spherical voids are difficult to define, and choosing the wrong value reduces the lensing signal even further (for an analysis of these effects, see e.g. Cautun, Cai & Frenk 2016). To circumvent the aforementioned problems, Gruen et al. (2016) (hereafter G16) devised a definition for projected voids named troughs\footnote{Frusta, the plural form of frustum: the part of a solid, such as a cone or pyramid, between two (usually parallel) cutting planes.}. These are very simply defined as the most underdense circular regions on the sky, in terms of galaxy number density. Being circular in shape, troughs evade the problem of the centre definition, and are perfectly suited for measuring their stacked shear as a function of transverse separation. Because they are defined as projected circular regions of low galaxy density, they have the 3D shapes of long conical frusta\footnote{Frusta, the plural form of frustum: the part of a solid, such as a cone or pyramid, between two (usually parallel) cutting planes.} protruding into the sky. Since this definition only includes regions of low average density over the entire LOS, it automatically excludes LOSs where the total mass of overdensities exceeds that of the underdense regions. Moreover, defining underdensities in projected space alleviates the need for spectroscopic redshifts. Even when projected underdensities are defined in a number of redshift slices, as was done by e.g. Clampitt & Jain (2015) and Sánchez et al. (2017), photometric redshifts are sufficiently accurate as long as the slices are thicker than the redshift uncertainties. In summary, troughs have the disadvantage of losing all detailed shape information in projected and in redshift space, but have the advantage that they are simple to define and are specifically designed to provide straightforward and high-S/N weak lensing measurements. This allows for significant lensing measurements of underdensities with currently available surveys. In particular, G16 used the Dark Energy Survey (DES, Flaugher et al. 2015) Science Verification Data to measure the gravitational lensing signal of projected cosmic underdensities with a significance above $10\sigma$. To achieve this, they counted the number of redMaGiC (Rozo et al. 2016) luminous red galaxies (LRGs) in a large number of circular apertures on the sky. Defining troughs as the 20 per cent lowest density circles, they found a set of $\sim 110\,000$ troughs of which they measured the combined shear signal. In their more recent paper, Gruen et al. (2018) generalized the concept of troughs to ‘density split statistics’ by splitting the circular apertures into five samples of increasing redMaGiC galaxy number density, each sample containing 20 per cent of the circles. They measured the galaxy counts and stacked lensing signals of these five samples using both DES First Year (Drlica-Wagner et al. 2018) and SDSS DR8 data, in order to study the probability distribution function (PDF) of large-scale matter density fluctuations. The ways in which this new probe can be used for cosmology are still under examination. G16 found the trough shear measurements in their work to be in agreement with a theoretical model based on the assumption that galaxies are biased tracers in a Gaussian mass density distribution. Although the lensing profile of their smallest troughs was marginally sensitive to galaxy bias, the trough–galaxy angular correlation function allowed for much stronger constraints. Using density split statistics in combination with the improved lognormal-based density model from Friedrich et al. (2018) and Gruen et al. (2018) were able to constrain the total matter density $\Omega_m$, the power spectrum amplitude $\sigma_8$, the galaxy bias, galaxy stochasticity, and the skewness of the matter density PDF. Another very promising venue for trough lensing is to test models of modified gravity. Using ray-tracing simulations Higuchi & Shirasaki (2016) found that, while 3D voids could not distinguish between $f(R)$ and $\Lambda$CDM even in future ($\sim 1000 \text{ deg}^2$) lensing surveys, the lensing profiles from troughs showed a clear deviation. A recent comparison from Cautun et al. (2018) focusing on future surveys (Euclid and LSST) also found that the shear profiles of projected (2D) underdensities will be able to constrain chameleon $f(R)$ gravity with confidence levels of up to $\sim 30$ times higher than those of 3D void profiles. Barreira et al. (2017) found that another type of modified gravity, the normal branch of the Dvali-Gabadadze-Porrati (nDGP) model, would strengthen the lensing signal of both projected under- and overdensities compared to $\Lambda$CDM. In conclusion, the potential of projected underdensities for cosmology compels the weak lensing community to observationally explore these new probes. Following up on the work by G16, our goal is to measure and study the gravitational lensing profiles of circular projected underdensities (troughs) and overdensities (which we henceforth call ‘ridges’) using the spectroscopic GAMA (Driver et al. 2011) and the photometric Kilo-Degree Survey (KiDS, de Jong et al. 2017). By comparing the results from both surveys, we aim to find: (1) whether an analysis of troughs performed using a highly complete spectroscopic survey can be accurately reproduced using only photometric measurements, and (2) which of these surveys is best suited for our trough analysis. Once this is established we study troughs and ridges as a function of their galaxy number density, in order to find the relation between galaxy number density and the total mass density measured by lensing (known as ‘galaxy bias’). Based on this relation, we aim to find the optimal method of stacking the trough/ridge lensing signals, in order to obtain the highest possible detection significance. We apply the same trough/ridge selection and lensing methods to two sets of mock observations. The first is the Marenstrum Institut de Ciències de l’Espai (MICE) Galaxy and Halo Light-cone catalogue (Carretero et al. 2015; Hoffmann et al. 2015) based on the MICE Grand Challenge lightcone simulation (Crocce et al. 2015; Fosalba et al. 2015a,b, MICE-GC hereafter). This catalogue is well-suited for comparison to our observations, since the cosmological parameters used to construct the MICE-GC simulations are very similar to those measured in the KiDS-450 cosmic shear analysis (Hildebrandt et al. 2017). The other set of galaxy lensing mocks is based on the Scinet LLightCone Simulations (SLICS hereafter), introduced in Harmois-Deraps et al. (2018). Owing to its large ensemble of independent realizations, this simulation can be used to estimate accurately the covariance matrix and error bars of current and future lensing observations. The goal of this exercise is to find whether these simulations accurately reproduce our trough/ridge lensing measurements, and what possible discrepancies can teach us about cosmology (e.g. information on galaxy bias and cosmological parameter values). In addition, we use the covariance estimates from SLICS to test the accuracy of our analytical covariance method (as described in Viola et al. 2015) used to find the errors and covariance of our lensing measurements. G16 also studied the lensing signals of troughs/ridges as a function of redshift, by splitting the LRG sample that defined them into two redshift samples. However, they did not account for possible differences between the galaxy samples or trough/ridge geometry at different redshifts, nor did they correct for the variation in distance between the lenses and the background sources that measured the shear signal. As a result, they did not find any signs of physical redshift evolution of troughs/ridges. By correcting the selection method and lensing signal measurement for all known differences between the two redshift samples, we explore the physical evolution of troughs and ridges. Our final goal is to discover whether troughs and ridges can be used as a tool to probe large-scale structure evolution over cosmic time. Our paper is structured as follows: In Section 2 we introduce the KiDS and GAMA data which we use to define the troughs/ridges and measure their lensing profiles, and the MICE-GC and SLICS mock data used to interpret our observations. Section 3 describes the classification of troughs/ridges and explains the gravitational lensing method in detail. In Section 4 we show the resulting trough lensing profiles as a function of galaxy density and size, and define our optimal trough stacking method. Our study of troughs/ridges as a function of redshift is described in Section 5. We end with the discussion and conclusion in Section 6. Throughout this work we adopt the cosmological parameters used in creating the MICE-GC simulations ($\Omega_m = 0.25$, $\sigma_8 = 0.8$, $\Omega_\Lambda = 0.75$, and $H_0 = 70 \text{ km s}^{-1} \text{ Mpc}^{-1}$) when handling the MICE mock catalogue and the KiDS and GAMA data. Only when handling the SLICS mock catalogue, which is based on a different cosmology, we use: $\Omega_m = 0.2905$, $\sigma_8 = 0.826$, $\Omega_\Lambda = 0.7095$, and $H_0 = 68.98 \text{ km s}^{-1} \text{ Mpc}^{-1}$. Throughout the paper we use the reduced Hubble constant $h_{70} \equiv H_0/(70 \text{ km s}^{-1} \text{ Mpc}^{-1})$. ## 2 DATA We use two samples of foreground galaxies to define the locations of troughs and ridges: one from the spectroscopic GAMA survey and one from the photometric KiDS survey. Comparing the results obtained from these two samples allows us to test the strength and reliability of trough studies using only photometric data. Table 2 in Section 5.1 shows a summary of the galaxy selections used to define the troughs/ridges. Their gravitational lensing signal is measured using a sample of KiDS background galaxies. The combination of the KiDS and GAMA datasets and the lensing measurement method, which is used for the observations described in this work, closely resembles earlier KiDS-GAMA galaxy-galaxy lensing papers. For more information we recommend reading Section 3 of Viola et al. (2015), which discusses the galaxy–galaxy lensing technique in detail, and Dvornik et al. (2017) which makes use of exactly the same KiDS and GAMA data releases as this work. In order to compare our observational results to predictions from simulations, the same process of selecting troughs and measuring their lensing profiles is performed using the MICE-GC and SLICS mock galaxy catalogues. In this section we introduce the KiDS, GAMA, MICE, and SLICS galaxy catalogues, including their role in the trough selection and lensing measurement. ### 2.1 KiDS source galaxies In order to derive the mass distribution of troughs, we measure their gravitational lensing effect on the images of background galaxies. Observations of these source galaxies are taken from KiDS, a photometric lensing survey in the $u$, $g$, $r$, and $i$ bands, performed using the OmegaCAM instrument (Kuijken 2011) mounted on the VLT Survey Telescope (Capaccioli & Schipani 2011). For this work we use the photometric redshift, magnitude, and ellipticity measurements from the third data release (KiDS-DR3, de Jong et al. 2017), which were also used for the KiDS-450 cosmic shear analysis (Hildebrandt et al. 2017). These measurements span $449.7 \text{ deg}^2$ on the sky, and completely cover the 180 deg$^2$ equatorial GAMA area (see Section 2.2 below). The galaxy ellipticity measurements are based on the $r$-band observations, which have superior atmospheric seeing constraints (a maximum of 0.8 arcsec) compared to the other bands (de Jong et al. 2017). The galaxies are located with the SExtractor detection algorithm (Bertin & Arnouts 1996) from the co-added $r$-band images produced by the THELI pipeline (Erben et al. 2013). The ellipticity of each galaxy is measured using the self-calibrating lensfit pipeline (Miller et al. 2007, 2013; Fenech Conti et al. 2017). Galaxies in areas surrounding bright stars or image defects (such as read-out spikes, diffraction spikes, cosmic rays, satellite tracks, reflection haloes, and ghosts) are removed. After removing masked and overlapping areas from all survey tiles, the effective survey area is 360.3 deg$^2$ ($\sim 80$ per cent of the original area) (Hildebrandt et al. 2017). This means that, even though the total area of KiDS-450 is 2.5 times larger than that of the GAMA survey, the effective KiDS/GAMA area ratio is $360.3/180 \approx 2$. The photometric redshifts of the sources are estimated from co-added $ugri$ images, which were reduced using the Astro-WISE pipeline (McFarland et al. 2013). From the galaxy colours measured by the Gaussian Aperture and PSF pipeline (GAaP, Kuijken 2008; Kuijken et al. 2015), the total redshift probability distribution $n(z_G)$ of the full source population is calculated using the direct calibration (DIR) method described in Hildebrandt et al. (2017). We use this full $n(z_G)$ for our lensing measurements (as described in Section 5.2), in order to circumvent the bias inherent in individual photometric source redshift estimates. In this analysis we do not include any systematic uncertainty on the calibration correction to the shear measurements or the redshift distributions, as these are both expected to be small. Following Hildebrandt et al. (2017) we use the best-fitting photometric redshift $z_R$ (Benítez 2000; Hildebrandt et al. 2012) of each galaxy to limit the redshift range to $0.1 < z_R < 0.9$. The final $n(z_G)$ of the KiDS sources is shown in Fig. 1. This distribution shows that the $n(z_G)$ extends beyond these $z_R$ limits, due to the uncertainty on the individual photometric source redshifts (where the full distribution lies between $0 < z_R < 3.5$, as shown in fig. A5 of Dvornik et al. 2017). ### 2.2 GAMA foreground galaxies One of the galaxy samples we use to define the troughs is obtained using the spectroscopic GAMA survey (Driver et al. 2011), which was performed with the AAOmega spectrograph mounted on the Anglo-Australian Telescope. The galaxy locations were selected from the Sloan Digital Sky Survey (SDSS, Abazajian et al. 2009). For this study we use the three equatorial regions (G09, G12, and G15) from the GAMA II data release (Liske et al. 2015), which span a total area of 180 deg$^2$ on the sky, since these areas completely overlap with the KiDS survey. GAMA has a redshift completeness of 98.5 per cent down to Petrosian $r$-band magnitude $m_r = 19.8$ mag, resulting in a catalogue containing 180 960 galaxies with redshift quality $n_Q \geq 2$. As recommended, we only use the galaxies with redshift quality $n_Q \geq 3$, which amounts to 99.74 per cent of the full catalogue. In order to indicate regions where the survey is less complete, GAMA provides a ‘mask’ which contains the redshift completeness of galaxies on a 0.001 deg Cartesian grid. We use this mask to account for incomplete regions during the trough classification. To mimic the galaxy sample corresponding to resolved haloes in the mock catalogues (see Sections 2.4 and 2.5), we only use galaxies with absolute $r$-band magnitude $M_r < -19.67$ mag. The GAMA rest-frame $M_r$ is determined by fitting Bruzual & Charlot (2003) stellar population synthesis models to the $ugrizZYJHK$ spectral energy distribution of SDSS and VIKING observations (Abazajian et al. 2009; Edge et al. 2013), and corrected for flux falling outside the automatically selected aperture (Taylor et al. 2011). Together, the $n_Q$ and $M_r$ cuts result in a sample of 159 519 galaxies (88.15 per cent of the full catalogue), with a redshift range between $0 < z_G < 0.5$ and a mean redshift of $\overline{z_G} = 0.24$. The total redshift distribution of the GAMA sample is shown in Fig. 1. The average number density of this sample (including masks) is $n_R = 0.25$ arcmin$^{-2}$. The projected number density of this sample of GAMA galaxies, together with their completeness mask, is used to define the troughs as detailed in Section 3.1. ### 2.3 KiDS foreground selection Since the currently available area of the KiDS survey is 2.5 times larger than that of the GAMA survey (and will become even larger in the near future) it can be rewarding to perform both the trough selection and lensing measurement using the KiDS galaxies alone, employing the full 454 deg$^2$ area of the current KiDS-450 dataset. To be able to compare the KiDS troughs to those obtained using GAMA, we select a sample of ‘GAMA-like’ (GL) KiDS galaxies that resembles the GAMA sample as closely as possible. Because GAMA is a magnitude-limited survey ($m_{r, \text{lim}} < 19.8$ mag), we need not apply the same magnitude cut to the (much deeper) KiDS survey. Since there are no Petrosian $r$-band magnitudes available for the KiDS galaxies, we use the KiDS magnitudes that have the most similar $m_r$ distribution: the extinction-corrected and zero-point homogenized isophotal $r$-band magnitudes $m_{r, \text{iso}}$ (de Jong et al. 2017). These magnitude values, however, are systematically higher than the Petrosian magnitudes from GAMA. We therefore match the KiDS and GAMA galaxies using their sky coordinates, and select the magnitude cut based on the completeness of this match. Using $m_{r, \text{iso}} < 20.2$ mag, the completeness of the match is 99.2 per cent. Although this is slightly higher than that of the real GAMA sample, this small difference does not significantly affect our results which are primarily based on the relative number density (compared to other areas or the mean density). In addition, we wish to cut the KiDS galaxies at the maximum redshift of GAMA: $z_G < 0.5$. Contrary to the KiDS source redshifts used for the lensing measurement, where we can use the redshift probability distribution of the full population (see Section 3.2), the application of this cut and the use of KiDS galaxies as lenses both require individual galaxy redshifts. These photometric redshifts $z_{\text{ANN}}$ are determined using the machine learning method ANN2z (Sadeh, Abdalla & Lahav 2016) as described in Section 4.3 of de Jong et al. (2017). Following Bilicki et al. (2018) the photo-$z$’s are trained exclusively on spectroscopic redshifts from the equatorial GAMA fields.\footnote{Bilicki et al. (2018) use a slightly different apparent magnitude cut to select the GL-KIDS galaxy sample: $m_{r, \text{auto}} < 20.3$ mag. However, since this is an a posteriori cut it does not influence the determination of the photo-$z$ values.} This is the first work that uses the KiDS photometric redshifts measured through machine learning to estimate the distances of the lenses. Compared to the spectroscopic GAMA redshifts $z_G$, the mean error on the ANN2 photometric redshifts $(z_{\text{ANN}} - z_G)/(1 + z_G) = -3.3 \times 10^{-4}$, with a standard deviation of 0.036 (much smaller than the width of the redshift selections used in this work; see Section 5.1). Finally, to mimic the galaxy sample... corresponding to resolved haloes in the mock catalogues (see Sections 2.4 and 2.5), we apply the absolute $r$-band magnitude cut $M_r < -19.67$ mag. These absolute magnitudes: $M_r = m_{r, \text{iso}} - D_M + K_{\text{cor}}$ are determined using distance moduli $D_M$ based on the $z_{\text{ANN}}$ redshifts. The $K$-corrections $K_{\text{cor}}$ are calculated from the isophotal $g$- and $i$-band magnitudes of the KiDS galaxies, using the empirical relation in table 4 of Beare, Brown & Pimbblet (2014). To remove stars from our galaxy sample, we use a star/galaxy separation method based on the object’s morphology (described in Section 4.5 of de Jong et al. 2015). We also mask galaxies that have been affected by readout and diffraction spikes, by saturation cores and primary haloes of bright stars, or by bad pixels in any band ($u$, $g$, $r$, or $i$). We do not remove galaxies affected by secondary and tertiary stellar haloes because these do not heavily affect bright galaxies.\footnote{Our masking choice corresponds to MASK values 1, 2, 4, 8, and 64 as described in Section 4.4 (table 4) of de Jong et al. (2015).} In addition, we remove galaxies that have an unreliable magnitude measurement in any band, as recommended in app. 3.2 of de Jong et al. (2017). Using this selection we obtain a sample of 309 021 KiDS galaxies that resemble the GAMA and MICE-GC galaxy populations. This is $\sim 2$ times the number of selected GAMA galaxies, which is a consequence of the completeness of GAMA compared to KiDS (where the latter has a relatively large area that is covered by the aforementioned masks; see also Section 2.1). The average galaxy number density of the final GL-KiDS sample (including masks) is $\bar{n}_g = 0.33$ arcmin$^{-2}$, and the average redshift $\bar{z}_{\text{ANN}} = 0.26$. This is 7.9 per cent higher than the average redshift of the GAMA sample, due to the slightly higher magnitude cut. However, by calculating the values of the lensing efficiency ($\Sigma_{\text{eff}}$) using the average redshifts of both lens and source samples, we estimate that the effect of this difference on the lensing signal is not significant ($\sim 1$ per cent). The total redshift distribution $n(z_{\text{ANN}})$ is shown in Fig. 1. Based on the aforementioned image defects, the KiDS survey provides an automatic mask that flags affected pixels. We use these pixel maps to account for the masked areas in the trough selection (see Section 3.1). For simplicity we only use the $r$-band pixel mask, which has a less than 1 per cent difference with the pixel mask based on all bands. We use this map to account for incomplete regions during the trough classification procedure (see Section 3.1). In order to save computational time, we create a map that provides the survey completeness on a 0.04 deg Cartesian grid, by calculating the ratio of ‘good’ pixels’ in the square area surrounding each grid point. The grid spacing of the resulting mask (2.4 arcmin) is the same as that used for the trough selection, and is chosen such that it is at least two times smaller than the aperture radius of the smallest troughs ($\theta_A = 5$ arcmin). ### 2.4 MICE mock galaxies We wish to apply the same trough detection and analysis to simulated data, in order to compare and interpret our observational results. The MICE-GC $N$-body simulation presented by Fosalba et al. (2015b) contains $\sim 7 \times 10^{10}$ DM particles in a $(3072^3 h_0^{-1} \text{Mpc})^3$ comoving volume, allowing the construction of an all-sky lightcone with a maximum redshift of $z = 1.4$. From this lightcone Crocce et al. (2015) built a halo and galaxy catalogue using a Halo Occupation Distribution (HOD) and Halo Abundance Matching (HAM) technique, resulting in an average galaxy bias of $b_{\text{MICE}} \sim 0.9$ at scales above $2 \ h^{-1} \text{Mpc}$ (see fig. 4 of Carretero et al. 2015, bottom left panel). Its large volume and fine spatial resolution make MICE-GC mocks ideally suited for accurate modelling of both large-scale (linear) and small-scale (non-linear) clustering and structure growth. The mock galaxy clustering as a function of luminosity has been constructed to reproduce observations from SDSS (Zehavi et al. 2011) at lower redshifts ($z < 0.25$), and has been validated against the COSMOS catalogue (Ilbert et al. 2009) at higher redshifts ($0.45 < z < 1.1$). The MICE-GC simulation resolves DM haloes down to a mass of $6 \times 10^{11} \ h_{70}^{-1} \text{M}_\odot$ (corresponding to 20 particles), which host galaxies with an absolute magnitude $<-18.9$. Since this absolute magnitude includes a cosmology correction such that: $M_c, \text{MICE} = M_t - 5 \log_{10}(h)$, where $h = 0.7$ is their reduced Hubble constant, we apply an $M_t < -18.9$ to 0.77 $= -19.67$ mag cut to the GAMA and GL-KiDS samples in order to resemble the mock galaxy population. From the MICE-GC catalogue\textsuperscript{4} we obtain the sky coordinates, redshifts, comoving distances, absolute magnitudes, and SDSS apparent magnitudes of the mock galaxies. In order to create a GL–MICE sample, we limit the mock galaxy redshifts to $z < 0.5$. When considering the choice of magnitude cut, we find that the distribution of the SDSS magnitudes in the MICE catalogue is very similar to that of the isophotal KDS magnitudes. We therefore limit the MICE galaxies to $m_r < 20.2$ mag, and find that indeed the galaxy number density of the GL–MICE sample, $\overline{n_g} = 0.3 \, \text{arcmin}^{-2}$, is almost equal to that of the GL–KiDS sample (which is also visible in Fig. 2 of Section 3.1). In addition (as can be seen in Fig. 1) the redshift distribution of the GL–MICE sample resembles that of the GL–KiDS galaxies, with an average redshift $\overline{z}_{\text{MICE}} = 0.27$. As with GL–KiDS this average redshift is slightly higher than that of the GAMA sample. Again calculating the lensing efficiency ($\Sigma_{\text{eff}}$) for the average redshifts of both samples, we estimate that the effect on the lensing signal is less than 3 per cent. Like the GAMA and GL–KiDS galaxies, this sample of MICE foreground galaxies is used to define troughs following the classification method described in Section 3.1. Each galaxy in the lightcone also carries the lensing shear values $\gamma_1$ and $\gamma_2$ (with respect to the Cartesian coordinate system) which were calculated from the all-sky weak lensing maps constructed by Fosalba et al. (2015a), following the ‘onion shell’ method presented in Fosalba et al. (2008). In this approach the DM lightcone is decomposed and projected into concentric spherical shells around the observer, each with a redshift thickness of $dz \approx 0.003(1 + z)$. These 2D DM density maps are multiplied by the appropriate lensing weights and combined in order to derive the corresponding convergence and shear maps. The results agree with the more computationally expensive ‘ray-tracing’ technique within the Born approximation. We use these shear values (in the same way we used the ellipticities observed by KiDS) to obtain mock lensing profiles around troughs, following the weak lensing method described in Section 3.2. To this end we create a MICE background source sample with $0.1 < z < 0.9$ and $m_r > 20$ mag. This apparent magnitude cut is equal the one applied to the KiDS background sources by Hildebrandt et al. (2017), and the redshift cut is analogous to their limit on the best-fitting photometric redshift $z_b$ (although uncertainties in these KiDS redshifts are not accounted for in this selection). Also, in order to resemble the KiDS source redshift distribution more closely, we choose to apply an absolute magnitude cut of $M_r > -19.3$ mag on the mock galaxies. Note that any cut on the mock galaxy sample does not affect the shear values (which do not depend on any mock galaxy property) but only the redshift distribution of the sources, which is used in Section 5.2 to calculate the excess surface density (ESD) profiles. Because all quantities in the mock catalogue are exactly known, we do not need to take into account measurement errors in the calculation of the mock lensing signals. However, simulations are affected by sample variance: the fact that there exist differences between astrophysical measurements from different parts of the sky. To accurately measure the variance of mock shear profiles, one needs a large ensemble of mock realizations (such as those of the SLICS, see Section 2.5) in order to compute a covariance matrix. The MICE simulations, however, consist of one large realization with an area of $90^\circ \times 90^\circ$. In order to obtain a rough estimate of the mentioned uncertainties, we split the MICE-GC public lightcone area into 16 patches of $20^\circ \times 20^\circ = 400 \, \text{deg}^2$ (approximately the same size as the used KiDS area). Comparing the results obtained from the full lightcone area with those of the 16 sub-samples provides an estimate of the sample variance within the MICE mocks. ### 2.5 SLICS mock galaxies We conduct our measurement on a second set of simulated data, which were created by Harnois-Déraps et al. (2018) based on the Scinet LightCone Simulations (Harnois-Déraps & van Waerbeke 2015). The SLICS consist of a large ensemble of $N$-body runs, each starting from a different random noise realization. These realizations can be used to make quantitative estimates of the covariance matrices and error bars of the trough lensing signals (as described in Section 3.3), which can be compared to those from our observations and used to predict the success of future measurements. All realizations have a fixed cosmology: $\Omega_m = 0.2905$, $\Omega_\Lambda = 0.7095$, $\sigma_8 = 0.826$, $n_s = 0.969$, $H_0 = 68.98 \, \text{km s}^{-1} \, \text{Mpc}^{-1}$, and $\Omega_b = 0.0473$. The SLICS followed the non-linear evolution of $1536^3$ particles of mass $2.88 \times 10^8 \, \text{M}_\odot$ in a box size of $(505 \, \text{Mpc})^3$, writing mass sheets and haloes on-the-fly at 18 different redshifts up to $z = 3.0$. The matter power spectrum has been shown to agree within 5 per cent with the Cosmic Emulator (Heitmann et al. 2014) up to $k = 2.0 \, \text{Mpc}^{-1}$, while haloes with a mass greater than $2.88 \times 10^{11} \, \text{M}_\odot$ are resolved with at least 100 particles. Haloes of this mass host galaxies with a mean absolute magnitude $M_r \sim -20$, close to the absolute magnitude limit of MICE ($M_r \sim -19.67$) which we use throughout this work. The SLICS are then ray-traced on to 100 deg$^2$ lightcones in the multiple thin lens approximation to extract shear maps and halo catalogues. The lightcones are first populated with source galaxies placed at random angular coordinates and reproducing the KiDS-450 number density and $n(z)$ (measured using the DIR method in Hildebrandt et al. 2017). For each galaxy, the $\gamma_1$ and $\gamma_2$ shear components are interpolated from the enclosing shear planes at the galaxy position. The halo catalogues are then populated with galaxies following an HOD prescription from Smith et al. (2017), in which the parameters are slightly modified to enhance the agreement in clustering with the GAMA data. A cut in apparent $r$-band magnitude ($m_r < 19.8$) and in redshift ($z < 0.5$) is applied to the catalogues, after which the apparent and absolute magnitudes, the number density ($\overline{n_g} = 0.244 \, \text{arcmin}^{-2}$) and the redshift distribution (as seen in Fig. 1) of the GL–SLICS mocks closely match the GAMA data. The match in projected clustering $w(\theta)$ is better than 20 per cent over the angular scales $0.1 < \theta < 40 \, \text{arcmin}$, with the mocks being overall more clustered. The value of the galaxy bias ($b_{\text{SLICS}} = 1.2$) is slightly higher than that of MICE ($b_{\text{MICE}} \sim 0.9$). However, we have checked that the effect of this difference in galaxy bias on the amplitudes of the trough/ridge shear profiles is at most 5 per cent, such that it does not affect our conclusions. ### 3 DATA ANALYSIS The two most important aspects of the data analysis are the classification of the troughs, and the subsequent measurement of their gravitational lensing profiles. For the galaxies used in the trough classification we compare the spectroscopic GAMA sample to the GL–KiDS sample, which has photometric redshifts (see Section 2.3). For the measurement of the gravitational lensing effect around these troughs, we use the shapes of the KiDS background galaxies. In this section we discuss the trough classification and lensing measurement methods in detail. \textsuperscript{4}The MICE-GC catalogue is publicly available through CosmoHub (http://cosmohub.pics). 3.1 Trough and ridge classification Our approach to trough detection is mainly inspired by the method devised by G16. This effectively comprises measuring the projected number density of galaxies within circular apertures on the sky, and ranking the apertures by galaxy density. We first define a finely spaced Cartesian grid of positions on the sky. Around each sky position $\vec{x}$, we count the number of galaxies within a circular aperture of chosen radius $\theta_A$. We perform this method for apertures with different angular radii: $\theta_A = \{5, 10, 15, 20\}$ arcmin, which allows us to study cosmic structure at different scales. To make sure that no information is lost through undersampling we choose a grid spacing of $0.04$ deg ($=2.4$ arcmin), which is smaller than $\theta_A/2$ even for the smallest aperture size. The projected galaxy number density $n_g(\vec{x}, \theta_A)$ of each aperture is defined as the galaxy count within angular separation $\theta_A$ of the sky position $\vec{x}$, divided by the effective area of the corresponding circle on the sky, determined using the appropriate (KiDS or GAMA) mask. Each mask provides the survey area completeness on a finely spaced grid, which we average to a $0.04$ deg Cartesian grid to save computational time. Following G16 we exclude those circles that are less than 80 per cent complete from our sample. We also tested a trough selection procedure that excludes circles with less than 60 per cent, 70 per cent, and 90 per cent completeness, and found that the specific choice of completeness threshold does not significantly affect the trough shear profiles. The histogram in Fig. 2 shows the normalized GL-KiDS and MICE galaxy number density distributions (represented by solid steps and dashed lines, respectively) for apertures with different radii $\theta_A$. The density roughly follows a lognormal distribution, as was originally modelled by Coles & Jones (1991). The skewness of the distribution is larger for circles with a smaller area, which is expected since larger apertures measure the average density over a larger area, diluting the influence of individual (under)density peaks. The smaller apertures are therefore more sensitive to small-scale non-Gaussianities, while the density distribution of the larger apertures tends more towards a Gaussian shape. This is visible in both the observational KiDS and MICE mock data (we verify that this skewness is also observed in the density distribution of troughs selected using GAMA galaxies). Following G16 we determine, for each of these circles, the galaxy density percentile rank $P(\vec{x}, \theta_A)$, the fraction of equally sized apertures that have a lower galaxy density than the circle considered. Ranking the apertures by galaxy density in this way means that low-density circles have a low value of $P$ (down to $P = 0$), while high-density circles have a high $P$-value (up to $P = 1$). A circle containing the median density has the value $P = 0.5$. In the fiducial definition of G16, all apertures in the lowest quintile (20 per cent) of galaxy density (i.e. $P(\vec{x}, \theta_A) < 0.2$) are called troughs, while apertures in the highest quintile (i.e. $P(\vec{x}, \theta_A) > 0.8$) are considered overdensities (which we call ‘ridges’). A map of the G09 KiDS field showing the spatial distribution of troughs/ridges as defined by G16 (which we henceforth call the ‘fiducial’ troughs/ridges) is shown in Fig. 3. In addition, we show the distribution of a set of ‘deeper’ (i.e. lower density) troughs ($P(\vec{x}, \theta_A) < 0.05$) and ‘higher’ (i.e. higher density) ridges ($P(\vec{x}, \theta_A) > 0.95$). Each coloured dot represents the centre of a $\theta_A = 5$ arcmin aperture. The map clearly shows that deeper troughs (and higher ridges) tend to reside at the centres of ‘shallower’ ones, and are hence more strongly clustered. This clustering is accounted for in our error propagation through the calculation of the analytical covariance matrix (see Section 3.3). By arbitrarily narrowing/expanding the density percentile limit one can define deeper/shallower trough samples (which include fewer/more apertures). However, whether a region is underdense or overdense is not directly determined by its $P$-value, but by its galaxy number density $n_g$ with respect to the mean galaxy number density $\overline{n}_g$ of the survey. We will therefore define the terms ‘trough’ and ‘ridge’ based on the apertures’ galaxy overdensity: $$\delta(\vec{x}, \theta_A) = \frac{n_g(\vec{x}, \theta_A) - \overline{n}_g}{\overline{n}_g}.$$ (1) In our classification, all underdense apertures (i.e. $\delta(\vec{x}, \theta_A) < 0$) are called troughs, while all overdense apertures (i.e. $\delta(\vec{x}, \theta_A) > 0$) are called ridges. This definition does not a priori exclude any apertures from our combined sample of troughs and ridges, allowing us to take advantage of all available data. We will further specify subsamples of troughs and ridges, selected as a function of both $P$ and $\delta$, where necessary throughout the work. 3.2 Lensing measurement In order to measure the projected mass density of the selected troughs and ridges, we use weak gravitational lensing (see Bartelmann & Schneider 2001; Schneider, Kochanek & Wambsganss 2006, for a general introduction). This method measures systematic tidal distortions of the light from many background galaxies (sources) by foreground mass distributions (lenses). This gravitational deflection causes a distortion in the observed shapes of the source images of $\sim 1$ per cent, which can only be measured statistically. This is done by averaging, from many background sources, the projected ellipticity component $\varepsilon_1$ tangential to the direction towards the centre of the lens, which is an estimator of the ‘tangential shear’ $\gamma_1$. This quantity is averaged within circular annuli around the centre of the lens, to create a shear profile $\gamma_1(\theta)$ as a function of the separation angle $\theta$ to the lens centre. For each annulus, $\gamma_1(\theta)$ is a measure of the density contrast of the foreground mass distribution. In order to obtain a reasonable signal-to-noise ratio (S/N), the shear measurement around many lenses is ‘stacked’ to create the average ![Figure 2.](image) This histogram shows the distribution of the normalized number density $n_g$ of the GL-KiDS (solid steps) and MICE (dashed lines) galaxies used to define the troughs, inside all used apertures (those with an effective area > 80 per cent). The colours designate apertures of different radius $\theta_A$, and the solid vertical lines indicate the mean of each distribution. As expected, the density distribution of circles with a smaller area is more asymmetric, and has a larger dispersion from the mean density $\overline{n}_g(\theta_A)$. The ‘troughs’ are defined as all underdense apertures (i.e. $n_g < \overline{n}_g(\theta_A)$), while all overdense apertures (i.e. $n_g > \overline{n}_g(\theta_A)$) are called ‘ridges’. Figure 3. This sky map of the G09 equatorial field shows the spatial distribution of different trough and ridge samples with aperture radius $\theta_A = 5$ arcmin, defined using the GL-KiDS galaxies. The coloured dots represent the centres of troughs ($P < 0.2$, light blue) and ridges ($P > 0.8$, orange) selected using the fiducial G16 definition, as well as a set of lower density troughs ($P < 0.05$, dark blue) and higher density ridges ($P > 0.95$, red). These ‘deeper’ troughs (and ‘higher’ ridges) tend to reside at the centres of ‘shallower’ ones, resulting in a more clustered distribution. The shear profile of a specified lens sample. In this work, the centres of the lenses are the grid points that define our circular troughs and ridges (as defined in Section 3.1). The background sources used to measure the lensing effect are the KiDS galaxies described in Section 2.1. Following Hildebrandt et al. (2017), we only use sources with a best-fitting photometric redshift $0.1 < z_b < 0.9$. For troughs defined at a specific redshift we only select sources situated beyond the troughs, including a redshift buffer of $\Delta z = 0.2$ (see Section 5.2). This cut is not applied when troughs are selected over the full redshift range. This can allow sources that reside at similar redshifts as the lenses to be used in the measurement, which would result in a contamination of the lensing signal by sources that are not lensed (‘boost factor’) and/or by sources that are intrinsically aligned with the troughs. However, even without a redshift cut 80 per cent of the KiDS source galaxies have a best-fitting photometric redshift $z_b$ above the mean redshift $\langle z_b \rangle = 0.24$ of our GAMA sample. Also, the intrinsic alignment effect has proven to be very small and difficult to detect, and primarily plays a role in very high-density regions on small ($\lesssim 1 \ h_{70}^{-1}$ Mpc) scales. On the large scales probed by the troughs, the contamination of the lensing signal from intrinsic alignment is expected to be at most a few per cent (Heymans et al. 2006; Blazek et al. 2012). Regarding the boost factor, this effect is also reproduced in the results obtained from the mock catalogues to which we compare our observations. The ellipticities of the source galaxies are measured using the self-calibrating lensfit pipeline (Miller et al. 2007, 2013; Fenech Conti et al. 2017). For each galaxy this model fitting method also produces the lensfit weight $w_s$ which is a measure of the precision of the shear estimate it provides. We incorporate the lensfit weight of each source into the average tangential shear in each angular bin as follows: $$\bar{\gamma} = \frac{1}{1 + \mu} \sum_{l,s} w_s \epsilon_{l,s}. \quad (2)$$ Here the sum goes over each lens $l$ in the lens sample (e.g. all apertures with a specified size and galaxy number density) and over each source $s$ inside the considered bin in angular separation from the centre of the lens. The factor $1 + \mu$ is used to correct for ‘multiplicative bias’. Based on extensive image simulations Fenech Conti et al. (2017) showed that, on average, shears are biased at the 1–2 per cent level, and how this can be corrected using a multiplicative bias correction $m$ for every ellipticity measurement. Following Dvornik et al. (2017), the value of $\mu$ is calculated from the $m$-corrections in eight redshift bins (with a width of 0.1) between $0.1 < z_b < 0.9$. The average correction in each bin is defined as follows: $$\mu = \frac{\sum_l w_l m_l}{\sum_l w_l}. \quad (3)$$ The required correction is small ($\mu \approx 0.014$) independent of angular separation, and reduces the residual multiplicative bias to $\lesssim 1$ per cent. The errors on our shear measurement are estimated by the square root of the diagonal of the analytical covariance matrix (see Section 3.3). The analytical covariance is based on the contribution of each individual source to the lensing signal, and takes into account the covariance between sources that contribute to the shear profile of multiple lenses. Its calculation is described in Section 3.4 of Viola et al. (2015). In addition to measuring the lensing profile around troughs and ridges, we stack the shear around all grid points (262 507 in the case of KiDS, 112 500 in the case of GAMA). In accordance with the real trough measurements, the apertures with an effective area less than 80 per cent of the total circle area are removed (see Section 3.1). This ‘random’ tangential shear signal, that we henceforth denote as $\gamma_0$, does not contain a coherent shear profile, but only systematic effects resulting from the imperfect correction of any low-level PSF anisotropy in combination with the survey edges and masks. Subtracting $\gamma_0$ from our shear profiles will both remove these systematic effects and reduce the noise in the measured signals (Singh et al. 2017; Gruen et al. 2018). The random signals for KiDS and GAMA are shown in Fig. 4. When using the GAMA survey area and mask, $\gamma_0$ is consistent with zero (within 1$\sigma$ error bars) up to $\theta = 70$ arcmin, where it rises to $\gamma_0 \sim 3 \times 10^{-3}$ for all values of $\theta_A$, while the KiDS random signal already starts to deviate from zero at $\theta \approx 20$ arcmin. This difference does not significantly depend on the choice of area completeness threshold, and also occurs when we apply no completeness mask at all. However, when we perform the $\gamma_0$ measurement using the KiDS mask on the GAMA area only, the systematic effect is significantly reduced. This shows that the difference between the random signals is primarily caused by the patchy surface coverage of the KiDS-450 dataset beyond the GAMA area (see e.g. fig. 1 of Hildebrandt et al. 2017). The same effect can be seen in fig. 15 of van Uitert & Schneider (2016), who conclude that it originates from the boundaries of the survey tiles. To correct for this effect at larger scales, we subtract the appropriate $\gamma_0$ from all lensing measurements in this work. Based on the radius where the random signal becomes significant ($\theta \sim 70\,\text{arcmin}$), and on our grid spacing of $0.04\,\text{deg} = 2.4\,\text{arcmin}$ (see Section 3.1), we compute our lensing profiles within the angular separation: $2\,\text{arcmin} < \theta < 100\,\text{arcmin}$. We split this range into 20 logarithmically spaced bins. ### 3.3 Covariance For all shear and ESD measurements created using the KiDS and GAMA data, we compute the analytical covariance matrix as described in Section 3.4 of Viola et al. (2015). This covariance matrix is based on the contribution of each individual source to the stacked lensing signal, and takes into account the correlation between sources that contribute to the shear profile of multiple lenses. The errors on our shear profiles are estimated by the square root of the diagonal of this analytical covariance matrix. However, these error bars could underestimate the uncertainties at larger scales, where sample variance starts to play a significant role (Viola et al. 2015). Here we compare the analytical covariance calculated using our KiDS data to those based on the large ensemble of mock realizations from the SLICS mocks, in order to find whether the analytical covariance is sufficient for our analysis. Utilizing the SLICS HOD mock catalogues described in Section 2.5 we compute the covariance matrix using the following equation: $$C^{ij} = \frac{1}{N - 1} \sum_{n=1}^{N} (\gamma'_{in} - \bar{\gamma}')(\gamma'_{jn} - \bar{\gamma}'),$$ where $N$ is the number of mock realizations, $\gamma'_i$ is the tangential shear signal in the $i$th angular bin of the $n$th mock realization, and $\bar{\gamma}'_i$ is the tangential shear average of the $i$th bin from all used realizations. The covariance is then multiplied by the area factor: $$f_{\text{area}} = \frac{100}{360.3},$$ in order to account for the difference in area between the SLICS mocks and the KiDS data. The errors on the shear are then calculated using the square root of the diagonal of this scaled covariance matrix. Since we calculate the mock covariance from multiple realizations and use the total modelled ellipticities of the galaxies to calculate the tangential shear signal, the mock covariance accounts for shape noise, shot noise, and sample variance. Fig. 5 shows the correlation matrices, $r_{\text{corr}}$, for the mock and analytical covariances, respectively, where the correlation matrix is calculated using: $$r_{\text{corr}}^{ij} = \frac{C^{ij}}{\sqrt{C^{ii} C^{jj}}}.$$ We calculate the SLICS shear profiles and covariance matrices using 349 line-of-sight realizations. We found no significant difference in the shear profiles or covariance matrices (Figs 5 and 8, respectively) of 5 arcmin troughs/ridges when we increased the number of realizations to 608, concluding that using 349 realizations is therefore sufficient for all following analyses. In Fig. 5 we show the data-based analytical (top) and mock-based SLICS (bottom) correlation matrices for the shear profiles $\gamma(\theta)$ of apertures with radius $\theta_A = 5\,\text{arcmin}$, split into 20 bins based on their galaxy density percentile rank $P(\theta_A)$ (corresponding to the shear profiles shown in Fig. 8 of Section 4.2). Comparing the analytical and mock correlation matrices, we notice that those from the SLICS mocks are noisier compared those calculated analytically, due to the limited number of mock realizations in combination with the effects of sample variance. In addition, the correlation at large scales appears to be stronger for the mock results, which is also expected since the mock correlation incorporates the effects of sample variance (which the analytical covariance does not). Nevertheless, the analytically calculated correlation also increases at large scales, due to the increasing overlap of source galaxies with increasing radius. For both data and mocks, the covariance depends significantly on density, increasing at extremely low and high $P$-values. This is expected, since extremely low-density troughs (high-density ridges) tend to cluster at the centres of larger low-density (high-density) regions, as can be seen in Fig. 3. This clustering of extreme density regions increases the correlation between the lensing signals of the more extreme troughs and ridges. Most importantly, we assess the agreement between the diagonals of the covariance matrices created by both methods, since the square root of these diagonals defines the errors $\sigma_\gamma$ on the measured shear profiles. Fig. 6 shows the $\sigma_\gamma(\theta)$ values of KiDS and GAMA-selected fiducial G16 troughs ($P(\vec{x}, \theta_A) < 0.2$), with a radius of $\theta_A = 5\,\text{arcmin}$. As expected from its smaller survey area, the small-scale ($\theta < 30\,\text{arcmin}$) error values from GAMA are a factor $\sim 1.3$ higher than those from KiDS. We compare these analytical covariance errors to those calculated from 349 SLICS mock realizations, adjusted using the area factor in equation (5) to resemble the KiDS survey. Up to a separation $\theta = 30\,\text{arcmin}$ (half the size of a 1 deg $\times$ 1 deg KiDS tile) the KiDS and SLICS error values are in excellent agreement. Due to the patchy KiDS survey coverage beyond the GAMA fields, the KiDS errors increase rapidly at --- 5We have performed the error comparison not only for this trough sample, but for all 20 galaxy density percentile bins shown in Fig. 5 and for all four aperture sizes used in this work ($\theta_A = (5, 10, 15, 20)\,\text{arcmin}$), finding similar results. Figure 5. The two panels show the analytical GL-KiDS (top) and SLICS GAMA HOD (bottom) correlation matrices, resulting from apertures with an angular radius $\theta_A = 5$ arcmin. The correlation matrices are computed for 20 bins of increasing galaxy density percentile rank $P(\bar{x}, \theta_A = 5 \text{ arcmin})$, corresponding to the shear profiles shown in Fig. 8. The increased correlation at large radii is caused by the overlap between sources (in the case of both KiDS and SLICS) and by sample variance (in the case of SLICS). The increased correlation at extreme $P$-values is caused by the spatial clustering of low- and high-density regions. larger angular separations. For the GAMA survey, whose area is more contiguous, this increase in error values is much smaller. For the SLICS mocks, which consist of $10 \text{ deg} \times 10 \text{ deg}$ patches, it is completely absent. Because this effect dominates the error values at larger scales, we conclude that we do not need to worry about a possible underestimation of the analytical covariance errors at larger scales due to the lack of sample variance. We therefore use the analytical covariance matrix to estimate the errors on the observed trough/ridge profiles throughout this work. However, we do use SLICS mock covariances to devise an optimal trough and ridge weighting scheme (in Section 4.3), and to predict the significance of future trough measurements (in Section 5.4). Figure 6. The error values $\sigma_{\gamma_\ell}(\theta)$ (as a function of angular separation $\theta$) on the shear profile of the fiducial G16 troughs ($P < 0.2$) with a radius of $\theta_N = 5 \text{ arcmin}$. The KiDS and GAMA errors are estimated using the diagonal of the analytical covariance matrix, while the mock errors are estimated from the covariance matrix calculated using 349 SLICS mock realizations. The GAMA errors are higher than those of KiDS, as expected from its smaller survey area. The KiDS errors are in reasonable agreement with the SLICS mock errors up to $\theta = 30 \text{ arcmin}$, where they rise steeply as a result of the patchiness of the survey. 4 TROUGH AND RIDGE SHEAR PROFILES After a general classification of the troughs and ridges, we define more specific samples and measure their lensing profiles. First, we compare the trough shear profiles of the GAMA versus GL-KiDS selected troughs, to decide on the best trough sample to use in this work. Using these troughs, we measure the shear amplitude of the lensing profiles as a function of their galaxy density percentile rank $P(\vec{x}, \theta_A)$, for apertures of different sizes $\theta_A$. This allows us to study non-linearities in cosmic structure formation, and to define an optimal way to stack the shear signals of troughs and ridges in order to optimize the S/N. 4.1 KiDS versus GAMA troughs The very complete and pure sample of GAMA galaxies (see Section 2.2) allows us to define a clean sample of troughs. However, since the currently available area of the KiDS survey is 2.5 times larger than that of the GAMA survey, we also use a set-up that uses the GL-KiDS galaxies (see Section 2.3) to define the troughs. For this initial comparison, we use the fiducial trough/ridge definition of G16: the apertures with the lowest/highest 20 per cent in density (i.e. $P < 0.2 / P > 0.8$). We construct both fiducial trough samples following the same classification method (see Section 3.1), using both galaxy catalogues as our trough-defining samples. We use the corresponding completeness mask to remove unreliable troughs (i.e. with an area $< 80$ per cent complete). The main goal of this exercise is to find whether trough lensing measurements can accurately be reproduced using only the photometric KiDS data, without the help of the spectroscopic GAMA survey. In addition, we wish to find which galaxy survey provides the trough lensing profiles with the highest S/N. In Fig. 7 we show the stacked shear profiles $\gamma_\ell(\theta)$ of G16 fiducial troughs with radius $\theta_A = 5 \text{ arcmin}$, selected using the GL-KiDS or GAMA galaxies. For comparison we also include the fiducial trough shear profiles obtained using all 16 patches of the MICE mock catalogue, where the vertical spread in the 16 profiles gives an estimate of the sample variance. The absolute values of the amplitudes (which we will henceforth call ‘absolute amplitudes’) of the GAMA-selected fiducial trough/ridge profiles are slightly higher than those of the KiDS-selected troughs. Nevertheless, within the 1$\sigma$ analytical covariance errors both profiles agree with the predictions from the MICE-GC simulation. However, when we use the GL-KiDS galaxies to select troughs but restrict the used area to the GAMA equatorial fields, we find that the KiDS trough profiles have the same amplitude as those from GAMA. This suggests that, like the systematic effects measured by the randoms, the shallower trough lensing profile is caused by the patchy survey coverage of the non-equatorial KiDS fields. This reduces the completeness of the circles, which diminishes the accuracy of the density measurements and results in slightly shallower shear profiles. The dotted vertical lines in Fig. 7 indicate the angular separation range: $1.2 \theta_N < \theta < 70 \text{ arcmin}$, that we consider in our analysis. Our reasons for selecting this range are (1) inside $\theta_N$ the lensing is not sensitive to the full trough mass (where we leave a 20 per cent buffer outside the trough edge), and (2) the random signal $\gamma_0$ in Fig. 4 shows that at $\theta > 70 \text{ arcmin}$ our measurement is sensitive to systematic effects (see Section 3.2). Within this range we observe that the fiducial trough and ridge shear signals are well-described by a power law. We can therefore fit a relation $\gamma_0(\theta) = A \theta^\alpha$ within the specified angular range, to obtain the best-fitting amplitude $A$ and index $\alpha$ of the lensing signal. Because we are mainly interested in the amplitude, we fix the value of $\alpha$ with the help of the MICE-GC simulations. By fitting the power law (with both $A$ and $\alpha$ as free parameters) to all 16 fiducial MICE lensing signals, we find a mean best-fitting index value of $-0.45$ for the fiducial troughs and $-0.55$ for ridges. We therefore choose to fit all trough lensing profiles in this work with the function: $$\gamma_t(\theta) = A/\sqrt{\theta}.$$ (7) However, we verify that our conclusions do not significantly depend on the specific choice of $\alpha$ by performing the same analysis with $\alpha = -1$, and finding similar results in terms of the amplitude comparison between various trough/ridge profiles. This indicates that, as long as we use one function of $A$ that provides a good fit to all profiles, the comparison between the resulting amplitude values is robust. From the best-fitting amplitudes thus obtained, we wish to find a measure of the signal-to-noise ratio S/N in order to select the best trough measurement. We define $S/N \equiv A/\sigma_A$, where $\sigma_A$ is the $1\sigma$ error on the best-fitting amplitude based on the full analytical covariance matrix of the shear profile. Using this definition we find that the fiducial trough lensing signal is detected at $\|S/N\| = 12.0$ with the GAMA selection, and $\|S/N\| = 12.3$ when GL-KiDS is used: evidently the KiDS-450 area advantage compared to GAMA is almost completely offset by the greater patchiness. However, we can conclude from this exercise that the larger KiDS dataset provides trough lensing measurements with a slightly higher S/N than the GAMA dataset. In what follows we will therefore primarily use the full KiDS sample, but we have verified throughout that similar results are obtained using the GAMA galaxies instead. ### 4.2 Lensing amplitudes After this initial test, which uses only the lowest and highest 20 per cent of the troughs/ridges, we wish to study all troughs and ridges as a function of their galaxy density percentile rank $P(\theta_\Lambda)$. Our aim is to gain more insight into the relation between the total mass distribution (measured by lensing) and the galaxy number density, generally called ‘galaxy bias’. Considering apertures of fixed radius $\theta_\Lambda$, we split them into 20 samples of increasing $P$-value, using a bin width of $dP = 0.05$. We measure the shear profile $\gamma_s(\theta)$ of each sample (using the method described in Section 3.2). Fig. 8 shows the GL-KiDS, MICE, and SLICS lensing profiles in the 20 $P$-bins for $\theta_\Lambda = 5$ arcmin. To each shear measurement we fit equation (7) within the indicated angular range, to measure the shear amplitude $A$. Throughout this work, all amplitude fits take into account the full covariance matrix of each shear profile, in this case shown in Fig. 5. However, we find that the off-diagonal elements only have... Figure 9. The amplitude $A$ of the KiDS (dots with 1σ errors) and MICE (dashed lines) shear signals as a function of the galaxy density percentile rank $P$ (left) and galaxy overdensity $\delta$ (right), for apertures of different angular radius $\theta_\Lambda$. The crossing point between negative and positive $A$ is situated at the mean density ($\delta = 0$) as is expected when linear galaxy bias dominates. This crossing point, however, is not situated at the median density ($P = 0.5$) but at $P \approx 0.55-0.6$, which means that the density distribution is skewed. The smallest apertures also reveal the skewness of the density distribution, since their distribution extends to more extreme values of $P$, $\delta$, and $A$ for the ridges than for the troughs, while larger apertures have a more symmetrical $A(\delta)$ distribution. a minor effect on the amplitude estimates. For the amplitudes of these 20 $P$-bins, using the full covariance matrix versus using only the diagonal errors yields an average difference of only 2.3 per cent (3.6 per cent) for the KiDS (SLICS) amplitudes, where for each percentile bin this difference is much lower than the error estimate on that amplitude. As expected the apertures with lowest/highest $P$-values correspond to the strongest negative/positive shear signals. The absolute amplitudes of the profiles predicted by the MICE mocks tend to be lower than those from SLICS, where the former predictions are in better agreement with the GL-KiDS measurements. This offset is expected given the different background cosmologies chosen for the SLICS and MICE simulations (Friedrich et al. 2018), where higher values of $\sigma_8$ and $\Omega_m$ give rise to higher absolute amplitudes. Interestingly the cosmological constraints from the cosmic shear analysis with KiDS-450 (Hildebrandt et al. 2017) suggest that the KiDS data prefer a cosmology with lower values of $\Omega_m$ and $\sigma_8$. These values are close to those adopted by the MICE simulations ($\sigma_8 = 0.8$, $\Omega_m = 0.25$), and in slight tension with the Planck cosmology which is adopted by the SLICS simulation ($\sigma_8 = 0.826$, $\Omega_m = 0.29$). Therefore, the tension in cosmology with Planck seen in the KiDS-450 cosmic shear results is also reflected in the trough/ridge measurements in this paper. It is also apparent that troughs and ridges are not symmetrical, but that the lensing signal is stronger for the highest ridges than for the deepest troughs. This is an indication that the skewness of the galaxy number density distribution (seen in Fig. 2) is reflected by the total (baryonic + DM) density distribution. This skewness is also indicated by apertures with $P \sim 0.5$. Fig. 9 (left-hand panel) shows the best-fitting $A$ as a function of $P$ for apertures of different radius $\theta_\Lambda$. For both the KiDS and MICE data the crossing point $A = 0$ is not reached at $P = 0.5$, but at $P \approx 0.55-0.6$. The right-hand panel of Fig. 9 shows $A$ as a function of the mean galaxy overdensity $\bar{\delta}(\theta_\Lambda)$ (defined in equation 1) in each $P$-bin, for both KiDS and MICE troughs/ridges. The $\delta$-value of each bin is taken to be the mean galaxy overdensity $\bar{\delta}(\theta_\Lambda)$ of all apertures in each $P$-bin. For all aperture sizes the $A(\delta)$ relation is approximately linear, with the crossing point between negative and positive $A$ roughly situated at the mean density ($\delta = 0$). This is expected when linear galaxy bias dominates, i.e. there exists a linear relation between the density distributions of galaxies and DM. The difference between the crossing points ($A = 0$) of the $A(P)$ and $A(\delta)$ relations shows that (like the galaxy number density distribution in Fig. 2) the mass distribution measured using lensing is skewed. Note that the crossing point of the $A(P)$-relation occurs at larger $P$ for smaller $\theta_\Lambda$: the smaller the aperture (i.e. smoothing scale of the density distribution), the larger is the skewness of the distribution. This skewness is caused by the fact that, during cosmic structure formation through clustering, the density of matter is bound to a strict lower limit (a completely empty region) but not to an upper limit. This is also revealed by the fact that, especially for smaller apertures, the positive amplitudes are significantly larger than the negative amplitudes, while larger apertures have more symmetrical $A(\delta)$ relations. In conclusion, the trough/ridge measurements as a function galaxy number density show that both the galaxy number density and total mass distributions are skewed, and that this skewness increases with decreasing aperture size. These non-linearities can in principle be used as a statistic to constrain cosmological parameters, analogous to performing shear peak statistics (Liu et al. 2015; Kacprzak et al. 2016; Martinet et al. 2018; Shan et al. 2018). In fact, Gruen et al. (2018) and Friedrich et al. (2018) used trough and ridge lensing measurements to constrain $\Omega_m$ and $\sigma_8$, also finding that the total density field is skewed. 4.3 Optimal density percentile Instead of selecting troughs and ridges using a ‘hard cut’ in the percentile rank $P(\bar{x}, \theta_\Lambda)$ of the apertures, one can apply a more sophisticated S/N-based weighting scheme to stack the shear profiles of the apertures. In order to obtain the most significant stacked lensing detection, the optimal weighting of each individual trough/ridge contributing to the stacked signal should be based on the S/N $\equiv A/\sigma_A$ of that contribution. Our motivation for obtaining the highest possible S/N is to facilitate the most accurate comparison with predictions from simulations (e.g. to constrain cosmological parameters or alternative gravity models, see Section 1), as the S/N of these predictions is currently higher than that of trough obserFigure 10. The signal-to-noise ratio, defined as $S/N \equiv A/\sigma_A$, of the SLICS mock profiles as a function of the galaxy density percentile rank $P$. To obtain the optimal weight to stack the troughs and ridges, we fit a fifth-order polynomial (dashed lines) to the measured S/N values (dots). The resulting weight function $w(P)$ allows us to obtain a (positive) stacking weight $w_P = \|w(P)\|$ for each individual lens. Likewise, the lens weight is incorporated into the uncertainty through the calculation of the analytical covariance matrix (see Section 2.1). We combine all troughs (ridges) into a single negative (positive) shear signal using the weighting scheme described above. The optimally stacked GL-KiDS lensing profiles are shown in Fig. 11, for different aperture sizes $\theta_A$. The best-fitting $A$ and $\|S/N\|$ of these troughs and ridges are shown in Table 1. As a comparison, the table also shows the best-fitting parameters for the fiducial G16 definition of troughs/ridges: the lowest/highest 20 per cent in density fraction ($P < 0.2/P > 0.8$). These show that, performing an optimally weighted stack of trough lensing profiles based on accurate mock predictions, we can obtain S/N values that are on average 32 per cent higher than those of the fiducial stacks (while the average S/N of the optimally stacked ridges is 7 per cent higher). To allow for easier visual comparison between the shape of trough and ridge profiles, we include the trough lensing signal with its sign flipped (i.e. $-\gamma_1(\theta)$) in Fig. 11. We find that, for all aperture sizes, the shear resulting from ridges is stronger than that from troughs, which again indicates skewness in the total density distribution. Like G16, we observe that the fractional amplitude difference between troughs and ridges slightly decreases with aperture size. This can be explained by the fact that non-linearities affect the density field more strongly at smaller scales, as we derived earlier from Fig. 9. 5 REDSHIFT EVOLUTION So far we have studied troughs which extend across the entire redshift range of the GAMA galaxies ($0 < z < 0.5$). We can, however, define troughs that cover only a part of this range, and attempt to study the evolution of troughs and ridges over cosmic time. In this section we define the foreground galaxy and trough samples as a function of redshift and discuss the resulting lensing measurements. For the GAMA galaxies this selection is based on their spectroscopic redshifts, while for the GL-KiDS sample we use the photometric ANNz2 redshifts determined through machine learning (see Section 2.3 and Bilicki et al. 2018). 5.1 Redshift-dependent selection To study the redshift evolution of troughs we create two foreground galaxy samples, a low- and a high-redshift sample, which are used to select the low- and high-redshift troughs. These two galaxy samples need to be physically similar to ensure that the troughs detected at different redshifts can be compared in a meaningful way. One requirement is that the two samples should consist of similar galaxy populations, since different kinds of galaxies might be subject to a varying amount of clustering. Another condition is that the galaxy samples should be complete in both redshift slices. In order to meet these two requirements, we define a volume-limited sample of galaxies by applying a cut in redshift: $0.1 < z < 0.3$, and in absolute $r$-band magnitude: $M_r < -21$ mag. Fig. 12 shows the distribution of GAMA galaxies as a function of redshift $z$ and absolute $r$-band magnitude $M_r$, with coloured lines indicating the fiducial and volume-limited galaxy samples. When defining troughs as a function of redshift, we also need to take into account their spatial shape. We choose to match the radial lengths and transverse radii of the troughs at different redshifts, such that their shapes describe (as much as possible) the same length scales. In addition, as the frusta are defined to have the same length and radius, their volumes are by construction also very similar. In the case of this work, the trough volumes of consecutive redshift... Figure 11. The optimally weighted KiDS trough (blue) and ridge (green) shear profiles $\gamma_1(\theta)$ (dots with $1\sigma$ errors), for apertures of increasing radius $\theta_A$. The weights of each stack are based on the S/N of the SLICS mock profiles as a function of galaxy density percentile rank $P$ (shown in Fig. 10). The mirror image $-\gamma_1(\theta)$ of each trough profile (light green dots) is added to allow for a better visual comparison between troughs and ridges. We fit a simple power law: $A/\sqrt{\theta}$ (solid lines), fitting range (dotted vertical lines) to obtain the amplitude $A$ of the lensing signals. For all aperture sizes, the shear from overdensities (ridges) is stronger than that of underdensities (troughs). This difference, which gives an indication of the skewness of the total (baryonic + DM) density distribution of troughs/ridges, is slightly larger for the smallest apertures. Table 1. The best-fitting amplitude $A$ and absolute signal-to-noise ratio $\|S/N\|$ of the shear profiles for troughs/ridges following the fiducial G16 definition ($P < 0.2P > 0.8$), and those optimally stacked based on the SLICS mock S/N as function of galaxy density percentile rank $P$. This demonstrates that, using the same KiDS dataset, the optimally stacked troughs have S/N values that are on average 32 per cent higher than those from the fiducial stacks. \| $\theta_A$ (arcmin) \| Fiducial (G16): \| \| \| Optimal stack: \| \| \| \|---------------------\|-----------------\|-----------------\|-----------------\|-----------------\|-----------------\| \| \| Troughs \| Ridges \| Troughs \| Ridges \| Troughs \| Ridges \| \| \| $\|S/N\|$ \| $A \,(10^{-3} \text{ arcmin}^{-2})$ \| $\|S/N\|$ \| $A \,(10^{-3} \text{ arcmin}^{-2})$ \| \| 5 \| 12.3 \| 20.9 \| $-2.25 \pm 0.18$ \| 4.00 $\pm$ 0.19 \| 16.8 \| 21.7 \| \| 10 \| 10.7 \| 16.8 \| $-2.81 \pm 0.26$ \| 4.59 $\pm$ 0.27 \| 14.9 \| 17.9 \| \| 15 \| 8.41 \| 11.5 \| $-3.24 \pm 0.39$ \| 4.58 $\pm$ 0.40 \| 10.1 \| 12.3 \| \| 20 \| 5.73 \| 9.01 \| $-3.34 \pm 0.58$ \| 5.12 $\pm$ 0.57 \| 7.55 \| 9.94 \| bins are always equal within $\sim 5$ per cent. In combination with the volume limited galaxy sample, this also ensures a similar galaxy count in each trough, leading to equal levels of shot noise at each redshift. A visualization of the trough geometry is given by Fig. 13, which shows a cross section of the volumes that define the low- and high-redshift troughs. Inside these two conical frusta, the projected number density of the low-/high-redshift galaxy samples is measured in order to define the low-/high-redshift troughs. We split the redshift range at $z_{\text{mid}}$, which corresponds to a comoving distance limit $D_{\text{mid}}$. This limit is chosen in such a way that the comoving radial lengths ($L_{\text{low}}$ and $L_{\text{high}}$ in Fig. 13) of the two volumes are equal, i.e. $$D_{\text{mid}} - D_{\text{min}} = D_{\text{max}} - D_{\text{mid}}.$$ (10) For our chosen redshift range: $0.1 < z < 0.3$, and the corresponding comoving distances (see Table 2) we find that $z_{\text{mid}} = 0.198$, very close to the ‘half-way’ redshift of 0.2. Of course $z_{\text{mid}}$ depends on our chosen values for the cosmological parameters, but this effect would only cause a $\sim 1$ per cent difference in distance at these low redshifts (for reasonable values of the cosmological parameters). In addition to having equal radial lengths, the cones need to have the same transverse radius. Selecting troughs to have equal physical radii would cause a decrease in the galaxy density in troughs at lower redshifts (i.e. later cosmic times), due to the expansion of the Universe. Therefore, we select low- and high-redshift troughs that have the same comoving radius, by choosing their opening angles $\theta_{\text{low}}$ and $\theta_{\text{high}}$ so that $$\theta_{\text{low}} \, D_{\text{low}} = \theta_{\text{high}} \, D_{\text{high}}.$$ (11) Here $D_{\text{low}}$ ($D_{\text{high}}$) is defined as the mean comoving distance of the GAMA galaxies in the low- (high-)redshift sample.\footnote{We use the spectroscopic GAMA redshifts for this calculation to avoid any possible effects of photo-$z$ scatter, but in principle the whole selection could be done using only KiDS photo-$zs$.} We find the Figure 12. The distribution of GAMA galaxies as a function of redshift $z$ (x-axis) and absolute r-band magnitude $M_r$ (y-axis). The colour-scale indicates the number of galaxies in each pixel. The black line indicates the minimum $M_r$ of the fiducial galaxy sample, while the blue line indicates the volume-limited sample, split into a high- and low-redshift sample by the green lines. Figure 13. A visualization of the trough selection as a function of redshift. The two conical frusta used to define the low-redshift troughs (light grey) and the high-redshift troughs (dark grey) are separated at the comoving distance limit $D_{\text{mid}}$. In order to select similar troughs at different redshifts, $D_{\text{mid}}$ is chosen such that both volumes have the same comoving length: $L_{\text{low}} = L_{\text{high}}$. Moreover, the opening angles $\theta_{\text{low}}$ and $\theta_{\text{high}}$ of the cones are chosen such that the transverse comoving radius $R_{\text{low}}$ ($R_{\text{high}}$) at the mean comoving distance $D_{\text{low}}$ ($D_{\text{high}}$) of the low-/high-redshift galaxies are the same. mean distances: $D_{\text{low}} = 653.5 \, h^{-1}_{70}$ Mpc and $D_{\text{high}} = 1037 \, h^{-1}_{70}$ Mpc. Choosing low-redshift radius $\theta_{\text{low}} = 10 \, \text{arcmin}$, we find the corresponding high-redshift radius $\theta_{\text{high}} = 6.3 \, \text{arcmin}$. This relatively small opening angle provides a high-S/N shear signal, while still avoiding unreliable (i.e. noisy) density estimates resulting from the low number of galaxies inside smaller apertures (because $\theta_{\text{high}}$ is larger than our smallest aperture, $\theta_A = 5 \, \text{arcmin}$, which has proved adequate in our results and those of (G16)). This choice corresponds to a transverse comoving size $R_A = 1.9 \, h^{-1}_{70}$ Mpc of the troughs/ridges. The information on the low- and high-redshift galaxy samples is summarized in Table 2. 5.2 Excess surface density measurements For lenses at a given redshift $z_l$, the measured shear depends on the distance between the lens, the source and the observer. In order to take this effect into account, we convert the shear profile $\gamma_s(\theta)$ to the physical ESD profile $\Delta \Sigma(R_p)$ as a function of the transverse physical separation $R_p$. The ESD is defined as the surface mass density $\Sigma(R_p)$, subtracted from the mean surface density $\bar{\Sigma}(< R_p)$ within that radius: $$\Delta \Sigma(R_p) = \bar{\Sigma}(< R_p) - \Sigma(R_p) = \Sigma_{\text{crit}} \gamma_s(R_p).$$ (12) The conversion factor between the shear and the physical ESD is the critical surface density $\Sigma_{\text{crit}}$.\footnote{We note that within the literature different conventions are used to define $\Sigma_{\text{crit}}$. In this work we use the ‘proper’ critical surface mass density, in contrast to a co-moving convention, referring the reader to appendix C of Dvornik et al. (2018) for a full discussion.} It depends on the angular diameter distance from the observer to the lens $D(z_l)$, to the source $D(z_s)$, and between the lens and the source $D(z_l, z_s)$, as follows: $$\Sigma_{\text{crit},ls} = \frac{4\pi G}{c^2} \frac{D(z_l)}{D(z_s)} \int_{z_l}^{\infty} \frac{D(z_l, z_s)}{D(z_s)} n(z_s) \, dz_s.$$ (13) Here $c$ denotes the speed of light and $G$ the gravitational constant. As the lens redshifts $z_l$ of the low-/high-redshift troughs, we use the mean redshift of the low-/high-redshift galaxy sample which is used to define the troughs. Based on their best-fitting photometric redshifts $z_B$ we limit the sample of sources whose shear contributes to the lensing signal to those situated behind the lens, including a redshift buffer $\Delta z = 0.2$, such that: $z_B > z_l + \Delta z$. This same photometric redshift limit is applied to a galaxy catalogue that also includes spectroscopic redshift information, and has been weighted to reproduce the galaxy colour-distribution of KiDS (Hildebrandt et al. 2017). The spectroscopic source redshifts $n_s$ remaining after this $z_B$ cut determine the source redshift distribution $n(z_s)$ at each lens redshift. We calculate $\Sigma_{\text{crit}}$ by integrating over the part of $n(z_s)$ situated behind the lens, following the method described in Section 4.2 of Dvornik et al. (2018). Since lenses with a higher lensing efficiency ($=\Sigma_{\text{crit}}^{-1}$) produce a stronger shear, we give them more weight in the combined ESD measurement. We incorporate $\Sigma_{\text{crit}}$ into the total weight: $$W_{ij} = w_j \left( \Sigma_{\text{crit},ls}^{-1} \right)^2,$$ (14) which is used to calculate our combined ESD measurement as follows: $$\Delta \Sigma = \frac{1}{1 + \mu} \sum_{i,l} W_{ij} \frac{\epsilon_{kl,j}}{\sum_{l,j} W_{ij}} \Sigma_{\text{crit},ls}.$$ (15) The correction for the multiplicative bias is weighted by the same total weight. Table 2. The names and sizes of the different trough definitions used in this work, including information on the galaxy samples used to select these troughs/ridges: the redshift range, the comoving distance range, and the absolute magnitude limits. \| Troughs/galaxies \| Trough radius $\theta_A$ \| Redshift range \| Distance ($h_{70}^{-1}$ Mpc) \| $M_r$-limit (mag) \| \|------------------\|--------------------------\|----------------\|-------------------------------\|------------------\| \| Fiducial \| 5, 10, 15, 20 arcmin \| $0 < z < 0.5$ \| $0 < D_c < 1922.5$ \| $<-19.67$ \| \| Low-redshift \| 10 arcmin ($1.9 \, h_{70}^{-1}$ Mpc) \| $0.1 < z < 0.198$ \| $420.9 < D_c < 813.9$ \| $<-21.0$ \| \| High-redshift \| 6.3 arcmin ($1.9 \, h_{70}^{-1}$ Mpc) \| $0.198 < z < 0.3$ \| $813.9 < D_c < 1207.7$ \| $<-21.0$ \| Figure 14. The amplitude $A$ of the comoving ESD profiles as a function of the galaxy density percentile rank $P$ (left) and galaxy overdensity $\delta$ (right), for troughs and ridges with comoving radius $R_A = 1.9 \, h_{70}^{-1}$ Mpc, selected at two different redshifts. The observed amplitudes from KiDS (dots with 1σ errors) are in reasonable agreement with those from 16 independent patches of the MICE mocks (solid lines). For the ridges ($\delta > 0$) in the MICE mocks, the amplitude is slightly higher at low redshifts. This effect, however, is not found in the observations, where we find no significant physical difference between the observed amplitudes at low and high redshifts. The angular separation range $2 < \theta < 100$ arcmin, used to measure the shear profiles in Section 4, corresponds to a transverse physical separation of $0.44 \, h_{70}^{-1}$ Mpc $< R_P < 22.24 \, h_{70}^{-1}$ Mpc at the mean angular diameter distance of the fiducial GAMA sample (see Table 2). We therefore measure the ESD profiles of the low-/high-redshift troughs for 10 logarithmically spaced bins within $0.5 \, h_{70}^{-1}$ Mpc $< R_P < 20 \, h_{70}^{-1}$ Mpc. The reason we use only half the number of angular bins is that splitting the tracer galaxies as function of redshift results in trough profiles with a lower S/N. Although it is customary to use physical distances to measure the ESD profile around galaxies and other bound structures, the trough lensing measurements need to take the expansion of the Universe into account. We therefore translate our physical $\Delta \Sigma(R_c)$ profiles into the comoving surface density $\Delta \Sigma^(R)$ as a function of comoving radius $R$, by dividing each measured $\Delta \Sigma$ by $(1 + z_i)^2$ and multiplying each $R_P$ with $(1 + z_i)$. 5.3 Results We measure the comoving ESD profiles of the troughs/ridges selected at different redshifts, and apply the same method of amplitude fitting as discussed in Sections 4.1 and 4.2 to both the KiDS and MICE data. Similar to equation (7), we define a fitting function for the comoving ESD profiles: $$\Delta \Sigma^(R) = A' / \sqrt{R},$$ where $A'$ is now the comoving ESD amplitude. The comoving transverse fitting range is $1.2 \, R_A < R < 20 \, h_{70}^{-1}$ Mpc, where the maximum is based on the transverse comoving separation corresponding to $\theta < 70$ arcmin (see Section 4.1) at the mean distance of the fiducial GAMA sample. In the left-hand panel of Fig. 14 we again show the best-fitting amplitude $A'$ (including 1σ error bars derived from the full analytical covariance matrix) as a function of $P$, this time for the low- and high-redshift troughs/ridges. For both the high- and low-redshift sample the shape of the $A'(P)$ relation resembles that of the fiducial sample; rising gradually from negative $A'$ at low $P$, crossing the turn-over to positive $A'$ at $P \approx 0.6$, and peaking at $P = 1$. The observed relation is in reasonable agreement with the prediction from 16 independent patches of the MICE mocks. We show the same $A'$ as a function of the galaxy overdensity $\delta$ in the right-hand panel of Fig. 14. As for the fiducial troughs, the $A'(\delta)$-relation of both trough samples is approximately linear, and crosses to positive $A'$ at the mean density ($\delta \approx 0$) for both GL-KiDS and MICE. Based on these amplitudes, we aim to assess whether there is a significant difference between the measurements of the low- and high-redshift troughs/ridges. This difference is best visible in the $A'(\delta)$-relation (right-hand panel of Fig. 14), where we see that the amplitudes of the low-redshift ridges ($\delta > 0$) in the MICE mocks are slightly higher than those of the high-redshift ridges. This is expected, since the clustering of mass increases the height of ridges (and the depth of troughs) at later cosmic times. The difference between the mock redshift samples, however, is not significant compared to the large sample variance, indicated by the wide spread in the amplitudes from the 16 MICE patches. Moreover, the trend is not reflected in the amplitudes measured using KiDS, where in fact we see a hint of the opposite effect. We verify that this is in agreement with the results based on GAMA galaxies. This effect is likely not physical, and within the error bars the data are consistent with a null-measurement. Based on this result, we conclude that... Figure 15. The amplitude $A'$ of the comoving ESD profiles from the SLICS mocks (including 1σ error estimates for a Euclid-like survey) as a function of the galaxy density percentile rank $P$ (left), and from the MICE mocks as a function of galaxy overdensity $\delta$ (right). The troughs and ridges are selected in different redshift bins. For both troughs and ridges the redshift evolution, that was hinted at by the results at low redshifts, appears to be a continuing trend as the coverage range of $A'$ steadily decreases with redshift. This is expected from the clustering of mass with cosmic time, which causes massive ridges to accrete mass from the lower density troughs. Based on these mock results, we predict that future surveys like Euclid and LSST should be able to observe the evolution of troughs and ridges with cosmic time. we find no significant difference between the observed trough and ridge amplitudes at different redshifts, and that more accurate data at higher redshifts will be required to observe trough/ridge evolution. 5.4 Predictions for higher redshifts The physical interpretation of the MICE mock results in Fig. 14 would be that the total density of ridges increases with cosmic time. This is expected, since overdensities in the cosmic structure cluster over cosmic time, forming higher ridges. Since this mass is accreted from more underdense regions, these are expected to form deeper troughs. As we showed in Section 5.2, current data are unable to resolve this effect over the redshift range $0.1 < z < 0.3$. In order to obtain a more solid interpretation of our results, we study the predictions from both the MICE-GC and SLICS mocks at higher redshifts. Our goal is to predict whether the redshift evolution of troughs would be measurable using future high-redshift lensing surveys such as Euclid (Laureijs et al. 2011) and LSST (Dark Energy Science Collaboration 2012). In particular, the 349 realizations of the SLICS simulation allow us to estimate the uncertainties on the redshift-dependent trough/ridge amplitudes obtained using such a survey. To define our mock galaxy sample we use the same absolute magnitude limit: $M_r < -21$ mag, but abandon the cut in apparent magnitude such that the sample is complete at every redshift. Using these MICE and SLICS samples we perform the same redshift-dependent trough selection as described in Section 5.1. But instead of splitting galaxies into two redshift bins between $0.1 < z < 0.3$, we split the SLICS galaxies into four bins between $0.1 < z < 0.5$ and the MICE galaxies into five bins between $0.1 < z < 0.6$. These redshift slices of equal comoving length have the following redshift limits: $z_{\text{mid}} = \{0.1, 0.192, 0.289, 0.391, 0.5\}$ for SLICS and $\{0.1, 0.191, 0.286, 0.385, 0.489, 0.6\}$ for MICE. As in Section 5.1 we wish to select the opening angles $\theta_A$ corresponding to these redshifts, such that the comoving radii of the apertures are the same and none of the angles is smaller than 5 arcmin. The chosen opening angles for the SLICS mocks, $\theta_A = \{15.0, 9.554, 7.283, 5.770\}$, correspond to the same transverse comoving separation $R_\Lambda = 2.775 h_0^{-1} \text{Mpc}$ at the mean GAMA galaxy distance in each redshift bin (calculated using the SLICS cosmological parameters, see Section 2.5). For MICE, which extends to slightly higher redshifts, we choose larger opening angles: $\theta_A = \{20.0, 12.85, 9.45, 7.44, 6.14\}$, which all correspond to comoving separation $R_\Lambda = 3.712 h_0^{-1} \text{Mpc}$ at the respective mean MICE galaxy distances. We perform the same measurement of the comoving ESD profiles in the different redshift bins, and fit equation (16) to the results. In the left-hand panel of Fig. 15 we show the best-fitting comoving amplitude $A'$ as a function of $P$ for the SLICS troughs/ridges in five redshift bins. The (tiny) error bars are estimated using the SLICS covariance matrix, this time multiplied by the area factor $f_{\text{Euclid}} = \frac{1}{15000}$ in order to emulate the $15\,000 \deg^2$ area that the Euclid satellite aims to observe. It is clear that the difference that was barely visible in Fig. 14 has become a significant trend: as the redshift increases to $z = 0.5$, the absolute amplitudes decrease. In order to predict the significance of such a future observation, we calculate the $\chi^2$ between the amplitude differences and a null result. Using the covariance estimate for Euclid, this calculation gives $\chi^2 \gtrsim 73$ for the difference between each of the consecutive redshift bins. Since the $A'(P)$ measurements consist of $N = 10$ data points (corresponding to a Cumulative Distribution Function with $10 - 1 = 9$ degrees of freedom) this $\chi^2$ corresponds to a standard deviation $\gtrsim 7\sigma$. In conclusion, this study of the SLICS mocks suggests that next-generation high-redshift surveys, such as Euclid and LSST, should be able to constrain trough/ridge evolution with a very high significance. As an additional comparison we show the best-fitting amplitude $A'$ as a function of galaxy overdensity $\delta$, this time for the MICE troughs/ridges in six redshift bins, in the right-hand panel of Fig. 15. The evolution of MICE mock amplitudes with redshift is less pronounced than in the SLICS mocks. This can be explained by the different cosmologies used by the two simulations (as discussed in Section 4.2), where the higher values of $\Omega_m$ and $\sigma_8$ in the SLICS simulations result in stronger structure evolution. Nevertheless, the amplitudes of the ridges clearly decrease with redshift. This effect is even slightly visible for the troughs where, except for the third redshift bin ($0.286 < z < 0.385$), the absolute amplitude... continues to decrease with $z$. But while the comoving ESD amplitude range spanned by the troughs/ridges increases with cosmic time, the span of the galaxy overdensity remains constant, possibly signifying non-linear galaxy bias. 6 DISCUSSION AND CONCLUSION We used the KiDS to perform a weak gravitational lensing study of troughs: circular projected underdensities in the cosmic galaxy density field, following up on the work by Gruen et al. (2016, G16) who used the Dark Energy Survey (DES). We defined the troughs using two different foreground galaxy samples: 159,519 galaxies from the equatorial fields of the GAMA, and a sample of 309,021 ‘GAMA-like’ (GL) KiDS galaxies that was limited to photometric redshift $z_{\text{ANN}} < 0.5$ and apparent magnitude $m_t < 20.2$ mag in order to mimic the GAMA selection. Both galaxy samples were limited to an absolute magnitude $M_t < -19.67$ mag in order to mimic the mock galaxy sample from the MICE Grand Challenge (MICE-GC) lightcone simulation, which was used to interpret our results. Following the fiducial trough definition of G16 (apertures with a galaxy density percentile rank $P(\theta_{\text{high}}) > 0.2$), we detected a gravitational lensing signal with an absolute signal-to-noise ratio $(S/N)$ of $\|S/N\| = 12.3$ for the KiDS foreground sample and 12.0 for GAMA. Since the currently available KiDS area already provided a more significant trough lensing detection than the GAMA survey, we mainly used the GL-KIDS galaxies for this work (although we confirmed all our results using GAMA). As the KiDS survey progresses in the coming years, the available area will become larger and less irregular. The coming KiDS data release, which aims to make a contiguous area of $\sim 900 \deg^2$ available for lensing studies, will likely reduce the systematic lensing effects found at large scales and increase the detection significance of the trough signal (by a factor of at most $\sim 900/180 = 2.24$ compared to GAMA). In addition to stacking only the most underdense/overdense 20 per cent of the apertures, we studied troughs and ridges (overdensities) as a function of their galaxy number density $n_g$. By fitting the simple function $\gamma(\theta) = A/\sqrt{\theta}$ to the lensing signal in bins of increasing $n_g$, we obtained the amplitude $A$ of troughs and ridges as a function of galaxy density percentile rank $P$ and galaxy overdensity $\delta$. We discovered that the crossing point between negative and positive $A$ was situated at $P \approx 0.6$ (and not at the median density $P = 0.5$), while $A(\delta)$ did generally pass through the origin (the mean density $\delta = 0$). This indicated that the non-linearities in the density field caused by structure formation, which were shown by the skewed distribution of $n_g$ (see Fig. 2), were reflected in the total (baryonic + dark matter) density distribution measured by gravitational lensing. As expected, these non-linearities were more prominent on smaller scales, i.e. for smaller trough radii. This conclusion is supported by mock trough profiles obtained from the MICE-GC lightcone simulation, which showed exactly the same trend. The mock catalogue based on the SLICS was used to estimate S/N of the trough/ridge lensing signals as a function of $P$, which we applied as a weight to optimally stack the shear profiles. On average, the optimally stacked signals had a 32 per cent higher S/N compared to those of the fiducial trough definition (see Table 1). Inspecting the optimally stacked trough and ridge profiles showed that the shear profiles of ridges are much stronger than those of troughs, especially for the smallest trough radii. This finding, which is in agreement with the results from G16, again revealed the skewness of the total mass density distribution. In addition, a comparison of both mocks with the KiDS observations showed a higher lensing strength for the SLICS troughs/ridges compared to the KiDS and MICE results. In combination with the increased values of the matter density $\Omega_m$ and power spectrum amplitude $\sigma_8$ of SLICS compared to KiDS and MICE, this indicates that trough measurements are sensitive to these cosmological parameters. This confirms the potential of troughs/ridges as a possible probe for measuring $\Omega_m$ and $\sigma_8$, as was demonstrated by Gruen et al. (2018). Finally, we attempted to observe physical evolution of the density field by performing the trough selection in two redshift bins. We created a volume-limited sample of foreground galaxies ($z < 0.3$ and $M_t < -21$ mag), and split it into a low- ($0.1 < z \leq 0.198$) and high- ($0.198 < z < 0.3$) redshift sample of equal comoving length. By adjusting the opening angle $\theta_{\text{high}}$ of the high-redshift apertures, we ensured that the transverse comoving radii of the troughs were identical at both redshifts: $R_A = 1.9 R_{\theta_{\text{high}}}$. Mpc. The measured comoving ESD profiles of the troughs/ridges did not reveal a significant physical evolution of the comoving trough/ridge amplitudes $A$ as a function of $P$ and $\delta$. Applying the same method to 16 independent patches of the MICE-GC mock catalogue provided a reasonable agreement with the observation, although the decrease in the lensing amplitude of ridges with redshift that was seen in the mocks could not be distinguished with our data. This increase in ridge height with cosmic time is expected from the effects of clustering. This raised the question whether this trend would continue at higher redshifts, and whether the effects of clustering could also be observed in troughs. We therefore used the SLICS and MICE mock catalogues to gain more insight into our finding, by extending our measurement to four redshift bins between $0.1 < z < 0.5$ for SLICS, and to five redshift bins between $0.1 < z < 0.6$ for MICE. The comoving ESD amplitude of the mock ridges continued to decrease with redshift, indicating that the increasing ridge height with cosmic time is an actual trend. In the mock measurements at high redshifts, we could even distinguish the corresponding deepening of troughs with cosmic time. We used 349 realizations of the SLICS simulations to estimate the uncertainties on these measurements when performed with future surveys. Based on the SLICS simulations we predicted that large upcoming surveys like Euclid and LSST should be able to observationally constrain the redshift evolution of troughs and ridges with very high significance ($\gtrsim 7\sigma$ between every consecutive redshift bin), thereby potentially providing a simple, practical way to trace the growth of large scale structure. ACKNOWLEDGEMENTS We would like to thank the referee, Daniel Gruen, for constructive comments that have helped to improve this work. VD acknowledges the Higgs Centre Nimmo Scholarship and the Edinburgh Global Research Scholarship. JH-D is supported by the European Commission under a Marie-Sklodowska-Curie European Fellowship (EU project 656869). MB is supported by the Netherlands Organization for Scientific Research, NWO, through grant number 614.001.451. CH acknowledges support from the European Research Council under grant number 647112. HH acknowledges support from Vici grant 639.043.512, financed by the Netherlands Organization for Scientific Research. KK acknowledges support by the Alexander von Humboldt Foundation. HH is supported by an Emmy Noether grant (No. Hi 1495/2-1) of the Deutsche Forschungsgemeinschaft. PS is supported by the Deutsche Forschungsgemeinschaft in the framework of the TR33 ‘The Dark Universe’. EvU acknowledges support from an STFC Ernest Rutherford Research Grant, grant reference ST/L00285X/1. Computations for the $N$-body simulations were performed in part on the Orcinus supercomputer at the WestGrid HPC consortium (www.westgrid.ca), in part on the GPC supercomputer at the SciNet HPC Consortium. SciNet is funded by: the Canada Foundation for Innovation under the auspices of Compute Canada; the Government of Ontario; Ontario Research Fund – Research Excellence; and the University of Toronto. This research is based on data products from observations made with ESO Telescopes at the La Silla Paranal Observatory under programme IDs 177.A-3016, 177.A-3017, and 177.A-3018, and on data products produced by Target OmegaCEN, INAF-OACN, INAF-OAPD, and the KiDS production team, on behalf of the KiDS consortium. OmegaCEN and the KiDS production team acknowledge support by NOVA and NWO-M grants. Members of INAF-OAPD and INAF-OACN also acknowledge the support from the Department of Physics & Astronomy of the University of Padova, and of the Department of Physics of Univ. Federico II (Naples). GAMA is a joint European-Australasian project based around a spectroscopic campaign using the Anglo-Australian Telescope. The GAMA input catalogue is based on data taken from the Sloan Digital Sky Survey and the UKIRT Infrared Deep Sky Survey. Complementary imaging of the GAMA regions is being obtained by a number of independent survey programs including GALEX MIS, VST KiDS, VISTA VIKING, WISE, Herschel-ATLAS, GMRT, and ASKAP providing UV to radio coverage. GAMA is funded by the STFC (UK), the ARC (Australia), the AAO, and the participating institutions. The GAMA website is www.gama-survey.org. This work has made use of CosmoHub (Carretero et al. 2017). CosmoHub has been developed by the Port d’Informació Científica (PIC), maintained through a collaboration of the Institut de Física d’Altes Energies (IFAE) and the Centro de Investigaciones Energéticas, Medioambientales y Tecnológicas (CIEMAT), and was partially funded by the ‘Plan Estatal de Investigación Científica y Técnica y de Innovación’ programme of the Spanish government. This work has made use of PYTHON (www.python.org), including the packages NUMPY (www.numpy.org) and SCIPY (www.scipy.org). Plots have been produced with MATPLOTLIB (Hunter et al. 2007). The mock shear profiles from MICE are computed using TreeCorr (https://pyyt.python.org/xpyt/TreeCorr). Author contributions: All authors contributed to the development and writing of this paper. The authorship list is given in three groups: the lead authors (M. Brouwer, V. Demchenko, J. Harnois-Déraps), followed by two alphabetical groups. 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National Monetary Policy in An International Setting Remarks of George W. Mitchell Member, Board of Governors of the Federal Reserve System at the CENTO Symposium on Central Banking, Monetary Policy and Economic Development Izmir, Turkey April 5-12, 1971 Our concern at this Symposium is to consider the particular contributions the central bank can make to national economic objectives. At the outset, we must recognize the differences in monetary management between the United States, the other industrial countries and the less developed countries. These differences necessarily limit the extent to which our experiences can be regarded as interchangeable. Yet they should not obscure the similarities which central bankers find when they talk shop among themselves. Central bankers in all countries find that the role and tools of monetary policy are always changing as national priorities and the financial and economic environments are altered and as their understanding of monetary linkages evolves. Furthermore, they share with each other the recognition that all central bankers must operate at home within their particular authority and capabilities. For they have to recognize the limits of their effectiveness, both in terms of the technical effectiveness of the instruments of credit control and in terms of the distribution of political power and responsibility within the nation. Our topic is particularly timely in that our Turkish hosts have recently expanded the responsibilities and powers of their central bank in the field of money and credit policy. The new powers include: the setting of cash reserve requirements; rediscount of medium-term paper; extension of medium-term advances; and authority to conduct open-market operations. They have also introduced a governorship type of organization to replace the "general directorate" formerly in effect. I gather that the monetary authorities are hoping to make use of open-market operations when a capital-market bill, now under consideration at the Ministry of Finance, is approved. I am certain that all of us will be interested in discussing these changes in Turkish banking at this conference and that all of you join me in applauding this important decision and in wishing officials of the central bank well as they face their new responsibilities. Evolving Central Bank Techniques The kinds of problems our Turkish friends will be facing are the central issues before our Symposium. The effectiveness of central banking operations can always be improved. In the United States, for example, we have a central bank established nearly 60 years ago; but we are in a constant state of flux so far as operating techniques are concerned. We have just completed a broad-based study of our discount mechanism and the end-product of our three years of study is likely to be the most sweeping changes in the structure and administration of our discount window in the history of the Federal Reserve System. Let me mention three other technical innovations already well-developed, or evolving, which have or probably will materially alter the way the central banking system functions in the United States. We are attempting to construct econometric models of how the U.S. economy functions with a sufficiently developed financial sector to enable us to observe the linkages from Federal Reserve actions to their effects on final spending. In addition, we have now developed a flow-of-fund analysis which enables us to observe the sources of financial flows and their ultimate uses within the context of a matrix which imposes the constraint that sources and uses must balance. As a final example, we have begun to make use of projections of a complex of monetary variables in trying to choose between alternative courses of monetary action. None of these techniques were available to us 10 years ago. Central banks are also concerned about the establishment of financial institutions and the formulation within each country of policies and programs to accelerate economic growth within the constraints of a reasonable degree of price stability and external balance. These are broad and difficult goals to attain and we always have to ask ourselves as we look back over the recent past: what lessons can we learn from our experience and from the experiences of other countries about the effectiveness of monetary policy in controlling aggregate demand? As I thought about recent monetary developments in the United States, it became more and more evident that our experience might be relevant to the less-developed, as they are to the developed, countries. Let me discuss with you recent developments in the United States which seem to be appropriate to the major themes of this conference. Monetary Policy and Aggregate Demand Our big challenge in the United States, like the one each of you faces in your country, has centered on the role of monetary policy in controlling aggregate demand and economic growth. The way inflation has become so wide-spread and persistent in recent years demonstrates that all of us, developed and developing countries alike, have much to learn. In 1970, for example, the GNP price deflator advanced at a rate of about 5 per cent on the average for the 17 OECD countries covered in the recent OECD report on Inflation. We have been experiencing anew in the United States the stubbornness of the price-wage spiral as we come out of a period of pervasive excess demand and are confronted with the social costs of the differential wage and income shifts which developed in a strong inflationary surge. Because we have been having more inflation than the U.S. public is willing to accept, there has developed a determination that U.S. demand-management policies be more effective during the 1970's than they were during the past five years. This determination to improve future performance has led to significant changes in three areas of central banking in our country: a. Greater use of monetary and credit aggregates as a monetary guide or indicator; b. The introduction of techniques to regulate credit flows to specific areas instead of continuing to depend wholly on allocation through market processes; and c. The search for monetary techniques to make monetary policy effective in an increasingly interdependent world where the balance of payments and international movements of capital and goods threaten national monetary management. Let me discuss each of these points. Monetary Aggregates and Monetary Policy During 1970, there was somewhat more emphasis on the behavior of monetary aggregates, especially money supply and bank credit, as a key variable in the fashioning of day-to-day monetary policy in the United States. This greater emphasis has been the subject of widespread discussion and it may be helpful if I try to interpret the changes which have taken place in terms of the techniques of central banking familiar to all of you. From an historical point of view, beginning with the Treasury-Federal Reserve Accord in 1951, there has been in the United States an emphasis on money-market conditions--at one time called "tone and feel of the market"--as a key guide to Federal Reserve open-market operations. Even though the various money market indicators have shifted in significance, the objectives of central-bank operations have been concerned with such elements of the money market as (a) member bank excess reserves and their borrowings at the central bank, and (b) the interest rate on Federal funds, and short-dated certificates of deposit, Treasury securities and other money market instruments. In 1966, the Federal Open Market Committee introduced, as a supplementary indicator, certain monetary aggregates--first, bank credit and, later, the money supply. The important change during 1970 was to give a more prominent role than heretofore to financial aggregates--that is, $M_1$ and $M_2$ and total bank credit--along with interest rates and money-market conditions in defining the immediate targets of monetary policy. Monetary conditions, so viewed, are a complex of money and credit flows, a broad spectrum of long and short-term interest rates and the environment of money market conditions, both subjective as well as measurable. This greater emphasis upon measures of monetary growth does not represent a commitment to a monetarist theory of central banking nor a radical change in the theories underlying central banking in the United States. I, for one, would seek the effects of monetary actions through changes in liquidity and in wealth and would regard the narrowly-defined money supply not as a causal force in itself nor even a monetary North Star, but as a generally useful proxy. Since my fellow members of the Federal Reserve Board would have their own concept of linkage, this change in emphasis is consistent with several distinct economic theories as well as a certain amount of agnosticism. Moreover, the greater emphasis on measures of monetary growth has not diminished the need to protect U.S. financial markets from unexpected disturbances. Last spring, for example, the Federal Reserve found it necessary to protect U.S. financial markets when they became unsettled as a result of the bankruptcy of a major railroad. In this situation the central bank shifted attention, for a time, from monetary aggregates. It reminded member banks that the System's discount facilities were available to restore liquidity on a scale and for a period appropriate to the prevailing environment and it gave first priority to evidence that unexpected shifts in the public's demand for cash and liquidity were being adequately met regardless of the immediate impact on rates of growth in the aggregates. The lesson we have been learning from recent experience, as I see it, is that no single monetary guide can serve the needs of policy day in and day out. Unfamiliar environmental conditions have unique and unpredictable effects on the timing of changes in expectations for liquidity and credit markets. At times policy should take account of such uncertainties by changing focus from one aggregate to another or from some aggregate to money market conditions, or to some segment of the interest rate structure. Our knowledge, at present, is insufficient to orchestrate monetary policy with but a single guide or a single tool. Greater Flexibility in Interest Rates As you know, interest rates in U.S. financial markets in the late Sixties responded to unprecedented demand for capital and to inflationary expectations by reaching very high levels--among the highest in our history. This experience reminds us that a realistic interest-rate policy is an integral part of sound monetary management in any country. Only by permitting such rates to respond to underlying economic realities can we expect interest rates to contribute to economic growth by providing (a) a real incentive to attract private savings; and (b) a rational guide for computing costs in the allocation of national resources. The recent fluctuations in interest rates among the industrial countries have tended to encourage international capital flows in response to temporary differentials in yields. These capital movements appear to have had important, even if they were only temporary, effects on the international reserves of the leading trading countries and to have limited even further the capability of their central banks to manage their monetary policy primarily on the basis of domestic economic considerations. This situation is likely to persist and seems certain also to affect the central banks of the less-developed countries. It is also likely that residents in the less-developed countries will find themselves affected by the interest-rate variations in the Euro-dollar and in other principal financial markets, both as lenders and borrowers. In the years ahead, therefore, countries which do not wish to see domestic savings flowing abroad in response to higher interest rates may have to restrain such flows directly or tolerate higher interest rates at home than they otherwise might like to see. Outflows can, if necessary, be restrained by specific taxation on foreign investment--such as our interest equalization tax--or by agreements such as are incorporated into our foreign investment restraint program. While in the long run the world economy and international borrowers and lenders have much to gain from the free flow of funds we do not yet live in one financial world where unlimited flows of this type can be accommodated. The strategy that works for the capital-short countries is to time their borrowing when both interest rates and sensitivity to outflows of funds are relatively low in the lending countries. Non-Market Devices to Encourage Credit Flows into Priority Uses The second point I want to stress is our experience with attempts to divert or focus the onus of monetary restraint on certain sectors of the economy. The dilution of restraint was chiefly undertaken for the benefit of the housing sector of the economy. Because the home construction industry experienced a disproportionate impact of credit restraint in 1966, the U.S. Congress enacted various measures to cushion such adverse effects during the credit stringencies of 1968-69. We were able to improve credit flows into housing in several ways. Mainly, Government housing agencies used the public credit to borrow funds in financial markets and make them available to the mortgage-lending industry, at times at below market (that is, subsidized) costs. In addition, the financial intermediaries which provide the largest share of housing credit were protected against the greater adaptability of the commercial banks' portfolios to rising interest rates by Government regulations which set maximum rates each type of institution could pay. These and other regulatory policies were also aimed at placing more of the burden of restraint on the banking system and its customers. This was done with rate ceilings, regulations curbing banks' ability to substitute other liabilities for deposits, and restrictions on contingent sales of assets. In total, these measures limited the banking system's ability to lend to its customers, a fact that is abundantly clear from the magnitude of the decline in market shares of funds going to banks in 1966 and 1969. The same rate ceilings also hampered the savings and loan associations and the mutual savings banks in serving their customers, although their plight in 1969 was ameliorated by the operations of FNMA and the lending policies of the FHLB Board. As seen by their proponents, regulatory constraints, limiting bank access to funds, led to greater restraint on business loans than would otherwise have occurred--a desirable distributional effect on credit availability in view of the role of business investment at that time in generating excess demand and inflation. Furthermore, since intermediaries are more efficient in their credit allocative function than direct lenders and markets, the reduction of intermediation is seen as the quickest and surest way to slow and restrict the availability of credit and thus to bring about the modification of spending and investment decisions. All of those borrowers who are exclusively dependent on intermediaries encounter credit restraint even though they may be preferred customers. The main argument against sealing off the banks and other intermediaries from markets is that the effectiveness of over-all restraint is not significantly diluted as a result of its being shifted by a bank intermediary to the market or another intermediary, however different the incidence. As banks disperse monetary restraint, and they cannot disperse all of it, they force borrowers other than their customers to pay higher prices for credit and to face uncertain availability. Their action in selling assets, raising interest rates paid for funds, entering into repurchase agreements of assets and the like, does not result in much diminution of over-all restraint. Even if intermediaries were given unlimited access to money and credit markets they would themselves be increasingly restrained by the market environment they would be creating. The argument continues that the channeling and confinement of restraint to intermediaries and their customers results in the unnecessary dislocation of credit patterns, in inequities in the distribution of credit and inefficiencies in the operation of the financial system. The differential effect of forcing intermediaries to contract their lending operations has the most certain and serious effect on smaller customers who do not have significant access to capital and credit markets. Shutting off or restricting the flow of bank credit to large corporate borrowers only means they become more dependent on markets. And since such borrowers are better able than most others to obtain funds in the market using such non-depository credit instruments as commercial paper, some have argued that corporate borrowers were more favorably situated with respect to credit availability as a result of bank disintermediation. While I am persuaded that intermediaries should have had more ready access to markets, the contrary position is not without merit from a pragmatic short-run standpoint. However, I believe the real problem is not one of making monetary and credit restraint effective in some given interval but the longer run effect of such tactics on the process of intermediation and the institutions providing this service. In recent years our Congress has considered, without taking action, several proposals that the Federal Reserve actively deal in and support the market for securities related to such high priority social investment as housing. At present, and historically, the Federal Reserve's portfolio has almost exclusively been invested in Treasury issues. At the end of February this year, for example, Treasury issues totaled $62.5 billion out of some $64.0 billion of earning assets held by the System. The weight of precedent, a continuing concern for a strong Government security market, and uncertainty as to the manageability of a portfolio oriented toward goals in potential conflict with monetary objectives has deterred policy makers in the U.S. from seeking or endorsing such diversification. So far as I can see the issue is not of principle or theory but a pragmatic judgment as to how surely social investment objectives can be realistically confined. Experience in the LDC's Perhaps you will agree that the central banks have gone further in the developing countries to accommodate special credit needs than have those in the developed countries. In the LDC's, the central bank often gives rediscounts and advances to favored sectors or priority activities in preference to other credit claimants. This need to channel credit flows into priority areas which will spur economic development and away from less socially preferred channels--an excessive building of luxury housing, for example--may pose difficult choices for the central banker; for he should, to meet stability objectives, be able to limit flows of funds to favored sectors to amounts within a monetary constraint. Many central banks also use a variety of policy measures with a selective impact in order to encourage the commercial banks to allocate credit along certain lines. Just last week, Chairman Burns testified before a Senate subcommittee on a proposal to establish differential reserve requirements on assets of commercial banks with a view to effecting the allocation of credit.$^1/$ Such guidelines to commercial banks are known to have practical shortcomings but there are a number of countries in which this approach to credit-channeling appears to have altered the pattern of domestic credit flows. In fact, I think all of us should acknowledge that many central bankers in the developing countries have been able to achieve results in this area--both in devising ways to provide additional flows of local capital for economic growth and in orienting them toward high social priority uses. On the other hand, central banks in Europe have been moving away from the use of such selective devices. $^1/$ See Appendix for a portion of Chairman Burns' statement. Finally, we have also learned in the United States how substantially national monetary management is linked to developments in the international economy. Any of us may have to be reminded that balance-of-payments considerations may set limits to the use of credit policies for the domestic goals of economic stabilization; but we all recognize how important sound international economic relations are to domestic stabilization and growth. In the United States, the expansion of multi-national corporations and of financial institutions has raised new problems affecting the U.S. banking structure and monetary management. These corporations and international financial institutions have embarked on overseas expansion on a scale which has taxed the capacity of the U.S. payments position. As a result, the U.S. authorities have taken steps to ensure that a greater proportion of these investments be financed from savings outside the United States. As you know, the U.S. programs on capital flows and on bank lending abroad have been designed not to limit U.S. direct investment abroad but to ensure that the projects be financed abroad. Under them, however, provisions have been made to accord the LDC's a special access to U.S. financial markets. Both the U.S. and the host country have an interest in the financial decisions of the multi-national corporation and the international financial institution. In general, we can agree, these activities are least likely to disturb domestic policies if the transactions are done in the country or currency in which the expenditure is to be made. Similarly, there are times of relative credit ease when it is a matter of indifference how such transactions are carried out. There are also times of strain in the domestic economy or in the balance of payments when capital and credit shifts impose an important challenge to the capabilities of the authorities to achieve national economic objectives. There are also situations where U.S. corporations have been thought to borrow excessive amounts from local banks. In some countries, these credit demands have been thought (rightly or wrongly) by local businessmen to have impaired their own access to local bank credit. On these grounds, some developing countries have adopted measures to limit the credit which local banks may extend to branches and subsidiaries of foreign business firms. U.S. Banks Follow Customers Abroad It was a natural result, I think, that U.S. banks have followed their business customers abroad. As a result, we have witnessed over the past decade a large expansion in U.S. banking overseas. In general, the Federal Reserve has expected that U.S. banks would function overseas in accordance with local standards and regulations and that they would serve to mobilize local resources for their business financing. A few developing countries have restricted the activities of foreign banks and/or have required them to bring in substantial amounts of equity capital. When foreign banks penetrated a developing country by buying an interest in an existing bank, this has at times produced a reaction from local business firms whose access to credit might, or would possibly, have been impaired. A few countries have prohibited the sale of stock in existing banks to foreign interests. On the other hand, I am not sure that the contribution of U.S. banks to the economies of LDC's is fully appreciated. They not only have helped their American customers to meet their financing needs in the particular country but have extended their services as financial intermediaries to non-U.S. residents. In this capacity, they have offered them attractive yields in local-currency and even in dollar-denominated assets, greater liquidity and perhaps greater security for their savings as well. U.S. banks have also often introduced an element of competition which has benefited both local borrowers and local lenders. They have also made available U.S. financial expertise and technology in business and consumer financing. Local businessmen have been introduced to new ways of obtaining working capital which were often more flexible or more readily adaptable to their business requirements than were the traditional forms of bank finance available to them. The U.S. and other foreign banks in the LDC's have also been a link between local financial markets and the broadly-based international markets which have developed outside the United States for dollar-denominated deposits and long-term placements. The flow of private and official savings from this Near East area and from other developing areas into Euro-dollar markets for deposits and long-term securities demonstrates that non-U.S. residents have found these facilities attractive. Such a flow, of course, represents the reverse of what most of us would prefer because it represents loans by the less-developed countries to the industrial countries. As such, this flow of capital will aggravate the already serious shortages of capital in the developing countries and place added burdens upon the monetary authorities there. It challenges them to create financial institutions, a type of intermediation, and a pattern of incentives attractive enough to encourage the local placement of these savings. More broadly, the answer to this problem may lie in developing new opportunities for employment of domestic savings. within the developing countries and in providing an environment in which the risks of capital loss from inflation and devaluation, or from expropriation, are at a minimum. Keynote National financial problems often appear on the surface to differ greatly as between less-developed and developed countries, or even from country to country within each group. But the need to pursue domestic stabilization programs to promote sustained national economic growth is a challenge common to the monetary officials of both developed and less-developed countries. In both, the central bank can make its contribution effective only if its potential and limitations are understood and only as it brings its techniques and its monetary actions into line with changing conditions in the national economy. The central bank to be successful needs financial markets, banks, and other local financial intermediaries through which it can make its policies operational. Each of us has had a varied and specialized experience in matters of monetary management. This Conference will fulfill its purpose when our discussions over the next five days remind us how much we can profit from each other's experience and lead us to recognize how unique are the contributions of skill and continuity which the central bank can make to the national economic effort in each of our countries, developed and less-developed alike. Finally, Section 4 of S. 1201 would authorize the Board to require banks that are members of the Federal Reserve System to maintain supplemental reserves against assets, in addition to the reserves they must now maintain against depositary liabilities. The purpose of the supplemental reserve requirements would be to facilitate flows of credit into specified channels and restrain flows into sectors where, in the Board's judgment, such restraint would "help stabilize the national economy." The Board unanimously recommends against enactment of this section of the bill at the present time. All of us agree, I am sure, on the need to explore ways to avoid unwanted selective effects of general monetary restraint. But use of reserve requirements for this purpose poses problems for which we do not yet have answers. Much further study is needed. Another shortcoming of supplementary reserve requirements is that they would complicate the already intricate task of the Federal Reserve System in discharging the main responsibility assigned to it by the Congress--namely, to conduct monetary policy so as to promote prosperity while protecting the integrity of the nation's money. Once supplementary reserve requirements came into use, shifts in the level of required reserves would result from every shift in the lending policies of commercial banks. As required reserves rose or fell, funds for expansion of bank credit would be absorbed or released. These movements would introduce an additional element of uncertainty into the task of achieving, through open-market operations, a desired rate of growth in the money supply or in bank credit. Even if these operational difficulties could be overcome, there would still be fundamental objections to this section of the bill. I trust you will consider most carefully the implications of granting the central bank the vast discretionary authority contained in this bill to determine social priorities in the use of credit. The Federal Reserve System has the critically important assignment of providing for aggregate supplies of money and credit needed to promote healthy economic growth with reasonable price stability. Congress has granted the System a considerable measure of independence, to ensure that it will be insulated from short-run political pressures in performing this function. We believe there is great value to our society in this arrangement, and that its continuance depends on confining the discretion of the central bank, in the main, to matters of general monetary policy. S. 1201 authorizes the Board to establish supplementary reserve requirements to facilitate flows of credit into housing, small businesses, exports, municipal finance, farms with sales of less than $100,000 a year, and development of areas of low income or high unemployment. Increasing credit flows for these purposes implies reducing them for others--relatively, if not absolutely. The implications of such a wide-ranging substitution of public for private decisions need to be considered with utmost care. Our free credit markets have served our nation well over the years by channeling financial resources to productive and socially beneficial uses. The Board recognizes, nevertheless, that market mechanisms are imperfect and that the effects of monetary ease or restraint do not affect all sectors of the economy uniformly. There is ample justification, therefore, for serious efforts to improve the functioning of our financial markets--particularly, to cushion the effects of monetary restraint on sectors such as housing. Such efforts have been made on an extensive scale in our country, and they have typically taken the form of supplementing the market mechanism rather than subjecting the decision-making process of private financial institutions to detailed and shifting governmental rules. Federally sponsored credit agencies that borrow funds in the money and capital markets and channel them to sectors of high social priority have played a particularly constructive role in this regard. So also have government loan guarantees to encourage private investment in risk enterprises or in low- and middle-income housing. For most of the specific sectors singled out for special attention in S. 1201, special credit facilities already exist. The nation's home building industry, for example, is provided special assistance, particularly in periods of monetary restraint, by the Federal Home Loan Banks, FNMA, GNMA, and through a variety of programs operated by the Department of Housing and Urban Development; small firms are aided in securing credit by the Small Business Administration; the nation's farmers are assisted by the Farmers' Home Administration and the several lending agencies of the cooperative Farm Credit System. These agencies have performed a vital service in improving the functioning of financial markets. If the Congress should conclude that the sectors singled out for special attention in S. 1201 deserve more ready access to sources of credit, certainly the most direct and probably also the best means of accomplishing this objective would be to expand the scope of operations of existing Federal credit agencies in these fields, and to create new entities where they seem needed. However, if after due deliberation the Congress were to decide that supplementary reserve requirements on assets of banks are to play some role in redistributing fund flows in financial markets, we would strongly urge that the order and degree of priorities should be determined by the Congress and embodied in legislation. Broad discretionary authority of this kind should not be lodged in the Federal Reserve, which is not the appropriate body to make fundamental decisions regarding social priorities. It may be useful to note that the trend over the past 10 years or more in central banks of other industrial countries has been away from practices that discriminate in favor of particular sectors and toward policy instruments that have broad application and generalized effects.
Haberichter, Mareike, Lau, Chris and Manton, Nicholas S. (2016) Electromagnetic Transition Strengths for Light Nuclei in the Skyrme model. Physical Review C, 93 . ISSN 2469-9985. Downloaded from https://kar.kent.ac.uk/51288/ The University of Kent's Academic Repository KAR The version of record is available from https://doi.org/10.1103/PhysRevC.93.034304 This document version Pre-print DOI for this version Licence for this version UNSPECIFIED Additional information Versions of research works Versions of Record If this version is the version of record, it is the same as the published version available on the publisher’s web site. Cite as the published version. Author Accepted Manuscripts If this document is identified as the Author Accepted Manuscript it is the version after peer review but before type setting, copy editing or publisher branding. Cite as Surname, Initial. (Year) ‘Title of article’. To be published in Title of Journal, Volume and issue numbers [peer-reviewed accepted version]. Available at: DOI or URL (Accessed: date). Enquiries If you have questions about this document contact firstname.lastname@example.org. Please include the URL of the record in KAR. If you believe that your, or a third party’s rights have been compromised through this document please see our Take Down policy (available from https://www.kent.ac.uk/guides/kar-the-kent-academic-repository#policies). Electromagnetic Transition Strengths for Light Nuclei in the Skyrme model M. Haberichter,1,* P. H. C. Lau,2,3,† and N. S. Manton3,‡ 1School of Mathematics, Statistics and Actuarial Science, University of Kent, Canterbury CT2 7NF, U.K. 2Yukawa Institute for Theoretical Physics, Kyoto University, Kitashirakawa Oiwakecho, Sakyo-ku, Kyoto City, Kyoto 606-8502, Japan 3Department of Applied Mathematics and Theoretical Physics, University of Cambridge, Wilberforce Road, Cambridge CB3 0WA, U.K. (Dated: October 30, 2015) Abstract We calculate reduced $B(E2)$ electromagnetic transition strengths for light nuclei of mass numbers $B = 8, 12, 16, 20, 24$ and $32$ within the Skyrme model. We find that the predicted transition strengths are of the correct order of magnitude and the computed intrinsic quadrupole moments match the experimentally observed effective nuclear shapes. For the Hoyle state we predict a large $B(E2) \uparrow$ value of $0.0521 \text{ e}^2\text{b}^2$. For Oxygen-16, we can obtain a quantitative understanding of the ground state rotational band and the rotational excitations of the second spin-0 state, $0^+_2$. Electronic address: email@example.com †Electronic address: firstname.lastname@example.org ‡Electronic address: email@example.com INTRODUCTION Radiative electromagnetic transitions between nuclear states are an excellent way to probe nuclear structure and to test nuclear structure models [1–3]. In even-even nuclei, the reduced transition probability $B(E2 : 0^+_1 \rightarrow 2^+_1)$ from the $0^+_1$ ground state to the first excited $2^+_1$ state is particularly important [4, 5]. $B(E2)$ transitions play a crucial role [5, 6] in determining mean lifetimes of nuclear states, the nuclear potential deformation parameter $\beta$, the magnitude of intrinsic electric quadrupole moments, and the energy of low-lying levels of nuclei. Large quadrupole moments and transition strengths indicate collective effects in which many nucleons participate. The Skyrme model [7, 8] and its topological soliton solutions (known as Skyrmions) have been found to capture important features of light nuclei of even baryon number. As in the $\alpha$-particle model of nuclei [9, 10], Skyrmions with topological charge $B$ a multiple of four are composed of charge four sub-units [11]. Here the role of the $\alpha$-particle is taken by the cubic $B = 4$ Skyrmion. The arrangements of $B = 4$ cubes often resemble [11, 12] those discussed in the $\alpha$-particle model. In addition, the allowed quantum states for each Skyrmion of topological charge $B$ often match [13–17] the ground and excited states of nuclei with mass number $B$ a multiple of four. Among other successes of the Skyrme model is the prediction of the excitation energy of states in the rotational bands of Carbon-12, including the excitations of the Hoyle state [18]. However, electromagnetic transitions within the Skyrme model, which can provide us with valuable information about the internal structure of nuclei, and a non-trivial test of the model, have not yet been studied in detail. In the following, we briefly review the Skyrme model and its soliton solutions. For further details, we refer the interested reader to the literature [19–21]. The Skyrme model is a modified nonlinear sigma model, in which the sigma field and isotriplet of pion fields $\pi$ are combined into an $SU(2)$-valued scalar field $$U(x, t) = \sigma(x, t)1_2 + i\pi(x, t) \cdot \tau,$$ where $\tau$ denotes the triplet of Pauli matrices and the normalization constraint $\sigma^2 + \pi \cdot \pi = 1$ is imposed. For a static Skyrme field $U(x)$, the energy in Skyrme units is $$E = \int \left\{ -\frac{1}{2} \text{Tr}(R_i R_i) - \frac{1}{16} \text{Tr}\left([R_i, R_j][R_i, R_j]\right) + m^2 \text{Tr}(1_2 - U) \right\} d^3 x.$$ Here, $R_i$ are the spatial components of the $SU(2)$-valued current $R_\mu = \left(\partial_\mu U\right)U^\dagger$, and $m$ is a dimensionless pion mass parameter. Skyrme units are converted to physical energies and lengths (in MeV and fm) by the factors $F_\pi/4e_{\text{Sky}}$ and $2/e_{\text{Sky}}F_\pi$, respectively. $e_{\text{Sky}}$ is a dimensionless constant and $F_\pi$ can be interpreted as the pion decay constant. $m$ is related to the pion tree level mass $m_\pi$ via $m = 2m_\pi/e_{\text{Sky}}F_\pi$. The energy and length conversion factors are fixed by comparison with experimental nuclear physics data. Skyrmions are critical points of the potential energy (2) and are characterized by a conserved, integer-valued topological charge $$B = -\frac{1}{24\pi^2} \int \epsilon_{ijk} \text{Tr}\left(R_i R_j R_k\right) \, d^3x.$$ (3) $B$ is the topological degree of the map $U : \mathbb{R}^3 \to SU(2)$ at any given time, which is well-defined for fields satisfying the boundary conditions $\sigma \to 1$ and $\pi \to 0$ as $\|x\| \to \infty$. Physically, when semiclassically quantized [22, 23], a Skyrmion of charge $B$ is interpreted as a nucleus of mass number (or baryon number) $B$. In nuclear physics, the notation for mass number is $A$ but we will keep our notation $B$ in this paper. Skyrmion solutions with rescaled pion mass $m = 1$ and with baryon number $B$ a multiple of four have been previously found [11, 12, 17, 18]. For baryon numbers $B = 8, 12, 16, 20, 24, 32$, we recalculate the classical Skyrmion solutions using two different numerical relaxation techniques: nonlinear conjugate gradient [12, 24, 25] and damped full field evolution [26]. Skyrmions are the solutions of minimal energy, or sometimes local minima or saddle points with energies close to minimal. Our calculations have led us to two new solutions with $B = 24$. These are obtained by gluing together two copies of $B = 12$ solutions. To find solutions, Skyrme fields of positive topological charge $B$ and with a given symmetry group $G$ are created by multi-layer rational map ansätze [12], or product ansätze [11]. These initial Skyrme field configurations are relaxed on grids with $(201)^3$ grid points and a spatial grid spacing $\Delta x = 0.1$ to find precise solutions. We list in Table I the symmetry group, the energy and the diagonal elements of the isospin ($U_{ij}$), spin ($V_{ij}$) and mixed ($W_{ij}$) inertia tensors for Skyrmions with baryon numbers $B = 8, 12, 16, 20, 24, 32$. The Skyrmions are orientated such that all off-diagonal elements of the inertia tensors vanish. The formulae for the inertia tensors $U_{ij}, V_{ij}, W_{ij}$ are rather complicated and are given in the literature [15, 17, 27]. The baryon density isosurfaces we obtain are shown in Fig. 1. On these surfaces, the $\pi$-field values are visualized using Manton and Sutcliffe’s field colouring scheme described in detail in Ref. [28]. FIG. 1: Surfaces of constant baryon density (not to scale) of Skyrmions with pion mass parameter $m = 1$. The Skyrmions have baryon number and symmetry group: $B = 8$ (a) $D_{4h}$ with 90° twist, (b) $D_{4h}$ with no twist; $B = 12$ (c) $D_{4h}$, (d) $D_{3h}$; $B = 16$ (e) $D_{2d}$ (bent square), (f) $D_{4h}$ (flat square), (g) $T_d$; $B = 20$ (h) $T_d$, (i) $D_{3h}$; $B = 24$ (j) $D_{2h}$, (k) $D_{3d}$, (l) $D_{3h}$; $B = 32$ (m) $O_h$. In this paper, we calibrate the Skyrme model with properties of the Carbon-12 nucleus. The root mean square matter radius of a nucleus can be calculated within the Skyrme model as \[ \left\langle r^2 \right\rangle^\frac{1}{2} = \left( \frac{\int r^2 \mathcal{E}(x) \, d^3 x}{\int \mathcal{E}(x) \, d^3 x} \right)^\frac{1}{2}, \] where $ \mathcal{E}(x) $ is the static energy density and $ r = \|x\| $. We list the matter radii $ \left\langle r^2 \right\rangle^\frac{1}{2}_{\text{Sky}} $ (in Skyrme length units) of all the Skyrmions considered here in Table II. The energy and length conversion factors are tuned to match the experimental nuclear mass 11178 MeV and matter radius 2.43 fermi [29] for the Carbon-12 ground state. This fixes the conversion factors to be \[ \begin{bmatrix} F_\pi \\ 4e_{\text{Sky}} \end{bmatrix} = 6.154 \text{ MeV}, \quad \begin{bmatrix} 2 \\ e_{\text{Sky}} F_\pi \end{bmatrix} = 1.061 \text{ fm}, \] and gives the parameter values \[ e_{\text{Sky}} = 3.889, \quad F_\pi = 95.6 \text{ MeV}, \quad \hbar = 30.2 \quad \text{and} \quad m_\pi = 185.9 \text{ MeV}, \] where $ \hbar = 2e_{\text{Sky}}^2 $. (More precisely, the energy unit is $ F_\pi/4e_{\text{Sky}} = 6.154 \text{ MeV} $ and the length unit is $ 2\hbar/e_{\text{Sky}} F_\pi = 1.061 \text{ fm} $, so the energy-length unit is $ \hbar/2e_{\text{Sky}}^2 = 6.529 \text{ MeV fm} $. As $ \hbar = 197.3 \text{ MeV fm} $ experimentally, $ 2e_{\text{Sky}}^2 = 30.2 $ or equivalently $ \hbar = 30.2 $ in Skyrme units.) Recall that calibrating the Skyrme model with properties of the Carbon-12 nucleus has previously proven successful [18] in describing the spectrum of rotational excitations of Carbon-12, including the excitations of the Hoyle state, and in modelling nucleon-nucleon scattering within the Skyrme model [30, 31]. In the following, we will refer to (5) as the Lau-Manton (LM) calibration. We will find that the LM calibration is well suited for calculating electromagnetic transition strengths within the Skyrme model. In addition, for this calibration the predicted nuclear masses and matter radii are in reasonable agreement with experimental data for a range of baryon numbers, see Table II. In the following, we will calculate and discuss the electric quadrupole transitions within the Skyrme model. Our discussion will be mainly focussed on the quadrupole transition strength, $ B(E2)\uparrow $, between the $ 0^+ $ ground state and the first $ 2^+ $ state in even-even nuclei of zero isospin such as Carbon-12. The large quadrupole strength in the $ 0^+ $ to $ 2^+ $ transition in Beryllium-12 will serve as an example how transition strengths can be calculated in the presence of nonzero isospin. TABLE I: Skyrmions of baryon numbers $B = 8, 12, 16, 20, 24, 32$, for $m = 1$. We list the symmetry group $G$ of each Skyrmion, its energy relative to the Skyrme-Faddeev bound $\frac{E}{12\pi^2 B}$, and the diagonal elements of the inertia tensors $U_{ij}, V_{ij}, W_{ij}$ (in Skyrme units). We also list the isospin-zero nuclei (in their ground states) that can be modelled by the Skyrmions. These are recognized from the symmetry group rather than the energy $E$. \| $B$ \| $G$ \| Nucleus \| $\frac{E}{12\pi^2 B}$ \| $U_{11}$ \| $U_{22}$ \| $U_{33}$ \| $V_{11}$ \| $V_{22}$ \| $V_{33}$ \| $W_{11}$ \| $W_{22}$ \| $W_{33}$ \| \|-----\|----------------------\|-------------\|------------------------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\| \| 8 \| $D_{4h}$ (twist) \| $^8_4$Be$_4$ \| 1.279 \| 298 \| 292 \| 326 \| 4093 \| 4094 \| 1381 \| 0 \| 0 \| 0 \| \| \| $D_{4h}$ (no twist) \| \| 1.283 \| 287 \| 291 \| 350 \| 4615 \| 4615 \| 1296 \| 0 \| 0 \| 0 \| \| 12 \| $D_{4h}$ \| Hoyle \| 1.274 \| 440 \| 449 \| 456 \| 12137 \| 12137 \| 2139 \| 0 \| 0 \| 0 \| \| \| $D_{3h}$ \| $^{12}_6$C$_6$ \| 1.278 \| 442 \| 442 \| 497 \| 5009 \| 5006 \| 7627 \| 41 \| 41 \| 38 \| \| 16 \| $D_{2d}$ (bent square)\| \| 1.271 \| 572 \| 571 \| 674 \| 9123 \| 9119 \| 14602 \| 0 \| 0 \| 0 \| \| \| $D_{4h}$ (flat square)\| \| 1.272 \| 563 \| 567 \| 689 \| 9143 \| 9174 \| 15682 \| 0 \| 0 \| 0 \| \| \| $T_d$ \| $^{16}_8$O$_8$ \| 1.276 \| 586 \| 586 \| 674 \| 9100 \| 9101 \| 9128 \| 0 \| 0 \| 0 \| \| 20 \| $T_d$ \| \| 1.273 \| 757 \| 757 \| 819 \| 12820 \| 12820 \| 12821 \| 0 \| 0 \| 0 \| \| \| $D_{3h}$ \| $^{20}_{10}$Ne$_{10}$ \| 1.276 \| 857 \| 735 \| 735 \| 18542 \| 18591 \| 9762 \| 15 \| -15 \| -11 \| \| 24 \| $D_{2h}$ \| \| 1.267 \| 877 \| 862 \| 956 \| 26980 \| 14189 \| 36783 \| 0 \| 0 \| 0 \| \| \| $D_{3d}$ \| \| 1.269 \| 879 \| 890 \| 959 \| 19600 \| 19600 \| 29863 \| 0 \| 0 \| 0 \| \| \| $D_{3h}$ \| $^{24}_{12}$Mg$_{12}$ \| 1.269 \| 869 \| 869 \| 1006 \| 20554 \| 20454 \| 16226 \| -99 \| 99 \| 99 \| \| 32 \| $O_h$ \| $^{32}_{16}$S$_{16}$ \| 1.264 \| 1115 \| 1116 \| 1367 \| 31625 \| 31628 \| 31704 \| 0 \| 0 \| 0 \| ELECTROMAGNETIC TRANSITION STRENGTHS IN THE SKYRME MODEL In the Skyrme model, the electric charge density $\rho(x)$ [34, 35] is given by $$\rho(x) = \frac{1}{2} \mathcal{B}(x) + I_3(x),$$ (7) where $\mathcal{B}(x)$ denotes the baryon density, the integrand of (3), and $I_3(x)$ is the third component of the isospin density. For quantum states with zero isospin, the charge density $\rho$ is half the baryon density [36], and the total electric charge is $\frac{1}{2}B$ (in units of the proton charge $e$). Nuclei with zero isospin have equal numbers of protons and neutrons. For nonzero isospin, the isospin density $I_3(x) = \omega \mathcal{I}_{33}(x)$ contributes to the total electric charge. Here, $\omega$ is the isorotational angular TABLE II: Nuclear masses $E$ and root mean square matter radii $\langle r^2 \rangle^\frac{1}{2}$ for nuclei of baryon numbers $B = 8, 12, 16, 20, 24, 32$ and isospin zero. Here, the subscripts “Sky” and “LM” refer to Skyrme units and the Lau-Manton calibration (5), respectively. The experimental matter radii $\langle r^2 \rangle_{\text{Exp}}^\frac{1}{2}$ are taken from Ref. [32] and are given in fermi. Note that due to its instability there are no data available for Beryllium-8, so here () we give the charge radius for its isobar $^9\text{Li}_5$. The Hoyle state’s nuclear radius () has been measured in Ref. [33]. The experimental matter radius for the Carbon-12 ground state () is taken from Ref. [29]. \| $B$ \| $G$ \| Nucleus \| $E_{\text{LM}}$ [MeV] \| $E_{\text{Exp}}$ [MeV] \| $\langle r^2 \rangle_{\text{Sky}}^\frac{1}{2}$ \| $\langle r^2 \rangle_{\text{LM}}^\frac{1}{2}$ [fm] \| $\langle r^2 \rangle_{\text{Exp}}^\frac{1}{2}$ [fm] \| \|-----\|-----\|---------\|----------------------\|----------------------\|------------------\|-------------------\|-------------------\| \| 8 \| $D_{4h}$ (twist) \| $^8_4\text{Be}_4$ \| 7457.5 \| 7451.9 \| 2.05 \| 2.18 \| 2.34 \| \| \| $D_{4h}$ (no twist) \| \| 7480.9 \| \| 2.15 \| 2.28 \| \| \| 12 \| $D_{4h}$ \| Hoyle \| 11142.6 \| \| 2.76 \| 2.93 \| 2.89 \| \| \| $D_{3h}$ \| $^{12}_6\text{C}_6$ \| 11178 \| 11178 \| 2.29 \| 2.43 \| 2.43 * \| \| 16 \| $D_{2d}$ (bent square) \| \| 14821.9 \| \| 2.66 \| 2.82 \| \| \| \| $D_{4h}$ (flat square) \| \| 14833.5 \| \| 2.70 \| 2.87 \| \| \| \| $T_d$ \| $^{16}_8\text{O}_8$ \| 14903.5 \| 14903.9 \| 2.35 \| 2.50 \| 2.70 \| \| 20 \| $T_d$ \| \| 18556.5 \| \| 2.60 \| 2.76 \| \| \| \| $D_{3h}$ \| $^{20}_{10}\text{Ne}_{10}$ \| 18600.2 \| 18629.8 \| 2.86 \| 3.03 \| 3.01 \| \| 24 \| $D_{2h}$ \| \| 22170.1 \| \| 3.32 \| 3.53 \| \| \| \| $D_{3d}$ \| \| 22197.8 \| \| 3.13 \| 3.33 \| \| \| \| $D_{3h}$ \| $^{24}_{12}\text{Mg}_{12}$ \| 22212.1 \| 22355.8 \| 2.87 \| 3.04 \| 3.06 \| \| 32 \| $O_h$ \| $^{32}_{16}\text{S}_{16}$ \| 29480.5 \| 29807.8 \| 3.17 \| 3.36 \| 3.26 \| frequency and the isospin inertia density is [17, 27] $$\mathcal{U}_{ij}(\mathbf{x}) = 2 \left\{ \left( \pi \cdot \pi \delta_{ij} - \pi_i \pi_j \right) \left( 1 + \partial_k \sigma \partial_k \sigma + \partial_k \pi \cdot \partial_k \pi \right) - \epsilon_{ide} \epsilon_{jfg} \left( \pi^d \partial_k \pi^e \right) \left( \pi^f \partial_k \pi^g \right) \right\}. \quad (8)$$ The classical electric quadrupole tensor for a Skyrmion is defined as $$Q_{ij} = \int d^3 x \left( 3x_i x_j - \|\mathbf{x}\|^2 \delta_{ij} \right) \rho(\mathbf{x}). \quad (9)$$ For a Skyrmion in its standard orientation, the tensor is diagonal and the diagonal entries $Q_{11}, Q_{22}, Q_{33}$ are the quadrupole moments. The quadrupole tensor is traceless (up to numerical inaccuracies) so $Q_{11} + Q_{22} + Q_{33} = 0$. Almost all the Skyrmions we consider here can be orientated so that they have a cyclic symmetry greater than $C_2$ along the 3-axis. Then $Q_{11} = Q_{22}$ and $Q_{33}$ is the quadrupole moment of largest magnitude. Zero Isospin We list in Table III our numerical results for quadrupole moments of Skyrmions and the corresponding nuclei with mass numbers $B = 8, 12, 16, 20, 24, 32$ and zero isospin. Here, the charge density $\rho$ is half the baryon density. The Skyrme model’s predictions are given in Skyrme units and can be converted to physical units by multiplying by the square of the length scale. We orientate the classical Skyrmion such that $Q_{33}$ is the quadrupole moment of maximal magnitude, as discussed above. Then, the nucleus’ intrinsic electric quadrupole moment $Q_0$ can be identified with $Q_{33} \times \left[ \frac{2}{\varepsilon_{\text{Sk}} F_\pi} \right]^2$. With the calibration (5), we obtain the intrinsic quadrupole moments $Q_0$ (in units of electron barn, eb) which are given in the penultimate column of Table III. For comparison, we also list experimental data, where available. Recall that a factor of $\frac{1}{100}$ is required to convert [fm]$^2$ to barn. For a nuclear state, let $J$ be the total angular momentum and $k$ its projection on the body-fixed 3-axis. The reduced electric quadrupole transition strength $B(E2)$ from an initial state $\|J_i, k\rangle$ to a final state $\|J_f, k\rangle$ can be obtained [1, 2] from the intrinsic moment $Q_0$ via $$B(E2 : J_i, k \rightarrow J_f, k) = \frac{5}{16\pi} Q_0^2 \left\langle J_i k; 2 0 \| J_f k \right\rangle^2,$$ (10) where the Clebsch-Gordan coefficient $\left\langle J_i k; 2 0 \| J_f k \right\rangle$ governs the coupling of the angular momenta. For electromagnetic transitions between states $J_i = J$ and $J_f = J + 2$, with $k = 0$, the Clebsch-Gordan coefficient in (10) simplifies to $$\left\langle J 0; 2 0 \| J + 2 0 \right\rangle^2 = \frac{3(J + 1)(J + 2)}{2(2J + 1)(2J + 3)}.$$ (11) Hence, the reduced electric quadrupole transition probability, $B(E2) \uparrow$, from the spin $0^+$ ground state to the first excited spin $2^+$ state is given by $$B(E2 : 0^+ \rightarrow 2^+) = \frac{5}{16\pi} Q_0^2.$$ (12) Note that electromagnetic excitation $B(E2) \uparrow$ and decay $B(E2) \downarrow$ of a nuclear state are related [1, 2] by $$B(E2 : J_f \rightarrow J_i) = \frac{2J_i + 1}{2J_f + 1} B(E2 : J_i \rightarrow J_f).$$ (13) TABLE III: Intrinsic quadrupole moments for Skyrmions of mass numbers $B = 8, 12, 16, 20, 24, 32$ and of zero isospin. “Sky” and “LM” refer to Skyrme units and the Lau-Manton calibration (5), respectively. We use “—” to denote Skyrmions of zero quadrupole moment. Unless otherwise stated, the experimental results for intrinsic quadrupole moments (in electron barn) are taken from Ref. [5] and have been derived from experimental $B(E2)$ transition strengths via Eq. (12). Note that we state two different intrinsic quadrupole moments for the Beryllium-8 nucleus. These values are obtained by (I) a variational Monte Carlo (VMC) calculation [37] and (II) a Green’s function Monte Carlo (GFMC) method [38]. The experimental quadrupole moment given for Oxygen-16 [5] is bracketed since this value has been derived from experimental $B(E2)$ transition strengths from the $0^+_1$ ground state to the first-excited $2^+$ state. Within the Skyrme model description, this $E2$ transition corresponds to an inter-band transition and hence cannot be modelled using the techniques described in this paper. See discussion and Fig. 2 in subsequent section on rotational states and transitions in Oxygen-16 for more details. \| $B$ \| $G$ \| Nucleus \| $Q_{11}^{\text{Sky}}$ \| $Q_{22}^{\text{Sky}}$ \| $Q_{33}^{\text{Sky}}$ \| $Q_0^{\text{LM}}$ [eb] \| $Q_0^{\text{Exp}}$ [eb] \| \|-----\|-----\|---------\|-----------------\|-----------------\|-----------------\|-----------------\|-----------------\| \| 8 \| $D_{4h}$ (twist) \| $^8_4\text{Be}_4$ \| -8.54 \| -8.55 \| 17.10 \| +0.192 \| +0.266$^1$, +0.320$^{\text{II}}$ \| \| \| $D_{4h}$ (no twist) \| \| -10.5 \| -10.5 \| 21.1 \| +0.238 \| \| \| 12 \| $D_{4h}$ \| Hoyle \| -32.1 \| -32.1 \| 64.3 \| +0.724 \| \| \| \| $D_{3h}$ \| $^{12}_6\text{C}_6$ \| 8.99 \| 9.10 \| -18.0 \| -0.203 \| -0.200 \| \| 16 \| $D_{2d}$ (bent square) \| \| 18.2 \| 18.4 \| -36.6 \| -0.412 \| (0.202) \| \| \| $D_{4h}$ (flat square) \| \| 21.2 \| 21.3 \| -42.5 \| -0.478 \| \| \| \| $T_d$ \| $^{16}_8\text{O}_8$ \| — \| — \| — \| — \| — \| \| 20 \| $T_d$ \| \| — \| — \| — \| — \| — \| \| \| $D_{3h}$ \| $^{20}_{10}\text{Ne}_{10}$ \| -18.8 \| -18.6 \| 37.4 \| +0.421 \| +0.584 \| \| 24 \| $D_{2h}$ \| \| -107 \| 116 \| -9.16 \| -0.103 \| \| \| \| $D_{3d}$ \| \| 34.4 \| 34.4 \| -68.9 \| -0.776 \| \| \| \| $D_{3h}$ \| $^{24}_{12}\text{Mg}_{12}$ \| -13.6 \| -12.5 \| 26.1 \| +0.294 \| +0.659 \| \| 32 \| $O_h$ \| $^{32}_{16}\text{S}_{16}$ \| — \| — \| — \| — \| +0.549 \| By substituting the intrinsic quadrupole moments $Q_0^{\text{LM}}$ listed in Table III in Eq. (12), we obtain the Skyrme model’s predictions for the $B(E2)\uparrow$ values (in units of e$^2$b$^2$) for nuclei of mass numbers $B = 8, 12, 16, 20, 24, 32$; they are presented in the fifth column of Table IV, with experimental data in the sixth column. In the fourth column of Table IV, we list the corresponding $B(E2) \uparrow$ values in Skyrme units. These $B(E2)^{\text{Sky}}$ values are obtained by substituting $Q_{33}^{\text{Sky}}$ given in Table III in Eq. (12). They are related to physical units by the factor $\left[\frac{2}{\varepsilon_{\text{Sky}} F_\pi}\right]^4$, the fourth power of the Skyrme length unit. We also include in Table IV the calculated transition strength $B(E2 : 0^+ \rightarrow 2^+)$ for the short-lived $^{12}_4\text{Be}_8$ nucleus, to be discussed below, and for the Hoyle state of $^{12}_6\text{C}_6$. To further simplify comparison with experimental data we convert to Weisskopf units W. This compares the transition strength with the single-particle strength $$B(E2) \uparrow_{\text{sp}} = 2.97 \times 10^{-5} B^4 \text{ e}^2\text{b}^2.$$ (14) The strength in Weisskopf units is $W = B(E2) \uparrow / B(E2) \uparrow_{\text{sp}}$, and is a measure of collective quadrupole effects in nuclei. A value higher than 5 indicates substantial collectivity. In the following subsections, we discuss each nucleus separately. The structure and excitation spectrum of Oxygen-16 are particular difficult to understand within a shell-model description [40]. Recent progress has been made via \textit{ab initio} calculations using alpha cluster initial states with tetrahedral and square configurations [41]. Within the Skyrme model, tetrahedral and square-like configurations of charge-4 sub-units arise as $B = 16$ Skyrmion solutions [11]. For this reason, we devote a separate, longer section of this paper to rotational states and transitions in Oxygen-16. \textit{Beryllium-8} For Beryllium-8, we calculate $B(E2 : 0^+ \rightarrow 2^+)$ transition strengths using the two known $D_{4h}$-symmetric Skyrmions. For the twisted $B = 8$ Skyrmion we find $B(E2) = 0.00366 \text{ e}^2\text{b}^2$ and for the untwisted Skyrmion $B(E2) = 0.00563 \text{ e}^2\text{b}^2$. Due to the instability of Beryllium-8 to alpha decay, we are unable to compare our results with actual experimental data. Instead, we include in Table IV $B(E2)$ values based on Hartree-Fock calculations [5] and on Monte Carlo methods [37, 38]. Note that the available theoretical values vary significantly depending on which model is used. This makes it impossible to test the accuracy of our Skyrme model $B(E2)$ predictions. Our predicted intrinsic quadrupole moments are consistent with the prolate shape found in Hartree-Fock and Monte Carlo calculations. For $B = 12$, rotational excitations of the $D_{3h}$ triangular Skyrmion solution match the Carbon-12 ground state band, and excitations of the $D_{4h}$ chain solution reproduce the Hoyle band [18]. The $D_{3h}$-symmetric Skyrmion has the oblate shape assumed for the Carbon-12 nucleus [42]. Our calculated intrinsic quadrupole moment $Q_0 = -0.203$ eb agrees well with the experimental value $Q_0 = -0.200$ eb [5] extracted from the measured strength of the $0^+_1 \rightarrow 2^+_1$ transition. The associated transition strength $B(E2 : 0^+_1 \rightarrow 2^+_1) = 0.00409$ e$^2$b$^2$ deviates by 3% from the experimental value. Measuring the $E2$ transition strength from the $2^+_2$ Hoyle state to the $0^+_2$ Hoyle state is experimentally challenging [43] and would require a highly efficient particle-gamma experimental setup [3]. Interpreting the Hoyle state as a linear chain formed out of three $B = 4$ Skyrmions, we predict the transition strength in the opposite direction, $B(E2 : 0^+_2 \rightarrow 2^+_2) = 0.0521$ e$^2$b$^2$. This corresponds to 63.9 W, arising from a strongly prolate intrinsic shape with an intrinsic quadrupole moment $Q_0 = 0.724$ eb. Neon-20 In the $\alpha$-particle model, Neon-20 is described in terms of five $\alpha$-particles arranged in a triangular bipyramid [44]. Four of the five low-lying rotational bands in Neon-20 can be understood [45] using this bipyramidal $\alpha$-particle arrangement. In the Skyrme model, there exists an analogous bipyramidal cluster arrangement [11] of five $B = 4$ cubes (see Fig. 1 (i)). This $D_{3h}$-symmetric configuration is not the global minimal energy Skyrmion with $B = 20$, but a nearby saddle point solution. In agreement with experimental data, this bipyramidal Skyrmion structure gives a prolate deformed Neon-20 ground state. The associated intrinsic quadrupole moment $Q_0 = 0.421$ eb is less than the experimental value $Q_0 = 0.584$ eb [5] deduced from the measured $B(E2) \uparrow$ value. For the electric quadrupole transition from the $0^+$ ground state to the first excited $2^+$ state, the corresponding $B(E2) = 0.0176$ e$^2$b$^2$ is approximately 50% less than the experimental value. We have not yet identified any states of Neon-20 with the quantized states of the $T_d$-symmetric $B = 20$ Skyrmion. TABLE IV: Quadrupole transition strengths $B(E2)\uparrow$ for nuclei of baryon numbers $B = 8, 12, 16, 20, 24, 32$. “Sky” and “LM” refer to Skyrme units and the Lau-Manton calibration (5), respectively. “—” denotes zero transition strength. Unless otherwise stated, the experimental $B(E2)\uparrow$ values are taken from Ref. [5]. Note that we state three different estimated transition strengths for the Beryllium-8 nucleus. These are obtained by (I) Hartree-Fock+BCS calculations with the Skyrme SIII force [5], (II) a variational Monte Carlo (VMC) calculation [37] and (III) a Green’s function Monte Carlo (GFMC) method [38]. (IV) For the short-lived Beryllium-12 isotope we obtain the estimated experimental $B(E2)\uparrow$ value by multiplying by 5 the $B(E2)\downarrow$ value measured in Ref. [39]. \| $B$ \| $G$ \| Nucleus \| $B(E2)^{\text{Sky}}$ \| $B(E2)^{\text{LM}}$ [e$^2$b$^2$] \| $B(E2)^{\text{Exp}}$ [e$^2$b$^2$] \| Dev. [%] \| \|-----\|-----\|---------\|----------------------\|----------------------------------\|----------------------------------\|--------\| \| 8 \| $D_{4h}$ (twist) \| $^8_4\text{Be}_4$ \| 29.1 \| 0.00366 (7.7 W) \| 0.003 I \| 22% \| \| \| \| \| \| \| 0.0100 II \| 63.3% \| \| \| \| \| \| \| 0.00740 III \| 50.5% \| \| 8 \| $D_{4h}$ (no twist) \| \| 44.6 \| 0.00563 (11.8 W) \| \| \| \| 12 \| $D_{4h}$ \| Hoyle \| 411 \| 0.0521 (63.9 W) \| \| \| \| \| $D_{3h}$ \| $^{12}_6\text{C}_6$ \| 32.5 \| 0.00409 (5.0 W) \| 0.00397 (4.9 W) \| 3.02% \| \| \| $D_{3h}$ \| $^{12}_4\text{Be}_8$ \| 14.2 \| 0.00181 (2.2 W) \| 0.0040 (4.9 W) IV \| 54.7% \| \| 16 \| $D_{2d}$ (bent square) \| $^{16}_8\text{O}_8$ \| 133 \| 0.0168 (14.1 W) \| \| \| \| \| $D_{4h}$ (flat square) \| \| 179 \| 0.0227 (18.9 W) \| \| \| \| 20 \| $D_{3h}$ \| $^{20}_{10}\text{Ne}_{10}$ \| 139 \| 0.0176 (10.9 W) \| 0.0340 (21 W) \| 48.1% \| \| 24 \| $D_{3h}$ \| $^{24}_{12}\text{Mg}_{12}$ \| 68.1 \| 0.00864 (4.2 W) \| 0.0432 (21 W) \| 80.0% \| \| 32 \| $O_h$ \| $^{32}_{16}\text{S}_{16}$ \| — \| — \| 0.0300 (9.8 W) \| \| Magnesium-24 For $B = 24$, we consider three very different Skyrmion solutions: a non-planar $D_{3d}$-symmetric ring formed of six $B = 4$ Skyrmion cubes with each neighbouring pair being rotated through 90° around the line joining the cubes (see baryon density isosurface in Fig. 1 (k) and Ref. [12]), a triaxial configuration constructed by gluing together two linear $B = 12$ Skyrmions (see Fig. 1 (j)), and two triangular $B = 12$ Skyrmions bound together into a $B = 24$ solution (see Fig. 1 (l)). The ring was previously believed to be the Skyrmion of minimal energy, but at least one of the other, newly found solutions appears to have lower energy. Among these Skyrmions, we find that Magnesium-24 is probably best described by the $D_{3h}$-symmetric solution made of two triangular $B = 12$ Skyrmions. The quadrupole moment is found to be $Q_0 = 0.294 \text{ eb}$ which is still significantly less than the experimental value $Q_0 = 0.659 \text{ eb}$. The corresponding quadrupole transition strength $B(E2) = 0.00864 \text{ e}^2\text{b}^2$ is much lower than the experimental value $B(E2) = 0.0432 \text{ e}^2\text{b}^2$. The quadrupole moment of the Skyrmion ring solution has the wrong sign (compare Table III) and does not reproduce the prolate ground state of Magnesium-24. The new $B = 24$ solution in Fig. 1 (j) is triaxial and is badly approximated as an axially symmetric solution. Hence our analysis cannot be applied to this Skyrmion solution. However, this might give a better quadrupole moment and $B(E2)$ value. Sulphur-32 Calculating nuclear properties of Sulphur-32 has proven to be difficult in the past [46] and earlier work using Hartree-Fock calculations on the rotational spectra in Sulphur-32 yielded contradictory, model-dependent results. The experimental excitation energies of the $0^+$, $2^+$ and $4^+$ states of Sulphur-32 agree very well with the vibrational excitations of a spherically shaped nucleus [47]. However, experimentally Sulphur-32 possesses a relatively large positive quadrupole moment [5, 48] which suggests a significant prolate nuclear deformation. This can be understood within the nuclear coexistence model [49] for Sulphur-32, in which spherical and prolate rotational bands coexist. In the Skyrme model, Sulphur-32 is modelled by the cubically symmetric $B = 32$ Skyrmion (see baryon density isosurface in Fig. 1 (m) and Ref. [11]) and hence its intrinsic quadrupole moment vanishes. However, this Skyrmion is still of interest because it is a candidate to model the vibrational excitations of Sulphur-32. As the Skyrmion spins, the Skyrmion deforms [27, 50–52] and a non-zero quadrupole moment will be induced. A calculation of $E2$ transitions for non-rigidly spinning Skyrmion solutions requires different techniques and is beyond the scope of this paper. ROTATIONAL STATES AND TRANSITIONS IN OXYGEN-16 Oxygen-16 has previously been investigated within the alpha cluster model [53] and by performing lattice effective field theory calculations [41]. The results suggest that there exist two rotational bands, one based on a tetrahedral arrangement of alpha clusters, and another on a squarelike arrangement. This section discusses whether such an interpretation is possible in the Skyrme model. Here, we follow a similar analysis to the previous description for the rotational bands of Carbon-12 and its Hoyle state [18]. For Oxygen-16, the ground state is $0^+$ and the first $3^-$ state is lower in energy than the first $2^+$ state. This is the signature of the rotational spectrum of a tetrahedral object. In the Skyrme model, several $B = 16$ solutions are known. They are constructed from four $B = 4$ cubic Skyrmions arranged in a bent square ($D_{2d}$), flat square ($D_{4h}$) and tetrahedral ($T_d$) configuration, respectively (see Fig. 1 (e)(f)(g)). Hence, we interpret the ground state band in terms of the tetrahedral Skyrmion. The quantized $T_d$-symmetric Skyrmion models the ground state of Oxygen-16 and its $3^-$ and $4^+$ rotational excitations. The bent and flat square Skyrmions have similar energy and can be seen as energy degenerate within the limits of our numerical accuracy. Note that we cannot confirm the result of the article [11] that the flat square is of noticeable higher energy than the bent square. For the $B = 16$ $D_{4h}$-symmetric, flat square Skyrmion, the Finkelstein–Rubinstein (F-R) constraints on a wavefunction $\psi$ with zero isospin are $$e^{i\frac{\pi}{2}\hat{L}_3}\|\psi\rangle = \|\psi\rangle \quad \text{and} \quad e^{i\pi\hat{L}_i}\|\psi\rangle = \|\psi\rangle,$$ where $\hat{L}_i$ is the spin operator projected on the body-fixed $i$th axis, $k$ is the eigenvalue of $\hat{L}_3$. There is a $k = 0$ rotational band, but the first constraint excludes states with $k = 2$. For $J = 2$, the only state allowed by the $D_{4h}$ symmetry is $\|2, 0\rangle$. The parity operator of this Skyrmion quantized with zero isospin is the identity operator. Hence, all the states have positive parity. This misses important states in the Oxygen-16 spectrum, so we turn to the bent square. For the $B = 16$ $D_{2d}$-symmetric, bent square Skyrmion, the F-R constraints are $$e^{i\pi\hat{L}_3}\|\psi\rangle = \|\psi\rangle \quad \text{and} \quad e^{i\pi\hat{L}_i}\|\psi\rangle = \|\psi\rangle,$$ and the parity operator is $$\hat{P} = e^{i\frac{\pi}{2}\hat{L}_3}.$$ In this case, there is a rotational band with $k = 0$ and a band with $k = 2$, and there are two $J = 2$ states, $\|2, 0\rangle$ and $\frac{1}{\sqrt{2}}(\|2, 2\rangle + \|2, -2\rangle)$, with $k = 0$ and $k = 2$ respectively. The states in the $k = 0$ band have positive parity while the states in the $k = 2$ band have negative parity. These bands can be identified with $0^+, 2^+, 4^+$ and $2^-, 3^-, 4^-$ states in the experimentally measured spectrum. Hence, the quantized $B = 16$ bent square is preferable for modelling the second excited spin-0 state $0^+_2$ of Oxygen-16 and its rotational excitations. ![Graph showing experimental states of Oxygen-16](image) FIG. 2: Experimental states of Oxygen-16. The symbol triangle denotes the states of the ground state band, and circle and square denote the $k = 0, 2$ states of the “bent square” bands. The $0^+_1, 3^-, 4^+$ states in the ground state band have energies 0.0, 6.13 and 10.36 MeV. For the “bent square” band, the $0^+_2, 2^+, 4^+$ states with $k = 0$ have energies 6.05, 9.84 and 16.84 MeV and the $2^-, 3^-, 4^-$ states with $k = 2$ have energies 8.87, 11.60 and 14.30 MeV. The symbol cross represents the $2^+_1$ state which has been interpreted as a rotational excitation of the $0^+_2$ state by Epelbaum et. al. [41]. See the text for more details. To test further this identification we can use similar techniques as applied in Ref. [18] to the rotational excitations of Carbon-12 and its Hoyle state. All $B = 16$ Skyrmion solutions have inertia tensors of symmetric-top type with $V_{11} = V_{22}$ and $V_{33}$ the same or distinct. For the tetrahedral solution we find $V_{11} = V_{22} = 9100$ and $V_{33} = 9128$, where the difference must be a numerical artifact. For the bent square, $V_{11} = V_{22} = 9123$ and $V_{33} = 14602$. The energy eigenvalues of the quantum Hamiltonian for purely rotational motion of a symmetric top are given by $$E(J, k) = C \left\{ \frac{1}{2V_{11}} J(J + 1) + \left( \frac{1}{2V_{33}} - \frac{1}{2V_{11}} \right) k^2 \right\}, \tag{18}$$ where $J$ denotes the total spin quantum number, $k$ is the eigenvalue of $\hat{L}_3$, and $C$ is a dimensional conversion factor from Skyrme to physical units [18]. Here, $C$ is a purely phenomenological parameter as has previously been used in the discussion of Carbon-12 and its rotational states in Ref. [18]. In Fig. 2, we plot against $J(J + 1)$ the energies of experimentally observed Oxygen-16 states up to spin 4 in the ground-state band and in the rotational bands formed by the rotational excitations of the $0^+_2$ state and the $2^-$ state. Taking $C$ as our fitting parameter, we fit Eq. (18) to the $0^+$, $3^-$, $4^+$ states of the ground-state band, whose energies are 0.0, 6.13 and 10.36 MeV. The linear fit gives $C = 9418$ MeV, and therefore a best fit slope of 0.517 MeV, using the $V_{11}$ value 9100 for the tetrahedral Skyrmion. We find that the experimental slope of the $k = 0$ band based on the $0^+_2$ state then agrees very well with the Skyrme model prediction. Eq. (18) gives a theoretical slope of 0.516 MeV, where we used the bent square’s moment of inertia $V_{11} = 9123$ and $C = 9418$ MeV as derived above. The experimental slope is estimated from the best linear fit to the $0^+_2$, $2^+$, $4^+$ states with energies 6.05, 9.84 and 16.84 MeV to be 0.545 MeV. The Skyrme model prediction for the ratio of the slopes is just the ratio of the $V_{11}$ values for the $D_{2d}$- and $T_d$-symmetric Skyrmions, which is 9123/9100 = 1.00. Note that the dimensional conversion factor $C$ cancels. For comparison, the experimental ratio of the slopes is 1.05. We also include in Fig. 2 the experimental $2^-, 3^-, 4^-$ states of energies 8.87, 11.60 and 14.30 MeV which we interpret as the $k = 2$ band formed by the rotational excitations of the bent square. The $k = 2$ band lies below the $k = 0$ band, agreeing with the oblateness of the bent square Skyrmion. For an oblate configuration, $V_{11} < V_{33}$, and according to Eq. (18), for a fixed spin $J$, the energy of a state with non-zero $k$ has lower energy than a $k = 0$ state. The predicted energy difference between states with the same spin $J$ is 0.77 MeV between the $k = 0$ and $k = 2$ bands. This agrees marginally with the experimentally measured differences of 0.97 MeV for the spin-2 states and 2.54 MeV for the spin-4 states. We calculate the $E2$ transition strength from the $0^+_2$ state of energy 6.05 MeV to the $2^+$ state of energy 9.84 MeV by taking the bent square Skyrmion as the underlying structure. We obtain $B(E2 : 0^+_2 \rightarrow 2^+) = 0.0168 \text{ e}^2\text{b}^2$. The associated intrinsic, oblate quadrupole moment is $Q_0 = -0.412 \text{ eb}$. For this transition, we are unable to find experimental $E2$ values in the literature. For completeness, we also include in Tables III and IV the quadrupole moment and $B(E2)$ values when modelling the $0^+_2$ state and its spin-2 excitation $2^+$ by the flat square Skyrmion. Epelbaum et al. [41] have considered the transition between the $0^+_2$ state and the lowest spin-2 state $2^+_1$ of energy 6.91 MeV. These states are represented in Fig. 2 by the cross symbols. They interpret the $2^+_1$ state as a rotational excitation of a square configuration of alpha clusters. However, it is badly described as a rotational excitation of the bent or flat square $B = 16$ Skyrmion. The $B(E2 : 2^+_1 \rightarrow 0^+_2)$ transition strength predicted in Ref. [41] is based on nuclear lattice effective field theory simulations. The up transition strength is $B(E2 : 0^+_2 \rightarrow 2^+_1) = 0.0110\,\text{e}^2\text{b}^2$. The corresponding empirical value is found to be $B(E2 : 0^+_2 \rightarrow 2^+_1) = 0.0325\,\text{e}^2\text{b}^2$ [41, 54]. NONZERO ISOSPIN In the previous sections, we restricted the discussion to $E2$ transitions in the absence of isospin. In this section, we show how quadrupole transition strengths can be calculated within the Skyrme model in the presence of nonzero nuclear isospin. Beryllium-12 Beryllium-12 is a nucleus in an $I = 2$ isospin multiplet, as it has four protons and eight neutrons. Nuclei of mass number 12, with isospin 0, 1, and 2 are especially well described within the Skyrme model as quantum states of the $D_{3h}$-symmetric $B = 12$ Skyrmion [16] (see baryon density isosurface displayed in Fig. 1 (d)). In particular, the low-lying energy levels of Beryllium-12, with various spins, appear as states with $I = 2$ and $I_3 = -2$. The quantum states $\left\| \psi_{J^, I, \|L_3\|\|K_3\|} \right\rangle$ of the $B = 12$ Skyrmion allowed by the Finkelstein-Rubinstein constraints [13, 14] are listed in Table 6 of Ref. [16]. $J$ and $I$ are the total spin and isospin labels, and $\|L_3\|$ and $\|K_3\|$ are the projections on to “body-fixed” 3-axes. Both for $J = 0$ and $J = 2$ there is a unique allowed $I = 2$ state, with $K_3 = 0$. The “space-fixed” isospin $I_3$ can take any integer value from $-2$ to $2$, and for Beryllium-12 it is $I_3 = -2$. Suppressing the spin state, we denote the isospin state of Beryllium-12 as $\|2, 0; -2\rangle$. Beryllium-12 exhibits a large quadrupole strength in the transition between the $0^+$ ground state and the first $2^+$ state at 2.1 MeV [39]. In Ref. [39], a $B(E2 : 2^+ \rightarrow 0^+)$ value of $0.0008\,\text{e}^2\text{b}^2$ has been determined through the lifetime measurement of the $2^+$ state. Using Eq. (13) this results in a $B(E2 : 0^+ \rightarrow 2^+)$ value of $0.0040\,\text{e}^2\text{b}^2$. Here, we consider $E2$ transitions between these spin states in the Skyrme model, using the Skyrmion’s isospin state $\|2, 0; -2\rangle$. The new aspect is to take account of the contribution of the isospin to the electric charge density, and hence to the quadrupole moments. It would be best to do a proper quantum calculation of the expectation value of the quadrupole moments, but we have not been able to do this. Instead we treat the isospin state using a classical approximation. This is analogous to the approach to nucleons adopted in [28, 31]. There a nucleon is treated as a classically spinning $B = 1$ Skyrmion, which gives it both spin and isospin. To achieve the desired “space-fixed” isospin projection, the $B = 12$ Skyrmion’s red/green/blue colours spin in isospace while the black/white colours do not. (This produces a rotation among the $\pi_1$ and $\pi_2$ fields, while the $\pi_3$ field, associated with the black/white axis, remains constant.) The role of the isospin state $\|2,0;-2\rangle$ is to inform us of the most likely colouring of the Skyrmion, before the colours spin. If the projection in this state was $K_3 = \pm 2$ then the standard orientation and colouring of the Skyrmion would be the correct one, but as the projection is $K_3 = 0$ we must reorientate the colourings first. We reorientate the classical $B = 12$ Skyrmion colouring by the angles that maximize the wavefunction $\|2,0;-2\rangle$. The associated Wigner $D$ function for this state takes the form $D^2_{0,-2}(\alpha,\beta,\gamma) = e^{-2i\gamma}\sin^2\beta$, where $\alpha,\beta,\gamma$ are the isorotational Euler angles. The factor $e^{-2i\gamma}$ is the quantum representation of the colours spinning with $I_3 = -2$. $e^{-2i\gamma}\sin^2\beta$ has its maximum magnitude at $\beta = \pi/2$ and $\gamma = 0$ (or any other value of $\gamma$). Hence, we perform an isospin rotation of our initial classical solution with $\beta = \pi/2$ and $\gamma = 0$. This rotates the black/white points of the Skyrmion to be on the faces or edges of the $B = 4$ cube constituents, rather than at the vertices. In detail, under an isospin rotation with $\beta = \pi/2$ and $\gamma = 0$ (and $\alpha$ undetermined) the pion field $\pi = (\pi_1, \pi_2, \pi_3)$ transforms to $$\pi'_1 = -\sin\alpha\pi_2 + \cos\alpha\pi_3, \quad \pi'_2 = \cos\alpha\pi_2 + \sin\alpha\pi_3, \quad \pi'_3 = -\pi_1,$$ (19) and hence the new moment of inertia that we need is $U'_{33} = U_{11}$. The colours spin about the new 3-axis in isospace, but dynamically this is equivalent to spinning about the old 1-axis. For the $D_{3h}$-symmetric $B = 12$ Skyrmion we find $U'_{33} = U_{11} = 442$, see Table I. To classically model a Beryllium-12 nucleus whose projected isospin has magnitude $-2$ we require $U'_{33}\omega = -2\hbar$. (Physical isospin, like spin, is a half-integer or integer multiple of $\hbar$.) Hence, the isorotational angular velocity $\omega$ is given by $$\omega = -\frac{2\hbar}{U'_{33}} = -0.14,$$ (20) where $\hbar = 30.2$. For the Beryllium-12 nucleus, the classical isospin density is $$I_3(x) = \frac{\omega}{\hbar}U'_{33}(x).$$ (21) This isospin contribution to the electric charge density (7) has to be taken into account when calculating quadrupole moments (9). Note that Eq. (21) is correctly normalized as its integral gives $I_3 = -2$ and decreases the total electric charge $\frac{1}{2}B + I_3$ of the $B = 12$ Skyrmion from 6 to 4. We compute numerically the electric quadrupole moments $Q_{11}^{\text{Sky}} = 5.65$, $Q_{22}^{\text{Sky}} = 6.32$ and $Q_{33}^{\text{Sky}} = -11.9$ for the reorientated $B = 12$ Skyrmion. Thus, expressed in physical units using the calibration (5) the intrinsic quadrupole is $Q_0 = -0.135 \text{eb}$. The corresponding $B(E2 : 0 \rightarrow 2)$ value is $0.00181 \text{e}^2\text{b}^2$ which differs by approximately 50% from the experimental value. CONCLUSIONS* We have calculated for the first time within the Skyrme model electromagnetic transition strengths between the $0^+$ ground state and the first-excited $2^+$ state for a range of light nuclei: $^8_4\text{Be}_4$, $^{12}_6\text{C}_6$ and its Hoyle state, $^{12}_4\text{Be}_8$, $^{20}_{10}\text{Ne}_{10}$ and $^{24}_{12}\text{Mg}_{12}$. We find that the calculated $E2$ transition strengths have the correct order of magnitude and the computed intrinsic quadrupole moments match the experimentally observed effective nuclear shapes. For the Hoyle state we predict a large $B(E2) \uparrow$ value of 0.0521 e$^2$b$^2$. Measurements of the electromagnetic transition strengths between the states of the Hoyle band are technically difficult and have yet to be performed [3, 43]. For Oxygen-16, we can obtain a quantitative understanding of the ground state band and the rotational band formed by the second excited spin-0 state $0^+_2$ and its rotational excitations. Similarly to the ground state band of Carbon-12 and the rotational band of the Hoyle state [18], we interpret the Oxygen-16 rotational bands as rotational excitations of two Skyrmions with very different shapes, one tetrahedral and the other a bent square. The quantized tetrahedral Skyrmion models the $0^+_1$ ground state and its 3$^-$ and 4$^+$ excitations. The quantized bent square Skyrme configuration is identified with the $0^+_2$ state and its rotational excitations. We find that the $0^+_2, 2^+, 4^+$ states of energies 6.05, 9.84 and 16.84 MeV are very well modelled as $k = 0$ states of the bent square band. The almost equal values of the spin moment of inertia $V_{11}$ for the tetrahedron and bent square are a success of the Skyrme model. The Skyrme model predicts that the ratio of the slopes of the $k = 0$ bent square band and the ground state band is the ratio of these $V_{11}$ values, and is very close to 1. The ratio of the experimental slopes agrees with this. The $k = 2$ band of the bent square matches experimental 2$^-, 3^-, 4^-$ states. Furthermore, we used Eq. (18) to predict the energy difference between $k = 0$ and $k = 2$ states of the same spin (but opposite parity). The predicted energy difference has the right sign and marginally agrees with experiment. There remain some challenges for the Skyrme model. For baryon number 20, the triangular bipyramidal arrangement of five $B = 4$ cubes which we used to describe $E2$ transitions in Neon-20 is not a minimal energy Skyrmion but a saddle point. For $B = 32$, the minimal energy Skyrmion is cubically symmetric and hence cannot explain the large prolate quadrupole moment of Sulphur-32. However, Skyrmions deform under rotations and hence a non-zero quadrupole moment may be induced. The approach used in this paper is limited to Skyrmions with axially symmetric inertia tensors, and with quadrupole moments satisfying $Q_{11} = Q_{22}$. The calculation of $B(E2)$ strengths for transitions between rotational levels in triaxial nuclei [55, 56] using the Skyrme model requires a different approach. Further lines of investigation to consider are higher-order electric multipole transitions and magnetic dipole transitions within the Skyrme model. In particular, the $0^+$ to $3^-$ transition strength in the Oxygen-16 ground state band should be calculated. Finally, we neglected deformations in our calculations; that is, we assumed that the low-lying rotational states are well approximated by the rigid rotor states of the Skyrmions. Recently, $E2$ transitions in deformed nuclei have been studied within an effective theory for axially symmetric systems [57], and a similar study of deformed Skyrmions is desirable. Acknowledgements This work was partly undertaken on the COSMOS Shared Memory system at DAMTP, University of Cambridge operated on behalf of the STFC DiRAC HPC Facility. This equipment is funded by BIS National E-infrastructure capital grant ST/J005673/1 and STFC grants ST/J001341/1, ST/H008586/1, ST/K00333X/1. MH has been partially funded by the UK Science and Technology Facilities Council under grant number ST/J000434/1. MH thanks Andrzej Wereszczynski and the Jagiellonian University, Krakow for hospitality. 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Carlos Bosch García Documentos de la relación de México con los Estados Unidos (noviembre de 1824-diciembre de 1829) Volumen I. El mester político de Poinsett México Universidad Nacional Autónoma de México, Instituto de Investigaciones Históricas 1983 476 p. (Serie Documental, 13) ISBN 968-58-0552-0 Formato: PDF Publicado en línea: 15 de abril de 2016 Disponible en: http://www.historicas.unam.mx/publicaciones/publicadigital/libros/docsmexeu/01mester/politico.html DR © 2016, Universidad Nacional Autónoma de México-Instituto de Investigaciones Históricas. Se autoriza la reproducción sin fines lucrativos, siempre y cuando no se mutile o altere; se debe citar la fuente completa y su dirección electrónica. De otra forma, requiere permiso previo por escrito de la institución. Dirección: Circuito Mario de la Cueva s/n, Ciudad Universitaria, Coyoacán, 04510, México, Ciudad de México 31 de mayo de 1826. México: J. R. Poinsett a H. Clay Sir, The congress of the Mexican United States adjourned on the 23rd instant, after a session of five months. A translation of the President's message on closing the session accompanies this letter, and however strange some of the phrases may appear in English, they are correctly and faithfully translated. These papers are written by the President's Secretary, Tornel. You will perceive by the text of this message the effect produced upon this government by the publication of the papers called for by Congress. The President's declaration, respecting the Islands of Cuba and Puerto Rico created sensation. I have heard nothing since of the projected expedition against Cuba, and think owing to the very wise decision of the Mexican House of Representatives, that no movement of importance can be made by this government. They are anxious to know what course we would pursue in the event of the invasion of Cuba being resolved upon the belligerant states in the Congress of Panama. My own opinion is, that a firm stand against a measure fraught with such disastrous consequences to the interests of the United States, would effectually prevent its adoption by Mexico and Colombia. But if these states should notwithstanding our opposition, resolve to undertake the invasion of Cuba, every assertion may be made here to prevent the sanction of this Congress being given to their plans. Although the President, in his message, deprecates the commencement of hostilities between the new states of America, he applied to Congress for permission to take possession of the disputed district of Soconusco by force. The House pressed a resolution to that effect, which was not acted upon by Senate. Yucatan is in a state of great confusion and disorder. The Congress fled from Merida to Campeche, declaring that a faction in the capital had attempted to control their deliberations. This government is about to send Gen. Bustamante to take the command of the troops in Yucatan, in hopes he may be able to pacify and unite the parties which divide the state. Our trade suffers on that part of the coast of Mexico from want of a good commercial agent. The person who has acted hitherto as such, belongs to one of the factions, and is not qualified to attend to our commercial interests in Yucatan. We ought to have a prudent, discreet man there, and, if practicable a citizen of the United States. The overzeal of Mr. Chew the Mexican consul in Philadelphia, occasions great embarrassments to the trade from that port to Mexico, gives me great deal of trouble, and commits this government. He insists upon the privilege of certifying the invoices of all vessels that clear out for Mexico from that part. The merchants object both because they dislike to exhibit their invoices to Mr. Chew, who is himself a merchant trading to Veracruz, and might avail himself of their superior knowledge of this trade; and because, they are aware the Mexican regulations on this subject are informal and irregular. In consequence of their refusal, he writes to the administrator of the customs in Veracruz, that there is an informality in the clearance of the vessel, and the cargo is detained until the Secretary of the Treasury is consulted. The cargo is then released but after much trouble and delay. This government acknowledges the injustice of the regulations, and has repeatedly promised to rescind them. That they have not done so, I attribute only to the ordinary procrastination of business. In the meantime the Mexican consuls in all the other ports of the United States except Philadelphia, abstain from insisting upon certificates and from annoying the fair commerce of the merchants by representations to the custom officers of Mexico. Philadelphia is so largely engaged in this trade, that it is of importance. The functions of Mexican consul should be exercised by a discreet man. The negotiations for the treaty of navigation and commerce proceed with characteristic slowness. I fear that I shall be compelled to abandon the basis of reciprocity and treat on that of the most favoured nation. They have not a single vessel capable of making a foreign voyage. The whole commercial marine of Mexico consists of a few bongos, miserable schooners. I am assured, that the President with the advice of his council will call an extraordinary meeting of the Congress in August, when, the negotiations are concluded, the treaty can be ratified and sent home in autumn. Firmado por J. R. Poinsett. México. Poinsett. March 15' 1823-June 17' 1826. Department of State. Vol. 1. Docs. 1-47, doc. 46. NAW. 53 2 de junio de 1826. México. Protocolo de la octava conferencia entre Poinsett y los plenipotenciarios. Artículo 8: se aceptó cambiando algunas palabras pero sin mudar el sentido. Artículo 9: se aprobó también con cambio de palabras. Artículo 10: Artículo 11: fue modificando en cuanto a que se presentasen los documentos de la carga del buque según como fueran las costumbres del país. Artículo 12: sobre la introducción fraudulenta de los artículos en los países se aprobó después de algún cambio en la fraseología. ASREM. 7-11-40, fols. 52-54. 54 6 de junio de 1826. México. Sebastián Camacho da curso al decreto presidencial de 5 de junio sobre el uso de los transportes de los extranjeros. Primer secretario de Estado. Sección de gobierno. El Excmo. Sr. presidente de los Estados Unidos Mexicanos se ha servido dirigirme el decreto que sigue: El presidente de los Estados Unidos Mexicanos. Habiendo pesado detenidamente la necesidad de simplificar en lo posible el método observado hasta aquí en el ramo de pasaportes, y con el objeto de facilitar el mejor cumplimiento de las leyes que hasta ahora en la materia, de combinar la seguridad pública con el fomento de la población y de la industria, y de ocurrir por medio de reglas claras y sencillas, a las dudas que han ocasionado las diversas órdenes expedidas sobre el particular, según lo han consignado las circunstancias de la nación, he venido en decretar el reglamento siguiente. Artículo 1. Todo extranjero, antes de desembarcar en cualquier puerto de los Estados Unidos Mexicanos, producirá declaración formal, en que manifieste su nombre, edad, estado y naturaleza, el punto de su procedencia, y el de su destino, objeto de su viaje, personas a quienes viene recomendado, su profesión y medios de subsistencia. Artículo 2. Dicha declaración deberá recibirse por escrito y firmarla el interesado, a cuyo efecto el capitán del puerto, o quien haga sus veces, pasará a bordo a recibirla luego que haya fondeado el buque. Artículo 3. Evacuada esta formalidad, el capitán del puerto, o la persona que le substituya, exigirá la presentación del pasaporte, y cierto de la identidad de la persona, y de que el pasaporte exhibido es el que debe traer, o que se halla en aptitud de obtenerlo, según lo que se prescribirá en los artículos siguientes, pondrá en el mismo documento la licencia de desembarco, bajo la precisa condición de presentarse inmediatamente a la autoridad política del puerto respectivo, y dará constancia de ella al interesado, para que no se le oponga embarazo dentro del buque, ni al saltar en tierra o en la entrada del puerto. Artículo 4. Sin la presentación de esta licencia, ni los comandantes de los buques permitirán desembarcar a pasajero alguno extranjero, ni resguardo o guarnición del muelle, los dejará entrar, bajo su respectiva responsabilidad. Artículo 5. Para los efectos del artículo 3º, serán suficientes respecto de cualquier extranjero, los pasaportes que haya expedido el gobierno general, y respecto de los extranjeros que pertenezcan a naciones que hayan reconocido la Independencia de los Estados Unidos Mexicanos, o sean neutrales, serán también suficientes los que hayan expedido, o visado, los agentes de la República en las naciones extranjeras. Artículo 6. A los extranjeros súbditos, o ciudadanos de las naciones que tienen agentes debidamente acreditados cerca del supremo gobierno de México, que no presenten alguno de los pasaportes de que habla el artículo anterior, se les concederá licencia para el desembarco mediante abono de su cónsul en aquel puerto de ser ciudadano de su nación y traer capital o industria de que subsistir o previa fianza de un ciudadano mexicano sobre esto mismo, con la expresada condición de presentarse inmediatamente a la autoridad política del puerto respectivo. Artículo 7. La expresada autoridad política en los casos de presentarse por los extranjeros pasaportes suficientes, los visará y tomando la razón correspondiente extenderá en ellos el permiso, o bien para permanecer en el puerto, o bien para internarse según pidiera el interesado. Artículo 8. Respecto a los extranjeros de que habla el artículo 6°, la autoridad política del puerto, podrá librarles pasaporte provisional para pasar al punto que les acomode del tránsito hasta la capital, donde deben pedir al gobierno general por conducto de los ministros públicos de sus respectivas naciones, el que necesitan para permanecer e internarse. Artículo 9. A este efecto, en llegando a esta capital, se presentará a su respectiva legación, de la que tomarán un certificado que acredite ser el extranjero ciudadano o súbdito de la nación a que la legación pertenece, y tener capital o industria de que subsistir a fin de que se les conceda por el supremo gobierno pasaporte por un año para transitar libre y seguramente por toda la federación. Artículo 10. Este certificado será concebido en los términos siguientes: El infrascripto etc., certificó que N. es súbdito ciudadano de etc., y suplicó al gobierno de los Estados Unidos Mexicanos se sirva concederle licencia por el término de un año contando desde su fecha para transitar libre y seguramente por todas partes de la federación. Firmado. México a ... de ... Artículo 11. Los extranjeros de que hablaban los artículos anteriores, que no hayan llegado a esta capital, solicitarán de su legislación igual certificado para obtener, dentro de un mes, el pasaporte del supremo gobierno. Artículo 12. Todo extranjero, sea que haya obtenido el pasaporte provisional de que habla el artículo 8°, sea que lo tenga absoluto, competente, estará en obligación de presentarse a la autoridad política de su destino, y de todo aquel lugar en que haga una detención de más de tres días, para que cada una de estas autoridades vise el pasaporte, y por este acto se le entienda permitido permanecer, o continuar su viaje, según las calidades del pasaporte. Artículo 13. Para evitar en lo sucesivo los fraudes que han solido cometerse, y podrán intentarse suponiéndose algunos extranjeros ciudadanos de los Estados Unidos del Norte de América, a cuyo fin han hecho valer como carta de ciudadanía la patente de juramento otorgado en dichos Estados, está conforme la legislación de ellos en no expedir certificados para pasaportes sin la evidencia más satisfactoria de que tengan la ciudadanía de los mismos Estados los que los soliciten; y tal debe ser el abono que presten los cónsules respectivos de ellos para la licencia de que habla el artículo 60. Artículo 14. Con los súbditos del gobierno español que llegan a nuestros puertos, se observará lo dispuesto en los artículos 18, 28 y 38; pero no se les permitirá desembarcar sin otro pasaporte que el que haya expedido el gobierno general con arreglo a la ley del 25 de abril próximo pasado. Artículo 15. El extranjero, o extranjeros, que no estén en el caso de los que hable el artículo 6o., y no presentaren pasaporte competente, no podrán desembarcar hasta haberlo obtenido del gobierno general por la Secretaría de Relaciones. Artículo 16. La Secretaría no expedirá pasaporte alguno de los que requiere el artículo anterior, si no se le pide por conducto del gobernador del Estado en cuyo puerto se halla el interesado, ni los gobernadores darán curso a semejantes solicitudes sin estar antes satisfechos de la conducta del interesado, por conocimiento que al intento se les exigirá de un ciudadano mexicano. Artículo 17. Los extranjeros de que hablan los artículos 6o. y 8., y siguientes hasta el 12o., luego que obtengan el pasaporte del gobierno general acudirán a presentarlo a la autoridad política de su residencia, y si no lo hubieren hecho dentro de un mes de la expedición del pasaporte provisional, que se les haya expedido por la autoridad política del puerto a que llegaron, serán obligados por la de su residencia a retroceder para embarcarse precisamente, haciéndose unas a otras autoridades las comunicaciones correspondientes, y avisando de ellas al gobierno general. Artículo 18. A este efecto, todas las autoridades al visar los pasaportes, tomarán las razones convenientes de ellos, y cuidarán de estar a la mira de las disposiciones indicadas. Artículo 19. La renovación de pasaportes se hará en cuanto acabe el término de un año, porque se hayan concedido en virtud de un certificado concebido en los términos expresados; sin más variación que la palabra renovarle en lugar de concederle. Artículo 20. Para evitar todo fraude, el capitán del puerto luego que haya cumplido la prevención del artículo 20, enviará a la autoridad política una noticia, con aviso de la llegada de todo buque, y de los pasajeros a quienes ha permitido desembarcar llevará, con el mismo fin, un registro exacto de las licencias que despachare y circunstancias del despacho de cada una; y remitirá a la Secretaría de Relaciones, por conducto del Ministerio de Guerra, las declaraciones originales de que habla el artículo 10., y copia mensual del mencionado registro. Artículo 21. El que, contraviniendo a este decreto, desembarcare, o se internare en el territorio, será reputado como sospechoso, y obligado en consecuencia a reembarcarse. Artículo 22. Para salir del territorio, podrá ocurrirse indistintamente por el pasaporte necesario para el efecto al gobierno general, o al particular del Estado en que se halle el interesado, mas en ningún caso se expedirá, sino después de haber caucionado los intereses de la Hacienda Pública, con certificación del administrador respectivo, y siempre se noticiará la salida al gobierno general. Artículo 23. Los habitantes de los Estados Unidos Mexicanos, que hubieran salido del territorio, con pasaporte precisamente del gobierno general, podrán desembarcar, e internarse con dicho documento, siempre que acrediten ante el capitán del puerto, no haber tocado en el curso de su viaje en punto enemigo: y en cuanto a extranjeros que regresaren se observarán los mismos requisitos prevenidos para su admisión en los artículos anteriores. Artículo 24. Quedan derogadas todas las órdenes relativas a este ramo, expedidas antes del presente decreto, excepto la del 19 de noviembre de 1825, que prescribe a los gobernadores de los estados remitir partes mensuales al gobierno general de los extranjeros que arriben al territorio de su mando. Artículo 25. Los gobernadores de los estados y del distrito, y los jefes políticos de los territorios, celarán de que las autoridades subalternas les pasen las noticias oportunas para el cumplimiento del artículo anterior. Y para que lo contenido en el presente decreto tenga su más puntual cumplimiento, se mandó se imprima y publique remitiendo suficiente número de ejemplares a los gobernadores de los estados, a los enviados de las potencias extranjeras, a los de la República, y a los capitanes de puerto. Palacio de Gobierno Federal. México, 5 de junio de 1826. Firmado por S. Camacho. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, anexo al doc. 65. NAW. 55 7 de junio de 1826. México, J. R. Poinsett a H. Clay La carta particular se refiere a su sueldo y al final acaba diciendo en dos párrafos aislados: Masonry is beginning to flourish and to bring for the good fruit throughout this country. Except the President every member of the cabinet and all leading men in the country are masons. Even among the higher clergy we have many respectable brothers. I wish you would send some able man to Peru. The English are active there and our consul is in the interior at the mines of Pasco, neither ought Guatemala to be neglected. You will pardon these suggestions but I have felt the effects of our want of due vigilance here. Mexico. Poinsett. March 15' 1823-June 17' 1826. Department of State. Vol. 1. Docs. 1-47, sigue al doc. 32. 56 12 de junio de 1826. México, protocolo de la novena conferencia entre los plenipotenciarios Se vuelve y se aprueba el artículo 1º, después de las modificaciones que propusieron los mexicanos. Artículo 13. Se propuso que se dejara por estarse discutiendo en el congreso el asunto, pero Poinsett presionó y se concluyó insertando el artículo de Gran Bretaña al respecto. Artículo 14. Había sido objetado sobre los tribunales de justicia: objetaron los mexicanos que ellos no podían interferir con lo dispuesto por los tribunales de justicia. Se hizo una alteración en el artículo y lo aprobaron. Artículo 15. Sobre tolerancia en religión, vista la imposibilidad de la constitución se substituyó por el artículo incluido en el tratado con Gran Bretaña. Artículo 16. Se discutió el principio de que la bandera cubre la carga; los mexicanos lo posponen para poderlo pensar. ASREM. 7-11-40, fols. 55-57. 57 13 de junio de 1826, protocolo de la décima conferencia de los plenipotenciarios Se discute el artículo 13 y se aprueba. Se discute el artículo 16 y se aplaza la decisión. Artículo 20 aprobado. Artículo 21 por contener el mismo principio que el 16 reservado. Artículo 22 aprobado. Artículo 23 aprobado en cuanto a cuáles serían las pruebas fehacientes. En caso de que no hubiera documentación, que se deja a satisfacción del tribunal competente. ASREM. 7-11-40, fols. 58-60. 58 13 de junio de 1826. Protocolo de la treceava conferencia entre los plenipotenciarios Se vuelve a discutir el artículo 16 y se llega a la conclusión de arreglarlo á base de lo establecido en el artículo 15 del tratado de límites, amistad y navegación entre los Estados Unidos de América y España, firmado en San Lorenzo el Real el año de 1795, que establecía que los buques libres hacen las mercancías libres, así quedó el artículo 16. Artículo 17, que se rehusó, por ser consecuencia del anterior se aprobó. Artículo 19, después de más discusión, pero ayudado por haberse aprobado el 16, fue admitido también. Suscitaron los mexicanos que hacía falta discutir el artículo adicional dadas las circunstancias del país y que debía decir: "quedan exceptuados de las estipulaciones del art. 3 de este tratado durante la continuación de la presente guerra entre los Estados Unidos Mexicanos y España y los españoles naturalizados en los Estados Unidos de América después del año de 1820 inclusive." J. R. Poinsett se opuso por decir que en Estados Unidos se consideraban todos sus súbditos por el mismo pie. El comisionado J. R. Poinsett desiste a sus objeciones y aprueban el artículo. ASREM. 7-11-40, fols. 72-77. 59 15 de junio de 1826. México, protocolo de la onceava conferencia entre los plenipotenciarios Artículo 25. Se aprobó después de discutirlo. Artículo 26. Se aprobó con discusión. Artículo 27. Se aprobó. Artículo 28. Se aprobó. Artículo 29. Se aprobó. Artículo 30. Se aprobó. Artículo 31. Se aprobó. ASREM. 7-11-40, fols. 61-64. 60 15 a 20 de junio de 1826. México. Los comisionados mexicanos a J. R. Poinsett Artículo propuesto por los comisionados mexicanos con la intención de que fuera agregado como un artículo adicional al tratado discutido. Ponen a consideración de Poinsett el último artículo del tratado sobre fronteras, por ser muy importante a los dos lados el que las fronteras se establezcan por medio de un tratado solemne. Ambas partes se comprometen a sufragar los gastos que puedan necesitar las comisiones para practicar las operaciones y prácticas científicas, etc. Para celebrar el dicho convenio sobre bases de justicia, los pagos se efectuarán por la parte que las pidiese a su justo precio y los actos que mientras se llega a un arreglo se efectuaren por indios u otros pobladores en la región fronteriza no serán argumento de posesión para después. ASREM. 7-11-40, fols. 11v.-12. 61 16 de junio de 1826. México, protocolo de la doceava conferencia entre los plenipotenciarios Artículo 31. Se aprobó, un poco modificado. Artículo 32. Se aprobó. Artículo 33. Se aprobó. Se vuelve al artículo 16 y tampoco se llega a un acuerdo, el señor J. R. Poinsett somete a consideración una nota con sus puntos de vista. ASREM. 7-11-40, fols. 65-71. 62 16 de junio de 1826. México. S. Camacho a J. R. Poinsett Sir, It is extremely painful to me to have to call the attention of Y. E. to the contents of a communication, dated the 9th of the present month, which has been addressed to me by the Minister of War. He therein makes known to me, that the Commanding General ad interim of the eastern states of the interior informs him, that according to the declarations of two captives, who have effected their escape from the hands of the Comanche Indians, that savage tribe is preparing to commit hostilities on various points of the frontier, relying for this purpose on the protection of the Americans of the north, who are continually supplying them with arms, powder, and other things necessary to them. H. E. the President having heard this disagreeable intelligence, has desired that it should be brought to the notice of Y. E. in order that you may convey it to your government, and request it to take the necessary measures to prevent this pernicious traffic, as this government would do on its part with respect to the Indians who inhabit the territories of the United States of the North. Firmado por S. Camacho. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 48-85, anexo al doc. 48. NAW. --- 63 19 de junio de 1826. México. S. Camacho y J. I. Esteva a J. R. Poinsett Señor, Los infrascritos plenipotenciarios de los Estados Unidos Mexicanos tienen el honor de someter a la consideración de V. E. el artículo que indicaron en su última conferencia y es como sigue: Siendo tan importante a las dos partes contratantes el arreglo definitivo de sus límites por medio de un tratado solemne, se comprometen igualmente a tomar en consideración este punto, a la posible brevedad, franqueando cada una en su respectivo territorio los auxilios que puedan necesitar las comisiones o personas mandadas por la otra a practicar operaciones científicas, reconocimientos, descubrimientos y todo lo concerniente a celebrar el indicado convenio sobre bases de justicia y conforme a las amistosas relaciones ya existentes entre ambas partes y dichos auxilios se pagarán por la que los pidiere a su justo precio; sin que entre tanto los actos posesorios que los ciudadanos, pueblo o indios del territorio de la una verifiquen en el territorio de la otra puedan fundar derecho a reclamaciones o indemnizaciones al tiempo del definitivo convenio. Los infrascritos se abstienen de hacer ulteriores observaciones sobre la justicia y reciproca conveniencia de este artículo después que ya las han expuesto a V. E. en el curso de la última conferencia; siendo su principal objeto que una materia tan delicada no quede expuesta a la variedad de opiniones de los respectivos gobernantes de los dos países, sino iniciada en términos de que uno y otro gobierno no puedan prescindir de ocuparse de su arreglo del modo más justo y amistoso. Los infrascritos tienen el honor de ofrecer a V. E. los testimonios de la perfecta consideración. Firmado por S. Camacho y J. I. Esteva. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2, Docs. 14-17, 48-85, anexo al doc. 48. NAW. 64 20 de junio de 1826. México. J. R. Poinsett a H. Clay Sir, I have the honor to transmit herewith a note from the Secretary of State and Relations of this government. The subject on which it treats, the trade of our citizens with the Indians in arms and ammunitions of war, is one of serious annoyance to the Mexican government. Their army is concentrated in the neighbourhood of the capital and the distant settlers are exposed unprotected to the attacks of the Comanches and other hostile tribes. The Mexican plenipotentiaries were desirous of prohibiting the trade between the citizens of each of the respective countries with the Indian tribes inhabiting the territories of the other. To this arrangement I would not assent; but there do exist abuses in that trade, which will call for the interference of [the] government. The hostile tribes, inhabiting the territories of Mexico, capture the defenseless settlers and convoy them over the border, where our people redeem them from the Indians, and keep them until claimed and ransomed by their friends. It is obvious, that this compromise between humanity and interest on the part of our people, encourages the Indians to make captives, and indirectly to make war. I have consented to provide against this toil, as far as it can be provided against by treaty. Our conferences have terminated, and the treaty will probably be signed in a few days, when a copy shall be immediately forwarded to the Department. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, doc. 48 NAW. 65 23 de junio de 1826. Washington. H. Clay a J. R. Poinsett Sir, Your despatches from Nº 36 to 45, inclusive, are received. With respect to the case of the Eagle, charged by the Mexican government, with an attempt to violate its revenue laws, and which, after having been in consequence, seized, subsequently made her escape, I am charged by the President to say that the government of the United States, entertaining the greatest respect for the laws of all other countries, gives no countenances to any of our citizens who may be guilty of a violation, the punishment of the commander of the Eagle, and all concerned with him, if after a fair trial, they should be found guilty of the offence imputed to them. For the purposes of such a trial, you may add, that, if they again come within the jurisdiction of the United Mexican States, we should acquiesce in their arrestation without making the slightest remonstrance or opposition against it. You were perfectly right in repelling the general inference drawn, without proof, from the particular case of the Eagle, of a disposition on the part of the commander and crews of our merchant vessels, to treat with disrespect, the laws of Mexico. The restricted permission given in regard to the proposed road from Missouri into the territories of the United Mexican States does not seem likely to be productive of much good. It can be of very little avail to make a reconnaissance without any privilege either to cut, and mark out, the road, or even to designate the route. I transmit you, herewith, copies of a despatch from Mr. Anderson and of a note from Mr. Raoniga addressed to him, in respect to the suspension requested by the President, of any attack meditated against the Islands of Cuba and Puerto Rico. The Republic of Colombia it would seem, has seen the President’s request in a light very different from that in which you represent the Mexican government to have regarded it, and has, in substance agreed to the suspension and deferred any invasion of those Islands, until the sense of the Congress of Panama is known on that subject. The season had so far advanced when the decision was finally made here, by the Congress of the United States, in respect to that at Panama; the danger to the health and lives of our ministers was apprehended to be so great; and the probability of an adjournment, until fall, of the Congress at Panama was so strong, that the President has concluded that Mr. Sargeant and Mr. Rochester should be permitted to remain here until the fall. Mr. Anderson being near the spot, has been allowed the option of proceeding to Panama, if it should appear to be necessary or of returning to the United States, and also waiting until the autumn. Firmado por H. Clay. United States. Mexican Papers. Instructions. January 6th 1826-October 24th 1827. Department of State. Vol. II, p. 139. 66 25 de junio de 1826. México, J. R. Poinsett a los comisionados mexicanos Poisett dice que no ve la tan grande urgencia que quiere México para tratar el asunto de los límites. Menciona que el tratado de Onís en 1819 habiendo sido ratificado por ambas partes se considera vigente. Y que, en 15 de febrero de 1824 el ejecutivo de México estaba pronto a acceder a los mismos límites puesto que Torrens, encargado de Negocios Mexicanos, en Washington pide la colaboración de los Estados Unidos para mantenerlo en pie. Sin embargo, tiene instrucciones de que, si México quiere, se fije una nueva línea que modifique la establecida en 1819. Pero Poinsett dice que no está de acuerdo con la costumbre de las naciones consistentes en que se establezcan las fronteras según los datos que recojan las comisiones, que lo que se hace es que cada comisión lleve su plan y que las dos juntas sobre el terreno vean en lo que estaban en desacuerdo para limar entonces las diferencias según los aparatos necesarios y las conveniencias de cada uno. ASREM, fols. 12v. 14. 1º de julio de 1826. México, protocolo de la catorcéava conferencia entre los plenipotenciarios Vuelve sobre la última discusión y dice que el artículo adicional enfrentaba a los Estados Unidos de América con España, pues el artículo incluía a los ciudadanos de Florida oriental y occidental y violaría el tratado existente entre los Estados Unidos y España que aseguraba a los habitantes de los territorios cedidos los privilegios, inmunidades y derechos de los ciudadanos de los Estados Unidos. México expone cómo esta medida es necesaria para su seguridad nacional. Después de que se expusieron todos los puntos de vista se aprobó el artículo cambiándolo en los términos siguientes: Los Estados Unidos de América no se opondrán ni reclamarán contra ninguna medida de precaución que el gobierno de México juzgue conveniente adoptar para la seguridad de la República durante la continuación de la presente guerra de los Estados Unidos Mexicanos con España con respecto a las personas nacidas en los dominios europeos de S.M. el rey de España aunque dichas personas se hallen establecidas en los Estados Unidos de América, no obstante lo que en contrario se estipule en cualquier artículo del presente tratado. ASREM. 7-11-40, fols. 78-83. 66 8 de julio de 1826. México. J. R. Poinset a H. Clay Sir, Contrary to my expectations Captain Porter has accepted the commission of Capitán de Navío (Captain of a line of battle ship) in the service of Mexico. He left the city yesterday to take command of the squadron at Veracruz, and fit out all the vessels there for immediate service. His orders are to cruise on this coast and within the Gulf. The anxiety manifested by this government to have the services of this officer, arose from the proposition of Colombia, which I mentioned in a former letter, that he should command the combined squadrons. The meditated attack on Cuba is suspended for some time, and it will be difficult for these governments to find means to carry it into effect, when it is resolved on. I have ascertained, that this government intends to confide to Captain Porter six blank commissions for privateers to be fitted out in the United States by such individuals as may be disposed to enter into this speculation: and Camacho, who will sail shortly for England, is to take with him others to be distributed there. Both governments are interested in preventing privateers being fitted out in their ports, and therefore I give you the earliest information on the subject. I shall inform Mr. Ward of the determination of the Mexican cabinet before Camacho sails. It is due to Captain Porter to state, that I did not derive this information from him, nor do I believe, that he is aware of it, but you may rely upon its correctness. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17' 1826-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, doc. 49. NAW. 10 de julio de 1826. México. Protocolo de la catorceava conferencia entre los plenipotenciarios de los Estados Unidos Mexicanos y de los Estados Unidos de América Protocolo De la conferencia décima cuarta tenida por los plenipotenciarios de los Estados Unidos Mexicanos y de los Estados Unidos de América el 10 de julio de 1826. Presentes los plenipotenciarios. El plenipotenciario de los Estados Unidos observó que mientras más reflexionaba sobre el tenor del primer artículo según lo proponían los plenipotenciarios mexicanos le parecía más objecionable: por la Constitución de los Estados Unidos todo ciudadano nativo o naturalizado goza iguales privilegios e inmunidades y él temía que el exceptuar alguna clase de ciudadanos de la protección debida a ellos por las leyes de los Estados Unidos después que estos individuos han cumplido con las leyes y son ciudadanos de los Estados Unidos se miraría como una violación de la Constitución: también había otra objeción que no [se] le había ocurrido el primer día que se discutió este asunto y que era insuperable. El artículo comprendía a todos los habitantes españoles de las Floridas oriental y occidental y violaría el tratado existente entre los Estados Unidos de América y España que aseguraba a los habitantes de los territorios cedidos todos los privilegios, derechos e inmunidades de los Estados Unidos. Los plenipotenciarios del gobierno mexicano declararon que ellos no trataban de excluir a los habitantes de las Floridas de ninguno de los beneficios de este tratado, que habían fijado el periodo en 1820 porque en este año se hizo por los habitantes de México la solemne declaración de que vivirían libres o perecerían, acontecimiento que se suponía había exasperado a España, aun más contra ellos, y que pudiera inducir a los españoles a valerse de todos los medios para derrocar el edificio de su libertad: ellos habían supuesto que en 1819 se había ratificado el tratado de Washington en que cedió España las Floridas a los Estados Unidos. El plenipotenciario de los Estados Unidos replicó que el tratado de Washington se firmó en febrero de 1819, pero no fue ratificado por el rey de España hasta octubre de 1820; por lo mismo el artículo en su estado presente incluía a todos los habitantes epañoles de las Floridas que habían sido naturalizados en virtud de aquel tratado. Los plenipotenciarios mexicanos repitieron que no tenían tal intención pero que era esencial al bien, si no a la existencia de su país, que el gobierno tuviese el derecho de tomar medidas de precaución contra las personas nacidas en España, aunque estuviesen naturalizadas en otros países; estas personas pueden haber renunciado a su dependencia de la madre patria, mas pueden conservar todas sus preocupaciones [sic] contra la América, y ser empleadas por España en daño de México: por esto deseaban que si la seguridad de la República exigía, a juicio del gobierno, medidas precautorias contra tales individuos, pudiesen tomarse sin dar motivo a ningún reclamo de parte de los Estados Unidos. Expusieron que al presente había en el Pacífico buques mandados y tripulados por españoles que se llamaban ciudadanos de los Estados Unidos a quienes por respeto a aquel gobierno se había permitido entrar en sus puertos, per que podían ocurrir circunstancias que hicieran extremadamente peligroso a la República el permitir que entrasen en un puerto de México buques con cuarenta o cincuenta españoles a bordo, y que estas personas residieren allí, o viajaren por el interior del país: ellos deseaban conservar el derecho de preservarse de este peligro. El plenipotenciario de los Estados Unidos observó en respuesta que todo gobierno tenía el derecho inherente de proveer a la seguridad del Estado especialmente en tiempo de guerra por las leyes generales que se crean convenientes y necesarias, ni los Estados Unidos tratarían de proteger a ningún ciudadano suyo, cuya conducta le hiciere incurrir en las penas de estas leyes. Los plenipotenciarios de México repusieron que las medidas de precaución que las circunstancias del país hiciesen tomar al gobierno serían tan generales que se dirigirían contra todas las personas nacidas en los dominios europeos del rey de España, cualquiera que fuese el país en que se hubiesen naturalizado: que la seguridad de la República podía obligar al gobierno mexicano a impedir a estas personas que vinieren al país, y se había resuelto a reservarse este derecho, especialmente cuando se sabía bien que aun los españoles más liberales, los amigos de la Constitución y de la libertad de la península se habían mostrado en todos tiempos contrarios a la independencia de las Américas: estas personas habían emigrado en gran número a diferentes partes del mundo, y en caso de una rebelión contra las autoridades existentes de México o de que lo invadiere España, no debía esperarse que el gobierno de México cediere el derecho de cerrar toda entrada al país a personas que en tales circunstancias no podían mirarse sino como peligrosas a la seguridad del Estado aunque estuvieran establecidas en los estados y territorios de las potencias amigas. El plenipotenciario de los Estados Unidos dijo en respuesta que sería necesario mudar enteramente la fraseología del artículo y expresar su sentido en términos más generales; y que debe entenderse distintamente que las medidas que el gobierno de México tenga por conveniente adoptar sobre este punto para la seguridad de la República deben ser generales en su naturaleza y no limitados a los españoles establecidos en los Estados Unidos de América. Los plenipotenciarios mexicanos asintieron a esta proposición, y el primer artículo adicional al tratado se extendió en los términos siguientes. Los Estados Unidos de América no se opondrán, ni reclamarán contra ninguna medida de precaución que el gobierno de México juzgue conveniente adoptar para la seguridad de la República, durante la continuación de la presente guerra de los Estados Unidos Mexicanos con España, con respecto a las personas nacidas en los dominios europeos de S.M., el rey de España, aunque dichas personas se hallen establecidas en los Estados Unidos de América, no obstante lo que en contrario se estipule en cualquier artículo del presente tratado. Este artículo se aprobó y entonces los plenipotenciarios respectivos firmaron el tratado. Una firma ilegible de M. Gómez Pedraza J. I. Esteva [El texto en inglés firmado por J. R. Poinsett.] ASREM, 7-11-40, fojas. 78-83. 12 de julio de 1826. México. J. R. Poinsett a H. Clay Sir, I have the honor to forward herewith copies of the Treaty of Amity and Commerce concluded by me with the plenipotentiaries of this government on the 10th instant, and of the protocols of the conferences held during the progress of the negotiation. You will perceive, that the principle of perfect reciprocity of duties has been surrendered, and that of the most favoured nation introduced into the treaty. This was one of the principal difficulties encountered by the plenipotentiaries of His Britannic Majesty. Their instructions were so positive, that they could not depart from them, and the plenipotentiaries of this government preferred breaking off the negotiations to yielding a point, the introduction of which, in their opinion, would have induced Congress to reject the treaty. It is believed by the plenipotentiaries of His Britannic Majesty in Mexico, that if Mr. Canning does consent to abandon the principle of perfect reciprocity of duties between the contracting parties, he will insist on fixing the period when Mexico shall adopt it, say ten years, and will not be satisfied with the indefinite term implied by the last clause of the sixth article. You will perceive likewise, that I was compelled to abandon the provision contained in the last clause of that article of our treaty with Colombia which establishes the principle, that free ships shall make free goods. I thought myself fortunate, under all the circumstances of the case, to establish the principle without the exception. The opposition to it was much more formidable than would appear from the protocols; and although I should adhere to its introduction into the treaty, I should not have felt myself justified in making it a sine qua non. The establishment of the principle I deemed of paramount importance, and yielded the exception only on conviction that the Mexican government would not agree to it, pending their present negotiations with Great Britain. I am fully aware of the objections which will occur to you on reading the first additional article to this treaty. They are weighty, but this government would have made no treaty without such a provision. This difficulty met me at the threshold. The third article of the treaty was combated on this ground, and I induced them to waive the discussion at that time by declaring, that I never would consent to insert any exception to his article in the body of the treaty, and that all allusion to it must be postponed until we had concluded the treaty. I consented do it from the manner in which the Mexican plenipotentiaries persisted in introducing it. I felt convinced that they considered it essential to the liberties of this country to preserve the right they contended for, nor do I think them wrong in their estimate of the danger of admitting indiscriminately all Spaniards, wherever established, and at all times. Circumstances may arise, which might render it extremely dangerous to throw their country open to such persons. There are too many of them here now; and I never have met with one European Spaniard, wherever domiciliated, favorable to the cause of American independence. I yielded, not to their argumentes, but to the necessity and urgency of the case. Mr. King in his reply to my note in which I stated the difficulties I had encountered in my negotiations with Mexico, and which, I stated, had grown out of the preexisting treaty between that country and Great Britain, mentions, that he had had a conversation with Mr. Canning upon that subject, and says of the views of this country respecting the fourth article of the late treaty, Mr. Canning was not precise, but spoke of the treaty as he expected it to be remade; and I should infer from his remarks, that the views of Mexico will not be without their influence in the adjustment of the treaty, and should Mexico desire the continuance of the fourth article, I conjecture that Great Britain will not prevent its adoption. It is well known to me, that Mexico yielded the exception in favor of the states, which had formerly been Spanish possessions, with great reluctance, and had they found a disposition in Mr. Canning to censent to its insertion in a new treaty. They would, in my opinion, have agreed to such a provision, even at the hazard of never concluding a treaty with the United States. I would be understood here as alluding to the disposition of the executive alone, not to that of the Congress of people of Mexico. Mr. Canning, when made aware that the ciple of free ships making free goods was introduced into our treaty with Mexico, might have consented not unwillingly to the introduction of an exception which would forever prevent our concluding a treaty with this country. This gentleman might consider himself justified in adopting this course from the reports of his Britannic Majesty's plenipotentiaries in Mexico. I have been assured, that they thought proper to attribute the failure of their negotiations with this country to my influence; although I never have and never will oppose the establishment of friendly relations between the new American states and Great Britain on such principles as are not hostile to the interests of the United States. The impression that I had done so, however false in point of fact, might have induced Mr. Canning to take the measure I have alluded to. You will perceive, that the constitution of Mexico forms an insuperable obstacle to the introduction of the principle of religious toleration into this treaty. The provisions, of the thirty-fourth articles are intended to apply particularly to this subject. An effort will be made to amend the constitution in 1830 with this view, in order that this principle may be established. This intention must be kept secret to be attended with even the probability of success, and therefore the declarations of the plenipotentiaries, relating to it, are not spread upon the protocols. I do not send the original treaty now, because the coast is so very sickly, that no one can pass through Veracruz without imminent risk. I propose therefore to dispatch the treaty and ratifications together in October. The President assures me, that it is his intention to call an extraordinary session of Congress in September next. After its ratification, it is my purpose to send Mr. Mason with the treaty to Washington, in order that he may inform you verbally of the state of this country, and converse with you freely and confidentially on the subject of the treaty of limits. This government has appointed Gen L. Teran to examine the country near our respective frontiers and to obtain such information as will enable them to treat upon that subject understandingly. This is the gentleman formerly nominated by the executive to proceed to London and whose appointment was not confirmed by the Senate. He tells me, that he will leave the capital in all September. I suppose his departure will not take place before late in October. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, doc. 50. NAW. --- 71 12 de julio de 1826. México, J. R. Poinsett a H. Clay Sir, I have the honor to transmit herewith copies of my correspondence with this government on the subject of the seizure of the cargo of the Fair American, and restricting the consular certificates exacted from our merchants in the United States trading to this country, marked A to D. I have always regarded the whole proceedings of Mr. Obregón, in relation to these Mexican consular regulations, as irregular; and as they are oppressive to the fair trade of the United States, have opposed their execution from the day they were made known here. The President and secretaries have repeatedly assured me, that they should be modified and some general measure adopted on the subject, and out of consideration for the government, I had heretofore abstained from remonstrating against them. The case of the Fair American has led to the discovery of the illegal conduct of the custom officers at Refugio. The American merchants trading at that port, have been frequently plundered by the authorities of this government in a most shameful manner. I have written for all the proofs in these cases, and when received, shall lay them before the government and demand restitution of the property. The Secretary of State spoke to me a few days ago on the subject of the commercial agent of the United States at Campeche, and urged that he should be removed. He complained of the active part which he is known to take against the government. I told him, that I had already written to you on that subject, and hoped that he would be soon succeeded: A Mr. Lewis Mc. Gregor is recommended to me for the office of consul. He is a citizen of the United States of America residing in Campeche as a merchant and his friends will give the customary securities. I should prefer some one known to you to be sent to that port. Frequent complaints are made to me both of the improper conduct of the authorities of this government in seizing the cargoes of American vessels on the coast and in the harbours of Yucatan; and, on the other hand, of the organized smuggling trade carried on by vessels sailing under our flag. The latter is proved by the public papers of Havanna, which frequently mention the arrival and departure of American vessels for and from Sisal and other Mexican ports in the Gulf of Mexico. The knowledge of this fact gives rise to frequent and vexatious seizures of vessels engaged in lawful commerce between the two countries. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, doc. 51. NAW. 19 de agosto de 1826. México, "Gaceta Extraordinaria del Gobierno Supremo de la Federación Mexicana" Paz y libertad. El documento oficial que de orden del Excmo. Sr. Presidente va a copiarse a continuación, da a conocer el suceso-político más glorioso que podrá celebrar la posteridad en los fastos de los nuevos estados americanos, que estrechados con indisolubles vínculos de fraternidad se reunieron en la famosa Asamblea de Panamá para sostener su Independencia contra su antigua opresora: nos remitimos gustosos al sencillo tenor del propio documento sin hacer misterio de algunas de sus cláusulas, ni prevenir con anuncios pomposos a los habitantes del feliz Anáhuac para que tengan el inefable placer de considerar, por sí mismos, el honor que en tan venturoso suceso ha tocado a la república federal de los Estados Unidos Mexicanos. Bendígase la providencia que se ha dignado derramar sobre ellos tan copiosamente sus beneficios. dolor y gloria inmortal a los ilustrados, celosos, activos y patriotas ministros plenipotenciarios de aquella asamblea, que han sabido con tanto acierto desempeñar el más alto, grave e importante objeto de su misión, y a los gobiernos de los estados signatarios que han mostrado tanto tino en su elección delicada. 15 de agosto de 1826. Acapulco, legación de México en la asamblea de los nuevos estados americanos. Al ministro de Estado del Despacho de Relaciones internas y exteriores. Excmo. Sr, Hemos llegado a este puerto el día de hoy en el bergantín de guerra el Constante, habiendo salido de Panamá el 21 del mes próximo pasado, y tenemos la satisfacción de anunciar a V. E., que quedaron concluidos y firmados el 15 del mismo mes un tratado de liga y amistad perpetua entre las repúblicas concurrentes, una convención sobre contingente, un convenio reservado y un concierto que, dentro de pocos días, tendremos el honor de poner personalmente en manos de V. E. Con arreglo a dicho concierto, la asamblea de plenipotenciarios se traslada a continuar sus acciones a la villa de Tacubaya, y en consecuencia pasa a México un ministro de cada república mientras los otros han ido a dar cuenta de sus respectivos gobiernos de los trabajos del congreso; el Excmo. Sr. Pedro Gual, ministro por Colombia, debe salir de aquí para esa capital dentro de tres días; el Excmo. Sr. D. Antonio Larrazával, que lo es por Centro América, ha venido en nuestra compañía y sigue igualmente a México el Excmo. D. Manuel Tudela, ministro por el Perú y el Sr. secretario de la misma Legación y el de la de Centro América han de llegar dentro de pocos días en el bergantín Tres Hermanos con el mismo destino. Todo lo cual decimos a V. E., para que sirva disponer lo que estime conveniente, a fin de que los plenipotenciarios hallén los auxilios que necesiten, y se les faciliten las comodidades posibles, cual corresponde a la dignidad de nuestra República, y para que eleve estas interesantes noticias al supremo conocimiento del Excmo. Sr. Presidente. Firmado por los ministros plenipotenciarios: José Ma. Michelena y José Domínguez. Nota: Por carta particular de 15 de este mes sabemos lo siguiente: Ministros plenipotenciarios de la asamblea. Por Colombia, el Sr. Gual que ha salido de Acapulco en 16 del corriente para esta capital. Por el Perú, el Sr. Tudela que llegará a Acapulco dentro de ocho o diez días, el Sr. Bidaurre que volvió con los tratados. Por Guatemala, el Sr. Larrazábal que viene con nuestros ministros plenipotenciarios. El Sr. Molina que volvió con los tratados. El de Holanda viene por Veracruz. El de Inglaterra no vendrá hasta noviembre. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85. NAW. --- 19 de agosto de 1826. México. Juan José Espinosa de los Monteros a J. R. Poinsett Most Excellent Sir, The most excellent President of this Republic, desirous that Y. E. should be gratified with the intelligence no less important than flattering contained in the Gacette Extraordinary of today, and that you should communicate the same to your government, His Excellency has directed that 10 copies of it should be remitted to Y. E. and the undersigned, which fulfills with pleasure this supreme order, has the honor to renew to Y. E. the assurances of his distinguished consideration. Firma Juan José Espinosa de los Monteros. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-27, 48-85, anexo al doc. 53. NAW. 26 de agosto de 1826. México: J. R. Poinsett a H. Clay Sir, A late act of the general government of Mexico created a great excitement here, and nearly occasioned a revolution of parties. A certain Santangelo, an emigrant from Naples, wrote, and published a book in which he undertakes to point out the policy of the courts of Europe towards these countries, and the immediate and imminent dangers they have to apprehend from that policy. In the course of his remarks, he animadverts rather freely upon the conduct of the Mexican government and in consequence he was ordered to leave the country. The liberal party regarded this act of the government as an usurpation of power, the press teemed with the most violent attacks upon the administration. The executive, abandoned and even attacked by those friends who had heretofore supported their measures became alarmed, and entertained for some time the proposals of the opposite party, which, for the first time, advocated the acts of the government and offered its support to the administration. The outcry gradually ceased. Santangelo left the country, and embarked for the United States, and things are restored to their former state of tranquillity. The errors committed by the executive in such cases arise from the mistaken notion, that what is not expressly prohibited by the constitution, is permitted. I am told, that the illegal banishment of Santangelo will be discussed in Congress, the council having strongly disapproved the measure. The primary election of three hundred and thirty-six electors, to appoint for deputies to Congress for his capital, is just terminated. The distinctions of the several parties in this contest are curious and instructive as to the state of public opinion. The party which I have hitherto designated as the liberal or federal party, and which is attached to the present administration, is now called Yorkinos, ancient York masons; the opposition or centralists, Escoseses, Scotch masons; and the third party, that headed their ticket with the sign of the cross, Los Piadosos the pious in other words, the fanatics. The Yorkinos were successful, and it is generally believed, that they will prove equally so throughout the country. The Piadosos scarcely counted at all. In vain, did the priests declaim against the masons the people could not be prevailed upon to vote for the pious ticket. It is to be regretted that masonic societies should be converted into political meeting, which I believe, has been done here; but it is to be remarked, that the Scotch masons in Mexico used their rite as a political engine for many years before the establishment of the Ancient York masons under the auspices the Grand Lodge of New York and were openly and deadly hostile to the United States. One good effect is manifest since the establishment of the latter. The people generally have become more liberal in their religious sentiments, and there is now good ground for believing, that with prudent management, religious toleration may be engrafted on the constitution of Mexico in the year 1830, when that instrument is to be revised. I very much fear that the receipts of the treasury for the present year will fall far short of the estimates, and there is some reason to believe that the Secretary of State, Don Sebastián Camacho who is about to embark for London in the Hussar Frigate, is empowered to take a new loan, an undertaking of a very doubtful issue. The plenipotentiaries from Panama have not yet reached this city. It is now confidently asserted, that those from Mexico were instructed to propose the removal of the Congress to Yucatan or some other point in these states. Upon their arrival I shall endeavour to learn the precise nature of the secret convention, concluded at Panama. In all probability, it relates to the invasion of Cuba and Puerto Rico. I send herewith a translation of the speech of the President of the Congress of Panama on the installation of that assembly. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, doc. 55. NAW. 26 de agosto de 1826. México. J. R. Poinsett a H. Clay Sir, I have the honor to acknowledge the receipt of your letter of the 11th May last, together with the accompanying documents relating to the claim of Atlantic Insurance Company of New York upon the government for the illegal capture of the American brig Liberty. I shall immediately present this claim to the government of Mexico, and no exertion shall be wanting on my part to obtain justice for the parties should be made aware, that the forms of doing business in this country are extremely complicated and dilatory; so much so, that even in the most simple cases, the delay amounts very nearly to a denial of justice and no exertion or remonstrances of mine can hasten a decision. The Insurance Companies ought to be cautious, therefore, how they permit captains and supercargos to abandon vessels and cargoes on their being seized in the ports of Mexico. I regret to state, that the organized system of smuggling, carried on by American vessels on this coast justifies the officers of this government in regarding with suspicion every vessel sailing under our flag. I sincerely wish some plan could be devised to put a stop to this illegal traffic, injurious alike to the character and to the fair commerce of the United States. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State, Vol. 2. Docs. 14-17, 48-85, doc. 54. NAW. 3. de septiembre de 1826. México. J. R. Poinsett a H. Clay Sir, I have been assured that although the present condition of the Islands of Cuba and Puerto Rico was considered by the American plenipotentiaries at Panama, to be incompatible with the safety of these countries, and the policy of subduing them by force formed a frequent topic of conversation, in that assembly, still no decisive measures with respect to them were resolved upon; nor are they mentioned in the secret convention concluded between the Spanish American States. The plenipotentiaries were probably deterred from acting upon this very important subject, both by the language which has been held by the President with regard to these Islands, and by the inability of the government of Mexico and Colombia at this time to undertake any expensive expedition. The American plenipotentiaries at Panama, followed in their discussions the order of matters as laid down in General Bolivar's proclamation. The defense of these countries formed and they founded the basis of their system on the ground, the first 'and most important subject of their deliberations, that Spain lost the means of protecting or holding her American colonies at St. Vicent and Trafalgar, where her fleets were beaten and destroyed; that those disastrous defeats, and the subsequent events of her revolutions having almost entirely annihilated her maritime power. The most obvious method of defending the Americas will be to augment their naval forces. So as to enable them to intercept and destroy on the ocean any expedition that might be sent from Spain against them. On this reasoning the offensive and defensive treaty between the Spanish American states is formed, and it embraces two objects, first the ostensible one above recited; and secondly that by this arrangement the government concerned may be enabled gradually to diminish their land forces. A well grounded jealousy appears to have been entertained by the plenipotentiaries assembled at Panama, with respect to these large standing armies, and it entered into their views, that by this convention the governments concerned should be compelled to develop their intentions in this respect. By governments is meant here, those military chieftains, who direct the civil as well as military affairs of the respective governments. As it was understood that Mexico and Colombia must defray the expenses to be incurred in building and equipping the proposed naval force, it is provided that the other states shall pay a contingent for the purpose of supporting it. The agent sent to Panama by H. M. the King of the Netherlands is arrived here; but H. B. M. commissioner Mr. Dawkins is returned to England. These gentlemen were not present at the deliberations of the Congress. The American plenipotentiaries communicated to them from time to accounts of such of their proceedings as, were of great interest or as they judged proper. Having gathered these particulars in conversation with the plenipotentiaries; but having not yet had a sight of the treaties, whenever I do see them, I will immediately give you a more detailed account of their import. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, doc. 55. NAW. --- 77 27 de septiembre de 1826. Washington. H. Clay a J. R. Poinsett. Sir, Your despatches nos. 46, 47, 48, 49, 50, 51, and 53, have been received together with the Treaty of Amity etc., and copies of the protocol of the conferences during the negotiation, and the project of the treaty which you presented. I have not seen the President since the receipt of the treaty, in consequence of the absence of both of us from this city, and therefore, I cannot now inform you of the opinion which he entertains of it. It is certainly liable to the objections stated in your despatch no. 50. Of these, that which, I think, has most weight, is the refusal to equalize the tonnage duties in the navigation of the two countries. If Mexico simply declined the abolition of all discriminating duties, and each party were left at liberty, by its separate laws, to countervail the discriminating duties of the other, there would be less in the objection. There is perhaps, strictly, nothing in the words of the treaty to prevent this; but in the sixth conference, the protocol makes you say if, therefore, the vessels of Mexico were to be admitted into the ports of the United States on the footing of the most favoured nation, they would pay only the same charges and duties as those of the United States; whereas the latter might be subject to exorbitant discriminating duties, according to the regulations which Mexico might think proper to adopt in that particular. It is your understanding, and that of the Mexican Plenipotentaries, that we are restrained, by the treaty, from countervailing any discriminating duties which Mexico may think proper to impose in behalf of her own tonnage, and to the disadvantage of ours? If she has no commercial marina whatever, as was asserted by her plenipotentiaries, the preference which her laws might give to Mexican tonnage would be attended with no practical injury to us, at present; but on the conclusion of the war, the discrimination would manifestly operate against us in the transportation between the two countries. After the examples of Colombia and Guatemala it is strange that Mexico should be so unwilling to subscribe to the liberal principle. With respect to the argument derived from the fact of the incompetency of her commercial marine, at this time, to carry on her foreign commerce, there would be more in it if the way to supply the deficiency was by laws operating against all foreign navigation, in favour of Mexico. Such laws would undoubtedly be met by similar laws of foreign powers in behalf of their tonnage, unless they should be prevented from doing it by treaty; and, in the end Mexico would not find a more rapid augmentation of her marine, under the restricted, than under the liberal system. I am, as yet unadvised of the intentions of the President growing out of the transfer of the Congress of American ministers from Panama to the neighbourhood of Mexico, but I take it for granted that a successor to Mr. Anderson will be shortly designated, and our representatives be directed to the new place of meeting. Firmado por H. Clay. United States. Mexican Papers. Instructions. January 6' 1826-October 24' 1827. Department of State. Vol. 11, p. 159. 78 21 de octubre de 1825. México. J. R. Poinsett a H. Clay Sir, You will receive herewith a copy of a note addressed by me to the Secretary of the Treasury of this government on the subject of the detention of the American brig Delight in the port of Sisal. This affair did not admit of delay and aware of the dilatory manner of transacting business in the Department of State, I had an interview with the Secretary of the Treasury, and with his consent, addressed him this note. He has assured me, that an order was despatched by the following mail to release the vessel and cargo: This government persists in exacting the consular certificates although aware that they are not authorized by any law to do so; and I insist that even if such a law existed, it has not been promulgated in the United States, and cannot, therefore, be regarded as binding on the merchants of that country. If you will refer to the vice-consular regulations, as published by Mr. Obregón, you will perceive that he refers to no law or order of his government, and that they appear nearly as his own act. This subject has been repeatedly discussed in the cabinet, and some of the ministers are in favor of confiscating all American property so circumstanced and of enforcing the bonds given by the American merchants in Vera Cruz for the cargoes of three vessels which arrived there without certificates from the Mexican vice-consul in Philadelphia, notwithstanding the President positively assured me, that those bonds were exacted only pro forma, until some general measures were adopted in relation to the regulations which had been published by order of Sr. Alaman and which he regarded as prejudicial to the commerce of the two countries. I have not yet received an answer to my note respecting the seizure and confiscation of the cargo of the American schooner Fair American in the port of the Brasses de Santiago. It is certain, that the cargo of that vessel has been condemned and sold on no other pretext than the absence of consular certificates, although there is the declaration of the Mexican vice-consul at Baltimore to show, that on being applied to for the certificates, he assured the applicant that they would not be required at the port to which the vessel was bound. The amount of property belonging to the citizens of the United States which is involved in this question, amounts to very nearly a million dollars. Our treaty has not yet been submitted to Congress. It is now three weeks since President Victoria spontaneously assured, me that he intended to send it in the following week and that it should precede those concluded at Panama. A fortnight after I had received this assurance from His Excellency the treaties of Panama were submitted to Congress, and that with the United States is still withheld. The measures of this government towards the United States are directed by a sentiment of jealousy and an undefined dread of evil from a close connection with us. As they have a most exalted opinion of their own consequence, they suppose that we cherish the same feelings towards them and look upon their growing prosperity with a watchful and a jealous eye. They cannot be convinceed, that we are in a position to profit by that prosperity, however great it may be, without fear of the consequences. Whatever may be considered as unfriendly in the views of the administration with regard to the United States, is not supported by public opinion nor approved of by Congress. The elections throughout the states have generally terminated in favor of the Yorkinos. I have already acquainted you with the very singular denominations of the parties here. They are now agitated with a serious and important dispute. The election of members of the state Legislature of Mexico resulted in the entire exclusion of the members who compose that body at present. In consequence, they have contested the validity of the elections, and refuse to resign their seats. The successful party regard those proceedings as illegal, and both are highly excited. The quarrels of political parties in this country are to be dreaded on account of the existence of a numerous army, the officers of which are all arrayed on one side or the other. The President will probably submit this question to Congress as a subject in which the public tranquility is concerned: [A continuación en cifra.] It has been evident to me for some time past that another party is springing up in the state. At the head of it are Ramos Arizpe and Michelena, and in the cabinet they are united with Gómez Pedraza, the Secretary of War, and Espinosa the Secretary for the Department of Grace and Justice, and from his official situation possesses great influence over the clergy. He is shrewd and designing, and is well acquainted with the character of his countrymen. Michelena the former envoy to London is an artful intriguing and ambitious man aiming at power, and regardless of the means by which it may be acquired. Gómez Pedraza is a man of integrity, but obstinately ignorant of the true interest of his country. He would prohibit all foreign intercourse, and surround the Mexican states by an impenetrable barrier. He thinks that the prosperity and safety of the state are secured by the existence of a numerous body of troops, well clothed and armed, but most wretchedly disciplined. Espinosa is a great lawyer and a or statesman. He is the subservient tool of Ramos Arizpe. From their members in the cabinet this party possesses good influence over the undecisive character of the President. All their efforts are present directly against Esteva the Secretary of the Treasury another may succeed in compelling him to resign especially if my fears of a deficit in the treasury prove to be correct. [Acaba la cifra.] The Secretary assures me that he will be able to meet all the demands of government: but I am at a loss to understand how unless he hopes to negotiate a new loan in London. There is reason to believe, that señor Camacho was instruc- ted to do so if possible. The uncertain state of the House of Barclay, Richardson and Co. in London has distressed this government very much. Bills drawn upon that House by the Secretary of the Treas- ury at three days sight have not been accepted. The House writes, that they will be paid, but that the present situation of the their affairs did not permit them to accept bills for such large sums at so short a sight. There has been some correspondence between the Mexican charge d'affaires in London and the House of Messrs. Baring Brothers and Co. To induce them to take charge of the money concerns of Mexico. If that arrangement is not effected and the House Barclay and Co. fail, this Government will be very much distressed to meet its engagements. And the conse- quences of such an event may be very serious. I cannot by any calculation of mine, make the receipt of the revenue for this year amount to more than nine million and the expenses exceed thirteen million dollars. Their numerous standing army occasions this enormous expense and will cause a revolution in the country whenever the government ceases to pay the soldiery. It is almost impossible to preserve from revolution even a long established government when its means prove inadequate to defray its expenses; and the same causes must inevitably destroy an infant republic. The preservation of our own country under these circumstances forms a solitary exception to this great political principle and was due to causes which do not exist in Spanish America. If Mexico can maintain itself for three or four years to come, its resources will, in my opinion be ample to meet even the lavish expenses of this government. [A continuación en cifra.] I ought to have mentioned to you that Ramos Arizpe was one of the chief promoters of the party called Yorkinos and abandoned it on account of personal pique with some of its principal members. Should he succeed in his scheme, the relative situation of that party with regard to the administration will be totally changed, and the President will find himself in the same position in which he stood when I arrived in Mexico, surrounded by a few adherents, with the most powerful party in the nation, and in both branches of the legislature, opposed to him except that I regard Ramos Arizpe and his party as rather better than that of Señor Alamán. The President a few days ago offered the mission to the United States to Don Lorenzo de Zavala. I was not sorry that he declined it; he is one of the most efficient leaders of the party friendly to the United States, the Yorkinos, and is more useful here than he would be in Washington. The man who is held up as ostensible head of the party and who will be their candidate for the next presidency is General Guerrero, one of the most distinguished chiefs of the revolution. Guerrero is uneducated, but possesses excellent natural talents combined with great decision of character and undoubted courage. His violent temper renders him difficult to control, and, therefore, I consider Zavala's presence here essentially necessary, as he possesses great influence over the general. Although the secret treaty of Panama contains no direct provisions respecting Cuba, still it is understood, that its ratification will, by combining the two squadrons of Mexico and Colombia, enable this government to undertake the long projected expedition against that Island. Such is the view they entertain of the provisions of that treaty and they make no calculation of the cost and of the exhausted state of their treasuries. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, doc. 60. NAW. 79 24 de octubre de 1826. México. J. R. Poinsett a Espinosa de los Monteros Most Excellent Sir, ... It the month of September last, the American ship America put into the port of San Blas in distress. This vessel had experienced a long and tempestuous passage from China, and having suffered very serious injury in her hull and masts, she was compelled to make the first friendly port to repair her damages. The America was bound to Lima and the intermediate ports, and, therefore, it is not surprising, that she should have on board some articles prohibited by the custom laws of Mexico to be imported into this republic. From the situation of the ship, it was found necessary to discharge the cargo, which has been deposited in the customhouse of San Blas. Among other articles, are some sugars, which are prohibited by the laws of Mexico; but Your Excellency must be aware, that the prohibitive laws of the customs of Mexico cannot apply to the cargo of a friendly vessel, which is not bound to a port of the republic, but merely takes refuge there from distress. Such cases are provided for in an article of the Treaty, which has just been concluded between the United States of America and the Republic of Mexico. But even had no mention been made of them in that treaty, every government is bound by the common laws of justice and humanity to afford protection to the vessels of a friendly nation, which may be compelled from distress to seek refuge in its ports. Notwithstanding this plain rule, which governs the whole civilized world, the officers of the customs in San Blas have refused to permit the sugars to be re-embarked, and are proceeding to their confiscation. This act is so flagrant a violation of the rights of hospitality and so directly contrary to the customs and usages which govern civilized nations in their intercourse with each other, that I regard it as impossible, it should receive the sanction of this government. As however, it is much more easy to prevent the commission of an act of injustice than to remedy it after it has been committed, I most earnestly intreat the prompt interference of the government to prevent the confiscation of these sugars, and that permission may be granted to reembark them, in order that the ship may proceed to its port destination without further delay. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17' 1826-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, enexo al doc. 62. NAW. 10 de noviembre de 1826. México. J. R. Poinsett a su pariente Johnson Cuando llegué aquí —escribe Poinsett a su pariente Johnson—, en octubre de 1825, llegué verdaderamente a temer que México nunca llegaría a ser un miembro de la gran familia americana; sería largo y peligroso decir a usted cómo se ha llevado a cabo este cambio. Meses más tarde, el 10 de noviembre de 1826, escribía al mismo primo estas frases que taparán por siempre las bocas de los mexicanos que adoran a Poinsett. El partido que dicen que yo he formado, un partido realmente americano, obtuvo tan completa victoria en las últimas elecciones [para diputados] que ni uno sólo de los del partido opuesto fue reelecto [...] puedo jactarme de que yo he realizado aquí lo que en los Estados Unidos y esto no porque tenga yo un talento superior, sino porque conozco profundamente al pueblo y la nación y porque pocos habrían gastado (como yo lo he hecho) mis fortunas y dedicado todos los instantes de mi tiempo a este gran objeto, al levantar un partido americano. Mariano Cuevas, Historia de la nación mexicana, México, Talleres Tipográficos Modelo, 1940, p. 524. 15 de noviembre de 1826. México. J. J. Espinosa de los Monteros a J. R. Poinsett The most excellent President, convinced of the importance of making uniform the method established by the decree of the 6th of June of this year( regulating passaports for the introduction of strangers into the territory of the republic, has been pleased to resolve: First. That all the regulations of that decree be made extensive to and be rigidly complied with by the states which border upon the nations of our continent, with respect to the introduction into the mexican territory of all persons proceeding from them. Second. That the duties, which, by the 2nd and 3rd articles of said decree, are committed to the captains of the ports on the coasts, by the government of such Mexican states, enjoined upon the civil authority of the first post on the frontier. Third. That the subject of nations which have agents duly accredited near the supreme government of Mexico, shall be exempted from the evidence required by the 6th article of said decrees of their respective consuls such not being established upon the frontiers; wherefore, they can proceed to the capital of the state or territory of this republic, into which they may have entered, where presenting themselves to the respective government, they shall remain until they have obtained the passport, solicited by the afore-mentioned agents, to pass freely, as the 11th article requires. Fourth. Strangers that are not such as described in the 6th article, shall not be able to proceed to the interior nor to pass from the first post on the frontier without complying with the provisions of the 15th article. Fifth. The original declarations, to which the 20th article refers, shall be transmitted by the respective civil authorities to the Departament of Relations through the governor of the state to which they belong. All which I communicate to Your Excellency by this Excellency’s order, that it may be duly fulfilled within the limits of your command, keeping always in view, in cases that may occur, the aforementioned decree of the 6th of June, 1826; and the present additions, acknowledging their receipt. Firmado por Juan José Espinosa de los Monteros. Mexico. Poinsett. August 17’ 1825-April 18’ 1827. Department of State. Vol. 2 Docs. 14-27, 48-85, anexo B al doc. 65. NAW. 82 15 de noviembre de 1826. Washington. H. Clay a J. R. Poinsett Sir, Mr. Sargeant is about to proceed to be present, and to assist at the Congress of the American Nations at Tacubaya. The successor of Mr. Anderson has not yet been designated, but is contemplated to appoint him in due time, to participate with Mr. Sargeant in the duties of the Union. Your situation has been such as to afford you opportunities, which you have, no doubt improved, of collecting information that may be highly useful in disclosing the past and future views of the several American powers; and by the direction of the President, I have now to request that you will freely communicate to Mr. Sargent any such information which you may now possess, or may hereafter, from time to time, acquire. Firmado por H. Clay. United States. Mexican Papers. Instructions. January 6' 1826-October 24' 1827. Department of State. Vol. 11, p. 213. 83 16 de noviembre de 1826. México. J. R. Poinsett, a José Espinosa de los Monteros Se queja de la aplicación que se da a los reglamentos de los cónsules publicados en Washington por el ministro de México. Han llegado dos cargamentos a Veracruz de Nueva York y se les detuvo por no estar las facturas certificadas de acuerdo con los reglamentos antedichos. No obstante el enemistoso carácter de estos reglamentos restringidos como están al comercio de los Estados Unidos y su injuriosa operación sobre el comercio de ambos países, pues imponen restricciones a los comerciantes de los Estados Unidos, han sido promulgados aquí según el uso que se practica en todos los países, pues que imponen restricciones a los comerciantes. Pide Poinsett que se le comunique la orden o ley del gobierno que dispone eso a fin de que él la publique en forma en que todo el mundo la conozca. ASREM. 315-4378, fols. 1-2. 20 de noviembre de 1826. Washington. Daniel Brent a John Sargeant, Esquire Sir, I have the honor to transmit to you herewith under a flying seal, a letter to the bankers of the United States at London, authorizing and requesting them to pay your bills for your salary as it becomes due, and the contingent expenses of your mission. As this letter wants the signature of the Secretary who will probably be in Philadelphia a few days hence, on his return hither, will you have the goodness to present it to him for that purpose. I shall send to Baltimore on the 22nd to be forwarded to Philadelphia by the steamboat of that day, two trunks addressed to you, containing the books furnished for your legation. Your letters of the 17th and 18th instant to the Secretary have been received here and herewith return Mr. Rochester's to yourself received with the last, agreeably to your request. The constitution of Bolivia shall be sent to you with a letter which I propose writing tomorrow, to go by the mail of the next morning. Firmado por Daniel Brent. United States. Mexican Papers. Instructions. January 6' 1826-October 24' 1827. Department of State. Vol. 11, p. 214. 5 de diciembre de 1826. México. Memorandum de los comerciantes británicos residentes en México Sir, The undersigned British merchants are again under the necessity of calling upon your assistance and intervention with the supreme government of this republic with reference to their avowed intention of exacting upon all British white-cotton goods in future to be imported the present existing duties upon a valuation of 4 reales per vara, when not exceeding a vara in width and when exceeding that width 5 reales a vara valuation. It is notorious that since the order of this government of 12 de February 1825 all British white cotto goods have uniformly been valued at 2 reales per vara for all not exceeding a vara wide, and 3 reales for all exceeding that width. No other valuation than the above during the last 21 months in virtue of the above order has ever been placed on British white cotton goods by any of the vistas in any of the maritime ports, and in the port of Tampico the vistas have lately dispatched at the old valuation. It is also equally notorious that as under these established valuations considerable importations have formerly been made to this republic, so now the undersigned and their principals in Britain acting in full faith and confidence not only upon the valuations and duties previously established but further upon the promise of a greater reduction as was declared by this government in the former session of Congress have imported and are about to import considerable quantities of British white cotton goods, and have already advices of the following vessels for this quarter. The Atlantic, The Peruvian, The Minstrel, The Chile, The Vestal, The Albion, The two vessels first mentioned have already arrived in Vera Cruz, and the remainder may be expected during the next two months. Without any previous notice whatever from this government of their intention to lay upon us, and British commerce in general in this particular an additional tax of more than 50 per cent upon such staple articles of British commerce, without affording us time to advise our principals and friends and believing in the meantime the valuations in past transactions for duty as a guarantee for the future. You may conjecture Sir the situation we are now placed in and the losses ourselves and our friends, will be subject to by this sudden and unexpected order and resolution of the government. With the valuations of British white cotton goods at 4 and 5 reales per vara when they are selling in this Plaza at from 2 to 2 1/2 reales per vara it must appear clear to you Sir and to every party concerned that the gross & full value of such goods when imported will actually in some instances not pay the duties, charges & freight upon the same. Under these circumstances, and seeing that the result of any importation of such goods can only terminate in total loss, in case these exorbitant duties are exacted, we have determined upon addressing to you this present application, soliciting your most strenuous exertions with this government either to countermand the present orders, or to request from them a more determined and explicit instruction, to the vistas, so as to reduce the valuations to the standard, previously acted upon and established. The undersigned for themselves and those they respectfully represent are the more anxious that this point should be arranged definitively either in one mode or the other, without delay to regulate them in their future proceedings as in the event of this government persisting in the present orders given and in the valuations of 4 and 5 reales per vara the undersigned, to avoid a total loss of British property, which must ensue by the importation of such goods under such enormous duties will immediately give orders for their exportation leaving it entirely in the judgment and wisdom of His Majesty's government hereafter to determine whether under the circumstances stated and without any notice by this government of so enormous portion of the Arancel so intimately connected with the interest of British commerce. The parties interested cannot in justice reclaim from this government for the losses and damages they may sustain thereby. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, anexo al doc. 66. NAW. --- 86 13 de diciembre de 1826. México. J. R. Poinsett a H. Clay Sir, I have the honor to enclose a copy of a note addressed by me to the Secretary of State of this government in October last, on the subject of the cargo of the ship America. Knowing from experience the tardy method of transacting business in that Department, and the eager haste with which the officers of the custom avail themselves of every pretext to plunder the property of our merchants, I solicited and obtained the direct interference of the Secretary of the Treasury. The order to relieve the sugars arrived just in time. They had actually been confiscated, and were about being sold; and in this hour, I have not received an answer to my note. I think that our commercial interests require the appointment of a consul for the port of San Blas. The government is perhaps, not aware, that we have not a consul residing in any port on the Pacific. The persons appointed for those ports have not proceeded to their destination. Mr. Alexander Forbes is recommended by the enclosed letters as a fit person to be appointed consul for San Blas, and our increasing trade to that port renders it necessary that we should have a consul residing there. Firmado por J. R. Poinsett. Mexico. Pénjurr. August 17th 1825-April 16: 1826. Department of State Vol. 2. Docs. 14-17. 40-83, doc. 62 NAW. 87 21 de diciembre de 1826. Nacogdoches. Informe del gobierno de Coahuila y Texas Gobierno supremo del Estado de Coahuila y Texas. N° 2. Respecto a que el gobierno de los Estados Unidos Mexicanos por repetidos insultos, injuria y opresión ha reducido a los emigrados blancos y colorados de los Estados Unidos del Norte ahora radicados en la provincia de Texas dentro del territorio de nuestro gobierno, al que han sido llamados por promesas seducidamente declaradas, y vivísima mente infringidas a la alternativa desgraciada de someter sus cuerdas libres al yugo de un gobierno imbécil, sin le y despótico, mal llamado república, o de tomar las armas en defensa de sus derechos imprescriptibles, y declarar su independencia, los emigrados blancos ahora reunidos en el pueblo de Nacogdoches, bajo el pabellón independiente de una parte, y de los emigrados colorados que se han declarado por esta santa causa, de la otra, con el fin de seguir con prontitud y eficacia la Guerra de Independencia que hemos mutuamente comprendido a un feliz término, y para aliviarse el uno al otro por los lazos del interés y obligación reciproca, han resuelto formar un tratado de unión, liga y confederación. Para este objeto honrados Benjamin W. Edwards y Htrman B. Mayo, agentes de la Comisión de Independencia, y Richard Fields y Juan de Hunter, agentes del pueblo colorado, teniendo los poderes necesarios al efecto han acordado los siguientes artículos: 1o. Las susodichas partes contratantes se obligan a una unión, liga y confederación en paz y guerra para establecer y defender su mutua independencia de los Estados Unidos Mexicanos. 2o. Las partes contratantes se garantizan mutuamente en cuanto alcancen sus poderes la integridad de sus respectivos territorios como ahora han acordado y delineado y designado; para el pueblo colorado empezará desde el punto del ojo de agua llamado Arenoso, situado en donde se separan los caminos de Baradi y el que va de Nacogdoches a la habitación de José Duite, y desde este punto al poniente por la brújula sin variación hasta el Río Rojo, y de allí al norte hasta el lindero de los Estados Unidos de Norte América y allí siguiendo la misma línea hasta la boca del Río Azufre, que es brazo del Río Nacogdoches, y de allí línea recta al punto del ojo de agua donde comenzó. El territorio señalado para los blancos será todo lo restante de la provincia de Texas, y las porciones de los Estados Unidos Mexicanos que las partes contratantes con sus esfuerzos y mutuos recursos puedan conquistar a la otra parte del Río Grande. 3o. Las partes contratantes mutuamente garantizan a los empresarios los terrenos que por premio deben recibir, y los derechos de los demás individuos adquiridos del gobierno mexicano en el territorio designado, con tal que nuestros empresarios e individuos no pierdan su derecho por oponerse a la independencia de nuestro territorio, o por negar su auxilio o apoyo para su consecución. 4o. Está claramente entendido por las partes contratantes que el terreno designado para el pueblo colorado será para el beneficio de las tribus que viven en el marcado para los blancos, como para los que en la actualidad lo ocupan, y será deber de las partes contratantes a nombre del pueblo colorado ofrecer a nuestras tribus participación del territorio que se les ha señalado. 5o. Está también mutuamente acordado por las partes contratantes que cada individuo colorado o blanco que se halle establecido dentro de sus respectivos territorios aliados y actualmente lo ocupe, recibirá un título para una milla cuadrada de tierra en el terreno que ocupe, así como la protección del gobierno bajo que resida. 6o. Las partes contratantes mutuamente acuerdan que todos los caminos, ríos navegables y otros canales de comunicación dentro de sus respectivos territorios, serán libres para el uso de los habitantes de cada territorio. 7o. Las partes contratantes mutuamente han acordado que harán todos sus esfuerzos a la prosecución de la causa inspirada por el cielo que han producido esta solemne unión, liga y confederación, confiando sin recelo en sus esfuerzos reunidos y con la protección del cielo para el buen éxito de su empresa. En fe. Dado en Nacogdoches el 21 de diciembre de 1826. B. W. Edwards. H. B. Mayo Richard Fields, Juan D. Hunter. Es copia sacada de otra escrita en inglés. San Felipe 22 de enero 1827. Saucedo. Nota: Por pueblo colorado entienden toda clase de indios. Es copia Saltillo 6 de febrero de 1827. J. Antonio Padilla, secretario. Es copia. México, febrero 28 de 1827. Espinosa. Mexico. Notes. December 30' 1821-June 1' 1831. Department of State. Vol. 1. NAW. 88 23 de diciembre de 1826. México. J. R. Poinsett a H. Clay Sir, I have the honor to send herewith copies (marked A and B) of two notes, addressed by me to the Secretary of State of this government, on the subject of the detention of the cargos of two American vessels at Vera Cruz, and the seizure, condemnation and sale of the cargo of the brig Delight at the port of Sisal. A more flagrant and unjustifiable violation of the property of our citizens never occurred in any country. Althoug't I have repeatedly urged this government on the subject of the unwarrantable seizure and sale of the cargo of the American schooner Fair American in Matamoros, I have not yet obtained and answer of any sort. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, Doc. 64. NAW. 89 24 de diciembre de 1826. México. J. R. Poinsett a H. Clay Sir, I have the honor to transmit herewith translations of a note from the Secretary of State of this government, marked A, and of a circular relating to passports, marked B. Permit me to suggest the propriety of sending copies of the latter to the governors of the states and territories of the United States that border upon Mexico. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, doc. 65. NAW. 90 27 de diciembre de 1826. México. J. R. Poinsett a H. Clay Sir, I have the honor to transmit herewith a copy of a note addressed by me to the Secretary of State of this government on the subject of the augmentation of duties of American cotton shirtings, marked A. This is a repetition of the measure, which occasioned so many complains to be made to you before my arrival in this country. It certainly is unjust and oppressive: but was not then nor is it now confined to cotton goods of American manufacture; it includes British white cotoon goods under the general name of mantas. In proof of this, I send herewith a copy of the memorial of the British merchants residing in Mexico, demonstrating aagainst this sudden increase of duty, marked B. I transmit likewise a copy of my reply to the United States Consul of Vera Cruz, marked C, in order that you may become acquainted with the course of conduct which I have advised the American merchants to adopt on this occasion. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, doc. 66. NAW. --- 91 28 de diciembre de 1826. México. J. R. Poinsett al Secretario de Relaciones Exteriores Most Excellent Sir, From a memorial addressed to me by the American merchants residing in Vera Cruz I learn, that the valuation of that description of cotton goods, called mantas, has been a second time augmented, without any previous intimation, from two and three to four and five reales the vara, by an order from H. E. the Secretary of Treasury. In my note of the 1st. December, 1825, addressed to Your Excellency upon the same subject, and in which I reclaimed the excess of duties paid by the American merchants in Alvarado in consequence of a similar order, I took occasion to remark, that the price which these goods bore in the marked did not authorize this excessive valuation; and that although the right of the Mexican government to raise the duties on any description of goods, even so as to prohibit their importation, could not be disputed, still the rules that govern commercial nations in their intercourse with each other require, that in doing so, such previous notice shall be given and such time allowed before the new tariff goes into operation as may enable the foreign merchant to determine whether or not he will import such goods into the country where the duties have been thus augmented. This rule was not complied with when the order was sent down to Alvarado in November, 1824, H. E. the Secretary of the Treasury, to augment the valuation of mantas; nor has any previous notice been now given, so that the effect of the order was and is retroactive. Large quantities of these goods have arrived in Vera Cruz, and others are on their way, which were embarked in the expectation of the old rate of valuation being still in force. This has been done in full reliance on the good faith of this government; but in consequence of the unexpected order issued by the Secretary of the Treasury, those goods as they cannot afford to pay this excess of duty, must be returned upon the hands of the merchants in the United States. These sudden and unexpected fluctuations in the tariff duties on an article of so much importance, are not only injurious to the foreign commerce of this country and prejudicial to the revenue, but they are contrary to the laws and usages which bind nations in their commercial intercourse with each other, and give rise to well founded claims of indemnity for losses that may be sustained in consequence. Those claims are made still stronger by the fact of the government having repeated the first order, which was issued in November 1824, in less than three months after, and admitted the goods that had been stored during that period on payment of the former lower rate of duty. This act of justice on the part of this government inspired the merchants of the United States with confidence. They had reason to believe, after the government of Mexico had countermanded that impolitic order, and influenced by a sense of justice, had restored the former valuation, that no alteration would be again made, or at least, that in compliance with long established usage, sufficient notice should have been given of its intention, so as to protect them from the retroactive effect of an augmentation of duty on this description of goods. Under these circumstances I confidently indulge the hope, that the most Excellent President will see the justice and policy of admitting all such mantas as are now in the ports of the republic or on their passage on the payment of the former rate of duty. I take advantage of this occasion to reiterate to Y. E. the assurances of my high consideration and respect. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17,48-85, anexo al doc. 66, copia A. NAW. 29 de diciembre de 1826. México. J. R. Poinsett a H. Clay Sir, I have the honor to acknowledge the receipt of your despatch nº 14 which did not reach me until a few days ago. In reply to your question, whether it is my understanding and that of the Mexican plenipotentiaries that we are restrained by treaty from countervailing any discriminating duties which Mexico may think proper to impose in behalf of her own tonnage and to the disadvantage of ours, I beg leave to remark, that my understanding of this article is, that we are restrained from meeting any discriminating duties which Mexico may think proper to impose in behalf of her own tonnage to the disadvantage of all other nations by countervailing duties, unless it can be proved, that in every instance, where a lower rate of tonnage duty is paid by a foreign nation in the ports of the United States, such favor has been granted for an equivalent: but if the discriminating duties which Mexico might think proper to impose were not general, not confined in their operation to the United States, then there could be no doubt of the right of our government to impose any countervailing duties that were thought proper. My own opinion is, that Mexico is restrained from doing so by the terms of the treaty, and that whatever discrimination duties this government may impose, must be general in their application. In my argument which you cite from the protocol of the 6th conference, I meant only to state the question strongly by contrasting the unequal operation of the principle of the most favored nation, and to show, that while one party to the treaty, governed by the most liberal policy, admitted the vessels of other nations on an equal footing with her own, the other, guided by a more narrow policy, might avail itself of restrictive and discriminating regulations to secure advantages to its own navigation. I did not, however intend, nor was I so understood, to pledge the government of the United States not to meet, by countervailing duties, those that Mexico might think proper to impose in behalf of her own tonnage and to the disadvantage of ours, so far as the favors and privileges, which the United States may have voluntarily granted to the most favored nation permit. I explained my views of the manifest advantages of the more liberal principle over that proposed to be adopted by Mexico in a note addressed to the Mexican plenipotentiaries, a copy of which is transmitted herewith. In your despatch, n° 1, I am instructed, if all my efforts should be unavailing to carry to the Mexican government a conviction of the expediency of the proposed principle and the propriety of treating of it, I am then at liberty to conclude a convention comprehending the rule for the regulation of the commerce and navigation of the two countries which was incorporated in the late Colombia treaty. And again, in your despatch n° 5 I instructed, that if the intrinsic merit of the principle itself, the example of Colombia, and the irritating tendency of countervailing regulations, the inevitable effect of an attempt of one nation to secure advantages to its own navigations denied to that of foreign powers, should not enable me to prevail upon the Mexican government to agree to the perfect equality which is proposed, I am to consider myself authorized to accede to an article embracing the same principles as are contained in the sixth article of the treaty between Great Britain and Mexico. I used every effort in my power to induce the Mexican plenipotentiaries to accede to the adoption of the more liberal principle of perfect reciprocity in the navigation and commerce of the two countries, and yielded the point only on the fullest conviction that this government would not consent at present to its adoption any of their treaties. I was not authorized to make it a sine qua non and therefore agreed to an article embracing the same principles and drawn up nearly in the same words as the sixth article before alluded to. Although abstractly considered, this is a question of paramount interest, in point of fact, it does not appear to me to be very important to the United States. From the small number and wretched description of the ports of Mexico on the Atlantic; from the deficiency of navigable rivers; from the low state of the useful arts, the slow progress of improvement and the total want of enterprise and activity in the inhabitants, I am disposed to believe, that for the next ten years at last, the commercial marine of this country will be confined to a few coasters. I have judged it advisable to send Mr. Mason home with the treaty, although not yet ratified by the Mexican Congress. I have not done this with the view that the treaty should be first ratified in the United States, nor do I by any means advise such a measure. Mr. Mason will explain to you the causes of this delay here. Indeed, the principal reason for sending that gentleman home just now is, that he may converse with you fully upon our relations with this country. I hope there will be no objection to my private Secretary, Mr. Edward T. Taylor, acting as Secretary of Legation until Mr. Mason’s return. Both houses of Congress have declared the act of the legislature of the state of Mexico, annulling the elections of their successors, to be unconstitutional. This decision will probably set this question at rest. The constitutions of the different states do not work quite so smoothly as the theorists who framed them were led to expect, and they have proven in many instances fruitful sources of discord. These differences have in no instance been attended with serious results, and on the whole, this confederation may be considered as tranquil and prosperous. Firmado por J. R. Poinsett. Mexico. Poinsett. August 17’ 1825-April 18’ 1827. Department of State. Vol. 2. Docs. 14-17, 48-85, doc. 67. NAW. 93 1º de enero de 1827. México. El general Victoria al abrir el primer periodo de sesiones del 2º Congreso Constitucional. Cada día se adelantan y se robustecen más nuestras relaciones exteriores. En los tratados que se habían aprobado y concluido con la Gran Bretaña, se hicieron las aclaraciones que exigían algunos artículos adicionados en el gabinete de St. James, y ha pasado a Londres un enviado extraordinario facultado para acreditarse como ministro plenipotenciario, a fin de concluir esta interesante negociación. Ha sido acogido favorablemente, y es de esperar que el congreso pueda ocuparse en sus sesiones del primer año, de un negocio que considerará las francas y amigables relaciones que existen ya entre el gobierno y el pueblo de Inglaterra con el pueblo y el gobierno mexicanos. Para Gibraltar, se ha nombrado un cónsul con aprobación del senado, y con objeto, entre otras miras, de proteger el comercio que se ha hace por aquel punto. Se han presentado el cónsul general, vicecónsul y cónsul particular para Veracruz, de s. m., el rey de los Países Bajos, debidamente acreditados: en consecuencia, se les concedió el exequatur y se hallan en el pleno ejercicio de sus funciones. El gobierno ha autorizado cerca de aquella corte un encargado de negocios, y se promete que este nombramiento será cumplidamente apreciado en medio de los embarazos que ofrece la posición de dicho país, respecto de las grandes potencias continentales de Europa. Se presentó, bajo el carácter de agente comercial de Francia, una persona nombrada por el vicealmirante Duperré, jefe del crucero de las Antillas, y por esta circunstancia se suspendió el Exequatur hasta que reciba la autorización directa y en debida forma de su gobierno, y sólo se le ha admitido como agente confidencial, clase que hoy disfruta en París un ciudadano de México. Bajo este concepto se han considerado la interposición de sus oficios, y el nombramiento que ha publicado de agentes subalternos en Veracruz, Tampico y San Luis Potosí. El gobierno francés ha adoptado esta disposición después de que empleó sus consejos amigables para hacer que España reconociese primero la Independencia de las nuevas repúblicas. Esta conducta de Francia es consecuente a los deseos generales que las naciones de Europa han alimentado siempre a favor de la emancipación de las Américas. Es consecuente a los intereses políticos y comerciales del pueblo francés, y resultado de la unión que bajo este respecto se conserva, afortunadamente, y progresa entre los gabinetes de Francia e Inglaterra. Sólo se advierte una diferencia accidental en los pormenores de la marcha que condujo a Inglaterra hasta el punto a que han llegado nuestras relaciones, y la que observa el gabinete francés en la explicación de sus benévolas intenciones hacia la causa de la libertad de América. Yo me complazco en los adelantos que ha producido en nuestras relaciones con Francia la resolución de obsequiar, sin menoscabo de la dignidad de la república, el nombramiento del agente francés. S. m., el rey de Francia ha mandado admitir en todos sus puertos el pabellón mexicano, bajo los términos que se ha recibido y admitido la bandera francesa en los puertos de la nación. Ella va nivelando sus relaciones de amistad y comercio con la Francia, al pie en que existen tiempo ha con Inglaterra, por la anticipada manifestación de sus principios liberales. Resta, sin embargo, que estas relaciones acaben de fijarse en términos más frances, que inspiren absoluta confianza a los súbditos de ambas naciones, para estrechar definitivamente los intereses recíprocos del pueblo francés con el nuestro. Las ciudades anseáticas nombraron un comisionado general de comercio que ha sido admitido al ejercicio de sus funciones. Ha sido despachado por el ejecutivo un agente mexicano de comercio, que residirá en Hamburgo. El gobierno de s. m., el rey de Prusia no autorizó en debida forma a un agente comercial; y entretanto no se verifica, se obsequiará solamente su mediación a favor de los intereses y súbditos de aquel país, conciliándose el decoro nacional con mi viva propensión a inclinar los gabinetes de las naciones extranjeras a que usen de la franqueza que caracteriza en todos sus actos al gobierno mexicano. No ha presentado todavía sus credenciales el agente interino de comercio, que se sabe haber nombrado s. m., el rey de Baviera. El rey de Wurtemberg ha resuelto establecer con nosotros relaciones mercantiles, autorizando como su agente a un individuo que se halla en esta capital y aún no ha entregado sus patentes. Nada ha alterado las amistosas relaciones de nuestros estados con los del Norte de América. Después de concluidos los tratados de amistad, navegación y comercio con su ministro plenipotenciario cerca de la república, se han pasado a las cámaras. El congreso dando preferencia a este importante negocio, apresurará la final consolidación de nuestras relaciones con una nación cercana a nosotros, y que nos está unida por las energicas simpatías que producen necesariamente la identidad en el sistema y forma de gobierno. Se halla detenida la comisión científica de límites por la falta de autorización para los gastos que ha de erogar en sus trabajos. El congreso americano que atrajo sobre sí la atención del mundo civilizado, tuvo lugar en la ciudad de Panamá, y sus trabajos se adelantaron con tanta felicidad, que en septiembre regresaron los plenipotenciarios de México conduciendo los tratados, a que las cámaras concederán la privilegiada atención que merece por tantos títulos el pacto federal de la grande familia americana. Allí se acordó la translación del congreso al territorio de la república, donde será obsequiado franca y amigablemente, tanto como es debido a la plenipotencia de las repúblicas a que nos hallamos ligados por íntimas relaciones y lazos fraternales. Vinieron ya dos de los ministros de Colombia y Guatemala, uno de los Estados Unidos del Norte, y en breve se esperan otros, para la continuación de las sesiones del Gran Congreso en la villa de Tacubaya. Ha llegado a esta capital un ministro plenipotenciario y enviado extraordinario de los Estados Unidos del Centro de América, autorizado para iniciar, ajustar y concluir con este gobierno las estipulaciones y convenios que sean más conformes a la justicia e intereses de ambos pueblos, y arreglar los límites de sus respectivos territorios. Se ha presentado un cónsul general de la república de Chile para residir en Tepic, y se le ha librado el correspondiente Exequatur. Todas las probabilidades anuncian un próximo cambio en la Constitución de Colombia. El gobierno mexicano, consecuente a sus principios, no intervendrá directa ni indirectamente en este acontecimiento, y se limitará a mantener y conservar intactas sus amigables relaciones con nuestra aliada la república de Colombia. Sean las que fueren las causas que hayan obrado en tan inesperado movimiento, ningún influjo, aun el más remoto, ha de ejercer en la suerte de la república de México, donde son amadas sus libres instituciones con el más ardiente entusiasmo, porque ellas, en su esencia, no admiten mejoras de algún orden, aun cuando se pretenda compararlas con las diversas modificaciones que han recibido en todas épocas los pactos que arreglan los derechos y las obligaciones de los pueblos. Mientras más abyecta y miserable es la situación de España, más esfuerzos hace para alcanzar algunas ventajas, aunque sean efímeras, en los puntos de América que ha perdido para siempre. En este año ha reforzado considerablemente su marina en la isla de Cuba, y ha aumentado su guarnición. Sus amagos son ya bastantes conocidos. La escuadrilla de Laborde se presentó a mediados del año en las costas de Colombia: dos fragatas se avistaron poco tiempo después por Tampico. Esta misma escuadrilla fue dispersa en un temporal que sufrió en el canal de Bahama y mar de las Antillas, y es probable que en mucho tiempo no pueda repararse por haber sufrido descalabros de consideración. Parece que se acerca el momento de una transacción, que termine definitivamente las desgraciadas diferencias que nacieron, sobre la posesión de la banda oriental del Río de la Plata, entre la república Argentina y el gobierno de s. m., el emperador del Brasil. Esta parte interesante del nuevo mundo, dando una constitución a Portugal, ha ofrecido al asombro del universo el fenómeno tan singular en la política de las naciones, de que una colonia en los días de su regeneración haya alcanzado a destruir las cadenas de su antigua metrópoli en cambio de las que recibió siglos antes. El nuevo mundo es la cuna de los grandes prodigios, y en él ha aparecido la feliz combinación de la estabilidad de los gobiernos con el goce y posesión de las garantías sociales. Entre tanto, la alarma estacionaria de España ha tenido aumentos por el temor del contagio de los principios que van radicándose en Portugal. El gabinete de Madrid fluctúa en la incertidumbre de su propia suerte, y no bastando sus recursos aun para sostener el actual orden de cosas, no podrá intentar jamás, con probabilidad de algún éxito, la soñada reconquista de las Américas. Las relaciones que México establecerá adelante con el resto de los gobiernos de Europa, comprendido el obstinado de España, dependen esencialmente de la dirección y giros de su política en orden a la existencia de los nuevos Estados. La Asamblea General Americana uniformará los principios magnánimos de la conducta de las naciones del nuevo mundo, con los pueblos que les han precedido en la carrera de la civilización, para que a la sombra de gobiernos moderados y de instituciones filantrópicas aseguremos para nosotros la amistad de todos los hombres. La amigable composición de los gobiernos del Brasil y Buenos Aires, es un deseo de la América para que se desvanezcan los temores que pudieran alimentarse sobre el final resultado de la guerra en que se han comprometido dos naciones americanas. Los disturbios y agitaciones de Guatemala, desaparecerán tan presto como sus habitantes escuchen la voz imperiosa de la patria y del nuevo mundo, que reclaman el sacrificio y desprendimiento de las pasiones e intereses privados, en obsequio de la paz universal. Afortunadamente se descubre en los nuevos Estados una tendencia muy activa hacia el orden y estabilidad, que frustran las consecuencias de choques momentáneos. Entre tanto, los gabinetes de Europa se ocupan de su peculiar situación. (Era Oficial Mayor de Relaciones Exteriores Encargado del Despacho, don Juan José Espinosa de los Monteros.) Genaro Estrada, op. cit., p. 15-19. 5 de enero de 1827. Washington, H. Clay a J. R. Poinsett Sir, I transmit you herewith the affidavits of Thomas Eaton Dudley and Jacob C. Wilson, proving that in the spring of 1824 a party of citizens of the United States proceeded from the state of Missouri on a trading expedition to the adjoining provinces of Mexico; that they prosecuted their business upon their arrival there, with the sanction of the local authorities; that they collected, by means of their trafficking, a number of mules, horses and jacks; and that in November of that year when the party was about to return to the United States, they were fallen upon and assailed in force, near the junction of the Río Conchos with the Río del Norte, by the Comanche Indians, who slew some of their men, and robbed the party of a considerable portion of their property. For these depredations, ample indemnity is justly due to hold the Indians responsible and to pursue and chastize them. Until satisfaction is made, it might lead to disturbances of the harmony existing between the United Mexican States which the President is anxious to preserve and strengthen. —An appeal for justice directly to the Mexican government is most respectfully presented to that government. We are not informed of the exact nature of the relations which subsist between the Indians and the Mexican Government but since the sovereignty is claimed by that Government throughout the whole extent of its territories it ought to punish aggressions committed on the persons and property of innocent foreigners, and cause indemnity to be made for such wrongs and enormities as are described in the above affidavits. You will, therefore apply to the Mexican government for the satisfaction due to the citizens of the United States who have been thus injured, and you will state, in further support of the claim, that the United States compel many of the Indian tribes residing within their limits to make full satisfaction for any injuries committed by their respective tribes on the persons or property both of citizens and foreigners. Only during the last year Don Manuel Escudero, a citizen of the republic of the United Mexican States, having been robbed in the United States by a party of the Osaye Indians, the government of the United States caused ample redress to be made to him—it is expected by the President that this just example will be followed by Mexico. I am respectfully... H. Clay. United States. Mexican Papers, Instructions. January 6' 1826. October 24' 1827. Department of State. Vol. 11, p. 227. NAW. 95 8 de enero de 1827. Washington, Pablo Obregón a Thomas H. Benton, senador, etc. Muy señor mío, He recibido la carta de V. de 3 del corriente, y los papeles que me acompañan con objeto de que mi gobierno indemnice a los ciudadanos americanos que han sido robados en el territorio mexicano, haciendo un lícito comercio. Sin embargo de que, en mi opinión, ningún gobierno está obligado en justicia a hacer semejantes indemnizaciones, aun cuando los que cometen el robo son súbditos suyos, el ejemplo que V. me cita de las que hace el gobierno de los Estados Unidos a los ciudadanos mexicanos sería una razón para que el gobierno de México, en justa reciprocidad, hiciese otro tanto con los ciudadanos americanos que se hallan en iguales circunstancias. Para que mi gobierno pueda resolver según los deseos de V. sería muy conveniente que tuviese V. la bondad de informarme, si estas indemnizaciones hechas a los ciudadanos mexicanos que V. me cita, están autorizadas por acta del congreso. Esta circunstancia la considero muy substancial, pues que la cantidad que debería emplear mi gobierno en este objeto sería tal que no estuviese entre las facultades del presidente el disponer de ella, atendiendo al número considerable de americanos que pasan al Nuevo México y demás estados limítrofes. Igualmente quisiera saber el número de indemnizaciones hechas por el gobierno americano a ciudadanos mexicanos, y la cantidad que importe la que se hizo a don Simón Escudero. La imparcialidad de V. conocerá muy bien que para que haya una verdadera reciprocidad es necesario que el número de los comerciantes empeñados en él sean aproximados: todo lo cual podría formar materia para un convenio entre ambos gobiernos. Soy de V... firmado Pablo Obregón. Mexico. Notes. December 30' 1821-June 1' 1831. Department of State. Vol. I. NAW. 96 15 de enero de 1827. Washington, Thomas H. Benton a H. Clay Sir, I have the honor to enclose you the copy of a letter received from the Mexican Minister at this place, in answer to some representations which I was requested to make to him on the subject of depredations committed by Indians within the limits of Mexico on our citizens. The letter of the Ministers asks for information on several points relative to this business, for which I referred him to you, concerning that the affair was taking a course which rendered it improper for me to pursue it. Respectfully... Thomas H. Benton. Mexico. Notes. December 30' 1821-June 1' 1831. Department of State. Vol. I. NAW. 97 20 de enero de 1827. México. J. R. Poinsett a H. Clay Sir, The question which has so long agitated the public mind here, is, I believe, set at rest by a recent decision of the general Congress. The act of the legislature of the state of Mexico, declaring the elections of their successors in office null and void, has been in its turn pronounced to be inconstitutional, and therefore null. This decision would startle the friends of state rights in the United States; but the constitution of Mexico has vested the general government with this power in relation to the acts of the state legislatures. I have at length obtained some information respecting those articles of the treaty of Panama, which are intended to restrain the ambitious projects of General Bolivar. I understand one of them to be 'that if any one of the states now constituted a member of the Confederation by this treaty, shall be ipso facto excluded from the Confederation, nor shall it be again admitted a member of it without the unanimous consent of all the other contracting parties'. The other is, 'that in the event of an auxiliary army from one state entering the territory of either of the other states, it may be recruited therein; but that the citizens of the country to which the assistance has been rendered, shall be discharged from the service on the withdrawal of that army, if they think proper'. In other words, that they shall not be forcibly taken out of the country, as was done by Bolivar with about 3000 Peruvians raised to recruit the Colombian army, and subsequently transported to Colombia. I am anxious to learn whether these treaties will be ratified in Peru and Colombia. It is manifest, that the Peruvian deputies sought refuge in the Congress of Panama against Bolivar. I am disposed to believe that this man never can realize his vast schemes of ambition, simply because he has not and cannot have for some time any pecuniary resources. The resources have been wasted and are exhausted in Bolivia, Peru, and Colombia. The credit of those countries, never very high, must fall still lower from the natural effects of a revolution: and neither of them has relied for its means upon a well-organized system of finance. On the contrary, the expenses of the civil and military establishments of each of them, have always far exceeded its revenue. Out of all the evil that must spring from the madness of Bolivar, some good is likely to result. The relations between this country and the United States must become more close and intimate. You will find some allusion to this disposition on the part of this government in the last message of the President of these States. The treaty is still before the House. I do not attribute this extraordinary delay to any unfriendly feeling: on the contrary, the present Congress is exceedingly well disposed towards the United States—even more so than their predecessors; but the machinery of a representative government is new to them, and they cannot put it into moderately rapid motion. It either gets the mastery and whirls round with astounding velocity, or it moves by their impulse heavily and painfully. I am assured that the treaty will be ratified in due season. I am, Sir, with the highest respect... J. R. Poinsett. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State Vol. 2. Docs. 14-17, 48-85, doc. 69. NAW. --- 25 de enero de 1827: México. J. R. Poinsett a H. Clay Sir, I received your despatch num. 17, together with the representation of Messrs. Borie and Laguerenne and others, setting forth the exactation of excessive and unusual duties on cotton goods sent to the port of Alvarado, and praying the interposition of government to obtain redress. It will be recollected, that I was instructed, upon my departure upon this mission, to examine into this overcharge of duties on our domestic manufactured cotton cloths, and to make a representation to this government upon that subject. Accordingly, very soon after my arrival in this country I made the necessary inquiries, and on the 18th July 1825, addressed a note to the government of Mexico claiming the amount of duties unjustly paid by the house of Messrs. Taylor and Sicard on the American cotton goods imported by them during the existence of the order for augmenting the valuation of that description of goods. At the period this note was sent in, I was ignorant of the existence of any further claims being entertained by American citizens in Mexico. They had not been presented to me, or being of a similar nature, they should have been preferred at the same time. My note of the 18th July, produced the desired effect and justice was rendered to the house of Messrs. Tarloy and Sicard. Their bond for the payment of $5,291 41/100, the excess of duty upon the goods imported by them, was cancelled, and the Mexican government refunded the excess of internal duties paid by them on the internation of these goods viz 1.122, 22%. As soon as I was made aware of the existence of other similar claims, I addressed a second note to this government upon the subject, and have subsequently held frequent conferences with the Secretary of Foreign Relations, in which I have endeavored to convince him of the injustice done to the claimants in thus augmenting the valuation of this description of goods without any previous notice. I again transmit to you copies of these two notes, marked A and B in order that you may compare the two cases. The difference is slight; but there is a difference between them. The American merchants labor under a great mistake in supposing that this measure of the Mexican government was directed solely against American cotton goods. English goods of a similar description were affected by it, and the English merchants here are sufferers to a much greater amount. Their claims have likewise been urged upon the justice of this government, and hitherto without effect. You will have observed from my despatch num. 66, that this extraordinary measure, of suddenly augmenting the duties on cotton goods, has been again adopted. I transmit herewith translations, marked C. and D., of the orders from the Secretary of the Treasury to the collectors of the different ports of this republic, by which you will perceive the obscurity in which this subject is involved. The article, of course cotton goods, called mantas, is not described in the existing tariff, and must be valued according to the valuation fixed upon such goods as they most nearly resemble. This is meant when the Secretary talks of "their analogy". I am thus particular in recapitulating all the circumstances of this case, in order that the parties may know that both the government and their representative hare used their best exertions to obtain for them the restitution of excess of duties injustly recovered from them by the collector of the customs at Alvarado. I am, Sir, very respectfully... J. R. Poinsett Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17,48-85, doc. 70. NAW. 2 de febrero de 1827. México. Espinosa de los Monteros a J. R. Poinsett Most Excellent Sir, The government of Coahuila and Texas in a despatch dated the eight of the last month, has transmitted to this supreme government information, conveyed by the constitutional alcalde of Nacogdoches on the 28th of last November to the chief of the department of Texas setting forth; that on the 22nd of that month, he had been seized by a party of Angloamericans together with the Captain of national militia Sepulveda: that this party consisted of captn. Berel Torent, Col. Mathew Panza, those who accompanied them being known, and some of them being persons who reside on the other side of the Sabine river. That persons thus seized, after being kept prisoners for five days were condemned to death, from which as well as from their confinement, they were liberated upon the aggressors learning that a Mexican lieutenant had gathered together a party of citizens: that they took from the said alcalde archives, examined them and delivered them over to another individual, whom of their own authority they constituted alcalde; and finally on going away, they protested they would return to the aforesaid village on the 15th of December next. The Most Excellent President having acquainted himself with all these circumstances, has directed me to communicate them to your Excellency, as I have now the honor to do, with perfect confidence that upon their being submitted to your government it will adopt such serious measures, as the occasion requires to chastize and prevent there aggressions and will compel its citizens to respect the Mexican territory, and to abstain from all acts which may disturb the friendly intelligence which exists between the two nations and of which both governments give reciprocally to each other the most cordial proofs. I take advantage of this opportunity to reiterate to Your Excellency... Juan José Espinosa de los Monteros. Mexico. Poinsett. August 17' 1825-April 18' 1827. Department of State. Vol. 2. Docs. 14-17,48-85, copia anexa al doc. 72, NAW.
Lawrence rindió tributo a los veteranos Lawrence paid tribute to veterans “They answered their country’s call to arms, into battle they did go. Where their final destination was, no one will ever know. May their final resting place, under some unknown sod, be forever hallowed. For it is known only unto God.” TMP “Ellos respondieron al llamado de su país a las armas, a la batalla se fueron. Cual era su destino final, nadie nunca lo sabrá. Que su última morada, en algún terreno desconocido, sea por siempre sagrado, Ello sólo lo sabrá Dios”. TMP Veterans Honored LEFT: Joseph and Carmine DeMonaco by the sign placed at the corner of Chestnut and Short Street, to honor them and their other five brothers. RIGHT: Nellie Higgins and Connie Pickles standing by the plaque honoring their brother Pvt. Joseph Girgenti. MVP CALLS ON BANKS TO STOP EVICTIONS AND FORECLOSURES EDITORIAL \| 102 DIRECTORIO \| 127 CLASIFICADOS \| 129 CALENDARIO \| 130 English Program Thursdays @ 10am En Español Sábados a las 11am CROSSOVER Rumbo on the Radio! To Listen Anytime go to Rumbonews.Com Memorial Day in Lawrence Francisco Ureña, director, City of Lawrence Veterans’ Services Department (center) introducing William Lantigua, Mayor of the Great City of Lawrence, to Luther E. McIlwain, a Tuskegee Airman and guest speaker. BY ALBERTO SURÍS email@example.com MORE PICTURES ON PAGE 36 On Monday, May 31st, 2010, Lawrence City officials, veterans, their relatives and general public gathered at Bellevue Cemetery to pay tribute to veterans of all wars. The guest speaker, Luther E. McIlwain, a Tuskegee Airman and WWII graduate, showed the discrimination he suffered first, from the recruitment board in South Carolina and later from his fellow white airmen while in service. “They refused to salute me, even when I complained, they never were disciplined,” said Lt. McIlwain. The Tuskegee Airmen were dedicated, determined young men who enlisted to become America’s first black military airmen, at a time when there were many people who thought that black men lacked intelligence, skill, courage and patriotism. “American did not want black aviators to fly and the Germans would like that they were not allowed,” read an article published after WWII which McIlwain had kept within his wallet for decades. “We have to fly missions; white didn’t want to fly.” “They (the Tuskegee Airmen) gave it a try because they believe in democracy and to keep this the land of the free and the home of the brave. We have a great country but at a great cost,” said McIlwain. McIlwain left all with a final and worrisome message, “The horrors of 9/11 remind us that we are not safe… and for those brave men and women defending our liberties, God bless them. Remember, like General Douglas MacArthur said, ‘Old soldiers never die, they just fade away.’” Attending the ceremony were the Honorable Mayor of the Great City of Lawrence, William Lantigua, Senator Susan C. Tucker, Congresswoman Niki Tsongas, School Committee Members James Vittorioso, Martina Cruz and Gregory Morris; City Councilors Marc Laplante, Eileen O’Connor Bernal and former City Councilors Nicholas Kolofolos and Marcos Devers. Father William Water, OSA offered the opening and closing prayers, while the Lawrence High School Girls Ensemble entertained the public with different musical selections besides singing the National Anthem. The Colors were carried by the City of Lawrence Honor Guards, the Lawrence High School J.R.O.T.C. and the Lawrence Civil War Memorial Guard. LUTHER E. McILWAIN Tuskegee Airman WWII During World War II, the U.S. military was racially segregated. Reflecting American society and law at the time, most black soldiers and sailors were restricted to labor battalions and other support positions. An experiment in the U.S. Army Air Corps, however, showed that given equal opportunity and training, African-Americans could fly in command and support combat units as well as anything else. The so-called “Tuskegee Airmen” served with distinction in combat and directly contributed to the eventual integration of the U.S. armed services, with the U.S. Air Force leading the way. Luther E. McIlwain hails from Methuen, Massachusetts, serving as a 2nd Lieutenant in the Army Air-Corps during WWII. He is a Tuskegee Airman Class of 1944. He has a triple rating as he is a navigator, bombardier, and a weapons observer. Following his honorable service, Luther joined the New York police department where he reached the position of detective. He also served with the Massachusetts National Guard against the revolution. He is a frequent lecturer in schools colleges and at Hanscom Air Force Base as he mentors young pilots and Air Force airmen. A graduate of Allen University in South Carolina, he served with the 477 Composite/Bombardment Group which were the Tuskegee Airmen who were instrumental in calling attention to segregation in the military. He is a recipient of the Congressional Gold Medal, the highest civilian medal presented by Congress in the United States. Thank you! On May 15th, 2010 we celebrated the accomplishment of what 15 years ago looked somewhat uncertain, Rumbo’s 15th anniversary. For the occasion, we carefully planned and executed an exhibit at Heritage State Park of some 800 plus pictures taken during that period. Some were pictures already published and some were not. The reason for the exhibit was not to show how good of a photographer we are but to try to sell them to our well wishers with all the proceeds going to the Lawrence Senior Center. We did not send invitations but printed one in Rumbo and it was announced in several radio shows. The invitation was open and free to everyone and our loyal readers responded! At the end of the night, we could not be happier. Our visitors had ordered pictures for $600 plus dollars that went to the Lawrence Senior Center as planned, and orders are still coming in since the exhibit lasted until May 31st. The exhibit was divided in sections. There you could see pictures of People, Hispanic Week Pageants, Politicians, Elections, Demonstrations, Senior Center Activities, Cultural Celebrations, Children, Floods and Tragedy, Heroes and Volunteers and our favorite section, Always With Us. “Always With Us” was made out of a group of Lawrencians that are not physically among us anymore, but remains in our thoughts, our hearts and our prayers. While we commemorate our 15th Anniversary, we dedicate this edition to them, especially to our local veterans, for the service and sacrifice to our country and for our freedom both here and abroad. To them, we say Thank You! And you should, too! GLFHC is committed to protecting your information including your identity. Patients will now be asked to present a photo ID as well as their insurance card when they register for services. Acceptable photo IDs include: • Driver’s License • State Issued Photo ID • Military ID • School/College Photo ID • Passport/Passport Card • Alien Registration Card Together we can protect your information. GLFHC está comprometido a proteger su información incluyendo su identidad. Al momento de registrarse, a los pacientes se les pedirá presentar una identificación con foto y la tarjeta de su seguro médico. Las identificaciones con fotos que aceptamos incluyen: • Licencia de conducir • Identificación emitida por el Estado • Identificación militar de los Estados Unidos • Identificación de la escuela o universidad • Pasaporte • Tarjeta de Residencia Juntos podemos proteger su información Las solicitudes de FOIA Usted probablemente me ha escuchado decir que las juntas y las comisiones nombradas por el alcalde, así como empleados de la ciudad con empleos vitales/críticos son más importantes que los políticos que elegimos, porque ellos son los que tienen contacto directo con nuestra calidad de vida y muchas decisiones diarias. He aquí dos ejemplos frustrantes: Desde el 9 de junio del 2009 he solicitado bajo la Ley de Libertad de Información ciertos datos sobre el Estadio de los Veteranos y los lotes de aparcamiento y garajes. El 8 de marzo escribí en mi columna “Diferente Administración: Los Mismos Resultados” y esa misma noche, León Degman, Jefe del Despacho del Alcalde William Lantigua recibió una hoja impresa por computadora indicando los gastos y el saldo disponible en el presupuesto pero eso no es lo que solicité. ¿Por qué no pueden responder a mis preguntas sobre el estadio y los lotes de parqueo? Después de hablar con el abogado de la ciudad hace unos días, él pidió la información de nuevo y me envió una copia que muestra una nota manuscrita de la Directora de Compras Carolyn Traficanti, diciendo que ella “no tiene información sobre el estadio”. No me importa saber lo que ella no sabe nada. Quiero respuestas! El miércoles, 19 de mayo, hablé con el abogado de la ciudad Charles Boddy y me explicó que no hay nada más que él pueda hacer, le pide la información y la gente simplemente no se ajustan a sus peticiones. Lo mismo ocurre con la Comisión de Derechos Humanos; desde hace varios años he venido insistiendo en que necesitamos una Comisión de Derechos Humanos en Lawrence que funcione debidamente. Durante ese tiempo, el Rev. Victor Jarvis ha estado sirviendo como Presidente de la Comisión y su explicación es porque están teniendo problemas de la falta de quórum por no tener un número suficiente de miembros. Parecía que las cosas cambiarían cuando el Alcalde Michael Sullivan nombró a nuevos miembros un par de años atrás, pero siguieron cancelando reuniones durante meses debido a la falta de quórum, esta vez fue la falta de compromiso de sus miembros al no presentarse a las reuniones. Al principio, las reuniones no estaban siendo anunciadas con anticipación como la ley requiere y luego me enteré de que estaban teniéndolas en privado o lo que el Rev. Jarvis llama “reuniones internas”. Finalmente, el 3 de mayo del 2010 presenté una solicitud bajo la Ley de Libertad de Información. El abogado de la Ciudad Charles Boddy envió un correo electrónico solicitando una respuesta de varias personas e inmediatamente recibí un mensaje de correo electrónico con dos signaturas de miembros. Bruce, vicepresidente de la Comisión diciendo que iban a discutirlo en la reunión de junio. Él está ignorando el hecho de que por ley, tienen que responder en el plazo de diez días de mi solicitud. He recibido una respuesta del Secretario de la Ciudad William Maloney tratando de responder a mis preguntas de su información limitada de la Comisión de Derechos Humanos. Me adjunta copias de los anuncios recientes de las próximas reuniones (lo cual no solicité), pero no tiene minutos o agendas de sus reuniones. Cuando me reuni con el abogado de la ciudad Boddy, dejó en claro que no hay nada más que pueda hacer, además de solicitar la información a las partes responsables. Tanto el escribano de la ciudad y el abogado de la ciudad han sido muy complacientes, pero entiendo que si no obtienen las respuestas solicitadas, tienen las manos atadas. ¿Cómo podemos convencer a la Comisión de Derechos Humanos para cumplir con la ley? ¿Por qué digo esto? Para que entendamos que podemos elegir a gente buena y honorable a posiciones pero los que están sentados en las juntas y comisiones son los que toman las decisiones que nos afectan a todos. A menos que los políticos que los nombraron decidan que no quieren como es debido nada va a cambiar, ya que seguirán haciendo caso omiso de las peticiones de la gente. Ahora, a los chismes Hay un rumor de la radio que yo estaba en la oposición a que la Cámara del Concilio se utiliza para una recepción privada para despedir a Adriana Recchia. Le dije ‘privado’, ya que fue organizada por la familia Recchia y otros amigos. Mi única objeción es que ninguno de los fanfarrones ante los micrófonos se molestó en llamarme para ver cómo Semana Hispana en Lawrence JUNIO 11-20, 2010 TOGETHER IN HARMONY HISPANIC WEEK IN LAWRENCE 32ND Anniversary SÍ, SE PUEDE/YES WE CAN www.semanahispanalawrence.org Honran a veteranos POR ALBERTO SURÍS firstname.lastname@example.org El sábado, 8 de mayo 2010 la Ciudad de Lawrence rindió homenaje a ocho veteranos al dedicar dos plazas de la ciudad donde se colocaron placas que llevan sus nombres. Los Hermanos DeMonaco, Albert, Salvatore, Henry, Harold, Joseph, Pasquale y Carmine tienen su placa en la esquina de la calle Chestnut y Short, mientras que Pvt. Joseph Girgenti tiene la suya en la esquina de General y Allen. Todos los siete hermanos DeMonaco respondieron al llamado de nuestro país al servicio militar durante la Segunda Guerra Mundial. Albert sirvió en Nueva Guinea, el sur de Filipinas y Luzón. Salvatore sirvió en Papua, Nueva Guinea. Henry sirvió en Argelia, Marruecos Francés, Túnez, Sicilia y Nápoles y Harold sirvió en el teatro de las operaciones del Pacífico. Aunque usted no los pueda reconocer, estos lugares representan algunos de los teatros de combate más sangrientos de la Segunda Guerra Mundial. El distinguido servicio de Joseph en los Marine Corps incluye su participación en el "Frozen" Closing Reservoir, uno de los más sangrientos combates en el conflicto de Corea. Pasquale y Carmine sirvieron honorablemente en los últimos años en la Fuerza Aérea y el Ejército los Estados Unidos, respectivamente. Hoy en día, los únicos sobrevivientes son los hermanos Joseph and Carmine los cuales viven exclusivamente de este orgulloso legado. Sin embargo, el sacrificio de los 7 hermanos DeMonaco siempre será recordado. Sus contribuciones combinadas a nuestro país demuestran el sentido patriótico de la familia. El Pvt. José Girgenti nació en la Ciudad de Lawrence el 1 de diciembre de 1911. Creció en el una vez barrio italo-americano de la Ciudad de Lawrence y más tarde, el 28 de septiembre de 1943, sería incluido en el Ejército de los Estados Unidos. Casualmente, EE.UU. declaró la guerra a Alemania el siguiente mes de octubre de 1943. Después de un entrenamiento básico Joseph fue asignado como miembro del Ejército de Estados Unidos y participó en la invasión de Normandía. El 25 de julio de 1944, el Pvt. Joseph Girgenti murió en combate durante la ardua batalla de St. Lo, Francia, a pocos kilómetros de la costa de Normandía. St. Lo se convirtió en la primera victoria del ejército durante la campaña de Normandía en la Segunda Guerra Mundial. El sacrificio de Joseph no fue en vano, ya que un mes más tarde los Estados Unidos y las fuerzas aliadas liberaron a París. Don Silva, un veterano de la Guardia Costera de EE.UU. da lectura a la invocación. Don Silva, a U.S. Coast Guard veteran reading the invocation. Veterans honored POR ALBERTO SURÍS email@example.com On Saturday, May 8th 2010 the City of Lawrence paid tribute to eight veterans by dedicating two city squares with plaques bearing their names. The DeMonaco Brothers, Albert, Salvatore, Henry, Harold, Joseph, Pasquale and Carmine have their plaque at the corner of Chestnut and Short Street, while Pvt. Joseph Girgenti has his at General and Allen Street. The seven DeMonaco Brothers all answered our country’s call to military service during WWII. Albert served in New Guinea, Southern Philippines and Luzon. Salvatore served in Papua, New Guinea. Henry served in Algeria, French Morocco, Tunisia, Sicily and Naples and Harold served in the Pacific theater of operations. Although you may not recognize these venues, they represent some of WWII most extreme theaters of combat. PLEASE SEE SURÍS CONTINUES ON PAGE 36 The Memorial Day Weekend started off appropriately Saturday, May 29th morning with the running of the 21st annual Sons of Italy races from Veterans Memorial Stadium in Lawrence, MA. The theme of the race was to honor veterans and members of the Armed Forces, with all proceeds from the event to be donated to the Veterans Northeast Outreach Center in Haverhill, MA. On hand were 109 participants in the 5K race, and 73 in the 5 mile race. The Sons of Italy Lawrence Lodge 902 provided their usual excellent pasta repast, cooked up by the Buonanno family, after the conclusion of the races. John Ratka of VNOC honored local Iraq and Afghanistan casualties in a ceremony at the start of the races following the singing of the National Anthem by 10 year old Joey Grieve. Singing the National Anthem, is Patriotic Singer Joey Grieve. Francisco Ureña, Director, Lawrence Veterans Services, at the finish line. THE FOLLOWING VETERANS PARTICIPATED IN THE RACES: 5 KILOMETERS MILITARY: John Hurley, Dorchester, MA; Francisco Urena, Lawrence, MA; Herb Johnson, North Andover, MA; Greg Waszak, Amesbury, MA; John Tully, Wilmington, MA; Calvin Perry, Andover, MA, and Martin Cardoza, (#1 Walker) from Lawrence, MA. RESULTS: 5 MILES MILITARY: Dan Ridge, Lowell, MA; Gary See, Salem NH; Barry Pearson, Chelmsford, MA; Robert Schrater, Salem, MA; Terry Harrington, Salisbury, MA. 5 KILOMETER RESULTS: MEN Kevin Alliette, Methuen, MA; Jim Quadros, Lowell, MA; Wes Meserve, Merrimack, MA. 5 KILOMETER RESULTS: WOMEN Lisa Marie Lonardo, Windham, NH; Mikayla Ramsdell, Salem, NH; Sharon Johnson, Andover, MA. In the 5 Miles race, Melissa Larson of Leominster, MA was followed by Irene Park of Hudson, NH, and Darlene Cote of East Hampton, NH. Titus Mutinda of Lowell, MA triumphed in the men’s 5 Mile race, followed closely by Nathan Huppe of Dover, NH, and Joe Muligan of Methuen, MA. You can see complete results of this race and others by entering in www.coorunning.com. AMERICAN WOOLEN MILLS TOWNHOUSES AFFORDABLE RENTAL APARTMENTS Wood Way, Prospect Way & Washington Way Lawrence, MA AVAILABLE NOW 21 Affordable Rental Townhouses Available Two and Three Bedrooms AMENITIES: - Newly renovated - Parking - Patios - Dishwashers - New Appliances - Hardwood Floors For more info, including application mailing, or reasonable accommodations, please call: AWMTHS: 978.975.0718 # OF UNITS \| TYPE \| SIZE \| RENT ---\|---\|---\|--- 15 \| 2 BRs \| 980 \| $725 - $825 6 \| 3 BRs \| 980 \| $800 - $925 Maximum Income Per Household Size \| HH SIZE \| 50% \| 60% \| \|---\|---\|---\| \| 2 \| $33,900 \| $40,680 \| \| 3 \| $38,150 \| $45,780 \| \| 4 \| $42,400 \| $50,880 \| \| 5 \| $45,800 \| $54,960 \| \| 6 \| $49,200 \| $59,040 \| Preference Criteria: Handicap Accessible Trobat comienza campaña para Rep. Estatal POR ALBERTO SURIS firstname.lastname@example.org Amigos, familiares, seguidores y una multitud de funcionarios locales llenaron el Restaurante Palmer en Andover la noche del jueves, 13 de mayo para celebrar la apertura oficial de la candidatura de Sal Tabrit para cubrir el puesto de Representante Estatal por el Distrito 17 de Essex. Dirigiéndose a una multitud que se encontraba de pie, Tabrit hizo un buen uso de la noche dando las gracias a sus seguidores, exponiendo su programa de reunir a las tropas de voluntarios que han conseguido ya que la campaña tenga un espiritu de unidad. Con una entusiasta introducción del ex representante estatal Arthur Broadhurst, Tabrit pasó a hablarle a la multitud con facilidad y franqueza. En un inspirado discurso a sus seguidores, Tabrit centró la atención en su origen humilde, sus vivencias y su motivación para asumir este enorme reto. Él hizo referencia a la motivación que finalmente lo impulsó a lanzar su sombrero en el nuevo... "Sencillamente, estoy cansado de quejarme de la falta de inspiración en Beacon Hill y no quiero mirarme al espejo y ver un hombre que pudo haber hecho algo y no lo hizo. Nunca he sido una persona que huye de enfrentar en lo que creo. Pregúntele a cualquiera que me conozca. Nunca he sido una de esas personas que expresan su opinión de forma anónima, que carece de las agallas de expresar libremente sus opiniones. Nunca he sido uno de esta gente, y yo no voy a empezar ahora". "Quiero un estado de libertad por encima de todo". Tabrit detalló la esencia de su programa en el futuro. "Estoy cansado de un gobierno que nos va quitando nuestras libertades poco a poco. Al gobierno le digo... Somos adultos. Somos gente libre. Sabemos lo que es mejor para nosotros. Dejen de darnos órdenes". Lo siguiente en la agenda del candidato será salir a la calle. Después la campaña se cerrará, la siguiente fase de la campaña de Tabrit será continuar tocando puertas y hablarle con el corazón y el alma de este distrito que incluyen porciones de Andover, Tewksbury y Lawrence, informó su oficina de campaña. "Cuando entré en esta carrera lo hice, con la promesa de entrar en contacto con los votantes, prestar una verdadera atención a sus preocupaciones y escuchar cada uno de los votos. Tengo toda la intención de dar seguimiento a que compromisos tan importantes durante estos meses de verano..." Quiero mirar cara a cara a cada una de las personas a la que este asiento les pertenece y simplemente escuchar". Cualquier persona interesada en aprender más sobre el candidato o participar en la campaña está invitado a visitar el sitio web www.tabit2010.com Posicionado en una plataforma de soluciones de sentido común, el abogado local representa la esperanza de los votantes cansados del gasto excesivo, el aumento de los impuestos y una sensación general de que nuestros líderes políticos no están en contacto con el punto de ciudadano medio. Salim Tabit ha residido en Andover por varios años. Él y su esposa Jean (un médico de atención primaria que ejerce en Lawrence) son los padres de dos niñas que asisten a las escuelas públicas de Andover. Tabit es graduado de la Escuela de Leyes de Boston College y socio en el bufete de abogados Broadhurst Tabit LLP. Antes de su carrera jurídica en la práctica privada sirvió en el sector público como fiscal en la Oficina del Fiscal del Condado de Essex. Friends, family, supporters and a host of local officials packed Palmer’s Restaurant in Andover on Thursday Night 5/13 to celebrate the formal kick off of local attorney Sal Tabit’s bid to fill the State Representative seat for the 17th Essex district. Addressing a standing room only crowd, Tabit made good use of the night thanking supporters, outlining his agenda and rallying the troops of volunteers who have already got the campaign off to a spirited clip. With a rousing introduction from former State Representative Arthur Broadhurst, Tabit went on to engage the crowd with ease and candor. In an inspired address to his supporters, Tabit turned the spotlight to his humble beginnings, his life experiences and his motivation for taking on this enormous task. PLEASE SEE SURÍS CONTINUES ON PAGE 34 ¡Diga NO a un EMBARGO! LOS BENEFICIOS SON CLAROS: 1. Usted No Pagará por el Servicio Las compañías hipotecarias cubrirán TODOS LOS GASTOS de un SHORT SALE cuando el proceso se inicia a tiempo y debidamente. ¡No espere más! 2. Salve Su Crédito Por lo general, la bancarrota es la única opción luego de perder su casa sin hacer un SHORT SALE. Limpiar este procedimiento de su historial de crédito le tomará por lo menos 7 años. 3. Deficiencia Saldada La diferencia entre el monto de su deuda y el precio del SHORT SALE puede quedar saldada. ¡Usted puede quedar sin deudas! 4. Sea Propietario Nuevamente Volver a ser propietario será posible en varios años. 5. ¡Paz! Termine ya con los dolores de cabeza de una mala inversión. La tranquilidad luego de resolver este problema será mayor si lo hace bien. Llame hoy para trabajar con un PROFESIONAL Jose Estrella Tel. (978) 361-5994 Star Real Estate Company \| 300 Essex Street, Lawrence MA \| Tel. (978) 687-8600 www.starrealestatecompany.com YouthBuild Lawrence 2do Lugar en Desafío de Carpintería POR ALBERTO SURÍS email@example.com Fall River obtuvo el primer premio, mientras que Lawrence quedó en segundo lugar, empatado con Springfield, en la décimo cuarta competencia de carpintería celebrada por Youth Build Lawrence el miércoles, 11 de mayo en el estacionamiento de Home Depot en The Loop de Methuen. En 3er lugar quedó Burlington, VT. Nueve programas de YouthBuild de Nueva Inglaterra compitieron en la construcción de paredes a elaborar de acuerdo a las especificaciones. El trabajo fue juzgado en un concurso cronometrado de velocidad, habilidad, calidad, trabajo en equipo y la seguridad. Los ganadores fueron anunciados al final del concurso, que siempre es gratuito y abierto al público. Los equipos de este año provinieron de Lawrence, Lowell, Boston, Quincy, Springfield, Worcester, Fall River, MA, y Barre y Burlington, VT. Los equipos establecieron lugares de trabajo con sus propias herramientas. YouthBuild Lawrence proporcionó los materiales. A las 9:30 de la mañana, los equipos recibieron los dibujos. Medición, corte y martilleo comenzaron inmediatamente. La labor de los jueces consistió en... Lawrence 2nd in YouthBuild Carpentry Challenge BY ALBERTO SURÍS firstname.lastname@example.org Fall River walked with the award while Lawrence placed second, tied with Springfield, at the 14th annual Carpentry Challenge held on Tuesday, May 11 at the Methuen Loop’s Home Depot parking lot by Youth Build Lawrence. Third place went to Burlington, VT. Nine YouthBuild programs from New England competed in building walls to drawing specifications. Work was judged in a timed contest of speed, skill, quality, teamwork and safety. Awards were presented at the end of the contest which was free and open to the public. Teams this year came from Lawrence, Lowell, Boston, Quincy, Springfield, Fall River, Westport River, MA, and Brattleboro and Burlington, VT. Teams set up worksites with their own tools. YouthBuild Lawrence provided materials. At 9:30 AM, teams received the drawings. Measuring, sawing and hammering began immediately. Judges assessed teamwork and safety while work was underway. They inspected each team’s finished construction for precision and compliance with the Massachusetts Building Code. YouthBuild Lawrence originated and organized the Carpentry Challenge in 1996 to promote quality instruction and camaraderie among New England YouthBuild programs. The event has grown from four participating teams to as many as 13. All materials used in the competition are recycled into affordable housing projects such as two single-family homes planned for sites on West Street in Lawrence. YouthBuild Lawrence is located at 355 Haverhill St. YouthBuild, a national program, trains young people in construction, GED, leadership and community service skills. Each program builds affordable housing in its local community. If your business has a WEBSITE and you want to promote it, do it with rumbonews.com! For more information call 978.794.5360 Estudiantes celebran su Segunda Competencia Anual Venture Project Celebration Diecisiete muy motivados estudiantes participaron en la Segunda Competencia Anual (YTE – Youth Tech Entrepreneur) Juventud Técnica Empresarial con su Celebración Proyecto de Empresa el viernes, 21 de mayo 2010 en Lawrence High School. Los estudiantes, como parte de su curso, exhibieron presentaciones informales ante un panel selecto de líderes comunitarios, del comercio y gubernamentales, en una competencia el día entero. En juego estaban $1300 en efectivo que fueron donados por diversos grupos de servicio local. “La Celebración del Proyecto de Empresa es el evento característico de la escuela. Le permite a nuestros estudiantes mostrar su talento para los negocios”, señaló el Dr. Edward Reynoso, director de la escuela secundaria de Administración de Empresas y Finanzas. “No sólo nuestros estudiantes crean un sitio web para organizaciones sin fines de lucro, sino que les da la oportunidad de practicar sus habilidades al negociar presentándolas públicamente a la vez que compiten por premios en efectivo. Es algo donde todos ganan – los estudiantes y nuestra comunidad”. Este año los estudiantes de YTE han creado una página web para la iglesia de la gerente de oficina de su escuela, una organización local de abuso de menores y han actualizado muchas de las páginas web de las escuelas. Los sitios se pueden ver yendo a: http://www.lawrence.k12.ma.us/lhs/impep/index.html http://www.lawrence.k12.ma.us/lhs/impep/index.html http://www.lawrence.k12.ma.us/lhs/ La competencia fue extremadamente rigurosa con dos equipos empatados por el primer premio de $400. El empate creó un dilema financiero que se resolvió rápidamente cuando los jueces Dennis Comeau, Dalia Díaz, Julie Gadziala, Elliott Gray, Peter Peterson y Sybille Gray generosamente entraron en sus billeteras y completaron la diferencia en dinero para el primer premio! “Quedé absolutamente impresionado con los talentos técnicos y habilidades de la presentación de estos estudiantes. Fue un honor contribuir a su futuro”, añadió Peter Peterson un ejecutivo de tecnología informática. “Mr. T (el Profesor David Toto) hizo un trabajo maravilloso en la organización de la celebración de este año”, señaló el doctor Reynoso. “Dave trabaja todo el año solicitando donaciones de alimentos y dinero para garantizar el éxito de nuestro festival”. Los estudiantes y los invitados fueron obsequiados con un desayuno continental y almuerzo donado a través de las generosas donaciones de los comerciantes locales. Mr. T tiene la esperanza de seguir agregando sobre los éxitos de la clase y el Venture Project Celebration. Si usted pertenece a un grupo local comunitario sin fines de lucro y desea una página web, por favor póngase en contacto con él en email@example.com o llame a la escuela al 978-946-0713 x 39071 para más información. Devers ganó Elección Primaria Especial POR ALBERTO SURÍS firstname.lastname@example.org Marcos Devers, candidato por el Distrito 16 para Representante del Estado ganó la Elección Primaria Especial celebrada en Lawrence, el 18 de mayo, 2010. De un total de 1609 votos, Devers obtuvo el 85% o 1,376 frente a 13.98% o 225 votos obtenidos por su oponente, el también demócrata Chally Ramos. La elección especial se llevó a cabo por órdenes directas del Departamento de Elecciones del Estado para reemplazar al Representante Estatal William Lantigua, quien renunció a su cargo cuatro meses después de ser elegido alcalde de la Gran Ciudad de Lawrence. La Elección Especial Final se celebrará el 15 de junio de 2010. Esta vez, Marcos Devers tendrá al Independiente Rafael Gadea como su rival. Los colegios electorales abrirán a las 7:00 AM hasta las 8:00 PM. Devers won Especial Primary Election BY ALBERTO SURÍS email@example.com Marcos Devers, candidate for District 16th State Representative won the Especial Primary Election held in Lawrence, on May 18th, 2010. Devers got 85% of the 1609 total votes or 1,376 versus 13.98% or 225 votes obtained by his opponent, also Democrat Chally Ramos. The special election was held by direct orders of the State Election Department to replace State Representative William Lantigua, who resigned his post four months after being elected Mayor of the Great City of Lawrence. Final Special Election will be held on June 15, 2010. This time, Marcos Devers will have Independent Rafael Gadea as his opponent. Polls will be open at 7:00 AM until 8:00 PM. ¡Nuestro Calendario es Tuyo! Envíanos tu evento a firstname.lastname@example.org Se Ofreceran Pruebas Gratis de: Vacunación Contra Hepatitis AyB Se Ofreceran Pruebas Gratis de: Clamidia • Gonorrhea Sífilis • Hepatitis C VIH Free Testing for Chlamydia Gonorrhea Syphilis • Hepatitis C Free Services for HIV Testing Hepatitis A & B Vaccinations Knowing is Healthy Saber es Saludable Greater Lawrence Family Health Center CSS Community Based Programs Prevention & Education Dept. 11 Lawrence Street - 3rd Fl. - Lawrence 978-685-7663 • www.glfhc.org Extensión del plazo no es razón para retrasar la inscripción Las autoridades encargadas de la recuperación instan a los residentes y negocios en los siete condados de Bay State designados zonas de desastre, y que tuvieron daños y pérdidas debido a la inundación reciente de primavera, a acelerar la posibilidad de obtener ayuda por desastre estatal y federal. Aunque el plazo de inscripción por desastre en Massachusetts fue recientemente extendido hasta el 28 de junio, las autoridades que trabajan en la recuperación dijeron que retrasar las decisiones de inscripción hasta el plazo no es lo mejor para los sobrevivientes. La extensión de 30 días fue un acuerdo entre autoridades de Massachusetts y de la Agencia Federal para el Manejo de Emergencias (FEMA, por sus siglas en inglés) con el fin de acomodar las necesidades de recuperación de residentes y propietarios de negocios en los condados de Bristol, Essex, Middlesex, Norfolk, Plymouth, Suffolk y Worcester. Para inscribirse, hay que contactar a FEMA ya sea llamando al 800-621-FEMA (3362) o 800-462-7585 (TTY) para personas con discapacidades auditivas o del habla de 7 a.m. a 10 p.m. diariamente. La ayuda en varios idiomas está disponible; o por medio de la Internet en www.DisasterAssistance.gov siete días a la semana a cualquier hora. Los solicitantes pueden prepararse para la entrevista de inscripción de 15 a 20 minutos teniendo información y documentos necesarios a la mano, incluyendo el número de Seguro Social. Después de la inscripción, los solicitantes pueden expedir el proceso de asistencia de la siguiente manera: - Marcando una cita con inspectores. Un inspector contratado por FEMA hará una cita para visitar la vivienda dañada, usualmente dentro de pocos días. Los solicitantes deben estar presentes en la vivienda o autorizar a un representante para que esté presente. Llamando gratis a la Línea de Ayuda de FEMA para confirmar o cambiar citas con los inspectores o proveer otro nombre de la persona que se reunirá con el inspector. Devolviendo los formularios pronto. Después de inscribirse, los solicitantes pudieran recibir por correo una solicitud de préstamo por desastre de la Agencia Federal para el Desarrollo de la Pequeña Empresa (SBA, por sus siglas en inglés) de EE.UU. Deben llenar y devolverlo pronto. La decisión final para aceptar un ofrecimiento de préstamo es siempre del solicitante, pero devolver la solicitud de préstamo inicial es una parte esencial del proceso de asistencia por desastre; y - Hablando con FEMA por medio de la Línea de Ayuda si los solicitantes tienen preguntas. Esto es especialmente importante con respecto a la cobertura de seguro dado que FEMA debe esperar el acuerdo final del reclamo por daño con el fin de evitar duplicación de pagos. La Línea de Ayuda ofrece asistencia en múltiples idiomas para hablar con un especialista en recuperación sobre cualquier pregunta o posibles apelaciones. Message from Councilor Laplante A very full agenda is anticipated for this week’s City Council meeting. I mistakenly expected the mayor to reveal his budget request for the last meeting. In fact, he will be unveiling his budget during the upcoming meeting. I have been warned that this will be an austere budget, filled with cuts that will significantly impact city services. There will be a short window of time in the upcoming weeks to review and discuss the impacts to you and our neighborhoods. I will continue to make myself available to you to gather your response and answer questions throughout the process. The votes that I expect to take this week that impact our district include the following: - Stop sign on Abbott Street (Osgood Street intersection); - the expenditures from the special $24 million bond to fund former employee accruals, current salary and wages, DPW expenditures (such as elevator repairs at schools), health care insurance shortages, and interest on bonds to pay for capital projects such as school loan interest; - use of public ways/properties in our neighborhoods for National Night Out, and a Cub Scout overnight; - the granting of various economic development enticements for the expansion of J.S.B. Industries from its Chelsea plant to a new plant on 309 Andover Street (behind Top Donut). This is a major development in District F, with job creation from a locally owned yet national company. Here is a link to the company’s web site: http://multiftown.com I will be keeping a running tally of where the bond money is being spent. During this council meeting, the total request is approximately $4.75 million. Marc Laplante Lawrence City Council District F 978 376-6702 Chally Ramos reacciona a resultados de las elecciones primarias especiales Apreciado Alberto, Un cordial y sincero saludo para usted, su amigo Dallas Richard. Quiero expresar mi más profundo agradecimiento por darme la oportunidad de haberme comunicado con el Distrito 16 llevándolo a los constituyentes mi mensaje claro y honesto en las pasadas elecciones. Quiero aprovechar esta oportunidad para expresar mi agradecimiento al Distrito 16 por el apoyo que me ofrecieron durante toda la campaña. No fue nada fácil, ya que me enfrenté al Sr. Marcos Devers, quien es bien reconocido en la política local ya que tiene dos décadas corriendo diferentes campañas para diferentes posiciones. Además no tuve el respaldo de líderes o grupos de intereses personales. Estoy muy contento con los resultados obtenidos, ya que ha traído reconocimiento a mi nombre y persona, llevando así mi mensaje claro y convincente a los votantes del Distrito que ha sido tan castigado en esta última década. No necesitamos más abrazos, lo que se necesita es alguien que abogue por uno de los distritos más pobres del estado. No necesitamos a un representante que sea persuadido; necesitamos a un líder con integridad que represente los verdaderos problemas que tanto están perjudicando la calidad de vida en la ciudad, que vaya a la legislatura a trabajar y no a politiquear y a olvidarse de los pobres que viven en el distrito. Otra experiencia negativa que pude apreciar, fue la poca participación de los ciudadanos puertorriqueños en estas elecciones. No están saliendo a votar. Es como un gigante dormido que tiene que despertar! Nosotros somos una gran fuerza íntegra en esta ciudad y todo el estado y debemos integrarnos al proceso político para poder reclamar los derechos que nos corresponden. Seguiré llevando este mensaje a la gente humilde de Lawrence y al igual que ellos, también sufrí esta depresión social por la que estamos cruzando. Continuaré por adelante ya que aquí no se necesita politiquear; aquí lo que necesitamos es enrollarlos las mangas y trabajando fuerte para traerles al pueblo lo que el pueblo necesita. Acción y dedicación son las palabras que describen a un buen legislador; esa sería mi única ambición política abogar y trabajar por un pueblo que me ha visto crecer. Con aprecio y compromiso, Chally Ramos Mensaje del Concejal Laplante Una agenda muy repleta está prevista para la reunión de esta semana del Concilio de la Ciudad. Fue mi error esperar que el alcalde revelara su presupuesto durante la última reunión. De hecho, él dará a conocer su presupuesto proyectado durante la próxima reunión. Me han advertido que este será un presupuesto austero, lleno de cortes que inciden significativamente en los servicios municipales. Habrá un corto período de tiempo en las próximas semanas para revisar y discutir los impactos a usted y nuestros vecinos. Seguire poniéndome a su disposición para recibir su respuesta al mismo y responder a preguntas durante todo el proceso. Los asuntos en que espero votar esta semana que el impacto de nuestro distrito son las siguientes: - Un letrero de PARE en Abbott Street (la intersección con Osgood); - Los gastos del bono especial de 24 millones de dólares para financiar el retiro de ex empleados, salarios actuales y gastos de DPW (tales como la reparación de aceras, reparaciones acumuladas, etc.) en el seguro de salud y los intereses de los bonos para pagar por proyectos de capital como los intereses del préstamo de la escuela; - La utilización de vías públicas y propiedades en los barrios durante National Night Out y una noche de excursión de los Cub Scouts; - La concesión de diversas tentaciones de desarrollo económico para la expansión de J.S.B. Industries de su planta en Chelsea a una nueva planta en la calle 309 Andover (detrás Top Donut). Este es un desarrollo importante en el Distrito F, con la creación de empleos de una compañía local, sin embargo, es una empresa nacional. Aquí está un enlace al sitio web de la empresa: http://multiftown.com Estaré manteniendo una cuenta detallada de dónde el dinero de los bonos se está gastando. Durante esta reunión del concilio, la petición total es de aproximadamente $4.75 millones. Marc Laplante Lawrence Ayuntamiento Distrito F 978 376-6702 Celebrando la Salud de la Mujer I/D - Vilma Lora, directora de servicios a la Mujer de la YWCA del área de Lawrence dando la bienvenida a la oradora invitada, Dra. Maria T. Vivaldi, cardiologa del Mass General Hospital. También en la foto aparece Martha Vélez, directora ejecutiva del Lawrence Senior Center. I/D - Barbara Keller, directora de Relaciones Públicas del Lawrence General Hospital; Paul Muzhutnett, director regional, Department of Public Health y Danielle Perry, directora de mercadeo/PR del Hospital Holy Family disfrutando de una animada conversación. L/R - Barbara Keller, Director, Public Affairs Lawrence General Hospital; Paul Muzhutnett, Regional Director, Department of Public Health and Danielle Perry, Director of Marketing / PR, Holy Family Hospital enjoying a conversation. POR ALBERTO SURÍS email@example.com Mayo es el Mes de la Salud de la Mujer, por lo que varias actividades se llevaron a cabo en nuestra gran ciudad. Entre las diversas actividades y eventos, el Mayor’s Health Task Force, entidad coordinada por la YWCA of Greater Lawrence en colaboración con el Lawrence Council on Aging, otras organizaciones del área y el US Department of Health & Human Services en la celebración de la Semana de la Salud de las Mujeres. El sábado, 8 de mayo 2010, de 8 am - 12 pm, se llevó a cabo el “Primer Desayuno Anual de la Mujer” en el Senior Center de Lawrence. El evento fue iniciado por el Honorable Alcalde de Lawrence William Lantigua y la Dra. Maria T. Vivaldi, cardiologa del Hospital General de Massachusetts del Programa de Salud de la Mujer y miembro del Círculo de la Sociedad Americana del Cáncer, fue la oradora principal. La Dra. Vivaldi pronunció un discurso de motivación para educar y empoderar a las mujeres a tomar pasos pequeños y manejables para mejorar su salud y reducir sus riesgos de desarrollar ciertas enfermedades que afectan a las mujeres, como enfermedad cardíaca, accidente cerebrovascular, diabetes, cáncer, VIH, y el asma, entre otros. Mesas de información organizada por varias organizaciones comunitarias también formaron parte de este evento. El acceso a la asistencia sanitaria, salud mental y la violencia contra la mujer también se trató. Women Health celebration BY ALBERTO SURÍS firstname.lastname@example.org May is Women’s Health Month, so several activities took place in our great city. Among the various activities and events, the Mayor’s Health Task Force, an advisory group coordinated by the YWCA of Greater Lawrence in collaboration with the Lawrence Council on Aging and other area organizations, and the US Department of Health & Human Services in celebration of the National Women’s Health Week. On Saturday, May 8th, 2010 from 8am–12pm, the First Annual “Women’s Breakfast” was held at the Lawrence Senior Center. The event was kicked off by the Honorable Mayor of Lawrence William Lantigua and Dr. Maria T. Vivaldi, Staff Cardiologist at Massachusetts General Hospital’s Women’s Heart Health Program and Circle of Red member for the American PLEASE SEE SURÍS CONTINUES ON PAGE 30 Watson Insurance Agency, se place en comunicar que cuenta de Eyron T. Rodríguez, especialista de Pequeños negocios y cuentas personales. Eyron tiene años de experiencia en el mundo de los seguros y esta interesado en conseguir la mejor cobertura por su dinero. Ofreciendo el mejor servicio en su idioma a todo el público Hispano del área de Nueva Inglaterra. Eyron T. Rodriguez Cell 603-943-4030 E-mail: email@example.com Commercial & Personal Account Executive Se habla Español 50 S. Main Street Manchester, NH 03102 800-258-5000 Tel. 603-668-4800 Fax 603-668-2400 www.watson-ins.com With the playoffs scheduled to start in the following week, the league has proven again to be very competitive. With 9 teams trying to cop the title, it was the Hancocks that won the crown when the smoke had cleared with a 20-6 record. The always tough Chez When compiled a 18-9 record followed by the Perdis at 15-10. The Turn Hall were at 14-12 and had 2 games to play. Vics stood at 12-12 and also had 2 games to play. This week could have a tie for the fourth playoff. Pictured are the Turn Hall: Front row: Brian McCarthy, Larry Reusch, Al Nichols, Sean McCarthy, Jim Reid, Terry Kelly, Dennis McCarthy. Back row: Norm Livernois, Dan Daniels, Phil Corriveau, Bernie Doyle, John Kelleher, Henry Solomon and Jim Reusch. Auto Body - Pre Owned Vehicle Sales - Detailing - Service 1 Groton Street, Lawrence MA 01843 Tel. 978.688.6904 NASSAR AND SONS Spring Detailing Special Venta de Vehículos Usados Mecánica General Limpieza & Detalle Desabolladura & Pintura 1 de la Calle Groton en Sur de Lawrence Tel. 978.688.6904 Lawrence Family Development Charter School’s Charter Renewed for Five Years On Thursday, May 6, 2010, state education officials presented a charter to Lawrence Family Development Charter School leaders authorizing the school to continue operation for the five year period July 1, 2010 through June 30, 2015. LFDCS was one of 19 schools to be honored for its faithfulness to the terms of its charter, the success of the school’s academic program and the viability of the school as an organization at the state’s annual charter granting ceremony. Massachusetts Secretary of Education Paul Reville and Education Commissioner Mitchell Chester presided at the ceremony. Ralph Carrero, Superintendent, Susan Burgett, Principal, and Patricia Karl, Founder and retired Superintendent represented the school at the ceremony. In his remarks Secretary Reville said “These charter schools celebrated today have made an impact on the lives of students and I’m happy to celebrate with them. We remain committed as a Commonwealth to ensuring high quality charter schools have the opportunity to reach students in the spirit of innovation and autonomy and our shared mission of excellence for all.” Commissioner Chester added, “In Massachusetts, we have set a very high bar for charter schools and hold them strictly accountable for their performance. The high expectations that these 19 schools receiving renewed charters today, will create a dynamic learning environment where all students can succeed.” LFDCS was founded in 1995 by a coalition of Hispanic parents and community leaders who wanted a school that would be responsive to the academic, language, cultural, and developmental needs of their children. The founders wanted to provide an alternative that supported language and cultural values important to families in the community. They dedicated themselves and the school to educating the children of immigrants and other new arrivals to the City of Lawrence, preparing them and their families to move forward with skills they would need to be successful in the 21st Century. Since its founding the school has grown from a kindergarten to 3rd grade school of 178 students to a two year kindergarten through eighth grade school of 600 students. The school is preparing to increase enrollments to 800 students beginning in September 2011. Please contact Ralph Carrero, Director/ Superintendent, at 978-689-9863, extension 123, if you have any questions or would like additional information about Lawrence Family Development Charter School. FOIA Requests You probably heard me say that the boards and commissions appointed by the mayor as well as city employees on lifetime employment are more important than the politicians we elect because they are the ones who have direct contact with our quality of life and many daily decisions. Here are two frustrating examples: Since June 9, 2009 I requested under the Freedom of Information Act from the City of Lawrence certain data about the Veterans Memorial Stadium and the parking lots and garages. On March 8, 2010 I wrote in my column “Different Administration; Same Results” and that same evening, Lenny Degnan, Mayor William Lantigua’s Chief of Staff delivered a computer printout showing expenditures and available balance in the budget for both, which is not what I requested. Why can’t they answer my questions regarding the stadium and parking lots? After speaking to the City Attorney a few days ago, he requested it again and sent me a copy which shows a handwritten note from Purchasing Director Carolyn Traiccani, saying that she has “no information on the Veterans Memorial Stadium.” I don’t care to know what she doesn’t know about. I want answers! On Wednesday, May 19th, I spoke with the City Attorney Charles Boddy and he explained that there’s nothing more that he can do; he asks for information and people just don’t comply with his requests. The same goes for the Human Rights Commission; for several years I have been insisting that we have a functioning Human Rights Commission in Lawrence. During that time, Rev. Victor Jarvis has been serving as Chairman of the Commission and his explanation for its being stagnant was due to a lack of quorum not having a sufficient number of members. It seemed that things would change when Mayor Michael Sullivan appointed new members a couple of years ago but they continued skipping meetings for months due to a lack of quorum; this time it was the lack of commitment from its members not showing up for meetings. At first, meetings were not being advertised and I later found out that they were being held privately or what Rev. Jarvis calls “internal meetings.” Finally, on May 3, 2010 I filed a Freedom of Information Act Request from the City of Lawrence. City Attorney Charles Boddy sent an email requesting a response from several people and I immediately received an email message the next day from Francisco Brea, vice chair of the Commission was that they would discuss it during the June meeting. He is dismissing the fact that by law, they have to respond within ten days of my request. I received a response from City Clerk William Maloney attempting to answer my questions from his limited information from the Human Rights Commission. He attached copies of the recent postings of upcoming meetings (which I didn’t request) but has no minutes or agendas of their meetings. When I met with City Attorney Boddy, he made it clear that there is nothing else he PLEASE SEE DÍAZ CONTINUES ON PAGE 34 FOTOS DE LA RECEPCIÓN DE FOTOGRAFÍAS EN HERITAGE STATE PARK PHOTOS BY DARÍO ARIAS & ONELIO ESPINAL PICTURES FROM THE PHOTO EXHIBIT RECEPTION AT HERITAGE STATE PARK MVP pide a los bancos que detengan los desalojos y ejecuciones de hipotecas MVP pide a Bank of America y a Wells Fargo que ofrezcan hipotecas permanentes al alcance de angustiados propietarios de viviendas locales y detenga los desalojos. Los remedios actuales de ejecución de hipotecas NO funcionan. El martes, 18 de mayo 2010, los líderes de MVP de Lowell, Lawrence, Andover, Dracut, Westford, Haverhill y otros pueblos del valle, pidieron a Bank of America y Wells Fargo que provean hipotecas asequibles y permanentes para los propietarios locales y se comprometan a detener los desalojos de familias trabajadoras. La organización dio a cada banco una lista de propietarios de viviendas e inquilinos que tienen dificultades para obtener hipotecas y para no ser desalojados por los bancos. Hasta la fecha, MVP no ha tenido una adecuada respuesta de estos casos. Una de los propietarios de viviendas en esta lista es el Sr. Danny Núñez, dueño de una casa en Methuen y líder de la Iglesia Cristiana Ebenezer en Lawrence, al que se le ofreció una modificación temporal de conformidad con el programa HAMP que en vez de modificar el valor actual real de la casa, le clavaron con una tasa de interés variable inaceptible después de varios años y un pago global de $100,000 al final de 40 años. Tres meses después del tiempo seleccionado para ofrecerle una solución permanente, no ha tenido respuesta por parte de Wells Fargo. "Esta no es una solución sostenible o adecuada. MVP está luchando junto a miles de personas en el valle que enfrentan el mismo problema con los bancos como el señor Núñez. Ellos tienen la capacidad y la voluntad de pagar una hipoteca por el valor real actual de su hogar", dice Rosemarie Buxton, presidente de MVP y líder de Christ Church Andover. "Los bancos se niegan a dar modificaciones por el valor actual de las residencias de los que viven allí duro y que ya tienen una hipoteca en su nombre están dispuestos a pagar. En cambio, están ejecutando las hipotecas, expulsando a las familias y vendiendo la casa a un nuevo comprador a un precio significativamente menor. ¿Por qué no negociar con el dueño actual? No tiene sentido y están perjudicando a miles de personas en nuestras ciudades y suburbios". MVP es una organización de 30 iglesias, sindicatos y grupos comunitarios que abarcan la ciudad y suburbio en la región del Valle de Merrimack y representan a más de 15,000 residentes. Nos unimos a través de raza, clase, religión, idioma, origen étnico y geografía para construir el poder para luchar por la justicia social y económica en la región del Valle de Merrimack. MVP Calls on Banks to Stop Evictions and Foreclosures MVP asks Bank of America and Wells Fargo to provide permanent, affordable mortgages to distressed local homeowners and no more evictions. Current foreclosure remedies NOT working On Tuesday, May 18, 2010, MVP leaders from Lowell, Lawrence, Andover, Dracut, Westford, Haverhill and other valley towns, asked Bank of America and Wells Fargo to provide affordable and permanent mortgages for local homeowners and commit to stop evicting hard working families out unto the streets. The organization gave each bank a list of homeowners and tenants who are struggling to get for mortgages and not be evicted by the bank. To date MVP has not had an adequate resolution of these cases. One of the homeowners on this list is Mr. Danny Nunez, Methuen homeowner and leader from Ebenezer Christian Church in Lawrence, who was offered a temporary modification under the HAMP program that instead of modifying the balance to the current real value of the home, stuck him with an unaffordable variable interest rate after several years and a balloon payment of $100,000 at the end of 40 years. Three months past the allotted time to offer him a permanent solution, he has had no response from Wells Fargo Bank. "This is not a sustainable or adequate solution. MVP is fighting alongside thousands in the valley who are facing the same issue with the banks as Mr. Nunez. They have the ability and willingness to pay a mortgage at the current real value of their home," says Rosemarie Buxton, MVP president and leader from Christ Church Andover. "Banks are refusing to give modifications at the current value to hard working residents who already have a stake in their home and are willing to pay. Instead, they are foreclosing, kicking out the family and selling the home to a new buyer at a significantly lower price. Why not negotiate with the current owner? It doesn't make sense and it is hurting thousands of people in our cities and suburbs." MVP is an organization of 30 churches, unions and community groups spanning city and suburb in the Merrimack Valley region representing over 15,000 residents. We unite across race, class, religion, language, ethnicity, and geography to build power to fight for social and economic justice in the Merrimack Valley region. LA SOCIEDAD EN LA YMCA PUEDO HACER MARAVILLAS PARA SU CORAZÓN. ¿Quisiera ser más fuerte sin tener que hacer ejercicio? Unase a la YMCA del Valle de Merrimack. A través de programas como los de deportes para jóvenes, natación y eventos familiares, usted puede estar más cerca de sus seres queridos en un ambiente saludable y cuidadoso. Además de ser una gran forma de crear la fundación para un estilo de vida saludable, la sociedad en la YMCA del Valle de Merrimack fortalece la fortaleza, espiritual, buenas costumbres y trae sencillez a sus vidas. Niño o adulto si fuera una inversión en su propio bienestar, el de la familia y la comunidad en general. Al hacer esto, su corazón se estará fortaleciendo en formas que nunca se imaginó. Usted puede hacerse socio de cualquier lugar, pero usted pertenece a la Y. Merrimack Valley YMCA www.mvymca.org Andover/North Andover Branch • Lawrence Branch • Methuen Branch • Camping Services Branch 978.685.3541 978.686.6191 978.683.5266 978.975.1330 Felicitaciones Cristobal y Margarita El pasado domingo, 16 de mayo 2010 contrajo matrimonio el conocido comunicador Cristóbal Ramos con la Sra. Margarita Rivera. La ceremonia tuvo lugar en el Centro de Adoración “Amén, aquí está el Señor”, localizado en el 19 de la Calle Hampshire. Ofició la ceremonia el Pastor José Santos siendo los testigos de la ceremonia el Ingeniero Marcos Devers y la Sra. Hilda Díaz. A Cristóbal Ramos, más conocido por El Polifacético, puede escuchársele ahora los jueves de 2 a 4 de la tarde por la 1490AM-WCEC en su popular programa de música y mensajes religiosos. ¡Felicitaciones al matrimonio! Are You A First-Time Homebuyer? Affordable Home Ownership Call Leslie Torres-Arias to help and guide you with purchasing your first home. Leslie Torres-Arias has been a Mortgage Loan Officer for over 10 years. She has extensive knowledge of First-Time Homebuyer Programs and Government loans. Sovereign Bank makes home ownership more affordable and practical than ever with our first-time homebuyer and low to moderate income programs. Contact Leslie today! Hello Rumbo readers, I was just skimming through the fifteenth anniversary issue. It seems so recently we were at Sal’s celebrating the tenth anniversary. What seems really weird is that I have been writing for Rumbo for more than five years meaning more than a third of the time of the paper’s existence. I hope we have a long future together as well. Any day now I will be hearing from the city what my budget is going to be. I am very nervous about what will happen to us. I know that the mayor plans to have the budget sent down to the City Council by the first of June so I should have some kind of answer before my next article. As I have stated previously, it is not a case of the library being unwilling to make sacrifices. It is simply that we have pretty much already sacrificed every cent we can afford to lose. In the mean time, we try to keep things going. We have a brilliant historical display in our local history room on the third floor. It is on the subject of the Pemberton Mill tragedy and it was put together by special collections librarian Louise Sandberg. The show was originally on display at Heritage Park. Of course the disaster at the Pemberton Mill was a very sad chapter in our city’s history, but it is part of our heritage. Everyone should stop by and see this display whether you are a local history junkie like some of our favorite patrons or just a Lawrencian interested in discovering an interesting part of our shared history. The children’s room staff is already very busy getting ready for our summer reading program. This year the program will all take place during the month of July. We will still have the same number of activities and presenters as in the past, but they will be a more concentrated time frame. I will be letting you all know when the sign-up date will be for the different events. We try to accommodate everyone who wants to participate but we do ask folks to sign up ahead of time so we have an idea how big a space we are going to need. As usual, participation in the program is free. Speaking of the children’s room, our friend Lori Jorge from the Raising a Reader program had a great bilingual read aloud last week and the group played to a “full house” of children. Raising a Reader has proven to be a great partner for the Lawrence Public Library. We share a mission to inspire early literacy and life-long reading skills in children. The library gives the RAR folks a center of operation and they in turn provide programs in our children’s room. The relationship is mutually beneficial. I have said many times that partnerships, especially in times of financial hardship, are a great way to increase resources and do more with less. Well, as I continue to stress out about my library at least the Celtics are putting some joy in life. See you at the library. --- Boys & Girls Club of Lawrence Receives Grant From MetLife Foundation The Boys & Girls Club of Lawrence (BGCL) recently received a $10,000 grant from the Metlife Foundation’s Every Member Every Year program to support the club’s Planning for the Future program. The funds will enable the club to offer academic enrichment activities, job-ready skills development and summer internship placements. Each year, more than 50 youth between the ages of 13 and 17 years work with the club’s assistant director of education who helps them with career exploration, college planning and job preparation. Throughout the year, youth participate in SAT preparation classes, goal-setting workshops, college fairs and visits, job-ready workshops, individual counseling and tutoring sessions. Successful participants are matched with a local business or agency to complete a summer internship. BGCL has ample slots available for business agencies and/or corporations interested in hosting a summer intern. If you are interested in impacting and empowering youth start by hosting an intern this summer. It would like further information about the program please contact Victor Martinez at 978-683-2747 x141 or firstname.lastname@example.org. --- Continúa de la página 4 Díaz: Desde Mi Esquina ese rumor comenzó. ¿Por qué verificar su exactitud, ¡no? Cada vez que se repite, más detalles se le agregan y más odio. Bueno, déjeme decirles lo que lo empezo todo. Hace unos años, mi empleado hizo los arreglos para celebrar un Día Legislativo donde todos los políticos locales son invitados y tenían la bendición del Alcalde Joe Sullivan. Varias concejales de la ciudad se opusieron diciendo que una entidad privada no podia usar la Cámara del Concilio, aún cuando ellos eran invitados. Cuando recibí un mensaje del señor Payano que esta teatro iba a tener lugar, le pregunte a funcionarios de la ciudad si se trataba de un uso adecuado de la habitación. Eso fue todo. Son aquellos funcionarios públicos los que iniciaron el rumor, porque yo no fui mas lejos. Nunca mencionó el caso de la radio o escribi sobre ella. Si no asistí esa noche, no fue en señal de protesta, simplemente que Adriana quemó todos los puentes en su camino. Prueba de ello es que todos los periódicos hicieron caso omiso de su encuentro de despedida y la asistencia fue mínima. Usted cosecha lo que siembra! La Virtud de Responder POR REV. EDWIN RODRÍGUEZ www.revrodriguez.com Desde hace meses, he venido haciendo varias denuncias contra AMEDAL y algunos líderes de las iglesias de Lawrence. El tiempo ha pasado y todo sigue en un silencio sepulcral. No pueden o no quieren responder, pues, “responder” es espada de dos filos. Lo mismo aclara, que complica las cosas, defiende que perjudica. Es por eso, que los amantes de la “Quinta Enmienda” de nuestra Constitución, utilizan ese amparo para envolverse en errores garrafales, sin tener o querer responder. Cuando se hace una denuncia judicial, la Corte tiene un cierto tiempo limitado al denunciado para que responda y decida si quiere hacer arreglos o enfrentar la ley. Si el demandado escoge no responder, se declara en contención y se presume culpable de todo cargo. De ahí, el proverbio, “el que calla otorga”. “Responder” es además un arte y es allí donde muchos han caído en el hábito de percibir el acontecer cotidiano como si fuera una cosa compleja que sólo ostenta adversidades que nos rodean de una perpetuidad de abatimientos deprimentes, plagados de aflicciones y tristezas que desembocan, muchas veces, en depresiones que son el producto de la desidia, de la que no hemos huido. A veces, la vida nos parece ingrata, pero abiertos a la sinceridad, a la verdad sin hipocresía, ésta pudiera ser más placentera. Creo que “responder” es “una virtud” que manifiesta nuestra integridad ante los diversos retos que enfrentamos, ya sea en el ámbito religioso, social, cultural o histórico; los que se interrelacionan entre sí conformando nuestra respuesta socio religiosa. No obstante, un componente trascendental dentro del acto de “responder honestamente” es el factor interno, compuesto por nuestras motivaciones, animosidad, valores espirituales, creencias y conocimiento de nuestro ser interior que nos hacen elegir algún camino dentro de las limitadas posibilidades de elección. “La virtud de responder”, es el aspecto de un proceso laberíntico, al que no se le puede dar cabida sin premeditación alguna para no incriminarse, es preciso detenerse y dedicar aunque sea un instante para analizar hasta entender qué camino hemos escogido, si nuestras decisiones han sido o no las más acertadas, y en el caso de líderes ministros, si en humildad nos podemos enorgullecer de nuestras decisiones y de cómo éstas han afectado a nuestro prójimo y más aún, si nuestra vida tiene un pasar feliz a causa de aquello que escogimos. El libro sagrado habla de la “virtud de responder”, y dice: “La blanda respuesta quita la ira; mas la palabra áspera hace subir el furor” (Pr. 15:1). Yo busco una respuesta. ¿Ha sido sabia la mezcolanza política de los líderes de AMEDAL, disfrazados de una falsa piedad religiosa? ¿Ha sido prudente el mal uso de más de mil horas de propaganda radial, televisiva, para la música, el chisme, la burla y el ataque a los políticos y religiosos en desacuerdo con ellos? Más de mil horas convertidas, en lugar de “La Verdad en Acción”, en “Maquinación y Manipulación en Acción”; más aún, cuando un aciago novicio, falso de consejeros, sigue siendo utilizado para vomitar frustración, motivado quizás, por el deseo de surgir y ser aceptado, cosa que nunca logrará manchando a los demás con polémicas vulgares, sino “respondiendo” por su impericia espiritual. Disculpe la superflua mención de los líderes de AMEDAL, que no hay distinción entre ellos, y que tampoco haré otras búsquedas de embustes”. En el horizonte G-12; ¿qué lo hicieron? En parte el tiempo en que ese escaso comenzó a ventilarse en nuestra ciudad, ya había varios libros escritos en oposición, y centenares de artículos negativos en la red, con advertencias diáfanas de todo lo que ocurría en los lucrativos encuentros? Los pastores lo sabían e ignoraron la advertencia, actuando como si hubieran encontrado una mina de diamantes. El deseo de servir al dios Mamón terminó de cerrarle los ojos ya escamados por el amor al dinero. Lo más triste del caso es que ahora se niegan a responder y actúan como si no fuera con ellos. Cuando tienen la oportunidad, corrigen a todo el mundo para que aprecien lo que no existe y que resulta ser una mocarita de su parte. Pero, ya están al descubierto. Sabemos quiénes son, qué agua ofrecen y qué males producen. Nos deben una disculpa pública. ¿Por qué estos hombres no utilizan “la virtud de responder” y se disculpan públicamente con los afectados? pues, hay muchos. He hablado con gente que no quiere saber del evangelio, porque su vista conserva la imagen proyectada por los “buitres del altar”. Yo quisiera dar borron y cuenta nueva a este asunto, pero cada cierto tiempo cambian de táctica, pero persiguiendo la misma meta; “la salvación del bolsillo”: G-12, la mesa de la fe, las pirámides, los festivales, conciertos y alquileres de templos a grupos divisores de iglesias, todo porque produce dinero. Es lamentable que la imagen de la iglesia y el santuario haya sido tan opacada. Pues, ya no se ve como el lugar en donde la divinidad puede estar presente en el espíritu, sino que han convertido los salones de esparcimiento teatrales, salones de baile, espectáculos de magia, plataformas políticas y escenarios de competencias, que nada tiene que ver con la Biblia. Todo, para entretener a la juventud con danzas, pantomimas, conciertos de famosos, festivales, donde se promueve la historia colectiva para provocar una catarsis emocional en el momento. En los tiempos de Jesús, los cambistas estaban en los arios del Templo; hoy los “cobradores de taquilla” están a la puerta del templo. Ni los fervorios les escapan. El apóstol Pedro decía: “No tengo oro ni plata, pero lo que tengo te doy... a Jesucristo, sanidad, salvación y gozo en el espíritu de Dios (Hech. 3:6). Hoy se dice: Siembra SemillaS de cientos y miles de dólares, aunque no los tengas, compra tu bendición y tu sanidad en lo que se vuelve a encontrar el pan y el agua de vida gratuitas, que se perdió cuando se abandonó la sana enseñanza de la Palabra de Dios. A eso es que esos ciegos, guías de ciegos... llaman la excelencia de servir. Es cierto que hay que servir, porque el que no sirve, no sirve, ya que para servir hay que servir, pero se debe hacer gratuitamente. Por eso, es preciso tapar la boca (de los fariseos) porque trastornan casas enteras, enseñando por ganancia, enseñando lo que no conviene (Mt. 15:14; Tito 1:1). Señores, son miles los dólares recaudados en actividades, para contratar la nueva prole de “artistas cristianos”, y así comprar las consciencias de los jóvenes que acuden a las iglesias. Ya ni se menciona la obra misionera, mucho menos se respalda. ¿Quién puede ofrecernos la respuesta? A voz en cuello, hago eco de las palabras de Jeremías: “¡Es cueva de ladrones delante de vuestros ojos esta casa sobre la cual es invocado mi nombre? Paráos en los caminos y mirad y preguntad por las sendas antiguas, cuál sea el buen camino, y andad por él, hallareís descanso para vuestra alma. Pero ellos [AMEDAL] dijeron: No andaremos” (Jer. 7:11; 6:16). METHUEN YMCA’S ‘TOUCH-A-TRUCK’ IS TONS OF FUN FOR KIDS AND FAMILIES The Methuen YMCA welcomes nearly 800 children and their families at the May 15 ‘Touch-a-Truck’ event. From 10:00 a.m. to 1:00 p.m. kids were free to climb aboard and honk the horns of many different vehicles. On display were: many construction vehicles, Methuen Police Department police cars, a school bus, ice cream truck, Comcast van, Methuen Fire Department truck, two Hummers, an all terrain vehicle, and a Merrimack Valley Regional Transit Authority bus. The Masons were also on hand to provide parents with child identification kits. Jill Sullivan of Methuen climbs aboard a truck with her twin 4-year-old sons Liam and Keegan. Checking out the front loader at the Methuen YMCA’s ‘Touch-a-Truck’ event are 20-month-old Reid Sulliveras of Methuen with his dad Garret. Vroom, vroom! Trying out the Kawakaki 4 x 4 all terrain vehicle are: Timothy Schiller, age 4; Abigail Schiller, age 6; and Torah Schiller, age 9. With them is their mom Mishael Schiller. They live in Lawrence. Registering visitors to ‘Touch-a-Truck’ are YMCA volunteer Ashia Miller, with YMCA staffers Ayrtyza Delgado and Chelsey Quinto. Hello from the wheel loader! Pictured is Peter Simone, age 3, of Methuen. Trying on the firefighter’s helmet is Bobby Ferraro, age 3, of Methuen. He’s with his dad Bob Ferraro and Lt. Sirois of the Methuen Fire Department. El Hospital Holy Family comienza construcción de nuevo Centro de Emergencias El proyecto de 21 millones dólares entre siete Caritas Christi iniciativas por un total de $100 millones aportará la más avanzada técnica y servicios de alta calidad para el este de Massachusetts. Funcionarios del Hospital Holy Family dieron comienzo a la construcción de un nuevo Centro de Emergencias que satisfaga la demanda del paciente así como las nuevas tecnologías. El nuevo proyecto de 21 millones de dólares casi duplicará la capacidad actual del hospital para atender a pacientes de emergencia mientras que proporcionaría los pacientes y sus familiares del Valle de Merrimack y el sur de New Hampshire con el acceso a tratamientos de emergencia más avanzados. La ceremonia tuvo lugar en Methuen, el 7 de mayo de 2010 con una cuchara colocada en el aparcamiento del hospital. "Esta ceremonia marca un hito significativo en el compromiso de 60 años del Hospital Holy Family para con el cuidado de nuestra comunidad", dijo Lester P. Schindel, presidente del Hospital. "Con nuestro Centro de Emergencias atendiendo a más de 41,000 visitas cada año, esta expansión aumentará nuestra capacidad para atender a pacientes y sus familias en sus momentos de más necesidad." El Departamento de Emergencia (DE) actual del Hospital Holy Family fue construido en la década de 1970 para servir a 25,000 visitas al año. El más antiguo DE en el Valle de Merrimack, es también el último de construcción "circular" que se haya diseñado para la atención médica. Con el nuevo Centro de Emergencias, Holy Family puede atender hasta 54,000 visitas al año para satisfacer mejor las necesidades de las comunidades que sirve. El Centro de Emergencia del Holy Family está previsto para ser inaugurado a mediados de 2011, y será entre el primero de siete proyectos de Caritas Christi de mejora del cuidado de salud. Los proyectos repartidos entre los seis hospitales de Caritas Christi representan un total de más de 117,000 metros cuadrados y representan una inversión de capital de más de $100 millones. Un compromiso significativo de capital de parte de Cerberus Capital Management ha permitido a Caritas Christi iniciar la construcción y proporcionar la financiación necesaria para completar los proyectos de manera oportuna. Los proyectos incluyen $21 million project among seven Caritas Christi initiatives totaling $100 million that will bring state-of-the-art, high-quality services to eastern Massachusetts Holy Family Hospital officials broke ground on a new Emergency Center that will accommodate patient demand and new technology. The new $21 million project will almost double the hospital’s capacity to care for emergency patients while providing patients and families from the Merrimack Valley and southern New Hampshire with access to advanced emergency medicine. The ceremony took place in Methuen, on May 7, 2010 under a tent placed at the hospital parking lot. "This ceremony marks a significant milestone in Holy Family's 60-year commitment to caring for our community," said Lester P. Schindel, president of Holy Family Hospital. "With our Emergency Center serving more than 41,000 visits each year, this expansion will enhance our ability to care for patients and families in their time of need." Holy Family's current Emergency Department (ED) was constructed in the 1970s to serve 25,000 visits annually. The oldest ED in the Merrimack Valley, it is also the very last "circular" building ever designed for medical care. With the new Emergency Center, Holy Family can serve up to 54,000 visits annually to better meet the needs of the communities it serves. Where do I find Rumbo? Rumbo is printed four times a month on the following schedule: 1st & 15th of every Month Regional Edition (MA) Lawrence, Methuen, Haverhill, Andover, North Andover, and Lowell (NH) Salem, Nashua, and Manchester 8th & 22nd of every month Local Edition (MA) Lawrence and Methuen Advertising Sales: (978) 794-5360 You can find us on the WEB! rumbonews.com The threat of rain could not hold back the baseball players and volunteer coaches for opening day of Merrimack Valley YMCA’s Itty Bitty Baseball League. The league boasts 150 players and 30 coaches. The Lawrence High School Lancers Baseball Team worked with volunteer coaches to have a baseball clinic on the first day of the season. They conducted running drills, catching, outfielding, and batting skills. In this T-ball/Coach pitch program, boys and girls ages 5 to 8 learn the fundamentals of baseball while having fun. The program runs Saturday mornings at the Frost School located on the Lawrence/Andover town line. Each week the players are coached in the basics of hitting, throwing, catching, fielding, and base running, followed by a 45-minute game. Itty Bitty Baseball meets on Saturday mornings from 10:00 a.m. to 11:30 a.m. Gloves and cleats are provided to those in need. 35 Artists Put to the Test for the Essex Art Center Saturday, June 5th, 35 prominent artists will be put to the test – creating works of art in and around Lawrence and the Andovers to help raise money for the Essex Art Center’s premier fundraising event, the New Paint Auction – the principal funding source for their Kids’ Art Program. It is a fun-filled evening of great live silent and live auctions, wonderful food, wine and music. Just like reality TV, participating artists, under extreme pressure will have just 8 hours to paint in a variety of mediums, rain or shine. Many can be seen throughout the day capturing brilliant landmark scenes alongside local roadways, colorful gardens, well known landscapes and buildings and along the Merrimack River with their easels, paints and brushes in hand. Later that evening, the paintings (many are still “wet”), will be Live Auctioned off at Jackson Lumber and Millwork by NECN’s meteorologist, Matt Noyes, with over 350 guests in attendance. The artwork board will be beautifully transformed into a grand gallery displaying the talented work of many local prominent, professional and amateur artists who paint the day of the event and for those artists whose works are showcased within the Silent Auction area including work created by a select talented group of Lawrence High students. As the artists paint the town red, green, yellow and blue – they are helping to bring an abundance of color to the young artists who are students at the Essex Art Center. Last summer a record breaking 660 kids of all ages participated in art classes ranging from basic painting, drawing, clay and photography to specialty classes of fused-glass jewelry making and portfolio development. The young students’ lives are enriched as they realize their artistic potential and nurture their creative spirit. As Alexa Urena, age 12, attests, “At the Essex Art Center, I can come and work with artists and materials that I wouldn’t otherwise have.” The students work with dedicated instructors like Pablo Gonzalez who states, “Art means to me every moment in my life that I hold sacred.” The Essex Art Center offers programs for children and adults; vacation camps and adult workshops. Local artists design and teach the art classes in a wonderful variety of mediums from ceramics, photography, drawing and painting to silk-screening, bookmaking, sculpture and Italian frescoes including early morning Yoga classes. EVENT INFO: Saturday, June 5, 2010 at 6:00 p.m. Jackson Lumber & Millwork 215 Market Street, Lawrence, MA Lots of free parking Tickets $50 in advance, $65 at the door For tickets or more information, please contact 978-685-2343 or email@example.com or www.EssexArtCenter.org HISTORY In November 1993 three women opened a gallery and small classroom on Essex Street determined to show fine art and teach art classes to any citizen of Lawrence and the Merrimack Valley who was interested. Since then Linda Maddox has served as founding Leslie Costello and Helen Tory to continue the dream of building a valuable art resource in downtown Lawrence. In 1995 they moved to larger premises in the Mill district, and as of July 2001, they occupy 13,200 sq. ft of creative space and galleries where the dream continues to strengthen and grow... Ages 3 to adult explore clay, drawing, painting, photography and more through the EAC’s classes and galleries! Twelve gallery exhibitions are featured per year and are always free to the public. On average the gallery opening receptions attract an audience of 200 local and regional art lovers. EAC’s special gallery shows the work of local artist in a great variety of mediums. Gallery shows change every 4-6 weeks and are free to the public. On average the opening receptions attract an audience of 200 local and regional art lovers. EAC has a pool of 50 artists who teach classes and workshops. They share their talents and their love of art with children and adults, inspiring students to explore and express their feelings in a safe environment. NECC Participates in Earth Day Activities More than 90 Northern Essex Community College students, faculty, and staff joined 300 other volunteers from a number of area organizations to participate in a city-wide, community beautification cleanup project of Lawrence to celebrate Earth Day. Under the direction of Niurka Aybar-Balbuena, NECC associate director, community relations, NECC reached out to various neighborhood associations who identified beautification cleanup projects from litter pickup to cutting up bamboo and large branches. Three English as a Second Language (ESL) instructors brought their classes to participate and incorporated their project into their curriculum having students complete reflection papers after the project to make the experience a complete service-learning component. NECC partnered with Comcast, Groundworks Lawrence, the City of Lawrence, Lawrence General Hospital, Whole Foods, Allied Waste, Jackson Lumber, Lawrence Heritage State Park, Sal’s Pizza, and Covanta Energy to cleanup six Lawrence neighborhoods. For additional information contact Niurka Aybar-Balbuena, NECC associate director, community relations, NECC student outreach squad (SOS) manager. CHOOSING ADOPTION Hi! My name is Justin “I like to listen to music, I enjoy being around people and I am always smiling” BY CHRISTINE MITCHELL 1-800-882-1176 Justin is a special four year old little boy of Hispanic descent. Always smiling and with an easy-going personality, Justin works towards overcoming the obstacles he encounters with enthusiasm. One of his favorite things to do is to make people smile and the adults in his life just adore him. He loves spending time with his foster family, listening to the singing in church and participating in the activities in his preschool program. Justin has been diagnosed with global developmental delays, has limited mobility on his left side, and very few spoken words. He benefits from the involvement of various services, including occupational, physical, speech and medical specialists to aid him in his progress. Justin is legally free for adoption, and due to his needs, his social worker is looking for a special two-parent family, with no other children or with much older children, with room in their hearts and lives to support Justin, who will need services into adulthood. This optimistic and amazing little boy has much love to give and is looking for a family who can return that love and shower him with hugs, kisses, and attention. Justin’s very special wish is to have a family to care for him and to help him keep in touch with his Aunt. WHAT IS MAPP TRAINING? Part of the process to adopt a child from foster care is a training course. After an initial home visit by a social worker, you may be invited to attend the Massachusetts Approach to Partnerships in Parenting (MAPP) training. The 32-hour MAPP course is typically held one evening per week for six weeks. MAPP training is designed to help you gain the best possible understanding of, and preparation for, parenting an adopted child. This training includes information about the needs of children who are waiting to be adopted and what behaviors they might exhibit. MAPP teaches communication, positive discipline and self-esteem building techniques. It also discusses the resources and supports available to adoptive families. A couple considering adoption should attend MAPP training together. CONTINUES FROM PAGE 17 SURÍS: Women Health celebration Chantelle Aybar, con solo 6 meses de edad y ya se preocupa por la salud de la mujer. Con ella su mamá Niurka. No aparecen en la foto su papá Richard y su hermano Javier. Six months old and already concerned about women's health is Chantelle Aybar with her mom Niurka. Not pictured are her father Richard and her brother Javier. Brigid Reyes demonstrates how well she dances to the rhythm of Marina Rodriguez and Carlos Mario Rojas' music. Cancer Society, was the keynote speaker. Dr. Vivaldi delivered a motivational address to educate and empower women to take small, manageable steps to improve their health and lower their risks to develop certain diseases affecting women, such as heart disease, stroke, diabetes, cancer, HIV, and asthma, among others. Information tables hosted by various community organizations were also on display at this event. Access to healthcare, mental health and violence against women was also addressed. CONTINUES FROM PAGE 27 HOSPITAL: Holy Family Hospital Breaks Ground for New Emergency Center Holy Family’s Emergency Center is scheduled for completion in mid-2011, and is among the first of seven Caritas Christi Health Care infrastructure improvement projects to break ground. The projects, spread among the six Caritas Christi hospitals, total more than 117,000 square feet and represent a capital investment of more than $100 million. A significant financial commitment by Cerberus Capital Management enabled Caritas Christi to begin construction and provides the funding to complete the projects in a timely manner. The projects include three new emergency departments and two new surgical centers; and new technology and facilities, such as CT and other diagnostic imaging, endoscopy, cardiac catheterization, surgical robots, and cancer care. Caritas Christi’s infrastructure projects are creating new jobs in areas that have some of the highest unemployment in the Commonwealth, with hospitals in Methuen, Boston, Brockton, Danvers, Norwood and Fall River. Caritas Christi building projects are creating more than 4,300 potential new jobs, including 110 design, engineering and consulting jobs; 500 construction jobs; 500 new jobs from hospital projects; and more than 3,700 related stimulus jobs. CONSTRUCTION FACTS – EMERGENCY DEPARTMENT: The new 21,000-square-foot Emergency Department reflects a 12,000 square foot expansion that will offer improved efficiency, comfort and privacy for patients and families by providing 34 all private treatment bays including 6 Fast Track a double trauma room and a state-of-the art CT Scanner on site. The project manager is RFWalsh Collaborative Partners, the architect is The S / L / A / M Collaborative, Inc. and the general contractor is Suffolk Construction. View the Emergency Center video online at www.CaritasChristi.org/hrive. WHAT YOU SHOULD KNOW DURING CONSTRUCTION AT HOLY FAMILY HOSPITAL: During construction, Holy Family’s Emergency Department (ED) will be fully operational. Emergency services are available 24 hours a day, seven days a week. Access to the ED is through the front of the hospital. Increased security and directional signage are in place to assist emergency vehicles, patients and families during their visit. ABOUT HOLY FAMILY HOSPITAL: Holy Family Hospital is a 254-bed, not-for-profit Catholic hospital serving some 450,000 people in 20 communities throughout the Merrimack Valley and southern New Hampshire, including Methuen, Lawrence, Andover, North Andover, Haverhill and Salem, NH. Holy Family is fully accredited and has proudly received the Gold Seal of Approval from the Joint Commission, the world leader in evaluating the quality and safety of patient care. For more information about the hospital’s programs and services visit www.CaritasHolyFamily.org. NECC: News From NECC then transfer to a four-year institution. “Our students are transferring to public colleges and universities as well as private institutions,” says Diggs. “They end up with a bachelor’s degree from the four-year college and a lot less debt than their peers.” The college will also offer special registration days for high school seniors, June 14-18 and June21-25 (the college will be closed June 17). High school seniors are invited to register early and get the best choice of classes. Walk-in hours are Monday through Thursday, 9 a.m. to 6 p.m. and Friday, 9 a.m. to 4:30 p.m. For more information about the information sessions for high school students, please contact enrollment services at 978-556-3721 or firstname.lastname@example.org. Sun Set Tappers Perform at NECC Northern Essex Community College’s Life Long Learning Program will present the Sun Set Tappers on Thursday, June 10, at 2 p.m. on the Haverhill Campus in the Technology Center, Room 103. Admission is $2. The Sun Set Tappers is a group of senior citizens ranging in age from 49 to 83. This tap dancing group was organized in 2003 by the Andover Senior Center as a great way to exercise. The group has now expanded and dance together weekly year round. They also perform and entertain extensively throughout the New England area with their tap dancing routines. Life Long Learning is a program of lectures, study groups, and trips for adults. All programs are open to the public. For more information or to receive a free calendar of upcoming Life Long Learning events, contact Charlene Boucher, Life Long Learning coordinator, at 978-556-3825, or email@example.com<mailto:firstname.lastname@example.org>. Cardiologist to Speak at NECC's Life Long Learning Program Northern Essex Community College’s Life Long Learning Program will present “Your Healthy Heart” on Thursday, June 24, at 2 p.m. on the Haverhill Campus in the Technology Center, Room 103. Admission is $2. Dr. Kenneth Adams, MD, FACC will discuss heart disease. Dr. Adams is board certified in Internal Medicine with a subspecialty in Cardiovascular Disease. He earned his medical degree from Cornell University, NY. He completed his internship and residency at Jewish Hospital of St. Louis and Washington University Medical Center. He completed his fellowship at New England Deaconess Hospital. Dr. Adams currently works at Merrimack Valley Hospital. He will discuss important facts relating to heart disease. Life Long Learning is a program of lectures, study groups, and trips for adults. All programs are open to the public. For more information or to receive a free calendar of upcoming Life Long Learning events, contact Charlene Boucher, Life Long Learning coordinator, at 978-556-3825, or email@example.com<mailto:firstname.lastname@example.org>. Local Students Receive Writing Awards Each spring Northern Essex Community College English professors recognize their top students during the college’s Writing Awards Ceremony. This year’s ceremony was held on Friday, April 30th and 45 students were honored, receiving certificates and scholarships ranging from $25 to $300. One top student, Michael Lopizzo of Methuen, received a laptop computer donated by Dell and a $500 scholarship, for an English Composition II essay he wrote, titled “A Lesson before Dying.” The 45 students selected for these awards represent the very best examples of student writing in the college, according to Professor Lis H. Espinoza, writing awards chair. Over 200 sections of English Composition are offered at the college each semester and approximately 18,000 essays are written during the course of a year. “Most Concerned Employee” Lawrence General Hospital is proud to announce that during the celebration of Hospital Week, Isaac Rodriguez, Materials Distribution Manager, was named the “Most Concerned Employee” for his never failing dedication to carrying out the mission and vision of the Hospital. “EL EMPLEADO QUE MÁS SE PREOCUPA”: El Hospital General de Lawrence se enorgullece en presentar a Isaac Rodriguez, manager del Departamento de Distribución de Materiales el cual fue seleccionado como el empleado que más se preocupa durante la recién pasada celebración de la Semana del Hospital por su incansable dedicación de adherirse a la misión y visión del Hospital. Bay State Deadline Extension No Reason To Delay Registration Disaster recovery officials urge Bay State residents and businesses in the seven disaster-designated counties dealing with unimpeded damage and loss from record-setting spring flooding to adopt a take-charge action plan to help speed the possibility of obtaining state and federal disaster aid. Although the Massachusetts disaster registration deadline was recently extended to June 28, the recovery officials said that delaying registration decisions to the deadline is never in the best interest of survivors. The 30-day deadline extension was agreed upon by Commonwealth and Federal Emergency Management Agency (FEMA) officials to accommodate the ongoing recovery needs of residents and business owners in Bristol, Essex, Middlesex, Norfolk, Plymouth, Suffolk and Worcester counties. Registration requires contacting FEMA by calling 800-621-FEMA (3362) or 800-462-7585 (TTY) for people with speech or hearing disabilities from 7 a.m. to 10 p.m. daily. Multilingual operators are available; or going online 24/7 at www.DisasterAssistance.gov. Applicants can be better prepared for the 15-20 minute registration interview by having necessary information and documents handy including: Social Security number; telephone number where he or she can be reached; address of the damaged property; current mailing address; brief description of disaster-related damages and losses; insurance information; and direct deposit information to help speed delivery of funds. After registering, applicants can help expedite the assistance process by: Keeping critical appointments. A FEMA-contracted inspector will make an appointment to visit the damaged home, usually within a matter of days. Make every effort to be at home or authorize an agent to be present; Using the Helpline option at the FEMA registration toll-free numbers to confirm or change inspection appointments or to identify a different contact to meet the inspector; Returning all forms promptly. After registering, applicants may receive a U.S. Small Business Administration (SBA) disaster loan application package in the mail. Fill out and return these forms promptly. The final decision to accept a loan offer is always up to the applicant, but returning the initial loan application is an essential part of the disaster-assistance process; and Talking to FEMA via the helpline if you have questions. This is especially true regarding insurance coverage, since FEMA must await a final agreed damage settlement in order to avoid any duplication of payments. Use the multilingual helpline option at the toll-free numbers to speak with a recovery specialist about any questions or possible appeals. FEMA’s mission is to support our citizens and first responders and to ensure that as a nation we work together to build, sustain, and improve our capability to prepare for, protect against, respond to, recover from, and mitigate all hazards. NECC Graduates Over 1,000 Northern Essex Community College alumnus Dan Lyons, the technology columnist for Newsweek, told the more than 1,000 NECC graduates who received associate degrees and certificates on Saturday, May 22, “Whatever path you are on, this place has changed your life. I know this, because it changed mine.” Lyons, who graduated from Northern Essex in 1983, told the graduates and their families, “I came here lost and confused, and I left, well, slightly less lost and confused. I didn’t know exactly where I was going, but I had some vague sense of direction. And I had started, a little bit, to believe in myself. I hope that you will find yourself a little bit like that too. I hope you find something you love and pursue it with all your heart.” After graduating from Northern Essex, Lyons received a bachelor’s from Bradford College and a master’s from the University of Michigan. Before joining Newsweek, he wrote for Forbes Magazine for 10 years. He is the author of three books, including “Dog Days” (a novel, “The Last God Man” (short stories) and “The Secret Life of Steve Jobs” (a satire). Lyons’s speech followed Northern Essex student commencement speaker Nigel Mainville who encouraged his fellow classmates to “Go out there and change the world.” “Remember all that you have learned here at NECC,” said the Amesbury honors graduate who earned an Associate of Arts degree in General Studies: International Relations option, “Remember how NECC taught you about yourself and your potential,” he said. Mainville who left for Taiwan the day after graduation to reunite with the family he lived with as an exchange student in high school, will attend UMass Amherst in the fall. He will major in Chinese and Literature with a minor in Japanese. A highlight of the commencement ceremony was the awarding of emeritus status to four retired NECC professors and staff members. At Northern Essex, the rank of emeritus is an honor that recognizes sustained excellence in performance, character, and meritorious service to the college. Emeriti recipients included Diane Gori of Boxford, coordinator emeriti of the writing center; Robert Hawes of York Harbor, Maine, professor emeritus of developmental math; Linda Cashman of Haverhill, director emerita of purchasing; and John Sabbagh of Methuen, professor emeritus of accounting. Dan Comei of Bradford received the Outstanding Alumni Award from the college’s Alumni Association based on his career success and many contributions to the college and the college community. Comei graduated from Northern Essex with an associate degree in engineering science in 1981 and went on to earn a bachelor’s from Merrimack College and a master’s from Clemson University. An engineer with Alcatel-Lucent, Comei has been an adjunct faculty member at Northern Essex for more than two decades. Ryan Jennings of Andover, who graduated with an associate degree in liberal arts: theater option and an associate degree in general studies and a member of the NECC chorus, sang the national anthem. The Stuart Highland Pipe band also performed at commencement and NECC President David F. Hartleb presided over the ceremony. THE COST OF PET CARE: KNOW WHAT TO EXPECT! Written by Rhea Mohammed, MSPCA Intern, and Jan Dussault, MSPCA Education Coordinator We often see celebrities in the media with dogs wearing designer raincoats and diamond studded collars. For the rest of us, these are luxury items. Sometimes budgeting for the cost of pet food alone can be difficult. In this economy, it’s important to know the difference between costs we can cut and expenses that are not negotiable. With a life expectancy of 12-16 years, your dog will cost between $400 and $700 to care for each year, based on her size, age, and stage. The care expenses total about $500 each year, which you should expect to pay for close to 20 years. Spaying or neutering (fixing) your pet is a one-time cost that will help keep your pet healthy and prevent unwanted litters, which are much more expensive than the cost of surgery. Yearly veterinary visits and routine shots are a must for cats and dogs. Treating an illness that could have been prevented with basic vet care is always going to be expensive than the costs of immunizations themselves. High quality, nutritious pet food is also super important. Remember that the larger the pet, the more food it will eat. And as your pet ages, you may need to purchase a more specialized (and sometimes more expensive) diet. For dogs, training is a great idea for preventing unwanted behaviors. Wouldn’t you rather pay for a training class now and save yourself the furniture and carpets from being yanked and chewed later? For cats, an added cost of cat litter should be considered; you can save money on cat litter by buying in bulk. And while you may need to purchase more than one collar and ID tag during the life of your pet, these are relatively cheap items if you shop smart. Pets with long hair will require professional grooming, while most short-furred pets can be bathed and brushed out less frequently and at home. You’ll also want to keep your pet entertained; they only need to be replaced as they wear down. And you can get creative with toys made from old socks, tennis balls, and water bottles (remove the caps!). Just remember to supervise your pooch when she’s playing, and toss the toy in the trash as soon as it starts to fray or fall apart. Many people think that small animals, like birds or rabbits, are less expensive pets. But like dogs and cats, there is cost associated with their care. All small animals need a well-constructed spacious habitat. You can save money buy purchasing a gently used cage rather than a new one, just make sure that it’s in good condition. Many small animals require fresh veggies in their diet. You can save money by sharing your groceries with your Guinea pig or rabbit. Just remember that spoiled treats will make them sick! Another unexpected cost is cage bedding. Cheap materials like cedar shavings are not safe for small animals, so it’s best to invest in higher quality recycled paper bedding. Expect to spend $100 per month on a small mammal, and close to $100 a year on a pet bird, after the initial start-up cost of a cage. You should seriously consider the cost of caring for a pet before acquiring one. Be honest with yourself: you can afford each year, and whether or not you have extra money stashed away for emergency veterinary care if your pet becomes sick or injured. If you find that you just can’t afford a dog, cat, or bird, consider adopting a pet fish. A small tank, Betta fish, food, gravel, and filter will only cost you about $35 each year. Even better, you won’t ever need to remember to walk your fish or clean its litter box! Warm Weather Reminder It’s that time of year again, Heartworm Season. Generally, it’s recommended to get tested in the spring & go on prevention treatment for the summer/fall. And it’s so much easier to prevent than to treat. Using a Heartworm Product monthly, such as Revolution® or Interceptor®, will deal with intestinal parasitism, fleas and heartworm disease at the same time. Book your appointment with your vet now. EL COSTO DEL CUIDADO DE SU MASCOTA: ¡SEPA LO QUE PUEDE ESPERAR! Escrito por Rhea Mohammed, Asistente del MSPCA y Jen Dussault, Coordinadora de Educación del MSPCA Muchas veces vemos las celebridades en los medios de comunicación con los perros usando impermeables de diseñadores y collares de diamantes. Para el resto de nosotros, se trata de artículos de lujo. A veces el presupuesto para los gastos de comida para su mascota por lo solo puede ser complicado! En esta economía, es importante saber la diferencia entre los costos que puede cortar y gastos que no son negociables. Con una vida estimada entre 12 y 16 años, su perro tendrá un costo entre $400 y $700 para el cuidado de cada año, básicamente en su tumba. La vacuna y la visita al veterinario del cuidado de gatos pudieran ser de un total de $500 cada año, que es lo que usted debe esperar pagar cerca de 20 años. La esterilización o castración de su mascota es un costo que usted probablemente hará para mantener su animal doméstico sano, previniendo crías no deseadas y estas son mucho más caras que el costo de la cirugía! Visitas anuales al veterinario y vacunas y nutrición son la responsabilidad para usted y porros. El tratamiento de una enfermedad que podría haberse evitado con atención veterinaria básica es siempre mucho más caro que las visitas y las vacunas. Los alimentos para mascotas de alta calidad y nutrición son también super importantes. Recuerde que cuanto mayor sea la mascota, más alimento que comerá. Y a medida que su mascota envejece, es posible que necesite comprar una más especializada (y a veces más cara) dieta. Para los perros, el entrenamiento es una gran idea para evitar comportamientos no deseados. ¡No sería mejor pagar por una clase de entrenamiento ahora y cuidar que todos los miedos y alteraciones se ensucien y estén moribundos más tarde? Para los gatos, el costo añadido de la caja de desperdicios debe considerarse; usted puede ahorrar dinero en la caja de desperdicios del gato con la compra de gránulos y tapitas que usted tenga que comprar más de un collar y placa de identificación durante la vida de su mascota, se trata de elementos relativamente baratos si hace compras inteligentes. Las visitas al peluquero requieren cuidado profesional, mientras que la mayoría de los animales de pelaje corto pueden ser bañados y cepillados con menos frecuencia y en casa. Unos juguetes básicos mantendrán a su mascota entretenida, estos necesitan ser reemplazados a medida que se desgastan. Y usted puede ser creativo con los juguetes hechos de calcetines viejos, pelotas de tenis y botellas de agua (¡quiteles las tapas!). Recuerde que debe supervisar a su perro mientras está jugando, y tirar el juguete a la basura tan pronto como empiece a deshacerse o deshacerse. Mucha gente piensa que los animales pequeños, como pájaros o conejos, son animales domésticos más baratos. Pero como perros y gatos, no hay costo asociado con su cuidado. Todos los animales pequeños necesitan cuidado, amor y bien comido. Usted puede ahorrar dinero comprando una jaula poco usada en lugar de una nueva, sólo asegúrese de que está en buenas condiciones. Muchos animales pequeños requieren cuidados especiales y dedicación. Usted puede ahorrar dinero al compartir sus alimentos con su cerdo de Guinea o conejo. Sólo recuerde que los alimentos que se hayan dañado enfermizos a su mascota. Otro costo considerado son los viajes en la jaula. Materiales baratos como vísceras de cerdo no son seguros para animales pequeños, así que es mejor invertir en camas de mayor calidad de papel reciclado. Prepárese para gastar más dinero en un pequeño mamífero, y cerca de 100 dólares al año en un ave como mascota, después del costo inicial de la jaula. Usted debería considerar seriamente el costo de cuidar a una mascota antes de adquirir una. Séa honesto acerca de lo que está dispuesto a hacer y si usted tiene o no dinero extra guardado para el cuidado veterinario de enfermedad si su mascota se enferma o lesionada. Si usted encuentra que apenas puede permitir un perro, gato, o de un animal pequeño, considere un pez mascota. Un pequeño tanque, peces Betta, los alimentos, la grava y filtro sólo le costará alrededor de $35 cada año. Aún mejor, usted nunca tendría que recordar a caminar a los peces o limpiar su caja de arena! ADOPT A PET MSPCA-METHUEN & RUMBO COOPERATIVE EDUCATION COLUMN Cookie Male, Domestic Long Hair: Cookie came to the adoption center with his buddy Sugar. They don’t need to be adopted together, but maybe there’s a family who wants two big biscuits? Cookie came to the MSPCA because his family had to move and could not take him along. He is also too be smart enough to use doorsills! Cookie has played with dogs before and is also used to children so should be a great addition to a family with school aged kids. Other than his buddy Sugar, he isn’t a fan of other cats. Come by and meet this beautiful guy. Pamela Female, Russian Blue mix: Pamela is a gorgeous gray girl who loves napping, sleeping next to her human, ghost, and other cats. Pamela is five years young and came home with another cat- Mittens the orange tabby. They do not need to be adopted together as they are both adoptable kittens eager to find their forever homes. Pam should do well with children twelve and older who can appreciate her mellow personality and give her the belly rubs she deserves and loves! Come by and visit her in one of our cat colony rooms and make a new best friend. Katrina Female, Torti/Tiger mix: Katrina is looking for a quiet home, but she would love having the company of a small dog, another cat, or teens. She enjoys cuddling on the couch and watching TV with her family. She also enjoys finding sun spots around her house and sitting in them. She would not mind being an only cat and her calm personality makes her a great match for an older single or couple who are looking to add a little love to their home. Blue Morgan, male: Little Boy Blue is a charming 21 yr old Morgan. He is here at Nevins farm because his owner could no longer afford him. Which was heart breaking for all us, since she has had him since he was a baby. Blue is looking to find a place where he can go back to be a companion to his mother in her old age. He is a female and gets along with mares and geldings. He is UTD on all his vaccines and is great for the Farrier. If you would like to come meet this adorable man call our office 978-687-7453x6113 or email email@example.com Victor New Hampshire Red Rooster: Victor is a one year old New Hampshire red rooster. He is a handsome adolescent and is currently living in his mansion in the flock barn. He’d do best in a home with people who have experience with the younger roosters. NH Reds originated from RI Reds - they tend to be larger and more vigorous. If you are interested in adopting, please contact the barn staff at 978-687-7453 ext. 6113 or e-mail us at firstname.lastname@example.org for more information. Bean Bunny, male: Bean is just back from Foster and is doing well. He is litter box trained and loves to walk around his house with his family, jumping on the couch, and getting special pats. A home of adults or with children aged twelve and older would be perfect for him. Come by and meet this velvety boy! SAVE LIVES: get your pet spayed or neutered Reduced SNAP fees are made possible through generous donations of time and resources by participating veterinarians who believe in the importance of spaying and neutering as part of a complete pet health care program. Does your pet look like a winner? To kick off our new, Animal Crossings Section, we’re holding a Cutest Animal Photo Contest. To enter, include the name and age of your furry friend and email your photos to email@example.com or mail them to Rumbo Newspaper, 315 Mt. Vernon Street, Lawrence, MA 01843. We’ll announce the top 3 winners in our August 1st edition. SURÍS: Tabit for State Rep. Kick-Off L/R - Atty. Robert O’Koniewski, Jon Golnik, Candidate for U.S. Congress and Richard Fielding. challenge. He referenced the pulsing factor that ultimately propelled him to throw his hat in the ring… “Quite simply, I’ve grown weary of complaining about the lack of inspiration on Beacon Hill and I don’t want to look at a mirror and see a man who could do something about it and did nothing. I have never been a person who shies away from standing up for what I believe in. Ask anyone who knows me. I’ve never been one of those people who voice an opinion anonymously lacking the guts to freely express their views. I’ve never been one of these folks, and I’m not going to start now.” With a refrain of “liberty above all else”, Tabit detailed the essence of his agenda going forward. “I’m tired of a government that chips away at my liberties and freedom. To the government I say… We’re adults. We’re free people. We know what’s best for us. Stop Telling Us.” Next on tap for the candidate will be some good old fashioned hitting of the pavement. As the race heats up and Tabit embraces the next phase of the campaign he’ll continue knocking on doors and mingling with the heart and soul of this district which include portions of Andover, Tewksbury and Lawrence, informed his campaign office. “When I entered this race I did so, on a promise to get in touch with the voters, to pay a genuine attention to their concerns and to earn each and every vote. I have every intention of following through on that pledge over these important summer months. I want to go face to face with the people to whom this seat belongs and simply listen.” Anyone interested in learning more about the candidate or getting involved in the campaign is invited to visit the website at www.tabit2010.com Running on a platform of common sense solutions, the local attorney is hoping to ride the wave of voter anxiety over excessive spending, mounting taxes and a general sense that our political leaders are out of touch with the pulse of the average citizen. Tabit is a longtime Andover resident. He and his wife Jean (a primary care physician practicing in Lawrence) are the parents of two young girls who attend the public schools in Andover. A Boston College law school graduate, Tabit is a partner in the Merrimack Valley law firm of Broadhurst Tabit LLP. Prior to his legal career in private practice, he served the public as a prosecutor in the Essex County District Attorney’s Office. MR. B: The 1969 Final Social League Standings spot with the Turners facing the Vics. The Concordias were 9-17 and the Sycamore Club 8-18, the Sargent Club with three games left to play had a record of 7-19. In this week’s games the Hancock’s clinched behind the pitching of Dick Krausse as he won 2 games this week recording his 20th win of the year making the Sycamore his 20th victim. Tommy McGowan who has been red hot at the plate for the winner smacked a 3 run homer. Bobby O’Real was the winning pitcher as the Sargent team knocked off the Turn Hall 10-5. Eddie Mustapha blasted a two run dinger and so did teammate Tony Lorenzo. The lefty O’Real chipped in with a bases-loaded triple to help himself to the win. Phil Dion pitched has Concordia mates to a 7-1 win over the Perdis. Willie Carter had 2 hits for the winning team. Don McLeod’s pitching made sure the Chez When kept the heat on the Hancock’s with a 6-4 victory over the Sycamores. He also had 2 hits and so did Jack Sholik and Joe D’Agata. Bob Erban had 3 hits for the losers. Dickie Drummond pitched his Perdis team to a big win over Turn Hall 13-9. Big George Panusky had a grand slam for the Ray Tremblay coached team. The Vics blanked the Sargent 8-0 with Paul Sayer and Dick Bretton getting 2 hits each. Jim Morton threw a 2-hitter for the win. Dennis McCarthy was on the mound for the Turn Hall as they beat the Perdis 4-2 to keep his team’s hopes to make the playoffs alive. He tossed a 3-hitter and good buddy Al Nichols slammed a homer for the vipers. Manager George Simonian’s team assured his team of a 2nd place finish as the Chez When beat the Perdis 8-1. This win assured the winners of the 2nd place spot and pushed the Perdis down a swing. Beau Wilson had a big night for the winning team with 3 hits including a home run. Now the scene is almost set for the playoffs and Turn Hall and Vics are on the bubble. Some big crowds are expected as the semi final series is 2 out of 3 and the finals 3 out of 5. The wise fans are planning on a final that pits the Chez When against the Hancock’s a rivalry that is as good as the league has ever had. The coaches and players, however, know that the battle with the Vics/Turn Hall winners and the Perdis team is no walk in the park. Each playoff team can feature at least 2 frontline pitchers that could knock off any team on any night. The Hancock’s feature Dick Kraus and big Sherm Anderson, Don McLeod and Dickie Lynch; they are not strangers to big games and McLeod had 12 wins in this season. The Turners have Big Phil Corrival a long time winning pitcher in the league and Dennis McCarthy. Vics will have only Jim Morton. The winner of the play offs is considered the champions and the Hancock’s are eager to grab the title of league winners as well as playoff champs. League President Gene McAuliffe has announced on WCCM radio to Bill Callagy that he expects a great playoff series and cautions fans to come early to get parking close to the park and finding a seat. Remember if you’re driving make sure to have a car! CONTINUES FROM PAGE 19 DÍAZ: From My Corner Do the Math! Do you have a product and/or service to advertise? Let Rumbo readers be your potential customers! If you are already advertising your product and/or service on the FOUR columnar inches shown on the left, it will not cost you a fortune. Do the Math! Keep in mind, this is a small but effective ad, you are reading it! can do besides requesting the information from the responsible parties. Both the City Clerk and City Attorney have been very accommodating but, I understand that if they don’t get the responses requested, their hands are tied. How can we convince the Human Rights Commission to comply? Why am I telling you this? So that we understand that we may elect good, honorable people to positions but it’s those sitting on boards and commissions who make the decisions that affect us all. Unless the politicians who appoint them demand that they functions as they should, nothing will change because they will continue ignoring the requests from the people. Now, on to gossip There is a rumor going around the radio that I was in opposition to having the Council Chambers being used for a private reception to bid farewell to Adriana Recchia. I said “private” because it was organized by Pedro Payano, among others. My only objection is that the troublemakers before a microphone never bothered to call me to find out how that rumor got started. Why check for accuracy, right? Each time it is repeated, more details are added to it and more hatred is generated. Let me tell you how it started it all. A few weeks ago, my employer made arrangements to hold a Legislative Day where all of the local politicians would be invited with Mayor Sullivan’s blessings. Several city councilors objected saying that a private entity had no business using the Council Chambers, even when it involved them. When I received Mr. Payano’s email announcing that this charade was to take place, I questioned city officials if this was appropriate use of the room. That was all. It is those public officials who started the rumor because I did not go any further. I never mentioned the event on the radio or wrote about it. If I did not attend that night, it was not in protest; simply that Adriana managed to burn all the bridges as she passed through. Proof of that is that all the newspapers disregarded her good-bye gathering and the attendance was to a minimum. You reap what you sow! Rumbo The BILINGUAL Newspaper of the Merrimack Valley Help Protect Yourself With LifeLock. Identity theft is one of the fastest growing crimes in the nation. Over 11 million Americans fell victim to the crime in 2009, at a cost of over $54 billion. (Source: Javelin Strategy & Research. “2010 Identity Fraud Survey Report.” February 2010.) LifeLock, the leader in identity theft protection, helps prevent identity theft by keeping your personal details out of the wrong hands. As a LifeLock member, if you become a victim of identity theft because of a failure in our service, we’ll help you fix it and compensate up to $10,000.00. (Restrictions apply. Call for details. Due to New York State law restrictions, the LifeLock $1 Million Total Service Guarantee cannot be offered to the residents of New York.) Call 1-888-295-3197 and use promo code ‘ID’ to try LifeLock risk-free* for 30 days. At the end of the 30-day free period your card will be billed automatically ($10.00 monthly/$110.00 annually) unless you cancel within the 30-day period. You can cancel anytime without penalty by calling 1-800-LifeLock. Offer is for new LifeLock members only. SURÍS: Veterans honored Joseph’s outstanding Marine Corps service included participating in the “Frozen” Chosin Reservoir, one of the bloodiest engagements of the Korean conflict. Pasquale and Carmine served honorably stateside in the Air Force and Army, respectively, in later years. Today surviving brothers Joseph and Carmine are the sole living survivors of that proud legacy. However, the sacrifice of all 7 DeMonaco brothers will always be remembered. Their combined contributions to our country resemble the family’s sense of patriotism. Pvt. Joseph Girgenti was born in the City of Lawrence on December 1st, 1911. Growing up in the once Italian-American neighborhood of the City of Lawrence, he would later be inducted into the United States Army on September 28th, 1943. Coincidentally, Italy declared war on Germany that following October 1943. After basic training Joseph was assigned as a member of the United States Army and participated in the invasion of Normandy. On July 25th 1944, Pvt. Joseph Girgenti was killed in action during the arduous battle of St. Lo, France, a few miles from Normandy’s coast. St. Lo became the army’s first victory during the campaign of Normandy in WWII. Joseph’s sacrifice was not in vain as a month later the United States and allied forces liberated Paris. MORE PICTURES: Sons of Italy Road Race Richard Aybar offering water to his son, Javier, after both finished a 5KM walk. Xochilt Ureña stands in attention to the flag while Joey Gneve sings the National Anthem. Martin Cardoza APARTMENTS* TWO BEDROOM APARTMENTS AVAILABLE STARTING AT $834 A MONTH ONE BEDROOM APARTMENTS AVAILABLE $748 A MONTH SECURITY DEPOSIT ONLY $500 INCOME GUIDELINES APPLY Heat & Hot Water Included, Off-Street Residential Parking, & Walking Distance of Downtown Lowell! For additional information call 866-979-8987 SE HABLA ESPANOL JUNE MOVE IN SPECIAL! 1 BEDROOM APARTMENT $500 OFF SECOND MONTH’S RENT starting at $748 2 BEDROOM APARTMENT $700 OFF SECOND MONTH’S RENT starting at $834 SECURITY DEPOSIT ONLY $500 --- JOB OPENING SALES PROFESSIONAL WANTED Bilingual person needed for business development sales REQUIREMENTS: computer with internet access, business phone with voice mail, great organization and communication skills. The opportunities are endless! We provide a complete website design, development, hosting, marketing, management and training solution to small and medium sized businesses throughout the United States. Over 29 million businesses still have yet to join the millions already enjoying a presence on the internet. And many more businesses have websites that don’t work for them and they need a new webmaster solution. - Self-motivated, able to achieve goals - Ability to independently develop and maintain networking & business relationships - Identifying clients and making the calls - Results Driven, well organized with strong follow-up skill - Willing to Learn From Your Own Home (part time or full time) - Unlimited Income Potential We want producers. Email resume or call for immediate interview. firstname.lastname@example.org \| 888-428-3692 --- LEGAL NOTICE NOTICE OF PUBLIC SALE Notice is hereby given, by Coady’s Garage and Towing Service of 139 Marion Street, Lawrence, MA, pursuant to the provisions of Mass Gen Laws, Chapter 255, Section 39A, that they will sell the following vehicles on or after June 9, 2010 by private sale to satisfy their garage keeper’s lien for towing, storage, and notices of sale: 1. 2000 Volkswagen Jetta VIN# JN1CA21A6WT403716 2. 1998 Nissan Maxima VIN# JN1CA21A6WT403716 3. 1994 Honda Accord VIN# 1HGCC244XWA187828 4. 1996 Honda Civic VIN# 1HGGE66746M54358 5. 1993 Jeep Grand Ledge VIN# T0710DJ73559 6. 1998 Worth Utility Trailer VIN# 1WVFL16290K003634 7. 2004 Dodge Express Van VIN# 1GGCG25U741145909 8. 2004 Suzuki Motorcycle VIN# JS1V5A4X4Z110977 Vehicles are being stored at Coady’s Garage and may be inspected by appointment only. Signed, Frank Coady, Owner Coady’s Garage and Towing 5/15, 6/1, 6/8 --- LEGAL NOTICE NOTICE OF PUBLIC SALE Notice is hereby given on or after June 16, 2010, pursuant to the provisions of Mass Gen Laws, Chapter 255, Section 39A, Sheehan’s Towing Service of 26 Lawrence Street Methuen, MA will sell the following vehicles by private sale to satisfy their garage keeper’s lien for towing, storage, and notices of sale: 1. 2000 Honda Accord VIN# 1HGNA16272C001591 2. 2002 Nissan Altima VIN# 1N4AL12D22C11694 3. 1997 Honda Accord VIN# JHME8546V5002052 4. 2000 Volkswagen Jetta VIN# 1VWVW29S85MY192584 5. 1994 Honda Civic VIN# 1HGEE1238RH150107 6. 1992 Ford Escort Campus VIN# 1F7SK1811NU1028676 7. 2000 Mitsubishi Galant VIN# 4G3AA36G4YE127479 8. 1998 Toyota Corolla VIN# 4T2CU44X8PLUM5234 9. 1998 Ford Explorer VIN# 1FMZL34X4XUD21138 10. 2001 Chevrolet Impala VIN# 1G1WF52E019240390 11. 1997 Lexus ES300 VIN# 4T1YR29S8V0073444 Vehicles are being stored at Sheehan’s Towing Services and may be inspected by appointment only. Signed, Robert Sheehan, Owner Sheehan’s Towing LLC 6/1, 6/8, 6/15 --- A MESSAGE FROM THE LAWRENCE ELECTION DIVISION STAFF The City of Lawrence has completed mailing the 2010 annual census form to Lawrence residents. Confirmation Notice postcards will be mailed within the next couple of weeks to registered voters from whom the Election Division has yet to receive a completed census form. If you receive a Confirmation Notice postcard, please complete the form as requested and call us any information if necessary. Once completed, sign it and return it to the Election Division. Postage on the return postcard is prepaid so you can mail it without any special postage. If you prefer, you may return the completed Confirmation Notice postcard to the Election Division Office in person at the address below. Returning the Confirmation Notice postcard to the Election Division Office will update and confirm your status as an active registered voter. If you have moved to another city/town, please complete, sign, and return the Confirmation Notice postcard and your name will be removed from the voter rolls in the City of Lawrence. In order to vote in the city or town that you live in, you must register to vote in that city/town. Registered voters for whom the Election Division has not received a 2010 census form or a Confirmation Notice postcard designated as “Inactive voters.” Voters designated as “INACTIVE VOTERS REMAIN ELIGIBLE TO VOTE” but should update their voting status as soon as possible. Any voter can verify and update their voter registration by contacting the Election Division who will assist you. If you have general information or questions, please contact the Lawrence Election Division by telephone at 978-620-3260. The Election Division Office is open every business day from 8:30 a.m. to 4:30 p.m. and is located in City Hall, Basement Floor, 200 Commercial St., Lawrence, MA. Thank you from the City of Lawrence Election Division. Para listar su evento en esta sección de Rumbo, favor de enviarnos un correo electrónico (y solo a) email@example.com. Este debe incluir el nombre, fecha, hora y lugar del evento. Se recomienda un número de información o dirección de correo electrónico. Una breve descripción de 16 de menos de 30 palabras puede ser incluida. Si su mensaje no incluye la información requerida no será colocado en el calendario. Su aviso será listado solo si hay espacio disponible. Rumbo no se hace responsable de cualquier información errónea que sea publicada. The Colombian Cultural Committee invites you to our "Colombian Night 2010" Celebrating the 200th anniversary of the independence of the Republic of Colombia Day: June 12, 2010 Time: 6:30 PM to 11:00 PM Place: Chester’s Room 60 Island Street, Lawrence, Massachusetts Special presentation of Carlos Mario Rojas and his group sharing the typical music of Colombia Also, Colombian Folkloric Group of Rhode Island, Alex Deras – Singer and Showman, Elkin Echeverri – Actor, Writer, Director, Poet, Music/Dance – DJ Williams Scholarship Award Presentation Samples of Colombian typical food and much more LACE computer classes, Elder Services Merrimack Valley Tiny LACE (Learn About Computers Everyday), of the Elder-Services of the Merrimack Valley Inc., is offering a variety of computer workshops for the months of June and July. All Classes are based on the Windows Vista operating system and are held at 50 Merrimack St., in Lawrence. They are You have a laptop computer, what’s next?; June 16, pm., Maintaining your Computer, June 17, pm., The Many Joys of Clip Art, June 22 pm., Are you ready for e-mail?; June 23 am., Is e-mail blind?, June 23, pm., Should we be fearful to “Facebook”, June 24, pm., Where’s my stuff, June 29, pm., Exploring Greeting Cards, June 28 pm., Gizmo’s Explained, June 30 am., Control Panel, June 30 pm., How to click right, July 20, pm., How to Do Web Stuff, July 21 am., Health inf. available on the Internet, July 28 pm., Keyboard shortcuts, July 27, pm, Internet shopping July 28 pm., Exploring Picasa, July 29 am, The Wonderful World of the World Wide Web, June 22 and June 29 am., Understanding Microsoft Office Attachments, July 1 and July 8 am. The 2 hour one day workshops are $15.00 and the 2 day workshops are $30.00. Advanced registration is required by June 11. For more information please call 800-892-0890 ext 1516 and leave a message or e-mail firstname.lastname@example.org. Visit online at http://elderservices.tripod.com. FREE! ACT helping Avoid foreclosures Arlington Community Trabajando (ACT) is accepting new clients to help homeowners avoid foreclosure. All our services are free and our bi-lingual staff is happy to help. If you know anyone who is at risk of foreclosure or is having a hard time paying their mortgage, please refer them to ACT. Open enrollment every Tuesdays and Thursdays from 10 AM to 7 PM. No appointments needed. Otherwise call our office 978 885 6274 for a free evaluation. Comisión de Derechos Humanos La Comisión de Derechos Humanos de Lawrence se reúne el primer lunes de cada mes en la Cámara del Concejo en el ayuntamiento de Lawrence. JOIN US AT OUR RAISE THE RUFF CHARITY CONCERT! Friday, June 25th 7pm Gemstones (Upstairs) At the Blue Skye Rock 105 Market St. Lowell, MA 01854 $10/21+ Emma Ate The Lion Deep Sea Parachute Vent The Darker Hues Red Quiet Thank you! We appreciate your support! BBQ FOR A GOOD CAUSE THIS SUMMER! As you load up the cooler and fire up the grill this weekend (and for gatherings throughout the summer) remember the homeless animals at The Lowell Humane Society. Bring them some information about our shelter and available pets with friends and family in between burgers! Maybe Aunt Sally is looking to adopt a cat or your cousin Marty just graduated college and is excited to adopt his first ferret? We’ve got a pet for everyone in the family! Turn your BBQ or gathering into a fundraiser! If you’re hosting the event, ask guests for a small donation or place a donation can on the dessert table. Click here for a flier to post with a donation can or to send home with each of your guests. Ask your guests to tell guests and ask them to bring an item from our wish list along to your party! Print out our event flier for our upcoming Raise The RUFF Charity concert and invite everyone to attend! Or simply visit our Adoptable Animals page and you can pass the word along about the 150+ cats, dogs, rabbits, ferrets and rats here at our shelter! Looking for other ways to help out? Have a pool party, BBQ or croquet tournament with the entry fee as a donation to our shelter! Host a yard sale, lemonade stand or bake sale and donate the proceeds! We are always happy to provide copies of our wishlists, fliers and help promoting your events! Just let us know! What's coming up at the North Andover Historical Society JUNE Beyond the Garden Gate Tour: Gardens, Barns and History, Saturday, June 19th from 10am - 4pm. This year's tour will add stately barns and special programming to its selection of beautiful gardens. All sites located within the Old Center. Celebrate the completion of the Old Center Construction project and join us on this adventurous! Tickets now available at the North Andover Historical Society, or through our website at www.northandoverhistoricalsociety.org $20 each or 2 for $30. SUMMER Adventures in Time: Now open for registration COLONIAL LIFE July 12-16, 9:30-2:30. MAKING A HOUSE A HOME August 9-13, 9:30-2:30 Suggested ages 7-13—Join us for two more exciting weeks that serve as a gateway to the past! $140 per session, 20% member discount, 10% sibling discount. Call or email for brochure and registration form. Adopt a Cat Our foster homes are full of wonderful cats and kittens waiting to be adopted. In order for BCCC to help more cats, we need to find homes for our terrific "fur kids". Please visit our website to see who is available for adoption, or feel free to pass this message along to anyone you know who may be interested in adopting one of our "fur kids". Thank you for your support! www.billericaacatcarecoalition.org 2010 Distinguished Citizen Awards & 100th Anniversary Tribute to the Boy Scouts of America HONORING: Al DeLuca Deedee O’Brien Distinguished Eagle Scout Award HONORING: David Cargill June 3, 2010 SPECIAL ELECTIONS CALENDAR June 15, 2010 Special State Election Polls are open from 7:00 AM until 8:00 PM Kids Camps Return to Northern Essex College for Kids and Arts Alive, two children’s summer camps located on Northern Essex Community College’s Haverhill Campus, return this summer with an array of fun, educational offerings. College for Kids, which runs from 9 a.m. to 4 p.m., offers a junior division for 9 to 11 year-olds; a middle division for 12 to 14 year-olds. Campers select a morning, mid-day, and afternoon class, spanning a wide variety of more than 30 interests focusing on sports, computers, and art classes. Classes offered include, cartooning, computer gaming, engineering, elementary fashion design, photography, and cartooning, jewelry making, junk-box creations, legends and lore: vampires, movie making, polymer clay, Shakespeare, T-shirt design, towers of trash, and world dance styles. All camps will run in four, one-week sessions. The sessions are June 7 through July 9, July 12 through July 16, July 19 through July 23, and July 26 through July 30. For the second year, Arts Alive, a program designed for 6 to 8 year-olds, will run from 9 a.m. to 3 p.m. These campers receive three classes a day on a rotating basis in the areas of theater, art, music, and science—arts/mathematics, creativity, dance, creative writing, and storytelling. Each session has a theme. Themes and dates include July 6-9, Let’s Put on a Show; The Great Kapok Tree; July 12-16, Arts Explore; July 19-23, Engineering Explorers; July 26-30, Where in the World is Arts Alive. 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An Adaptive Control Approach for Opening Doors and Drawers under Uncertainties Yiannis Karayiannidis, Christian Smith, Francisco E. Viña B., Petter Ögren, and Danica Kragic Abstract—We study the problem of robot interaction with mechanisms that afford one degree of freedom motion, e.g. doors and drawers. We propose a methodology for simultaneous compliant interaction and estimation of constraints imposed by the joint. Our method requires no prior knowledge of the mechanisms’ kinematics, including the type of joint — prismatic or revolute. The method consists of a velocity controller which relies on force/torque measurements and estimation of the motion direction, the distance and the orientation of the rotational axis. It is suitable for velocity controlled manipulators with force/torque sensor capabilities at the end-effector. Forces and torques are regulated within given constraints, while the velocity controller ensures that the end-effector of the robot moves with a task-related desired velocity. We give proof that the estimates converge to the true values under valid assumptions on the grasp, and error bounds for setups with inaccuracies in control, measurements, or modelling. The method is evaluated in different scenarios opening a representative set of door and drawer mechanisms found in household environments. I. INTRODUCTION Robots operating in domestic environments need the ability to interact with doors, drawers, and cupboards, all of which exhibit various kinematic constraints due to the joints attaching them to the environment. The variation in size, orientation and type of joints makes it intractable to provide a robot with predefined kinematic models of all the mechanisms it may encounter. Prior knowledge of mechanisms could conceptually be combined with observations from cameras, laser-range finders or other distal sensors to infer a prior model of a mechanism. However, in domestic and other human-centric environments, occlusions, poor lighting, and the presence of previously un-encountered mechanism types make it very difficult to produce reliable systems based on these approaches. One could also imagine a situation where the constraints change dynamically during the manipulation, for example if the constraints are imposed on the mechanism by another agent — e.g. a human doing collaborative work with robot — whose intended actions cannot be inferred from prior observation alone [1]. Therefore, the performance, robustness, and generality of constrained manipulation tasks can be significantly improved if the need to have prior knowledge of the constraints is removed. In the general case, the uncertainties in the manipulation of such constrained kinematic mechanisms, e.g. doors and drawers, can be divided into two main categories: Dynamic uncertainties which are related to the dynamic model of the door or the drawer: door’s inertia, dynamics of the hinge mechanism etc. Kinematic or Geometric uncertainties which are related to the kinematic model of the door or the drawer: type of the joint that models the kinematic mechanism, which may be prismatic or revolute, size of the door, location and orientation of the hinge, etc. This categorization has been applied to several problems in robot control, like motion control [2] and force/motion control [3]. From a control perspective, the door opening problem can be regarded as a force/motion control problem in which the robot workspace can be divided into motion and force controlled subspaces according to the concept of hybrid force/motion control [4], [5]. In robot interaction tasks, the identification of geometric or kinematic uncertainties is crucial for defining a kinetostatically consistent Task Frame [6] to correspond to a real compliant motion. Several different methods have been proposed for directly calculating or estimating kinematic parameters, that can be twist-based or wrench-based, by exploiting the concept of reciprocity under ideal conditions [7]. For manipulation of kinematically constrained objects like doors and drawers, twist-based estimation has been used (Section II) since it is more robust when forces e.g. friction or rotational spring forces arise along the motion directions. A common characteristic shared by the majority of the works proposed in the literature is that the combined dynamics of estimation, tracking, and force control are not considered. This can been considered as a source of disturbance to the identification (which may result in inaccurate and unsafe task execution), as have been pointed out in e.g. [8]. In this work, we consider a general robotic setup with a manipulator equipped with a wrist force/torque sensor, and we propose an adaptive controller which can be easily implemented for dealing with the kinematic uncertainties of doors and drawers. The proposed control scheme which is inspired by the adaptive surface slope learning [9] does not require accurate identification of the constraints at each step of the door/drawer opening procedure as opposed to the majority of the solutions to this problem (Section II). It uses adaptive estimates of the motion and constraint parameters that converge to the actual dynamically changing radial direction during the procedure. The paper is organised as follows: In Section II we make an overview of the related work to the door opening problem. Section III provides description of the kinematic model of the system and the problem formulation. The proposed solution and the corresponding stability analysis are given in Section IV followed by the simulation examples in Section V and the experimental results in Section VI. In Section VII the final TABLE I: Comparison of related works and this paper. \| Publications \| [10] \| [11] \| [12] \| [13] \| [14] \| [15][23] \| [16] \| [17] \| [18] \| [19] \| [20] \| [21] \| [22] \| proposed approach \| \|---------------------------------------------------\|------\|------\|------\|------\|------\|-----------\|------\|------\|------\|------\|------\|------\|------\|------------------\| \| Force control \| ✓ \| ✓ \| \| \| \| \| \| \| \| \| \| \| \| ✓ \| \| Online, real-time \| ✓ \| ✓ \| \| \| \| \| \| \| \| \| \| \| \| ✓ \| \| Moderate H/W Spec. \| ✓ \| ✓ \| \| \| \| \| \| \| \| \| \| \| \| ✓ \| \| Revolute Doors \| ✓ \| ✓ \| \| \| \| \| \| \| \| \| \| \| \| ✓ \| \| Sliding Doors \| ✓ \| ✓ \| \| \| \| \| \| \| \| \| \| \| \| ✓ \| \| Estimate of Constraints \| ✓ \| ✓ \| \| \| \| \| \| \| \| \| \| \| \| ✓ \| \| Estimate of Geometry \| ✓ \| ✓ \| \| \| \| \| \| \| \| \| \| \| \| ✓ \| \| Unknown Model \| ✓ \| ✓ \| \| \| \| \| \| \| \| \| \| \| \| ✓ \| \| Unknown Parameters \| ✓ \| ✓ \| \| \| \| \| \| \| \| \| \| \| \| ✓ \| \| Proven Param. Identification \| ✓ \| ✓ \| \| \| \| \| \| \| \| \| \| \| \| ✓ \| 1 Multifingered hand with tactile sensors 2 Compliant joints (torque feedback at the joint level) – DLR lightweight robot II 3 Joint compliance by using clutches to engage/disengage motors 4 Use of the humanoid robot HRP-2 outcome of this work is briefly discussed. II. RELATED WORK AND OUR CONTRIBUTIONS Pioneering work on the door opening problem is presented in [10] and [11]. Experiments on door opening with an autonomous mobile manipulator assuming a known door model were performed in [10], using the combined motion of the manipulator and the mobile platform. In [11] a method estimating the constraints describing the door motion kinematics is proposed, based on the observation that ideally the motive force should be applied along the direction of the end-effector velocity. To overcome the problems of chattering due to measurement noise and ill-definedness of the normalization for slow end-effector motion, spatial filtering is proposed, but this may cause lag and affect the system stability. The use of velocity measurements to estimate the direction of motion has inspired the recent work of [12] using a moving average filter in the velocity domain. An estimator is used to provide a velocity reference for an admittance controller. Ill-defined normalizations and estimation lags are not treated. Estimating constraints with velocity measurements is also done in [13], applying velocity and impedance control along the tangent and the radial axis of the door opening trajectory respectively. Several position-based estimation techniques have also been proposed to estimate geometric characteristics of the mechanism rather than the motion direction. Since estimation does not guarantee identification in each control step, those methods have been coupled with controllers providing the system with the proper compliance to absorb inaccuracies of the planned trajectories. In [14], the recorded motion of the end-effector is used in a least-squares approximation to estimate the center and the radius of the motion arc, and a compliant controller is used to cancel the effects of the high forces exerted due to inaccurate trajectory planning. A similar approach is presented in [24]. An optimization algorithm using the position of the end-effector was used in [15], [23]. The algorithm produces estimates of the radius and the center of the door and, subsequently of the control directions. The velocity reference is composed of a feedforward estimated tangential velocity and radial force feedback while an equilibrium point control law enables a viscoelastic behavior of the system around an equilibrium position. In [16], [25], an inverse Jacobian velocity control law with feedback of the force error following the Task Space Formalism [6] is considered. In order to obtain the natural decomposition of the task, which is essential within this framework, the authors propose to combine several sensor modalities so that robust estimation is established. In [25], the estimation is based on the end-effector trajectory, to align the task frame with the tangent of the hand trajectory. On the other hand, probabilistic methods that are off-line and do not consider interaction force issues have been used for more advanced estimation tasks. In [18], a probabilistic framework for learning the kinematic model of articulated objects (object’s parts connectivity, degrees of freedom, kinematic constraints) is proposed. The learning procedure requires a set of motion observations of the doors. The estimates are generated in an off-line manner and can feed force/position Cartesian controllers [26]. Probabilistic methods — particle filters and extended Kalman filters — for mobile manipulation have also been applied to simultaneously estimate the position of the robot and the angle of the door using, however, an a priori defined detailed model of the door [19]. Other work on door opening exploits advanced hardware capabilities. In [27], a combination of tactile-sensor and force-torque sensor is used to control the position and the orientation of the end-effector with respect to the handle. In [21], a specific hardware configuration with clutches that disengage selected robot motors from the corresponding actuating joints and hence enable passive rotation of these joints is used. Since no force sensing is present, a magnetic end-effector was used which cannot always provide the appropriate force for keeping the grasp of the handle fixed. The DLR lightweight robot controlled via Cartesian impedance control based on joint torque measurements is used for door opening in [20]. In [28], the authors present experiments using a force/torque sensor on a custom lightweight robot to define the desired trajectory for a door opening task. In [22], a method for door opening that uses an impulsive force exerted by the robot to a swinging door is proposed. A specific dynamic model for the door dynamics is used to calculate the initial angular velocity which is required for a specific change of the door angle, and implemented on the humanoid robot HRP-2. In [17], a multi-fingered hand with tactile sensors grasping the handle is used, and the geometry of the door is estimated by observing the positions of the fingertips while slightly and slowly pulling and pushing the door in position control. In a subsequent step, the desired trajectory is derived from the estimation procedure, and is used in a position controller. Table I summarizes the literature on door opening and provides a comparison to our work. In the table, the term force control designates work that explicitly controls or limits the interaction forces, online, real-time implies that the method can be used to open a door directly, at human-like velocities, without any prior learning step, moderate hardware requirements means that the method can be used on a simple manipulator with velocity control and a force/torque sensor, and revolute doors and sliding doors describe what types of door kinematics that can be handled by the method. Estimate of constraints indicates methods that produce an estimate of the current kinematic constraints of a mechanism, while estimate of geometry indicates methods that produce an explicit estimate of the geometry of the door mechanics themselves. Unknown model indicates methods that will work properly even if the model (type of mechanism, i.e. revolute or prismatic joint) is not known a priori, and unknown parameters indicates methods that will work if the parameters of the mechanism (i.e. hinge position or motion axis of prismatic joint) are not known a priori. Finally, proven parameter identification states whether proofs are provided for the convergence of estimates. In previous work, we presented a control algorithm for estimating the center of rotation for a revolute door, exploiting the torque or velocity inputs. We proved that we can identify the constraint direction as well as achieve velocity/force tracking for smooth door opening [29], [30]. The method assumes a revolute joint and free rotation of the hand, but the center of rotation is considered uncertain, thus limiting the approach to planar problems. The proposed update law uses a projection operator to guarantee well-defined updated estimates; the use of a projection set constrains the range of uncertainties that can be dealt with. In [31], we proposed a control scheme treating both sliding doors/drawers and revolute-joint doors with arbitrary hinge orientations, by assuming grasps to be fixed and will not rotate around the handle. Furthermore, the design of the update law does not require a projection operator since it produces inherently well-defined estimates that converge to the actual values. In the work presented here, we propose a unified controller for both revolute and prismatic mechanisms, with formulations for both fixed and non-fixed grasps, and present experimental results on a real robot that demonstrate its performance on a range of different doors and drawers. The contribution of our work compared to the existing literature is a method that simultaneously treats all of the following: — Our method can be applied to open both rotational and sliding doors, without requiring ill-defined normalization. — Our method is not based on unusual hardware capabilities and can be implemented in any velocity controlled manipulator with the capability to measure or estimate the forces and torques at the end effector. — Our method is theoretically proven to achieve identification of the motion direction simultaneously with force/velocity convergence, by explicitly considering adaptive estimates in the controller design. III. SYSTEM AND PROBLEM DESCRIPTION Generally, doors and drawers can be opened by grasping the handle and moving it along its intended trajectory of motion: along a circular path for hinged mechanisms, or along a linear path for sliding doors and drawers. We now formally define the problem of door/drawer opening under uncertainty, where the position of hinges, or direction of possible sliding motion is not known a priori. A. Notation and Preliminaries We introduce the following notation: - Bold small letters denote vectors and bold capital letters denote matrices. Hat $\hat{\cdot}$ and tilde $\tilde{\cdot}$ denote estimates and errors between control variables and their corresponding desired values/vectors respectively. Notation $\cdot^\top$ denotes the transpose of a vector/matrix. - The generalized position of a frame $\{i\}$ with respect to a frame $\{j\}$ is described by a position vector $^j\mathbf{p}_i \in \mathbb{R}^{m}$ and a rotation matrix $^j\mathbf{R}_i \in SO(m)$ where $m = 2$ or $3$ for the planar and spatial case respectively. In case $\{j\} \equiv \{B\}$ where $\{B\}$ is the robot world inertial frame (typically located at the base of the robot) the left superscript is omitted. Each column of $^j\mathbf{R}_i$ is denoted by $^j\mathbf{x}_i \equiv \mathbf{R}_j^\top \mathbf{x}_i$, $^j\mathbf{y}_i \equiv \mathbf{R}_j^\top \mathbf{y}_i$, $^j\mathbf{z}_i \equiv \mathbf{R}_j^\top \mathbf{z}_i$ where $\mathbf{x}_i$, $\mathbf{y}_i$, $\mathbf{z}_i$ denote the columns of the rotation matrix $\mathbf{R}_i$ that describes the orientation of the frame $\{i\}$ with respect to the robot world inertial frame. - The projection matrix on the orthogonal complement space of a unit three dimensional vector $\mathbf{a}$ is denoted by $\mathbf{P}(\mathbf{a})$ with $\mathbf{P}(\mathbf{a}) = \mathbf{P}^\top(\mathbf{a})$ and is defined as follows: $$\mathbf{P}(\mathbf{a}) = \mathbf{I}_3 - \mathbf{a}\mathbf{a}^\top$$ - $\mathcal{I}(\mathbf{b})$ is an element-wise integral of a vector function of time $\mathbf{b}(t) \in \mathbb{R}^n$ over the time variable $t$, i.e: $$\mathcal{I}(\mathbf{b}) = \int_0^t \mathbf{b}(\tau)d\tau$$ B. Kinematic model of robot door/drawer opening We consider a setting in which the end-effector has grasped the handle of a mechanism with a revolute or prismatic joint. Let $\{e\}$ and $\{h\}$ be the end-effector and the handle frame respectively. The two frames are attached on the same kinematically known position e.g. a known point of the end-effector denoted by $\mathbf{p}_e$ and represented by different rotation matrices. The orientation of the end-effector frame is strictly connected to the robot kinematics while the orientation of the handle frame is related to the kinematic constraints of the task. In case of a rotating door (revolute joint) the kinematic constraints are defined by considering a frame $\{o\}$ attached at the unknown center of the circular trajectory of the end-effector while opening the rotating door. The axis $\mathbf{z}_o$ corresponds to the axis of the rotation while $\mathbf{x}_o$, $\mathbf{y}_o$ can be arbitrarily chosen (Fig. 1i). We make the following assumptions: Assumption 1. There is no relative translational motion of the end-effector with respect to the handle, i.e. $^h\dot{\mathbf{p}}_e = 0$. Assumption 2. There is no relative translational and rotational motion of the end-effector with respect to the handle, i.e. $^h\dot{p}_e = 0$ and $^hR_e = 0$. Assumption 2 is more restrictive since it implies a fixed grasp of the handle, while Assumption 1 is more general and can accommodate grasps that can be modeled as passive revolute joints. Obviously, Assumption 2 also implies Assumption 1, but in this work the two assumptions will be treated separately, as they correspond to two different grasp types. In the following we state a convention in order to define the frame $\{h\}$ in both cases of revolute joints (hinged doors) and prismatic joints (sliding doors, drawers): a) Revolute joints: - Axis $z_h$ is equivalent to $z_o$, i.e. $z_o \equiv z_h$. - Axis $y_h$ is the unit vector along the line connecting the origins of $\{h\}$ and $\{o\}$ with direction towards the hinge. - Axis $x_h$ can be regarded as the allowed motion axis; it can be formed as follows: $x_h = y_h \times z_h$ b) Prismatic joints: Vector $x_h$ denotes the allowed motion axis. Axes $z_h$ and $y_h$ can be arbitrarily chosen in order to span the two-dimensional surface to which $x_h$ is perpendicular. Examples of Fig. 1 illustrate the definition of the $\{h\}$ axes. ![Fig. 1](image) Fig. 1: Examples of rotating/sliding doors and drawers with revolute and prismatic joints. For doors with a revolute joint, we can define the radial vector –which is parallel to $y_h$– as the relative position of the frames $\{o\}$ and $\{e\}$ (or $\{h\}$): \[ r \triangleq p_o - p_e, \] and use it in the following equation to describe the first-order differential kinematics: \[ v = r \times \omega_h \] where $v$ expresses the velocity of the end-effector $\dot{p}_e$ or the handle velocity $\dot{p}_h$ given $\dot{p}_h = 0$. Note that $r = \frac{1}{\kappa} y_h$ where $\kappa$ denotes the curvature of the cyclic trajectory for the door opening (the inverse of the distance between the end-effector frame and the center of rotation). Thus, the inner product of (2) with $x_h$ yields: \[ \omega = \kappa v \] where $v \triangleq x_h^\top v$ denotes the end-effector/handle translational velocity magnitude and $\omega \triangleq z_h^\top \omega_h$ the rotational velocity of the handle. Although we consider a revolute joint at the hinge of the door, the constraint equation (3) can model cases of sliding doors or drawers represented by prismatic joints. Large values of radius correspond to practically zero curvature i.e. straight line trajectories for opening the mechanism and zero rotational velocity for the handle. Given the mechanism is rigid and Assumption 1 or 2, the remaining constraints regarding the translational velocity are: \[ P(x_h)v = 0 \] Constraint equation (4) implies that the end-effector/handle velocity can be parameterised as follows: \[ v = vx_h \] Additionally Assumption 2 imposes extra constraints on the end-effector rotational velocities: \[ \omega_e = \omega_h \text{ with } P(z_h)\omega_h = 0 \] ### C. Robot kinematic model We consider the case of a $n$-DoF velocity-controlled manipulator satisfying the following assumption: Assumption 3. The kinematic structure and the number of DoF are sufficient for generating a 6 DoF movement of the end-effector and hence implementing the velocity for the task defined for a set of constraint’s estimates including the actual constraint. An anthropomorphic arm with spherical wrist with $n = 6$ DoFs can satisfy Assumption 3. For a velocity-controlled manipulator a reference generalized velocity $u_{\text{ref}} \triangleq [v_{\text{ref}}^\top \ \omega_{\text{ref}}^\top]^\top \in \mathbb{R}^6$ ($v_{\text{ref}} \in \mathbb{R}^3$ and $\omega_{\text{ref}} \in \mathbb{R}^3$ denote the translational and rotational part respectively) expressed at the inertial frame can be considered as a kinematic controller which is mapped to the joint space in order to be applied at the joint velocity level as follows: \[ \dot{q} = J^+(q)u_{\text{ref}} \] with $q, \dot{q} \in \mathbb{R}^n$ being the joint positions and velocities respectively and $J(q)^+ = J(q)^\top [J(q)J(q)^\top]^{-1}$ being the inverse or the pseudo-inverse of the manipulator Jacobian $J(q) \in \mathbb{R}^{6 \times n}$ relating the joint velocities $\dot{q}$ to the end-effector velocities $[\dot{p}_e^\top \ \omega_e^\top]^\top$. If we consider the typical Euler-Lagrange robot dynamic model, the velocity error at the joint level drives the torque (current) controller $u_\tau(t)$. Assumption 4. The actuator has sufficient torque output, external force compensation, and current control loop frequency to keep the error between commanded and actual velocity negligible. Also, the inertial dynamics of the door mechanism are sufficiently weak, such that the portion of measured forces arising from accelerating the door mechanism are negligible. Cases where Assumption 4 is not valid are treated in the robustness analysis of Section IV-D. D. Control Objective The task of controlling the robot to manipulate a door or a drawer, can naturally be described in the handle frame. The desired variables should be defined in the robot inertial (or end-effector) frame to be executable by the robot. Let $f \in \mathbb{R}^3$ denote the interaction force exerted at the end-effector, $\tau \in \mathbb{R}^3$ the torque around the origin of the end-effector frame and $f_d$, $\tau_d$ the corresponding desired vectors. Let $v_d(t)$ be the desired velocity along the motion axis of frame $\{h\}$. Then the desired velocity $v_d(t)$ is defined along $x_h$, i.e. $v_d = v_d(t)x_h$, and the force control objective can be achieved by projecting the desired force on the orthogonal complement space of $x_h$ (constrained directions) i.e. $P(x_h)f_d$; a small valued or zero vector $f_d$ corresponds to small forces along the constraint directions. The control objective can be formulated as: Problem 1. Design a translational velocity control $v_{ref}$ such that $P(x_h)f \rightarrow P(x_h)f_d$ and $v \rightarrow v_d(t)x_h$, without knowing accurately the motion axis $x_h$ and the corresponding constraint directions $P(x_h)$. When Assumption 2 is valid, the desired rotational velocity can be defined using $v_d(t)$ along the axis $\kappa \triangleq \kappa z_h$, i.e. $\omega_d(t) = v_d(t)\kappa$. In this case the total interaction torque denoted by $\tau \in \mathbb{R}^3$ is controllable and thus an additional control objective can be formulated as follows: Problem 2. Design a rotational velocity control $\omega_{ref}$ to act in parallel to $v_{ref}$ such that $\tau \rightarrow \tau_d$ and $\omega \rightarrow \kappa v_d(t)z_h$ without knowing the axis of rotation $z_h$ and the variable $\kappa$. The rotation control objective is mainly set to achieve identification of $z_h$ and $\kappa$. We consider that the opening task is accomplished when the observed end-effector trajectory — which coincides with the handle trajectory — has progressed far enough to enable the robot to perform a subsequent task, like picking up an object in a drawer or passing through a door. Hence, some perception system observing the progress of the opening of the mechanism is additionally required to provide the robot with the command to halt the opening procedure. IV. CONTROL DESIGN In this section, we propose a solution to Problems 1 and 2 stated in Section III-D above. When only Assumption 1 holds, the solution to Problem 1 is given by Theorem 1, and when Assumption 2 holds, the solution to Problem 1 and 2 is given by Theorem 1 and 2. Robustness analysis is performed to derive bounds for the estimation error in case of disturbances. Proofs of the propositions and theorems of this section are given in the Appendix. First, we propose a translational velocity reference that can employ two different update laws corresponding to Assumptions 1 and 2 respectively. A. Translational velocity reference with force feedback Let $\hat{x}_h(t)$ denote the online estimate of the motion direction $x_h$. Dropping the argument $t$ from $\hat{x}_h(t)$ and $v_d(t)$ for notation convenience, we let $v_{ref}$ be given by: $$v_{ref} = v_d \hat{x}_h - P(\hat{x}_h)v_f$$ where $v_f$ is a PI force feedback input defined as follows: $$v_f = \alpha_f \tilde{f} + \beta_f T \left[ P(\hat{x}_h) \dot{\tilde{f}} \right]$$ with $\tilde{f} = f - f_d$ and $\alpha_f$, $\beta_f$ being positive control constants. Note that the first term of the reference velocity is the desired velocity along the estimated motion direction and it is not in general consistent with the allowable motion direction. However the second term – which is a force controller – compensates for the inconsistency owing to kinematic uncertainties and renders a reference velocity $v_{ref} \triangleq x_h^\top v_{ref}$ along the actual motion direction by generating forces along the constrained directions (that can be considered as Lagrange multipliers [32]). Let $\theta(t)$ denote the angle formed between the actual vector $x_h$ which is a rotating vector and its online estimate $\hat{x}_h$ which is time-varying. Given that the estimate $\hat{x}_h$ is a unit vector, $\cos \theta(t)$ can be defined as follows: $$\cos \theta(t) \triangleq x_h^\top \hat{x}_h = e_x^\top e \hat{x}_h$$ The definition is independent of the frame in which $x_h$ and $\hat{x}_h$ are expressed. In general, an online estimate of the vector $x_h$ provided by an adaptive estimator is not unit but in the following we are going to design an update law that produces estimates of unit magnitude. The derivative of $\theta(t)$ depends on both estimation rate and door motion velocity: $$\frac{d}{dt} \cos \theta(t) = x_h^\top (\dot{\hat{x}}_h - v \kappa \times \hat{x}_h)$$ When the grasp imposes constraint on the rotation of the end-effector with respect to the handle (Assumption 2), the derivative of $\theta(t)$ is independent of the door motion velocity. The derivative of $\cos \theta(t)$ can be calculated as follows: $$\frac{d}{dt} \cos \theta(t) = e_x^\top e \dot{\hat{x}}_h \text{ for } e \dot{\hat{x}}_h = 0$$ In the following, we drop out the argument of $t$ from $\theta(t)$ for notation convenience. The velocity error $\tilde{v} \triangleq v - v_{ref}$ can be decomposed along $\hat{x}_h$ and the corresponding orthogonal complement space as follows: $$\tilde{v} = P(\hat{x}_h)(v + v_f) + (v \cos \theta - v_d) \hat{x}_h$$ In case of velocity controlled manipulators described by (7) we get $\tilde{v} = 0$. Since the right-hand side of (13) consists of two orthogonal terms, $\tilde{v} = 0$ implies the following closed-loop system equations: $$P(\hat{x}_h)v_f = -v P(\hat{x}_h)x_h$$ $$v = \frac{1}{\cos \theta} v_d$$ Taking the norm of each side of (14) and substituting (15) gives: \[ \\| \mathbf{P}(\dot{\mathbf{x}}_h)\mathbf{v}_f \\| = \|v_d \tan \theta\| \] (16) From (14)-(16) it is clear how the estimation error in the axis of motion affects the force errors and the velocity of the end-effector. Note that the higher the uncertainty in the motion axis $\theta$ is the higher the velocity $v$ and the estimated constraint forces $\mathbf{P}(\dot{\mathbf{x}}_h)\mathbf{f}$ can be. In the extreme case of $\|\theta(t)\| = \pi/2$ which is equivalent to trying to move the mechanism along a direction which is completely mechanically constrained extremely high forces arise. Hence, the update law must at least guarantee $\|\theta(t)\| \neq \pi/2$, $\forall t$. Equations (14)-(16) describing the closed loop system link the physical controlled variables like velocities and forces with the uncertainty measure $\theta(t)$ and thus they are instrumental in the design of the update laws for estimating the unknown parameters described in the following subsections. 1) Update Law for the Motion Direction given Assumption 1: We propose the following update law for $\dot{\mathbf{x}}_h$: \[ \dot{\mathbf{x}}_h = -\gamma v_{\text{ref}} \mathbf{P}(\dot{\mathbf{x}}_h)\mathbf{v}_f - v_{\text{ref}} \dot{\mathbf{x}}_h \times \hat{\boldsymbol{\kappa}} \] (17) where $\gamma$ is positive control gain for tuning the adaptation rate, $\hat{\boldsymbol{\kappa}}$ is the online estimate of the scaled rotational axis $\boldsymbol{\kappa}$, that is produced by the following appropriately designed update law: \[ \dot{\hat{\boldsymbol{\kappa}}} = \mathbf{\Gamma}_{\boldsymbol{\kappa}} \dot{\mathbf{x}}_h \times \mathbf{v}_{\text{ref}}, \] (18) with $\mathbf{\Gamma}_{\boldsymbol{\kappa}} \in \mathbb{R}^{3 \times 3}$ being a positive definite gain matrix, and $v_{\text{ref}} \triangleq \mathbf{x}_h^\top \mathbf{v}_{\text{ref}}$ can be calculated independently of the knowledge of the motion direction for $\dot{\mathbf{x}}_h^\top \mathbf{x}_h > 0$ as follows: \[ v_{\text{ref}} = \text{sgn} \left( \dot{\mathbf{x}}_h^\top \mathbf{v}_{\text{ref}} \right) \\| \mathbf{v}_{\text{ref}} \\| \] (19) The use of the update laws (17), (18) is instrumental for the stability analysis and the convergence of the estimated parameters. In the Appendix it is shown that the use of Eq. (17), (18) enables the proof of the following Propositions: Proposition 1. Update law (17) ensures that the norm of $\dot{\mathbf{x}}_h(t)$ is invariant, i.e. given $\\| \dot{\mathbf{x}}_h(0) \\| = 1$, $\\| \dot{\mathbf{x}}_h(t) \\| = 1$, $\forall t$. Proposition 2. Update laws (17), (18) driven by the reference velocity $\mathbf{v}_{\text{ref}}$ given by (8) with a time-varying desired velocity yield to the following nonautonomous (time-dependent) nonlinear system with states $\theta$ and $\hat{\boldsymbol{\kappa}} = \hat{\boldsymbol{\kappa}} - \boldsymbol{\kappa}$ which are well defined in the domain $D = \{ \theta \in \mathbb{R}, \hat{\boldsymbol{\kappa}} \in \mathbb{R}^3 : \|\theta\| < \frac{\pi}{2} \}$: \[ \dot{\theta} = -\gamma v_d^2(t) \frac{\tan \theta}{\cos \theta} - \frac{v_d(t)}{\cos \theta} \hat{\boldsymbol{\kappa}}^\top \mathbf{n} \] (20) \[ \dot{\hat{\boldsymbol{\kappa}}} = v_d(t) \tan \theta \mathbf{\Gamma}_{\boldsymbol{\kappa}} \mathbf{n} \] (21) with $\mathbf{n}$ being a unit vector perpendicular to the surface defined by $\mathbf{x}_h$ and $\dot{\mathbf{x}}_h$, that implies that the estimation error angle $\theta$ stays in $D$ and converges to zero for $v_d$ satisfying the persistent excitation (PE) condition (see [33]), i.e.: \[ \int_t^{t+T_0} v_d^2(\sigma) d\sigma \geq \alpha_0 T_0 \] (22) $\forall t \geq 0$ and for some $\alpha_0$, $T_0 > 0$. 2) Update Law for the Motion Direction given Assumption 2: Since the relative orientation of the handle frame and the end-effector is constant we can propose a simpler update law by using as a regressor the end-effector frame rotation matrix. We propose the following update law for $\dot{\mathbf{x}}_h$: \[ \dot{\mathbf{x}}_h = \mathbf{R}_e \dot{\mathbf{x}}_h \] (23) \[ \dot{\mathbf{x}}_h = -\gamma v_d \mathbf{R}_e^\top \mathbf{P}(\dot{\mathbf{x}}_h)\mathbf{v}_f \] (24) where $\gamma$ is a positive control gain for tuning the adaptation rate. Proposition 3, 4 describe how the update law (23), (24) produces well-defined estimates that converge to the actual values. In the Appendix it is shown that the use of Eq. (24) enables the proof of the following Propositions: Proposition 3. Update law (24) ensures that the norm of $\dot{\mathbf{x}}_h(t)$ is invariant, i.e. starting with $\\| \dot{\mathbf{x}}_h(0) \\| = 1$, $\\| \dot{\mathbf{x}}_h(t) \\| = 1$, $\forall t$. Proposition 4. Update laws (23), (24) driven by the reference velocity $\mathbf{v}_{\text{ref}}$ given by (8) with a time-varying desired velocity yield to the following nonautonomous (time-dependent) nonlinear system with state $\theta$ which is well defined in the domain $D' = \{ \theta \in \mathbb{R} : \|\theta\| < \frac{\pi}{2} \}$: \[ \dot{\theta} = -\gamma v_d^2(t) \tan \theta \] (25) which implies that the estimation error angle $\theta$ stays in $D$ and converges to zero for $v_d$ satisfying the PE condition given by (22). 3) Summary and force convergence results: Propositions 2 and 4 imply that given the update laws and the controller the estimates are well defined\footnote{Details on the design of the update laws can be found in the Appendix.} and converge to their actual values. Propositions can be considered as intermediate steps for proving the stability of the overall system including additionally the internal state introduced by the force integral in the following Theorem for Assumptions 1 and 2 (see Appendix for proof). Theorem 1. Consider a velocity controlled manipulator (7), grasping the handle of a sliding/rotating door or a drawer. If the robot is driven by a velocity control input $\mathbf{v}_{\text{ref}}$ (8) that uses a PI force feedback input $\mathbf{v}_f$ (9) and: 1) the update law (17), (18) given that Assumption 1 is valid, or 2) the update law (23), (24) given that Assumption 2 is valid, then Problem 1 will be solved, i.e., smooth opening of the moving mechanism and identification of the estimated parameters will be achieved. Analytically, the following convergence results are guaranteed: $\mathbf{x}_h \to \mathbf{x}_h$, $\mathbf{v} \to \mathbf{x}_h v_d$, and $\mathbf{P}(\mathbf{x}_h)\mathbf{f} \to 0$, given that $v_d$ satisfies the PE condition given by (22). B. Rotational velocity reference with torque feedback In case of Assumption 1, the rotational velocity of the end-effector can be set in order to optimize some performance index such as the manipulability index of the arm while torque cannot be controlled. On the other hand, Assumption 2 implies that the rotational velocity of the end-effector is strictly \footnote{The estimates are unit vectors if the initial estimate is unit and $\|\theta(t)\| \neq \pi/2$, $\forall t$, is true since $\|\theta(t)\| < \pi/2$ if $\|\theta(0)\| < \pi/2$.} connected to the rotational velocity of the mechanism and subsequently to the translational velocity of the end-effector through the constraint (3). Hence the reference rotational velocity should be appropriately designed using the desired translational velocity $v_d$ and exploiting torque feedback in order to fulfill the constraints (3), (6): $$\omega_{\text{ref}} = v_d \hat{\kappa} - \omega_\tau$$ \hspace{1cm} (26) where $\hat{\kappa}$ is the online estimate of $\kappa$ and it is appropriately designed as follows: $$\dot{\hat{\kappa}} = -v_d \Gamma_\kappa \omega_\tau$$ \hspace{1cm} (27) with $\Gamma_\kappa$ being a positive definite matrix of update gains, and $\omega_\tau$ is a PI torque feedback input defined as follows: $$\omega_\tau = \alpha_\tau \tilde{\tau} + \beta_\tau I(\tilde{\tau})$$ \hspace{1cm} (28) where $\tilde{\tau} = \tau - \tau_d$. The design of the update law (27) is instrumental for the proof of the following theorem (see Appendix): Theorem 2. Consider a velocity controlled manipulator (7) grasping the handle of a sliding/rotating door or a drawer according to Assumption 2. If the robot is driven by a velocity control input that consists of both $v_{\text{ref}}$ (8) and $\omega_{\text{ref}}$ (26) that uses a PI torque feedback input $\omega_\tau$ (28) as well as the update law (27) to estimate the vector $\kappa$, then Problem 2 will be solved, i.e., the following convergence results – additionally to those of Theorem 1 – are guaranteed: $\tilde{\tau} \to 0$, $I(\tilde{\tau}) \to 0$, $\hat{\kappa} \to \kappa$, $\omega_e \to v_d \kappa$, for $v_d$ satisfying the PE condition given by (22). ### C. Torque-controlled robot manipulators In the aforementioned results we have considered an ideal velocity-controlled robot manipulator which is connected with the environment through rigid constraints. These assumptions allow the forces to be modeled as Lagrange multipliers related to the the range of uncertainty as shown in (16), similarly to the Lagrange multipliers used for modeling forces in the case of a torque-controlled manipulator that interacts with a rigid environment [34]. In the case of a velocity-controlled manipulator the underlying assumption is that the commanded velocity is achieved adequately fast (Assumption 4), while in the case of a torque-controlled manipulator, the actuator dynamics can be considered negligible. The adaptive velocity controllers proposed in this paper can be readily modified and applied to the outer loop of a dynamic controller suitable for a torque-controlled manipulator as shown in our previous work [29] where the inner loop is formulated by the superposition of an appropriately designed generalized reference force, a velocity error feedback term and a term compensating for the robot dynamic model. The reference velocity (outer loop) used in the velocity error feedback term is similar to the one proposed in this work but did not use the proportional force errors terms of (8), in order to avoid differentiation of noisy force/torque measurements while calculating the reference acceleration required in the implementation on a torque controlled robot. In general the design of dynamic (torque) controllers of robots may require a term that compensates for the dynamic model of the robot. In case of dynamic uncertainties, adaptive controllers that employ update laws for dynamic parameters’ estimation have been proposed [35]. The PE condition is complicated and the joint trajectories have to be properly chosen in order to identify the dynamic parameters online. However dynamic parameter identification is not crucial for guaranteeing the tracking error performance. In contrast to dynamic uncertainties, here we consider uncertainties of the parameters involved in the kinematic constraints. The identification of these parameters – that is prerequisite for achieving the control objectives – depends on the trajectory of the end-effector rather than on the individual joints’ trajectories. In the following section, instead of extending the analysis to the case of a torque-controlled robot manipulator, we present a robustness analysis for the performance of the system under disturbances $\delta(t)$ arising at the velocity level that may also represent errors arising in the inner control loop. ### D. Robustness Analysis In this section, we present a robustness analysis for the performance of the system under disturbances $\delta(t)$ arising at the velocity level, i.e. $v = v_{\text{ref}} + \delta(t)$. These disturbances can incorporate delays at the velocity tracking control loop that would be vanishing for the case of a desired constant velocity, as well as disturbances arising due to modeling errors e.g. compliance and deformations at the grasp or at the joint of the mechanism. The closed loop system equations (14), (15) are now affected by the disturbances as follows: $$P(\dot{x}_h)v_f = P(\dot{x}_h)\left[-v x_h + \delta(t)\right]$$ \hspace{1cm} (29) $$v = \frac{1}{\cos \theta}\left[v_d + \dot{x}_h^\top \delta(t)\right]$$ \hspace{1cm} (30) In the following propositions we examine the robustness of the update law (23), (24) in case of disturbances. The proofs of the propositions can be found in the Appendix. Proposition 5. The update laws (23), (24) driven by the reference velocity $v_{\text{ref}}$ given by (8) with a time-varying desired velocity in case of disturbances (i.e. eq. (29), (30) hold) yield to the following nonautonomous (time-dependent) nonlinear system with state $\theta$ which is well defined in the domain $D' = \{\theta \in \mathbb{R}: \|\theta\| < \frac{\pi}{2}\}$: $$\dot{\theta} = -\gamma v_d^2(t) \tan \theta - \gamma v_d(t) \frac{\text{sgn}(\theta)}{\cos \theta} n' \top \delta(t)$$ \hspace{1cm} (31) where $n'$ is a constrained direction (i.e. $n' \top x_h = 0$) lying on the common plane of $\dot{x}_h$ and $x_h$. Proposition 6. The system (31) is uniformly ultimately bounded with respect to the following region: $$\Omega = \{\theta \in D': \|\theta\| < \arcsin \lambda(t)\}$$ \hspace{1cm} (32) where $\lambda(t) = \frac{\|n' \top \delta(t)\|}{\|v_d\|}$ for $v_d \neq 0$. Variable $\lambda(t)$ denotes the range of the region of angles $\theta$ in which the estimation error converges and is well-defined for $\|n' \top \delta(t)\| < \|v_d\|$. Notice that $ \lambda(t) $ can be alternatively written as $ \lambda(t) = \cos \varphi(t) \ell(t) $ where $ \ell(t) $ is defined as the ratio of the magnitude of the velocity error disturbance and the commanded desired velocity i.e. $ \ell \triangleq \frac{\|\|\delta(t)\|\|}{\|v_d\|} $ and $ \varphi(t) $ denotes the angle formed between $ n' $ and $ \delta(t) $. In the extreme case of a velocity disturbance being aligned with the constrained direction$^3$, a well-defined $ \lambda(t) $ requires that the ratio $ \ell(t) $ is smaller than one. If $ \|\varphi(t)\| $ is smaller than 90 deg, the ratio $ \ell(t) $ is allowed to take values bigger than one. If the disturbance is aligned with the motion direction (i.e. $ \lambda(t) = 0 $) convergence of the estimation error to zero is guaranteed irrespective of the magnitude of the disturbance. Notice also that in the case of a vanishing disturbance ($ \lambda(t) \to 0 $), region $ \Omega $ shrinks to zero, thus guaranteeing identification of the uncertain motion axis. In the case of persistent disturbances the identification error is comparable to the error arising from estimation based on inaccurate velocity measurements. If Assumption 1 holds we can achieve a similar result by modifying the update law using a $ \sigma $-modification [33]. Errors in rotational velocity can be treated in a similar fashion. ### E. Discussion The proposed control scheme produces estimates of the unconstrained motion direction and axis of rotation (in the case of a rotational door) using the update laws (17), (18) (Assumption 1) or (24), (27) (Assumption 2) respectively. In case of Assumption 1, the motion direction estimate converges to the actual direction but there is no proof that the scaled rotation vector converges to the actual one; note however that the rotation vector estimate is not used in the velocity reference (8) and thus its convergence does not affect stability and performance. In this case torques are not controlled and the redundant degrees of freedom can be used to enhance manipulability. In case of Assumption 2, both estimated vectors converge to the actual values and the estimates are used within velocity references (8) and (26). The velocity references enforce the robot to move with a desired velocity while controlling both forces and/or torques along the constrained directions to small values guaranteeing compliant behavior. By defining the handle frame according to the task constraints and involving the curvature instead of the radius and the center of rotation, the proposed method is applicable to both revolute and prismatic mechanisms. Coupling the estimation with the controller following the adaptive control framework (see e.g. [33]) makes the method inherently on-line, enabling proofs of the convergence of estimated parameters to true values and convergence of force/torque errors. Note that no projection operators have been used in the update laws design reducing the amount of the required prior knowledge. The main condition for guaranteed performance is that the initial estimate is not perpendicular to the true value i.e. $ \theta(0) \in (-\frac{\pi}{2}, \frac{\pi}{2}) $. A typical example where this condition is not satisfied could be when opening a drawer with an initial estimate corresponding to a sliding door (c.f. Fig. 2, cases (iv) and (v)). This issue can be overcome by using a moderate deviation in the initial estimate (see Section V). The proposed method alone can not handle the case where the initial estimate is in the opposite direction of the true value, as this would generate a closing motion. This can be handled by an external monitoring system that stops the motion and retries with a different initial estimate if measured forces are too high, similar to a human who first pushes a door, and when it does not open, tries to pull it instead. In the case of a fixed grasp we can produce explicit estimates of the physical location of the hinge of a revolute door, as reliable estimates of both radial direction and radial distance are available. If we make the assumption that a large enough radial distance (we arbitrarily choose 10 m) implies a prismatic mechanism, Algorithm 1, that can be used at any time instant continuously or in a discrete manner, will identify the hinge position. Given the center of rotation and Algorithm 1 Reasoning of the type of joint/Calculation of the rotation center ``` while Not Done do if $ \|\|\hat{\kappa}\|\| > 0.1 $ then Rotational door Calculate the estimated radius $ \hat{\rho} := \|\|\hat{\kappa}\|\|^{-1} $ Calculate the estimated radial direction: \[ \hat{y}_h := \hat{\rho}\hat{\kappa} \times \hat{x}_h \] Calculate the center of rotation $ \hat{p}_o := p_e + \hat{\rho}\hat{y}_h $. else Sliding door or drawer end if end while ``` the estimate of the curvature, we can estimate local variables with respect to the initial position of the end-effector such as the angular state of the door or the translation of the drawer and use them in order to provide internally – and not with an external perception system – a halt command. ### V. Scenarios and Evaluation To illustrate and demonstrate the generality of the approach, we evaluate the performance for five different mechanisms in simulation, and three mechanisms in experiments on a physical robot. The simulations consider five different scenarios covering five common cases found in domestic environments, see Fig. 2. All cases are treated with the same initial estimates and controller gains. Cases (i) and (ii) are typical revolute doors with vertical axis, with the hinge to the left or to the right, respectively. Case (iii) models a revolute door with axis of rotation parallel to the floor, such as is common for ovens. The radius of these door are all set to 50 cm. Case (iv) models a sliding door, and case (v) a typical drawer. The common initial estimate used in all cases is that of a prismatic joint, assuming $ \hat{\kappa}(0) = 0 $. The initial estimate of the unconstrained direction of motion is 30 deg offset from the normal direction to the plane of the door or drawer. The initial estimates are shown as red/gray arrows, and the true direction is shown as black arrows in Fig. 2. The angular values given are the initial errors of the estimates. The controller gains are chosen as follows: $\alpha_f = \alpha_\tau = 0.05$, $\beta_f = \beta_\tau = 0.005$, $\gamma = \gamma_\kappa = 2000$. The desired motion velocity is $5$ cm/s, given as $v_d = 5(1 - e^{-10t})$ cm/s to avoid sharp initial transients. ![Fig. 2](image) Fig. 2: Five different simulation cases using the same initial estimate: the angle indicates the initial error. ![Fig. 3](image) Fig. 3: Estimation responses for the estimator (17), (18) (Assumption 1): (upper) estimation error response in the orientation of motion axis; (lower) estimation error response for the inverse distance between hinge and end-effector. Fig. 3, 4(upper) show the response of the motion axis estimation errors for update laws (17), (18) (Assumption 1 - passive revolute joint) and (24), (27) (Assumption 2 - fixed grasp) respectively – convergence to the actual axis is achieved even for larger initial errors. Note that for fixed grasps the settling time is shorter and there is less overshoot as compared to the performance for the revolute grasp, even though the same gains were used. In Fig. 3(upper) the sharp corner in the plot of the absolute value of the angle estimation error at 0.5 s corresponds to an overshoot. Fig. 3, 4(lower) depict the estimation error for the most important element of $\kappa$. In the case of a fixed grasp (Fig. 4), this corresponds to the inverse signed distance $\kappa$ between the end-effector and the hinge and the estimate $\hat{\kappa}$ is not modified when $\hat{\kappa}(0)$ coincides with $\kappa$ and it converges to its actual value in all cases. In case of the passive revolute joint (Fig. 3), the convergence to actual value is also achieved, even though it is not proven theoretically, but the convergence time is twice the corresponding time for fixed grasps and a high overshoot is observed. Furthermore, some of the elements of $\kappa$ are initially modified even when the original estimate coincides with the actual parameter, and ![Fig. 4](image) Fig. 4: Estimation responses in case of the estimator (24), (27) (Assumption 2): (upper) estimation error response in the orientation of motion axis; (lower) response of the estimation error of the inverse distance between hinge and end-effector. ![Fig. 5](image) Fig. 5: Force and torque responses (i) Assumption 1 (ii) Assumption 2: (upper) norm of the projected force error, (lower) norm of the torque error converge with the rest of the system. If Assumption 2 holds, it has been theoretically proven that combining estimates of the modulated rotation axis with the motion axis we can calculate the center of rotation of the rotational doors in real time using Algorithm 1; simulation gives errors of approximately 1.4 cm after 1.5 s, which is equivalent of opening the door 7.5 cm. Given the threshold of $\\|\hat{\kappa}\\| > 0.1$, the revolute doors are identified as such after 0.2 s. The estimation error responses (Fig. 3) show that Algorithm 1 can be used even when only Assumption 1 holds, but the identification procedure is slower (error of 3.4 cm after 4 s). Fig. 5ii shows the responses of the Euclidian norms of force and torque errors ($e_f = \\|P(x_h)\tilde{f}\\|$ and $e_T = \\|\tilde{\tau}\\|$ respectively) in the case of fixed grasps. Errors converge to zero following the convergence rate of modulated rotation axis and motion axis. The same is true for the force errors in the case of a passive revolute joint grasp, as shown in Fig. 5i. VI. EXPERIMENTS To evaluate the performance of the proposed method under unmodelled system and sensor noise, the performance of the door opening controllers were also tested on a real robot setup. Our setup consists of a 7-DoF manipulator whose joints are velocity controlled. New velocity setpoints are given at 130 Hz, and maintained by internal PID current controllers running at 2 kHz. The manipulator includes a wrist mounted ATI Mini45 6-axis force-torque sensor sampled at 650 Hz, which we use for the force feedback and estimation part of our controllers. Additionally, it is equipped with a two finger parallel gripper which allows us to grasp the doors. The robot is approximately human-sized, and has a mass of approximately 150 kg. See [36] for a detailed description of the system. As in the simulations, we used the door opening controllers to open and identify the kinematic parameters of doors of three different types of kinematics: a revolute door, a sliding door and a drawer, as shown in Fig. 6. Each of the experiments were initialized with a 30 deg error in the axis of motion on the motion plane. For the three kinds of doors we performed experiments using fixed grasps on the doors (Assumption 2). Two of the doors — the revolute door and the drawer — were of the type typically used for kitchen cupboards, and were light-weight and fitted with significantly less rigid handles. For these, the performance of the controller evaluated both when grasping the rigid fronts of the doors directly and when grasping the less rigid handles. This allowed a test of the robustness of the system to deviations from the assumptions of rigid links in the kinematic chain. The third door was a sliding door of much larger mass, with a very rigid heavy-duty handle. In the experiments, we set $v_d$ to be constant for the whole trial, and thus the velocity is limited by the parts of the task where the manipulator is close to a singularity, or cannot move fast for some other reason, such as being limited by mass and/or friction of the heavy sliding door. Faster performance can be achieved by letting $v_d$ vary over the door opening tasks. We also constructed alternative cylindrical handles for the revolute door and the drawer which allowed unconstrained rotation of the robot’s gripper around the axis of the handle as shown in Fig. 6i. With these handles the generated grasps can be considered as passive revolute joints, and thus we can test our controllers following Assumption 1 of section III-B. The ground truth of the axis of motion of the revolute door was obtained by manually moving the end effector to a series of points while grasping the handle, fitting a circle to the resulting trajectory and calculating the tangent of the circle at each point. ![Fig. 7](image) Fig. 7: Estimation errors for a revolute door with fixed grasp, (upper): motion axis estimation error, (lower): inverse radius of curvature estimation error. Red dashed line show the estimation errors while grasping the door directly in a rigid manner, while the blue solid line shows the performance when grasping the less rigid handle. ![Fig. 8](image) Fig. 8: Force and torque responses for the revolute door experiment with fixed grasp, upper figure: norm of the projected force error, lower figure: norm of the torque error. Fig. 7 shows the estimation error of the motion axis while opening a revolute door with a fixed grasp and the estimation error of the curvature $\hat{\kappa}$, while Fig. 8 shows the corresponding norm of the projected force error and the norm of the torque error. The results of the revolute door experiment while grasping the door directly is shown with a red dashed line. Here we see convergence to small estimation errors; less than 0.8 deg for the motion axis estimate, and $0.033 \text{m}^{-1}$ for the curvature. In comparison, the performance when grasping the less rigid handle of the door is shown in solid blue lines in the figures. Even though the controller managed to successfully open the door and regulate the forces and torques, it incurred a 7 deg steady state error in the estimation of the motion axis and a $0.16 \text{m}^{-1}$ error in the estimation of the inverse radius of curvature $\kappa$. In Fig. 8, we can see that the less rigid handle acts as a damper and lets the force controller converge faster. These observations illustrate how the discrepancy between assumed and actual rigidity of the grasp on the handle and the rigidity of the handle itself with respect to the door affect the performance of our control scheme, as discussed in Section IV-D. For the sliding door with a fixed grasp, the controller was able to operate the mechanism and we obtained the motion axis estimation error shown in Fig. 9 and force-torque response shown in Fig. 10. This door, including the handle, was much more rigid than the others, thus the estimation of the motion axis shows convergence with a steady state error of less than 0.2 deg. Fig. 11 and Fig. 12 show the performance of our controller for a drawer using fixed grasps. We observe that, similar to the revolute door case, the motion axis estimation error increases significantly from a 1.2 deg steady state error to a 6 deg error when applying a less rigid grasp, i.e. on the handle. This result illustrates that even when slightly relaxing the rigid grasp assumption, the robot can still control the doors, but the estimate is affected in terms of transient response and steady state errors. Fig. 13 - 16 show the performance of our controller for a revolute door and a drawer each with passive revolute handles. Both mechanisms show a similar response in the estimation of the motion axis, with steady state errors of 0.9 deg and 0.4 deg respectively for the revolute door and the drawer. With this type of passive handle the controller does not exert torques on the handle and thus we obtain convergence of the motion axis estimate with low steady state errors comparable to those obtained when considering fixed grasps, as long as the rigidity assumption is fulfilled in the latter case. In summary, we observe that our adaptive control scheme performs well as long as the doors are non-deformable and depending on how strongly the rigid grasp assumption is fulfilled in the case of fixed grasps on the doors. For typical between-room doors, the rigidity assumption is fulfilled, while the handles on some cupboard doors and drawers may have too low rigidity for the sensors and actuators on the robot used, causing small errors in the estimates. VII. CONCLUSIONS We propose a unified method for manipulating different types of revolute and prismatic mechanisms. The method is model-free and can be used to identify the type and geometrical characteristics of one-joint mechanisms. By coupling estimation and action the method is inherently online and can be used in real-time applications. The method consists of a generalized velocity controller using estimates of the motion direction, the axis of rotation and update laws for the estimated vectors. The design of the overall scheme guarantees compliant behavior and convergence of the estimated vectors to their actual values. APPENDIX Proof of Proposition 1: By projecting (17) along $\hat{x}_h$ yields \[ \frac{d}{dt} \left( \frac{1}{2} \\| \dot{x}_h \\|^2 \right) = -\gamma v_{\text{ref}} [\mathbf{P}(\hat{x}_h) \dot{x}_h]^\top v_f + v_{\text{ref}} (\hat{x}_h \times \dot{\hat{x}}_h)^\top \dot{\kappa} = 0, \] since $\mathbf{P}(\hat{x}_h) \dot{x}_h = 0$ and $\hat{x}_h \times \dot{\hat{x}}_h = 0$. □ Proof of Proposition 2: By projecting the update law (17) along $x_h$ and subsequently substituting (11), (14), $\dot{\kappa} = \kappa + \tilde{\kappa}$ and $v = v_{\text{ref}}$ (7) we get: \[ -\sin \theta \dot{\theta} = \gamma v_d^2 x_h^\top \mathbf{P}(\hat{x}_h) x_h - v_{\text{ref}} x_h^\top (\hat{x}_h \times \dot{\kappa}) \] Taking into account (15), $x_h^\top \mathbf{P}(\hat{x}_h) x_h = \sin^2 \theta$ and $x_h^\top (\hat{x}_h \times \dot{\kappa}) = -\tilde{\kappa}^\top (\hat{x}_h \times x_h)$ yields \[ -\sin \theta \dot{\theta} = \gamma v_d^2 \tan^2 \theta + \frac{v_d}{\cos \theta} \tilde{\kappa}^\top (\hat{x}_h \times x_h) \] (33) As both $x_h$ and $\hat{x}_h$ are unit (see Proposition 1) we can write the cross product $(\hat{x}_h \times x_h)$ as $\sin \theta n(t)$ with $n(t)$ being a unit vector perpendicular to the plane defined by $x_h$ and $\hat{x}_h$. Hence the non-trivial solution of (33) is given by the differential equation (20). Given $\dot{\kappa} = \tilde{\kappa}$, $v = v_{\text{ref}} = x_h v = x_h v_{\text{ref}}$ and $(\hat{x}_h \times x_h) = \sin \theta n(t)$ we can easily transform (18) to (21). In order to examine the stability of the nonlinear nonautonomous system we consider the following positive definite function in the domain $D$ \[ W(\theta, \tilde{\kappa}) = U(\theta) + \frac{1}{2} \tilde{\kappa}^\top \Gamma_\kappa^{-1} \tilde{\kappa}, \quad U(\theta) = 1 - \cos \theta \] (34) Differentiating $W(\theta, \tilde{\kappa})$ with respect to time along the system trajectories (20), (21) we get: \[ \dot{W} = -\gamma v_d^2 \tan^2 \theta \] (35) Since $W(\theta, \tilde{\kappa})$ is locally positive definite and $\dot{W} \leq 0$ which implies $W(\theta, \tilde{\kappa}) \leq W(\theta(0), \tilde{\kappa}(0))$ we get that $\tilde{\kappa}$ is bounded and $U(\theta) \leq W(\theta(0), \tilde{\kappa}(0))$. The latter implies that: \[ \cos \theta \geq \cos \theta(0) - \frac{1}{2} \tilde{\kappa}(0)^\top \Gamma_\kappa^{-1} \tilde{\kappa}(0) \] (36) which practically means that starting with $\theta(0) \in (-\frac{\pi}{2}, \frac{\pi}{2})$, $\theta(t) \in (-\frac{\pi}{2}, \frac{\pi}{2})$, $\forall t$ if $\Gamma_\kappa$ is chosen such that: $$\cos \theta(0) - \frac{1}{2} \dot{\kappa}(0)^\top \Gamma_\kappa^{-1} \dot{\kappa}(0) > 0$$ Since $\theta(0)$ and $\dot{\kappa}(0)$ are unknown, appropriately large value for $\Gamma_\kappa$ can guarantee that the aforementioned condition is satisfied. Consequently, (14) and (15) implies that $P(\hat{x}_h)v_f$ and $v$ are bounded. Furthermore, the boundedness of $P(\hat{x}_h)v_f$ implies that the update law rate $\dot{\hat{x}}_h$ is bounded and subsequently $\dot{\theta}$ is bounded. Thus $\dot{W}$ is bounded and according to Barbalat’s Lemma $\dot{W} \to 0$. If $v_d$ satisfies the PE condition then $\dot{W} \to 0$ implies $\dot{\theta} \to 0$. Proof of Proposition 3: Projecting (24) along $^e\hat{x}_h$ yields $$\frac{d}{dt} \left( \frac{1}{2} \\| ^e\hat{x}_h(t) \\|^2 \right) = -\gamma v_d \left[ P(\hat{x}_h)R_e^e\hat{x}_h \right]^\top v_f = 0$$ (since $P(\hat{x}_h)\hat{x}_h = 0$). Note that $\hat{x}_h$ has also invariant magnitude since it is derived by expressing $^e\hat{x}_h$ at the robot inertia frame by using the rotation matrix $R_e$. Proof of Proposition 4: By projecting the update law (24) along $x_h$ and subsequently substituting (12), (14), (15) we get: $$-\sin \theta \dot{\theta} = \gamma \frac{v_d^2}{\cos \theta} x_h^\top P(\hat{x}_h)x_h$$ Taking into account $x_h^\top P(\hat{x}_h)x_h = \sin^2 \theta$ we can readily see that the non-trivial solution of (38) is given by the differential equation (25). Differentiating the following positive definite Lyapunov function in the domain $D'$: $$U(\theta) = -\log(\cos \theta)$$ we get: $$\dot{U} = -\gamma v_d^2 \tan^2 \theta$$ Note that (40) implies $U(\theta) \leq U(\theta(0))$, which implies that starting with $\theta(0) \in (-\frac{\pi}{2}, \frac{\pi}{2})$, $U(\theta)$ remains bounded $\forall t$. Since function $U(\theta)$ is a logarithmic barrier function, its boundedness implies that $\theta(t) \in (-\frac{\pi}{2}, \frac{\pi}{2})$, $\forall t$. Consequently (14), (15) and (24) implies that $P(\hat{x}_h)v_f$, $v$ and the update law rate $\dot{\hat{x}}_h$ are bounded. Eq. (40) implies also the exponential convergence of the angle error to zero (details can be found in [31]) given that $v_d$ satisfies the PE condition. Proof of Theorem 1: We extend the positive function $W(\theta, \dot{\kappa})$ (proof of Proposition 2, Eq. (34)) or the function $U(\theta)$ (proof of Proposition 4, Eq. (39)) by adding a quadratic term of $\mathcal{I}\left[ P(\hat{x}_h)\tilde{f} \right]$ and we consider the following Lyapunov-like function: $$V = \alpha_f \beta_f \mathcal{I}^2 \left[ P(\hat{x}_h)\tilde{f} \right] + \frac{1}{\gamma} W(\theta, \dot{\kappa})$$ By differentiating (41), completing the squares $\alpha_f^2 \left\\| P(\hat{x}_h)\tilde{f} \right\\|^2$, $\beta_f^2 \left\\| \mathcal{I}\left[ P(\hat{x}_h)\tilde{f} \right] \right\\|^2$, substituting (16) and (35) (or (40) in case of $U$ given by (39) is used in (41)) we get: $$\dot{V} = -\alpha_f^2 \left\\| P(\hat{x}_h)\tilde{f} \right\\|^2 - \beta_f^2 \left\\| \mathcal{I}\left[ P(\hat{x}_h)\tilde{f} \right] \right\\|^2$$ Hence, $V(t) \leq V(0)$, $\forall t$ which additionally to the boundedness results of Proposition 2 or Proposition 4 implies that $\mathcal{I}[P(\hat{x}_h)\tilde{f}]$ is bounded. The boundedness of $P(\hat{x}_h)v_f$ and $\mathcal{I}[P(\hat{x}_h)\tilde{f}]$, implies that $P(\hat{x}_h)\tilde{f}$ is bounded. Differentiating (14), (15) and using the boundedness of $\mathcal{I}[P(\hat{x}_h)\tilde{f}]$, $P(\hat{x}_h)v_f$ and $\dot{\hat{x}}_h$, it can be easily shown that $\frac{d}{dt} \left[ P(\hat{x}_h)v_f \right]$ is bounded. Hence, the second derivative of $V$ is bounded allowing the use of Barbalat’s Lemma in order to prove that $\dot{V} \to 0$ and consequently $\mathcal{I}\left[ P(\hat{x}_h)\tilde{f} \right]$, $P(\hat{x}_h)\tilde{f} \to 0$. Note that the aforementioned convergence results are referred to the estimated motion space defined by $\hat{x}_h$. Taking into account Proposition 2 or 4 that implies the convergence of $\theta$ to zero or $\hat{x}_h \to x_h$ for $v_d$ satisfying the PE condition, we get $\mathcal{I}\left[ P(x_h)\tilde{f} \right]$, $P(x_h)\tilde{f} \to 0$ Proof of Theorem 2: First, we will reform $\omega_{\text{ref}}$ by adding/subtracting the term $\kappa(v - v_d)$, using (15) and substituting $\dot{\kappa} = \dot{\kappa} + \ddot{\kappa}$ as follows: $$\omega_{\text{ref}} = \kappa v + \dot{\kappa} v_d - \omega_\tau + v_d \left( \frac{\cos \theta - 1}{\cos \theta} \right) \kappa$$ For design purposes we consider the following positive definite function: $$V = \alpha_\tau \beta_\tau \\|\tilde{\tau}\\|^2 + \frac{1}{2} \dot{\kappa}^\top \Gamma_\kappa^{-1} \dot{\kappa} + \frac{\xi}{\gamma} U(\theta)$$ with $U(\theta)$ being defined in (39) and $\xi$ being a positive constant. By differentiating (43) with respect to time and substituting $\dot{\kappa} = \dot{\kappa}$, $\omega = \omega_{\text{ref}}$ given by (42), (40) and the rotational constraints (3), (6) we get: $$\dot{V} = -\alpha_\tau^2 \\|\tilde{\tau}\\|^2 - \beta_\tau^2 \\|\mathcal{I}(\tilde{\tau})\\|^2 + v_d \left( \frac{\cos \theta - 1}{\cos \theta} \right) \omega_\tau^\top \kappa$$ $$- \xi v_d^2 \tan^2 \theta + \dot{\kappa}^\top \left( \Gamma_\kappa^{-1} \dot{\kappa} + v_d \omega_\tau \right)$$ In order to cancel the last term of the right side part of (44) we set $\dot{\kappa} = -v_d \Gamma_\kappa \omega_\tau$ which corresponds to the update law (27). By using (27) and the inequality: $$\omega_\tau^\top \kappa \left( \frac{\cos \theta - 1}{\cos \theta} \right) v_d \leq \frac{\\|\omega_\tau\\|^2}{4} + \\|\kappa\\|^2 v_d^2 \left( \frac{\cos \theta - 1}{\cos \theta} \right)^2$$ we can upper-bound $\dot{V}$ (44) as follows: $$\dot{V} \leq -\alpha_\tau^2 \\|\tilde{\tau}\\|^2 - \beta_\tau^2 \\|\mathcal{I}(\tilde{\tau})\\|^2 + \frac{\\|\omega_\tau\\|^2}{4}$$ $$- \xi v_d^2 \tan^2 \theta + \\|\kappa\\|^2 v_d^2 \left( \frac{\cos \theta - 1}{\cos \theta} \right)^2$$ Expanding $\\|\omega_\tau\\|^2$ – using (28)– and setting $\xi > \\|\kappa\\|^2$, we get: $$\dot{V} \leq -\frac{\alpha^2}{2}\\|\tilde{\tau}\\|^2 - \frac{\beta^2}{2}\\|I(\tilde{\tau})\\|^2 - 2\\|\kappa\\|^2 v_d^2 \left( \frac{1-\cos \theta}{\cos \theta} \right)$$ (47) Since $\cos \theta \leq 1$ and $\theta(t) \in (-\frac{\pi}{2}, \frac{\pi}{2})$ provided that $\theta(0) \in (-\frac{\pi}{2}, \frac{\pi}{2})$ (Proposition 4), the derivative of function $V$ can be upper-bounded as follows: $$\dot{V} \leq -\frac{\alpha^2}{2}\\|\tilde{\tau}\\|^2 - \frac{\beta^2}{2}\\|I(\tilde{\tau})\\|^2$$ Hence, $V(t) \leq V(0)$, $\forall \ t$ which implies that $I(\tilde{\tau})$ and $\hat{\kappa}$ are bounded. Hence, by taking into account the constraints (3), (6) for the closed loop system $\omega = \omega_{\text{ref}}$ (42), it is clear that $\tilde{\tau}$ is bounded and hence $\hat{\kappa}$ is bounded. Using the aforementioned boundedness results as well as those implied by Proposition 4 and Theorem 1, it can be easily proved by differentiating $\dot{V}$ that $\dot{V}$ is bounded. Hence, applying Barbalat’s Lemma we get that $\tilde{\tau} \to 0$, $I(\tilde{\tau}) \to 0$. Using the aforementioned convergence results as well as $\theta \to 0$, it can be shown that $\hat{\kappa} \to \kappa$ provided that $v_d$ satisfies the PE condition and hence $\omega_e \to v_d \kappa$. Proof of Proposition 5: By projecting the update law (24) along $x_h$ and subsequently substituting (12), (29), (30) and $x_h^\top P(\dot{x}_h)x_h = \sin^2 \theta$ we get: $$-\sin \theta \dot{\theta} = \gamma \frac{v_d^2}{\cos \theta} \sin^2 \theta + \gamma v_d \left( \frac{\dot{x}_h}{\cos \theta} - x_h \right)^\top \delta(t)$$ Note that vector $\frac{\dot{x}_h}{\cos \theta} - x_h$ is perpendicular to $x_h$ since $\left( \frac{\dot{x}_h}{\cos \theta} - x_h \right)^\top x_h = 0$ while its magnitude is equal to $\|\tan \theta\|$. By defining a unit vector $n'(t)$ parallel to $\frac{\dot{x}_h}{\cos \theta} - x_h$ we can easily get: $$-\sin \theta \dot{\theta} = \gamma \frac{v_d^2}{\cos \theta} x_h^\top P(\dot{x}_h)x_h + \gamma v_d \|\tan \theta\| \delta(t)$$ The nontrivial solution of (48) is given by (31). Proof of Proposition 6: Differentiating (39) with respect to time and substituting (31), we get that $\dot{U}(\theta)$ is upper-bounded as follows: $$\dot{U}(\theta) \leq -\gamma v_d^2 \left\| \frac{\tan \theta}{\cos \theta} \right\| (\sin \theta - \lambda(t))$$ From (49) and Theorem 4.18 of [37] regarding uniform ultimate boundedness we can find that the region in which the estimation error converges is given by (32). References [1] Y. Karayiannidis, C. Smith, F. Viña, and D. Kragic, “Online kinematics estimation for active human-robot manipulation of jointly held objects,” in IEEE/RSJ International Conference on Intelligent Robots and Systems, 2013, pp. 4872–4878. [2] C. Cheah, C. Li, and J. Slotine, “Adaptive tracking control for robots with unknown kinematic and dynamic properties,” The International Journal of Robotics Research, vol. 25, no. 3, pp. 283–296, 2006. [3] C. C. Cheah, S. Kawamura, and S. Arimoto, “Stability of hybrid position and force control for robotic kinematics and dynamics uncertainties,” Automatica, vol. 39, pp. 847–855, 2003. [4] T. Yoshikawa, Foundations of Robotics. Cambridge, MA:MIT Press, 1990. [5] M. H. Raibert and J. J. Craig, “Hybrid position/force control of manipulators,” Journal of Dynamic Systems, Measurement and Control, Trans. of the ASME, vol. 103, no. 2, pp. 126–133, 1981. [6] H. Bruyninckx and J. De Schutter, “Specification of force-controlled actions in the ‘task frame formalism’–a synthesis,” IEEE Trans. on Robotics and Automation, vol. 12, no. 4, pp. 581–589, Aug 1996. [7] J. De Schutter, T. De Laet, J. Rutgeerts, W. Decre, R. Smits, E. Aertbeliën, K. Claes, and H. Bruyninckx, “Constraint-based task specification and estimation for sensor-based robot systems in the presence of geometric uncertainty,” The International Journal of Robotics Research, vol. 26, no. 5, pp. 433–455, 2007. [8] H. Bruyninckx, Kinematic Models for Robot Compliant Motion with Identification of Uncertainties. PhD thesis, KU Leuven, Department of Mechanical Engineering, 1995. [9] Y. Karayiannidis and Z. Doulgeri, “Adaptive control of robot contact tasks with on-line learning of planar surfaces,” Automatica, vol. 45, no. 10, pp. 2374–2382, 2009. [10] K. Nagatani and S. Yuta, “An experiment on opening-door behavior by an autonomous mobile robot with a manipulator,” in IEEE/RSJ International Conference on Intelligent Robots and Systems, vol. 2, aug 1995, pp. 45–50. [11] G. Niemeyer and J.-J. Slotine, “A simple strategy for opening an unknown door,” in IEEE International Conference on Robotics and Automation, vol. 2, apr 1997, pp. 1448–1453. [12] E. Lutscher, M. Lawitzky, G. Cheng, and S. Hirche, “A control strategy for operating unknown constrained mechanisms,” in IEEE International Conference on Robotics and Automation, may 2010, pp. 819–824. [13] D. Ma, H. Wang, and W. 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Sanz, Robot Physical Interaction through the combination of Vision, Tactile and Force Feedback - Applications to Assistive Robotics, ser. Springer Tracts in Advanced Robotics. Springer, 2013, vol. 84, ch. Physical Interaction: When Only Force Is Available, pp. 55–77. [26] J. Sturm, A. Jain, C. Stachniss, C. Kamp, and W. Burgard, “Operating articulated objects based on experience,” in IEEE/RSJ International Conference on Intelligent Robots and Systems, 2010, pp. 2739–2744. [27] A. Schmid, N. Gorges, D. Goger, and H. Worn, “Opening a door with a humanoid robot using multi-sensory tactile feedback,” in IEEE International Conference on Robotics and Automation, may 2008, pp. 285–291. [28] D. Kim and G.-T. Kang, J.-H.and Park, “Door-opening behaviour by home service robot in a house,” International Journal of Robotics and Automation, vol. 25, no. 4, pp. 271–284, 2010. [29] Y. Karayiannidis, C. Smith, P. Ögren, and D. Kragic, “Adaptive force/velocity control for opening unknown doors,” in IFAC Symposium on Robot Control, Dubrovnik, Croatia, Sep 2012. [30] Y. Karayiannidis, C. Smith, F. Viña, P. Ögren, and D. Kragic, “‘Open Sesame!’ - Adaptive Force/Velocity Control for Opening Unknown Doors,” in IEEE/RAS Conference on Intelligent Robots and Systems, Vilamoura, Portugal, Oct 2012. [31] Y. Karayiannidis, C. Smith, F. Viña, P. Ögren, and D. Kragic, “Model-free robot manipulation of doors and drawers by means of fixed-grasps,” in IEEE International Conference on Robotics and Automation, 2013, pp. 4470–4477. [32] S. Erhart and S. Hirche, “Adaptive force/velocity control for multi-robot cooperative manipulation under uncertain kinematic parameters,” in 2013 IEEE/RSJ International Conference on Intelligent Robots and Systems (IROS), Nov 2013, pp. 307–314. [33] P. A. Ioannou and J. Sun, Robust Adaptive Control. Upper Saddle River, NJ:Prentice Hall, 1996. [34] B. Siciliano, L. Sciavicco, and L. Villani, Robotics: Modelling, Planning and Control, ser. Advanced Textbooks in Control and Signal Processing. Springer, 2009. [35] J. Slotine and W. Li, Applied Nonlinear Control. Prentice Hall, 1991. [36] C. Smith and Y. Karayiannidis, “Optimal command ordering for serial link manipulators,” in IEEE-RAS International Conference on Humanoid Robots, 2012, pp. 255–261. [37] H. Khalil, Nonlinear Systems, 3rd ed. Prentice Hall, 2002. Francisco E. Viña B. received his Bachelor of Science degree in Electronics Engineering from Universidad Simón Bolívar (USB) in Caracas, Venezuela in 2012. He is currently a PhD student at the Centre for Autonomous Systems at the Royal Institute of Technology (KTH) in Stockholm. His research interests include robotic manipulation and control. Petter Ögren received the M.Sc. in engineering physics and a Ph.D. in applied mathematics from the Royal Institute of Technology KTH, Stockholm, Sweden, in 1998 and 2003, respectively. In the fall of 2001, he visited the Mechanical Engineering Department, Princeton University, Princeton, NJ. From 2003 to 2012 he worked as a senior scientist and deputy research director in Autonomous Systems at the Swedish Defence Research Agency (FOI). He is currently an Associate Professor at the Computer Vision and Active Perception lab (CVAP) at KTH. His research interests include control of robotic manipulators, multi agent coordination, search and rescue robotics and robot control architectures. Danica Kragic is a Professor at the School of Computer Science and Communication at KTH in Stockholm. She received a M.Sc. in Mechanical Engineering from the Technical University of Rijeka, Croatia in 1995 and a Ph.D. in Computer Science from KTH in 2001. She is the Director of the Centre for Autonomous Systems at KTH. From 2011 she is a member of the Royal Swedish Academy of Sciences and Swedish Young Academy. She received the 2007 IEEE Robotics and Automation Society Early Academic Career Award. Her research area is computer vision, grasping and manipulation, and human-robot interaction. Christian Smith received a M.Sc. in Engineering Physics in 2005, and a Ph.D. in Computer Science in 2009, both from KTH – Royal Institute of Technology in Stockholm. He has been a postdoctoral researcher at the Intelligent Robotics and Communication Laboratories at ATR in Kyoto, Japan, and is currently an assistant professor with the Centre for Autonomous Systems at KTH, and Secretary of the Swedish Chapter of IEEE Robotics and Automation Society. His research interests is in domestic manipulation, manipulator design, human-robot interaction and interfaces.
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Intellectual Property Indemnification Contractor hereby certifies that it owns, controls, or licenses and retains all right, title, and interest in and to any intellectual property it uses in relation to this Agreement, including the design, look, feel, features, source code, content, and other technology relating to any part of the services it provides under this Agreement and including all related patents, inventions, trademarks, and copyrights, all applications therefor, and all trade names, service marks, know how, and trade secrets (collectively referred to as “IP Rights”) except as otherwise noted by this Agreement. Contractor warrants that the services it provides under this Agreement do not infringe, violate, trespass, or constitute the unauthorized use or misappropriation of any IP Rights of any third party. Contractor shall defend, indemnify, and hold harmless County from and against all liabilities, costs, damages, losses, and expenses (including reasonable attorney fees) arising out of or related to any claim by a third party that the services provided under this Agreement infringe or violate any third-party’s IP Rights provided any such right is enforceable in the United States. Contractor’s duty to defend, indemnify, and hold harmless under this Section applies only provided that: (a) County notifies Contractor promptly in writing of any notice of any such third-party claim; (b) County cooperates with Contractor, at Contractor’s expense, in all reasonable respects in connection with the investigation and defense of any such third-party claim; (c) Contractor retains sole control of the defense of any action on any such claim and all negotiations for its settlement or compromise (provided Contractor shall not have the right to settle any criminal action, suit, or proceeding without County’s prior written consent, not to be unreasonably withheld, and provided further that any settlement permitted under this Section shall not impose any financial or other obligation on County, impair any right of County, or contain any stipulation, admission, or acknowledgement of wrongdoing on the part of County without County’s prior written consent, not to be unreasonably withheld); and (d) should services under this Agreement become, or in Contractor’s opinion be likely to become, the subject of such a claim, or in the event such a third party claim or threatened claim causes County’s reasonable use of the services under this Agreement to be seriously endangered or disrupted, Contractor shall, at Contractor’s option and expense, either: (i) procure for County the right to continue using the services without infringement or (ii) replace or modify the services so that they become non-infringing but remain functionally equivalent. Notwithstanding anything in this Section to the contrary, Contractor will have no obligation or liability to County under this Section to the extent any otherwise covered claim is based upon: (a) any aspects of the services under this Agreement which have been modified by or for County (other than modification performed by, or at the direction of, Contractor) in such a way as to cause the alleged infringement at issue; and/or (b) any aspects of the services under this Agreement which have been used by County in a manner prohibited by this Agreement. The duty of Contractor to indemnify and save harmless as set forth by this Section shall include the duty to defend as set forth in Section 2778 of the California Civil Code. 9. Assignability and Subcontracting Contractor shall not assign this Agreement or any portion of it to a third party or subcontract with a third party to provide services required by Contractor under this Agreement without the prior written consent of County. Any such assignment or subcontract without County’s prior written consent shall give County the right to automatically and immediately terminate this Agreement without penalty or advance notice. 10. Payment of Permits/Licenses Contractor bears responsibility to obtain any license, permit, or approval required from any agency for work/services to be performed under this Agreement at Contractor’s own expense prior to commencement of said work/services. Failure to do so will result in forfeit of any right to compensation under this Agreement. 11. Insurance a. General Requirements Contractor shall not commence work or be required to commence work under this Agreement unless and until all insurance required under this Section has been obtained and such insurance has been approved by County’s Risk Management, and Contractor shall use diligence to obtain such insurance and to obtain such approval. Contractor shall furnish County with certificates of insurance evidencing the required coverage, and there shall be a specific contractual liability endorsement extending Contractor’s coverage to include the contractual liability assumed by Contractor pursuant to this Agreement. These certificates shall specify or be endorsed to provide that thirty (30) days’ notice must be given, in writing, to County of any pending change in the limits of liability or of any cancellation or modification of the policy. b. Workers’ Compensation and Employer’s Liability Insurance Contractor shall have in effect during the entire term of this Agreement workers’ compensation and employer’s liability insurance providing full statutory coverage. In signing this Agreement, Contractor certifies, as required by Section 1861 of the California Labor Code, that (a) it is aware of the provisions of Section 3700 of the California Labor Code, which require every employer to be insured against liability for workers’ compensation or to undertake self-insurance in accordance with the provisions of the Labor Code, and (b) it will comply with such provisions before commencing the performance of work under this Agreement. c. Liability Insurance Contractor shall take out and maintain during the term of this Agreement such bodily injury liability and property damage liability insurance as shall protect Contractor and all of its employees/officers/agents while performing work covered by this Agreement from any and all claims for damages for bodily injury, including accidental death, as well as any and all claims for property damage which may arise from Contractor’s operations under this Agreement, whether such operations be by Contractor, any subcontractor, anyone directly or indirectly employed by either of them, or an agent of either of them. Such insurance shall be combined single limit bodily injury and property damage for each occurrence and shall not be less than the amounts specified below: - Comprehensive General Liability… $1,000,000 - Motor Vehicle Liability Insurance… $1,000,000 - Professional Liability……………….. $1,000,000 County and its officers, agents, employees, and servants shall be named as additional insured on any such policies of insurance, which shall also contain a provision that (a) the insurance afforded thereby to County and its officers, agents, employees, and servants shall be primary insurance to the full limits of liability of the policy and (b) if the County or its officers, agents, employees, and servants have other insurance against the loss covered by such a policy, such other insurance shall be excess insurance only. In the event of the breach of any provision of this Section, or in the event any notice is received which indicates any required insurance coverage will be diminished or canceled, County, at its option, may, notwithstanding any other provision of this Agreement to the contrary, immediately declare a material breach of this Agreement and suspend all further work and payment pursuant to this Agreement. 12. Compliance With Laws All services to be performed by Contractor pursuant to this Agreement shall be performed in accordance with all applicable Federal, State, County, and municipal laws, ordinances, and regulations, including but not limited to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) and the Federal Regulations promulgated thereunder, as amended (if applicable), the Business Associate requirements set forth in Attachment H (if attached), the Americans with Disabilities Act of 1990, as amended, and Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination on the basis of disability in programs and activities receiving any Federal or County financial assistance. Such services shall also be performed in accordance with all applicable ordinances and regulations, including but not limited to appropriate licensure, certification regulations, provisions pertaining to confidentiality of records, and applicable quality assurance regulations. In the event of a conflict between the terms of this Agreement and any applicable State, Federal, County, or municipal law or regulation, the requirements of the applicable law or regulation will take precedence over the requirements set forth in this Agreement. Further, Contractor certifies that it and all of its subcontractors will adhere to all applicable provisions of Chapter 4.106 of the San Mateo County Ordinance Code, which regulates the use of disposable food service ware. Accordingly, Contractor shall not use any non-recyclable plastic disposable food service ware when providing prepared food on property owned or leased by the County and instead shall use biodegradable, compostable, reusable, or recyclable plastic food service ware on property owned or leased by the County. Contractor will timely and accurately complete, sign, and submit all necessary documentation of compliance. 13. Non-Discrimination and Other Requirements a. General Non-discrimination No person shall be denied any services provided pursuant to this Agreement (except as limited by the scope of services) on the grounds of race, color, national origin, ancestry, age, disability (physical or mental), sex, sexual orientation, gender identity, marital or domestic partner status, religion, political beliefs or affiliation, familial or parental status (including pregnancy), medical condition (cancer-related), military service, or genetic information. b. Equal Employment Opportunity Contractor shall ensure equal employment opportunity based on objective standards of recruitment, classification, selection, promotion, compensation, performance evaluation, and management relations for all employees under this Agreement. Contractor’s equal employment policies shall be made available to County upon request. c. Section 504 of the Rehabilitation Act of 1973 Contractor shall comply with Section 504 of the Rehabilitation Act of 1973, as amended, which provides that no otherwise qualified individual with a disability shall, solely by reason of a disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination in the performance of any services this Agreement. This Section applies only to contractors who are providing services to members of the public under this Agreement. d. Compliance with County’s Equal Benefits Ordinance With respect to the provision of benefits to its employees, Contractor shall comply with Chapter 2.84 of the County Ordinance Code, which prohibits contractors from discriminating in the provision of employee benefits between an employee with a domestic partner and an employee with a spouse. In order to meet the requirements of Chapter 2.84, Contractor must certify which of the following statements is/are accurate: - [x] Contractor complies with Chapter 2.84 by offering the same benefits to its employees with spouses and its employees with domestic partners. - [ ] Contractor complies with Chapter 2.84 by offering, in the case where the same benefits are not offered to its employees with spouses and its employees with domestic partners, a cash payment to an employee with a domestic partner that is equal to Contractor’s cost of providing the benefit to an employee with a spouse. - [ ] Contractor is exempt from having to comply with Chapter 2.84 because it has no employees or does not provide benefits to employees’ spouses. - [ ] Contractor does not comply with Chapter 2.84, and a waiver must be sought. e. Discrimination Against Individuals with Disabilities The nondiscrimination requirements of 41 C.F.R. 60-741.5(a) are incorporated into this Agreement as if fully set forth here, and Contractor and any subcontractor shall abide by the requirements of 41 C.F.R. 60–741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. f. History of Discrimination Contractor must check one of the two following options, and by executing this Agreement, Contractor certifies that the option selected is accurate: ☑ No finding of discrimination has been issued in the past 365 days against Contractor by the Equal Employment Opportunity Commission, Fair Employment and Housing Commission, or any other investigative entity. ☐ Finding(s) of discrimination have been issued against Contractor within the past 365 days by the Equal Employment Opportunity Commission, Fair Employment and Housing Commission, or other investigative entity. If this box is checked, Contractor shall provide County with a written explanation of the outcome(s) or remedy for the discrimination. g. Reporting: Violation of Non-discrimination Provisions Contractor shall report to the County Manager the filing in any court or with any administrative agency of any complaint or allegation of discrimination on any of the bases prohibited by this Section of the Agreement or Section 12, above. Such duty shall include reporting of the filing of any and all charges with the Equal Employment Opportunity Commission, the Fair Employment and Housing Commission, or any other entity charged with the investigation or adjudication of allegations covered by this subsection within 30 days of such filing, provided that within such 30 days such entity has not notified Contractor that such charges are dismissed or otherwise unfounded. Such notification shall include a general description of the circumstances involved and a general description of the kind of discrimination alleged (for example, gender-, sexual orientation-, religion-, or race-based discrimination). Violation of the non-discrimination provisions of this Agreement shall be considered a breach of this Agreement and subject the Contractor to penalties, to be determined by the County Manager, including but not limited to the following: i. termination of this Agreement; ii. disqualification of the Contractor from being considered for or being awarded a County contract for a period of up to 3 years; iii. liquidated damages of $2,500 per violation; and/or iv. imposition of other appropriate contractual and civil remedies and sanctions, as determined by the County Manager. To effectuate the provisions of this Section, the County Manager shall have the authority to offset all or any portion of the amount described in this Section against amounts due to Contractor under this Agreement or any other agreement between Contractor and County. 14. Compliance with County Employee Jury Service Ordinance Contractor shall comply with Chapter 2.85 of the County’s Ordinance Code, which states that Contractor shall have and adhere to a written policy providing that its employees, to the extent they are full-time employees and live in San Mateo County, shall receive from the Contractor, on an annual basis, no fewer than five days of regular pay for jury service in San Mateo County, with jury pay being provided only for each day of actual jury service. The policy may provide that such employees deposit any fees received for such jury service with Contractor or that the Contractor may deduct from an employee’s regular pay the fees received for jury service in San Mateo County. By signing this Agreement, Contractor certifies that it has and adheres to a policy consistent with Chapter 2.85. For purposes of this Section, if Contractor has no employees in San Mateo County, it is sufficient for Contractor to provide the following written statement to County: “For purposes of San Mateo County’s jury service ordinance, Contractor certifies that it has no full-time employees who live in San Mateo County. To the extent that it hires any such employees during the term of its Agreement with San Mateo County, Contractor shall adopt a policy that complies with Chapter 2.85 of the County’s Ordinance Code.” The requirements of Chapter 2.85 do not apply if this Agreement’s total value listed Section 3, above, is less than one-hundred thousand dollars ($100,000), but Contractor acknowledges that Chapter 2.85’s requirements will apply if this Agreement is amended such that its total value meets or exceeds that threshold amount. 15. Retention of Records; Right to Monitor and Audit (a) Contractor shall maintain all required records relating to services provided under this Agreement for three (3) years after County makes final payment and all other pending matters are closed, and Contractor shall be subject to the examination and/or audit by County, a Federal grantor agency, and the State of California. (b) Contractor shall comply with all program and fiscal reporting requirements set forth by applicable Federal, State, and local agencies and as required by County. (c) Contractor agrees upon reasonable notice to provide to County, to any Federal or State department having monitoring or review authority, to County’s authorized representative, and/or to any of their respective audit agencies access to and the right to examine all records and documents necessary to determine compliance with relevant Federal, State, and local statutes, rules, and regulations, to determine compliance with this Agreement, and to evaluate the quality, appropriateness, and timeliness of services performed. 16. Merger Clause; Amendments This Agreement, including the Exhibits and Attachments attached to this Agreement and incorporated by reference, constitutes the sole Agreement of the parties to this Agreement and correctly states the rights, duties, and obligations of each party as of this document’s date. In the event that any term, condition, provision, requirement, or specification set forth in the body of this Agreement conflicts with or is inconsistent with any term, condition, provision, requirement, or specification in any Exhibit and/or Attachment to this Agreement, the provisions of the body of the Agreement shall prevail. Any prior agreement, promises, negotiations, or representations between the parties not expressly stated in this document are not binding. All subsequent modifications or amendments shall be in writing and signed by the parties. 17. Controlling Law; Venue The validity of this Agreement and of its terms, the rights and duties of the parties under this Agreement, the interpretation of this Agreement, the performance of this Agreement, and any other dispute of any nature arising out of this Agreement shall be governed by the laws of the State of California without regard to its choice of law or conflict of law rules. Any dispute arising out of this Agreement shall be venued either in the San Mateo County Superior Court or in the United States District Court for the Northern District of California. 18. Notices Any notice, request, demand, or other communication required or permitted under this Agreement shall be deemed to be properly given when both: (1) transmitted via facsimile to the telephone number listed below or transmitted via email to the email address listed below; and (2) sent to the physical address listed below by either being deposited in the United States mail, postage prepaid, or deposited for overnight delivery, charges prepaid, with an established overnight courier that provides a tracking number showing confirmation of receipt. In the case of County, to: \| Name/Title \| Loc Nguyen, DrPH, MSW, Director, Children and Family Services \| \|---------------------\|---------------------------------------------------------------\| \| Address \| 1 Davis Drive, Belmont, CA 94002 \| \| Telephone \| 650.802.3390 \| \| Facsimile \| 650.598-9785 \| \| Email \| firstname.lastname@example.org \| In the case of Contractor, to: \| Name/Title \| Dr. Sarah Larios Mitchell, Chief Executive Officer \| \|---------------------\|----------------------------------------------------------------\| \| Address \| 610 Elm Street, Suite 212 San Carlos, CA 94070, \| \| Telephone \| 650.591.9623 \| \| Facsimile \| 650.591.9750 \| \| Email \| email@example.com \| 19. Electronic Signature If both County and Contractor wish to permit this Agreement and future documents relating to this Agreement to be digitally signed in accordance with California law and County’s Electronic Signature Administrative Memo, both boxes below must be checked. Any party that agrees to allow digital signature of this Agreement may revoke such agreement at any time in relation to all future documents by providing notice pursuant to this Agreement. For County: ☑ If this box is checked by County, County consents to the use of electronic signatures in relation to this Agreement. For Contractor: ☑ If this box is checked by Contractor, Contractor consents to the use of electronic signatures in relation to this Agreement. In witness of and in agreement with this Agreement’s terms, the parties, by their duly authorized representatives, affix their respective signatures: COUNTY OF SAN MATEO By: ________________________________ President, Board of Supervisors, San Mateo County Date: _______________________________ ATTEST: By: ________________________________ Clerk of Said Board STARVISTA Dr. Sara Larios Mitchell, Chief Executive Officer ___________________________ Contractor’s Signature Date: 5/19/15 CAHPP- Scope of Services In consideration of the payments set forth in Exhibit B, B1 and B2, Contractor shall provide the following services: A. Description of Services: I. Extensive outreach that will emphasize the program concept of identifying children, youth and early adolescents presenting with concerning behavioral issues, and include the CAHPP goals and objectives of offering a brief screen and identification of concerning behaviors, together with the phone/text/email contact information throughout: - San Mateo County Elementary, Middle School systems and San Mateo County Office of Education, - San Mateo County teaching organizations - Parenting Organizations including Parenting Project and PTAs - SMC Human Services Agency - SMC Probation Department - SMC Health Department with a focus on pediatricians and children’s healthcare - SMC Behavioral Health and Recovery Services - SMC BHRS Alcohol and other Drug Services - Pediatricians and children’s healthcare - Youth Mental Health First Aid - Family Resource Center Programs - School, Police and Community Collaborative-East Palo Alto - County Office of Education (COE) Coordinator/Liaisons II. A dedicated CAHPP Hotline, 650-567-KIDS, has been assigned, and phone, text and email coverage will be available 24/7, 365 days per year. A phone/text/email to the CAHPP Hotline will result in: - Mental Health Clinician’s direct contact with the referral source within 24 – 48 hours, Mental Health Clinician’s screen of presenting issue(s), and a referral to service providers if appropriate and warranted, - Mental Health Clinician’s direct contact with the child, youth/adolescent and family, for a screen and evaluation with direct referral - to service providers if appropriate and warranted, - for brief therapeutic sessions with Mental Health Clinicians followed by a referral to service providers if appropriate and warranted, - to a CAHPP Child Aide for primary intervention program designed for low-moderate at-risk children. - Weekly follow-up tracking - utilization of referrals, - engagement with referrals, - outcomes attributable to services provided by referrals. Hours of Service: - For FY 2015-16, 50% of allocated funds will be used to support the Hotline managed by the licensed Program Manager, and 3 licensed or license eligible Mental Health Clinicians (1 acting in a Coordinator role as well) for an annual total of 7,852 staff available hours. - For FY 2015-16 50% of allocated funds will be used to support the StarVista Lucky Kids Club program. This program is being expanded to add two more child aides. It is staffed by 8 full time, expertly trained Child Aides (six of whom are bilingual) for an annual total of 1,288 staff available hours. - Supervision, agency/administrative support and collaboration, extensive training for all staff, computer access, hotline access, office space, office supplies, screening materials, curriculum, and the development of a data system collecting all of the facts relevant to the performance measure will be provided. B. Reporting Requirements: StarVista will submit a quarterly report by the 10th day following each quarter, reflecting the performances measures outlined above as follows to Natasha Bourbonnais, Program Manager, 1 Davis Drive, 2nd Floor, Belmont, CA 94002: \| FY 2015-16 \| FY 2016-17 \| \|---------------------\|---------------------\| \| October 10, 2015 \| October 10, 2016 \| \| January 10, 2016 \| January 10, 2017 \| \| March 10, 2016 \| March 10, 2017 \| \| July 10, 2016 \| July 10, 2017 \| C. Monitoring Requirements for Contract: San Mateo County Board of Supervisors approved Measure A funds to support a “Healthy and Safe Community”, by funding prevention and early intervention services for youth at risk of abuse, trauma, and mental illness. The San Mateo County Board of Supervisors have established a number of performance measures to track outcomes. The following is a list of the performance measures applicable to StarVista’s CAHPP, and StarVista’s CAHPP will develop a data system that will track the above performance measures by gathering the italicized data: - Knowledge about and recognition of mental health problems by school personnel and student peers - Number and Identification of source of the Hotline calls, texts, emails received by CAHPP (teachers, parents, doctors, case managers, peers, etc.) - Response time for hotline calls/texts/emails - Identification of specific Referral so Number of follow-up calls/texts/emails to determine efficacy of referral and engagement in services - Percentage of school personnel referring students with emotional issue - Number and Identification of source of the Hotline calls, texts, emails received by CAHPP (teachers, parents, doctors, case managers, peers, etc.) - Identification of specific Referrals - Follow-up for engagement in services • Percent of students exhibiting positive student behaviors and • Number of youth successfully completing treatment ❖ Percent of students exhibiting an increase in positive behaviors as evaluated by referral source and another outside measure (teacher, parent, family member, etc.) ❖ For children working with CAHPP child aides, StarVista CAHPP program will collect participant data information and improvement will be tracked through ✓ the Walker Survey (WSI), a 19 item behavior rating scale, ✓ the Walker-McConnell Scale (WMS), a 43 item scale, ✓ number of students who complete program. • Percent of students that receive timely outpatient behavioral health services ❖ Number of referrals to outpatient behavioral health services ❖ Follow-up on engagement in outpatient behavioral health services • Percent of school districts that are being supported in meeting the behavioral health needs of students ❖ Number of schools and school districts participating in Lucky Kids Club • To measure improved client outcomes after calling the hotline, we will develop a questionnaire including the following questions: ❖ On a scale of 1-5, how has this call reduced your stress, 1 being very little and 5 being greatly? ❖ If the caller has simply asked about resources, the question will be: How much did this call improve your awareness of resources, 1 being very little and 5 being greatly \| Measure \| FY 2013-2014 Actual (January 2014-June 2014) \| FY 2014-2015 Mid Year Actual \| FY 2015-2016* Forecast \| FY 2016-2017 Forecast \| \|------------------------------------------------------------------------\|---------------------------------------------\|------------------------------\|------------------------\|------------------------\| \| Number of hotline contacts \| 202 \| 295 \| 600 \| 750 \| \| Number of hotline follow-ups \| 785 \| 664 \| 1400 \| 1600 \| \| Number and percent of referrals given \| 111/55% \| 144 / 57% \| 390 / 65% \| 525/70% \| \| Number and percent of services received of total referred \| 21/18% \| 21 / 15% \| 98 / 25% \| 158/30% \| \| Percent of students exhibiting increased positive student behaviors after participating in the Lucky Kids Club \| 67% \| 79% \| 70% \| 75% \| \| Percent of improved client outcomes after the hotline call (reduced stress and increased awareness of resources) \| -- \| -- \| In development \| In development \| Rates and Payments In consideration of the services provided by Contractor described in Exhibit A and subject to the terms of the Agreement, County shall pay Contractor based on the following fee schedule and terms: 1. County shall pay Contractor monthly for actual cost, incurred as shown in the Exhibit B1 and B2 (Contractor’s Budget) upon receipt of itemized invoices. Cost will not exceed SIX HUNDRED EIGHT THOUSAND NINE HUNDRED FIFTY SIX DOLLARS, ($608,956) FOR FY 2015-16 and SIX HUNDRED TWENTY ONE THOUSAND ONE HUNDRED THIRTY SIX DOLLARS ($621,136) for FY 2016-17. Payments will be made within thirty (30) working days upon receipt of Contractor’s invoice. 2. County may withhold all or part of the Contractor’s total payment if the Human Services Agency Director or his/her designee determines reasonably that Contractor has not satisfactorily performed the services described in Exhibit A. 3. In no event shall the total exceed ONE MILLION TWO HUNDRED THIRTY THOUSAND NINETY TWO HUNDRED DOLLARS, ($1,230,092) for the term of the Agreement. 4. Invoices shall be sent to: San Mateo County Human Services Agency Natasha Bourbonnais Program Manager 1 Davis Drive, 2nd floor Belmont, CA 94002 5. All payments under this agreement must directly support services specified in this the agreement. County will give thirty (30) days prior written notice to Contractor of County’s intent to withhold payment. 6. Provision of services is subject to availability of County, Federal or State Funds and acceptable program performance. In the event that the County does not receive the adequate funding from the County, Federal or State, the contract may be re-negotiated and/or rescinded. 8. If County reasonably determines that circumstances warrant immediate action, County may withhold payment immediately, without the thirty (30) day waiting period, upon County’s written notice with justification to Contractor. ## Fiscal Year 2015-2016 - Hotline ### Revenue \| Measure A \| 304,478 \| \|-----------\|---------\| ### Personnel \| Position \| Salary \| \|-----------------------------------------------\|----------\| \| Program Director \| 39,866 \| \| Clinical Director \| 3,023 \| \| Hotline mental health clinician/ Coordinator \| 50,304 \| \| Hotline mental health clinician Bilingual \| 47,621 \| \| Hotline mental health clinician \| 46,112 \| \| Supervision \| 11,334 \| \| Subtotal salary \| 198,260 \| \| Benefits \| 45,600 \| \| Total salary and benefits \| 243,860 \| ### Operating \| Item \| Cost \| \|------------------------------------------------\|----------\| \| Rent \| 10,900 \| \| Office Supplies \| 1,800 \| \| Postage \| 121 \| \| Mileage \| 3,000 \| \| Training \| 1,000 \| \| Cell Phones, Database and Landline Telephone \| 1,200 \| \| Materials/Printing \| 600 \| \| Subtotal operating \| 18,621 \| ### Indirect \| Item \| Cost \| \|------\|------\| \| Indirect \| 41,997 \| ### Total Costs \| Total Costs \| 304,478 \| Fiscal Year 2016-2017 Revenue Measure A 310,568 Personnel (3% COLA for 3 Clinicians) Program Director 39,865 Clinical Director 3,023 Hotline mental health clinician/ Coordinator 51,813 Hotline mental health clinician Bilingual 49,046 Hotline mental health clinician 47,495 Supervision 11,335 Subtotal salary 202,577 Benefits 46,593 Total salary and benefits 249,170 Operating Rent 10,900 Office Supplies 1,800 Postage 121 Mileage 3,000 Training 1,000 Cell Phones, Database and Landline Telephone 1,200 Materials/Printing 540 Subtotal operating 18,561 Indirect 42,837 Total Costs 310,568 Fiscal Year 2015-2016 Lucky Kids Club Revenue Measure A 304,478 Expenses Personnel Program Manager 19,933 Department Director 4,535 1 Lead Child Aid 40 hrs * $14.50 21,430 6 Child Aides bilingual 40 hrs * $14.22 126,094 1 Child Aide 40 hrs * $13.50 19,952 Subtotal Salary 191,944 Benefits 44,147 Total salaries and benefits 236,091 Operating Office and Program Supplies 4,000 Telephone/Internet/Database 3,400 Printing/Stationary 1,000 Postage 200 Mileage Reimbursement 4,000 Food Costs for Meetings 1,000 Rent 10,500 Training 1,000 Recruitment 390 Health Screen/-Employees/Fingerprinting 900 Subtotal operating 26,390 Indirect 41,997 Total Costs 304,478 Fiscal Year 2016-2017 Lucky Kids Club Revenue Measure A 310,568 Expenses Personnel (3% COLA for Child Aides) Program Manager 19,932 Department Director 4,535 1 Lead Child Aid 40 hrs * $14.50 22,080 6 Child Aides bilingual 40 hrs * $14.22 129,819 1 Child Aide 40 hrs * $13.50 20,558 Subtotal Salary 196,924 Benefits 45,293 Total salaries and benefits 241,838 Operating Office and Program Supplies 4,000 Telephone/Internet/Database 2,587 Printing/Stationary 1,000 Postage 200 Mileage Reimbursement 4,000 Food Costs for Meetings 1,000 Rent 10,500 Training 1,000 Recruitment 406 Health Screen/-Employees/Fingerprinting 1,200 Subtotal operating 25,893 Indirect 42,837 Total Costs 310,568 County of San Mateo – Fingerprinting Certification Form DATE: 5/22/2015 AGREEMENT WITH: StarVista FOR: For Measure A funds for Lucky Kids and CAHPP Services For FY 2015-17 Contractor agrees that its employees and/or its subcontractors, assignees and volunteers who, during the course of performing services under this agreement, have contact with children will be fingerprinted in order to determine whether they have a criminal history which would compromise the safety of children with whom contractors employees, assignees and subcontractors or volunteers have contact. NAME: Sara Larios Mitchell, Ph.D., MACP TITLE: Chief Executive Officer SIGNATURE: DATE: Issued by County of San Mateo Contract Compliance Committee July 1, 2013 Contractor agrees to ensure that all known or suspected instances of child abuse or neglect are reported to a child protective agency. Contractor agrees to fully comply with the Child Abuse and Neglect Reporting Act, Cal Pen Code 11164 et seq. Contractor will ensure that all known or suspected instances of child abuse or neglect are reported to an agency (police department, sheriff’s department, county probation department if designated by the county to receive mandated reports, or the county welfare department) described in Penal Code Section 11165.9. This responsibility shall include: A. A requirement that all employees, consultants, or agents performing services under this contract who are required by the Penal Code to report child abuse or neglect, sign a statement that he or she knows of the reporting requirement and will comply with it. B. Establishing procedures to ensure reporting even when employees, consultants, or agents who are not required to report child abuse under the Penal Code gain knowledge of, or reasonably suspect that a child has been a victim of abuse or neglect. C. Contractor agrees that its employees, subcontractors, assignees, volunteers, and any other persons who provide services under this contract and who will have supervisory or disciplinary power over a minor or any person under his or her care (Penal 11105.3) will be fingerprinted in order to determine whether they have a criminal history which would compromise the safety of children with whom Contractor’s employees, subcontractors, assignees or volunteers have contact. All fingerprinting services will be at County’s sole discretion and Contractor’s sole expense. The undersigned (hereinafter called "Contractor(s)") hereby agrees that it will comply with Section 504 of the Rehabilitation Act of 1973, as amended, all requirements imposed by the applicable DHHS regulation, and all guidelines and interpretations issued pursuant thereto. The Contractor(s) gives/give this assurance in consideration of for the purpose of obtaining contracts after the date of this assurance. The Contractor(s) recognizes/recognize and agrees/agree that contracts will be extended in reliance on the representations and agreements made in this assurance. This assurance is binding on the Contractor(s), its successors, transferees, and assignees, and the person or persons whose signatures appear below are authorized to sign this assurance on behalf of the Contractor(s). The Contractor(s): (Check a or b) ☐ a. Employs fewer than 15 persons. ☑ b. Employs 15 or more persons and, pursuant to section 84.7 (a) of the regulation (45 C.F.R. 84.7 (a)), has designated the following person(s) to coordinate its efforts to comply with the DHHS regulation. Name of 504 Person: Lillian Doherty Name of Contractor(s): StarVista Street Address or P.O. Box: 610 Elm Street, Suite 212 City, State, Zip Code: San Carlos, CA 94070 I certify that the above information is complete and correct to the best of my knowledge Signature: [Signature] Title of Authorized Official: As Mgr. Date: 5/20/15 Exception: DHHS regulations state that: "If a recipient with fewer than 15 employees finds that, after consultation with a disabled person seeking its services, there is no method of complying with (the facility accessibility regulations) other than making a significant alteration in its existing facilities, the recipient may, as an alternative, refer the handicapped person to other providers of those services that are accessible." County of San Mateo ~ Insurance Certification Questionnaire Contractor Name: StarVista Contractor Number: Click here to enter text. Date this Form Was Completed: 5/8/2015 Name of Person Completing Form: Nalini Nath 1. Does the contractor carry $1,000,000 or more in comprehensive general liability insurance? (For Health System only, does the professional (MD, psychologist, nurse) work in a hospital setting where the facility will cover the general liability?) ☒ YES ☐ NO 2. Does the contractor travel by car to provide contract services? ☒ YES ☐ NO a) If yes, does the contractor carry $1,000,000 or more in motor vehicle liability insurance? ☒ YES ☐ NO* 3. Does the contractor have 2 or more employees? ☒ YES ☐ NO a) If yes, does the contractor carry statutory limits (see handbook) for Workers’ Compensation insurance? ☒ YES ☐ NO* 4. Is this a contract for professional services (state certification, architect, accountant, physician, etc.)? ☐ YES ☒ NO a) If yes, does the contractor carry professional liability insurance? ☐ YES ☒ NO* 5. Did you make any changes to the Hold Harmless clause in the contract template? ☐ YES ☒ NO a) If yes, did Risk Management and County Counsel approve changes to the contract template? ☐ YES ☒ NO* 6. Is San Mateo County named as the certificate holder / additional insured? ☒ YES ☐ NO* If “No” is checked in any of the red asterisk boxes (#1, #2a, #3a, #4a, #5a, or #6) – call Risk Management for further instructions...otherwise, this form is complete. Attach the completed form to the insurance certificate and keep both documents with the contract packet. COMMENTS: Section below is for Risk Management authorization – send to Risk Management ONLY IF INSTRUCTED TO DO SO Risk Management has reviewed and approved modification or waiver of insurance requirements for this contract. Risk Management Signature: Click here to enter text. Date: Click here to enter a date. (Internal Form) Issued by County of San Mateo Contract Compliance Committee July 1, 2013 CERTIFICATE OF LIABILITY INSURANCE THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERNS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER License # 0564249 Heffernan Insurance Brokers 1460B O'Brien Drive Menlo Park, CA 94025 CONTACT NAME: PHONE (A/C No. Ext): 1 (650) 842-5200 FAX (A/C No): 1 (650) 842-5201 E-MAIL ADDRESS: INSURER(S) AFFORDING COVERAGE NAIC # INSURER A: Nonprofits Insurance Alliance of California 011845 INSURER B: Care West Insurance Company 10520 INSURER C: INSURER D: INSURER E: INSURER F: INSURED StarVista 610 Elm Street, #212 San Carlos, CA 94070 COVERAGES CERTIFICATE NUMBER: REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. \| INSR LTR \| TYPE OF INSURANCE \| ADDL INSR \| SUBR WVD \| POLICY NUMBER \| POLICY EFF (MM/DD/YYYY) \| POLICY EXP (MM/DD/YYYY) \| LIMITS \| \|----------\|-------------------\|-----------\|----------\|---------------\|-------------------------\|-------------------------\|--------\| \| A \| GENERAL LIABILITY \| \| \| \| \| \| \| \| X \| COMMERCIAL GENERAL LIABILITY \| X \| \| 201414280NPO \| 7/1/2014 \| 7/1/2015 \| EACH OCCURRENCE $1,000,000 \| \| \| CLAIMS-MADE \| X \| OCCUR \| \| \| DAMAGE TO RENTED PREMISES (Each occurrence) $500,000 \| \| X \| Sexual Misconduct \| \| \| \| \| MED EXP (Any one person) $20,000 \| \| X \| Included \| \| \| \| \| PERSONAL & ADV INJURY $1,000,000 \| \| \| GEN'L AGGREGATE LIMIT APPLIES PER: \| \| \| \| \| GENERAL AGGREGATE $2,000,000 \| \| \| POLICY \| PROJECT \| X \| LOC \| \| PRODUCTS - COMP/OP AGG $2,000,000 \| \| A \| AUTOMOBILE LIABILITY \| \| \| \| \| \| \| \| X \| ANY AUTO ALL OWNED AUTOS \| \| SCHEDULED AUTOS \| 201414280NPO \| 7/1/2014 \| 7/1/2015 \| COMBINED SINGLE LIMIT (Each accident) $1,000,000 \| \| X \| HIRED AUTOS \| X \| NON-OWNED AUTOS \| \| \| BODILY INJURY (Per person) $ \| \| \| \| \| \| \| \| BODILY INJURY (Per accident) $ \| \| \| \| \| \| \| \| PROPERTY DAMAGE (Per accident) $ \| \| A \| UMBRELLA LIAB \| X \| OCCUR \| 201414280UMBNPO \| 7/1/2014 \| 7/1/2015 \| EACH OCCURRENCE $5,000,000 \| \| \| EXCESS LIAB \| CLAIMS-MADE \| \| \| \| AGGREGATE $5,000,000 \| \| B \| WORKERS' COMPENSATION AND EMPLOYERS' LIABILITY \| Y/N \| N/A \| W11407001211 \| 7/1/2014 \| 7/1/2015 \| WC STATUTORY LIMITS \| OTHER \| \| \| ANY PROPRIETOR/PARTNER/EXECUTIVE OFFICER/OWNER EXCLUDED? \| \| \| \| \| E.L. EACH ACCIDENT $1,000,000 \| \| \| (Mark "N" if None) \| \| \| \| \| E.L. DISEASE - EA EMPLOYEE $1,000,000 \| \| \| If yes, describe under DESCRIPTION OF OPERATIONS below \| \| \| \| \| E.L. DISEASE - POLICY LIMIT $1,000,000 \| \| A \| Director's & Officer \| \| \| 201414280DONPO \| 7/1/2014 \| 7/1/2015 \| Limit $1,000,000 \| \| A \| Professional Liab \| \| \| 201414280NPO \| 7/1/2014 \| 7/1/2015 \| Agg:$2M/Occurrence $1,000,000 \| DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (Attach ACORD 101, Additional Remarks Schedule, if more space is required) Re: As Per Contract or Agreement on File with Insured. Certificate Holder is named as Additional Insured with respect to services provided by the Named Insured. CERTIFICATE HOLDER County of San Mateo Human Services Agency Children & Family Services 262 Harbor Blvd, Bldg A Belmont, CA 94002 CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. AUTHORIZED REPRESENTATIVE © 1988-2010 ACORD CORPORATION. All rights reserved.
AL-QASIM GUIDANCE OF ISLAM IN LIGHT OF QUR'AN, HADITH, AND FIQH RAMADHAN: Daily tracker, Du'as, Q&A, Fasting 101 and many more inspiring articles to start your Ramadhan right THE MOST VALUABLE OF TREASURES A poem on Ramadhan by Ibn Rajab SURAH AL-QADR: THE NIGHT OF POWER THE SIN OF WASTING FOOD & ETIQUETTES FOR GUESTS Timely reminders for iftar and meals HOW 'WILL' YOUR ESTATE BE DISTRIBUTED? Files included to begin estate planning today Jamiah Qasimul Uloom (JQU) is an institute established in 2015 to provide the Muslim community with traditional Islamic education. Mufti Ahmed Bemat (d. 2004) and Molana Asad Bemat (d. 1993) had a vision to start an Islamic seminary in Toronto for the community. The name, suggested many years ago by Mufti Ahmed Bemat, is primarily based on the Prophetic Tradition in which he ﷺ said, “And indeed I am a distributor (qasim), and Allah is the only One Who truly gives.” SERVICES: - Full time and part time alim class, available morning and evening - Full time and part time hifz - Part time and evening hifz for girls - Sab’a Dirat course - Iftaa course to train scholars in giving fatwa - Iftaa department to answer religious questions from the public - Elementary school until grade 8 - Weekly Arabic training course on how to speak and read Arabic - In-house Nikah services offered by a scholar who is a licensed marriage officer in Ontario - Biweekly Youth Program for boys and girls - Zakah distribution - Saturday Karate/Muay Thai classes for youth https://jqubooks.myshopify.com BOOKSTORE: - Selling Dars Nizami books and other books as well - Various publishers available (including Bushra), from Egypt, India, and Pakistan - Maktab books such as Safar series - Custom orders - Bookstore number: (647) 561-2665 - Email: email@example.com LIBRARY: - Currently stocked with more than 10,000 books - Arabic, English, and Urdu books - Free for public use To donate please visit www.jquloom.ca or email us for more info CONTACT US: 3482 Lawrence Ave E Unit #208, Scarborough, ON, M1H 3E5 firstname.lastname@example.org (416)-431-2589 www.jquloom.ca # TABLE OF CONTENTS PATRONS: MAULANA HANIF LUHARVI, MAULANA ABU BAKR MANJRA, MUFTI ADAM KOYA \| Title \| Page \| \|----------------------------------------------------------------------\|------\| \| The Miraculous Nature of the Qur'an \| 2 \| \| A Day With the Prophet ﷺ in Ramadhan \| 6 \| \| Shariah: Equality in the Superior Law of Justice \| 8 \| \| Surah al-Qadr: the Night of Power \| 10 \| \| The Most Valuable of Treasures - A Poem by Ibn Rajab al-Hanbali رحم الله \| 12 \| \| How 'Will' Your Estate be Distributed? \| 13 \| \| The Sin of Wasting Food \| 16 \| \| Muslim Discoveries \| 17 \| \| Fasting 101 \| 18 \| \| A Legacy: Mufti Rafi Usmani \| 20 \| \| Ramadhan Du'as \| 22 \| \| Du'as to Conquer Time and Productivity \| 22 \| \| Revive a Sunnah Challenge \| 23 \| \| Q&A \| 24 \| \| Etiquettes of Guests \| 26 \| \| Ramadhan Daily Checklist \| 28 \| \| Kids Corner \| 29 \| Sacred texts require respect. Please do not keep in an inappropriate area or discard. Pass on to someone else for benefit and reward. Jamiah Qasimul Uloom as a general rule endeavors to operate on the Hanafi School of Juristic Thought. The rulings/information given herein are based on the religious texts of Islamic Law and do not have any implication on the Law of the Country. Jamiah Qasimul Uloom bears no responsibility to any party who may or may not act on these works. Jamiah Qasimul Uloom is hereby exempted from any loss or damage howsoever caused. These works may not be used as evidence in any Court of Law without prior written consent from Jamiah Qasimul Uloom. The works found here are uniquely their own and cannot be reproduced without the organization’s written consent. Any or all references, links and mentions provided in our emails, answers and articles are restricted to the specific material being cited. Such referencing should not be taken as an endorsement of other contents found in those references, links and mentions. SCAN & SUBSCRIBE! OR FILL OUT THE FORM AVAILABLE AT JQULOOM.CA Ramadhan is the month in which the Qur'an was revealed as a guide for humanity with clear proofs of guidance and the standard (to distinguish between right and wrong). So whoever is present this month, let them fast. But whoever is ill or on a journey, then (let them fast) an equal number of days (after Ramadhan). Allah intends ease for you, not hardship, so that you may complete the prescribed period and proclaim the greatness of Allah for guiding you, and perhaps you will be grateful. (Al Baqarah, 185) Our beloved Prophet ﷺ had left the Ummah upon a clear bright path, the night of which is like the day (Sunan Ibn Majah, 1: 214 - 215). He left us with two guides; if we were to hold on to them, we would never go astray (Malik, 5: 1323). It is unfortunate today that we have lost sight of these two guides, namely the Qur'an and the Sunnah of our beloved Prophet ﷺ. With the month of Ramadhan right around the corner, it is our duty - and the ultimate opportunity - to reconnect with these guides. Unfortunately, we find ourselves distanced from the Qur'an. Our only concern is to usher the huffaz to recite faster in taraweeh so we can return to the comfort of our homes. The month of Ramadhan is not only a time to increase our daily recitation, but it is also the optimal time to create our personal relationship with the of the QUR'AN Qur'an. This article will briefly introduce the unique structure and divine nature of the Qur'an. An Introduction to The Miraculous Nature of the Qur'an: The Noble Qur'an is a book unlike any other. Over 1400 years ago, in the cave of Hira, the Prophet Muhammad ﷺ, who was not known to have composed any poetry or excel in rhetoric usage, received the first revelation of a book that would change the course of history forever. A book which left the Arabs speechless, its inimitability testifying for its divine nature. Shaikh Abdullah Draz writes in Al-Naba al-Azim, "This Noble Book, by its very nature, rejects that it be the product of man. Its passages proclaim loud and clear that it is a message predestined and divine. So much so that if one were to stumble upon this Book in the middle of a desert, he would have no doubt that it does not hail from this world and its streams, but rather descends from the skies and heavens." (106) The greatest miracle and proof of Islam our beloved Prophet Muhammad ﷺ has received is the Qur'an. Imam al-Bukhari and others narrate on the authority of Abu Hurairah رضي الله عنه: مَا مِنَ الْأَنْبِيَاءِ نَبَيٌّ إِلَّا أُعْطِيَ مَا مِنْهُ آتَنَّاهُ عَلَيْهِ السَّمْوُ، وَإِنَّمَا كَانَ الَّذِي أُوْتِيَتْ وَحْيًا أُوحِيَ اللَّهُ إِلَيْهِ فَأَرْجُو أَنْ أَكُونَ أَكْثَرُهُمْ تَابِعًا يَوْمَ الْقِيَامَةِ The Prophet ﷺ said, "Every prophet was given miracles because of which people believed, but I have only been given Divine Inspiration which Allah has revealed to me (i.e., the Qur'an). So, I hope that my followers will outnumber the followers of the other prophets on the Day of Resurrection." (6:182) At first glance, the miracles given to other prophets may seem more impressive. The staff of Musa عليه الصلاة والسلام turned into a snake, and his hand would shine bright and white, amongst nine other miracles. Isa عليه الصلاة والسلام could cure the leper and the one born blind, inform the people of the food stored in their homes, and bring the dead to life by the will of Allah ﷻ. Contrary to this, our beloved Prophet ﷺ states that he has only been given this wahy, a divine revelation in the form of the Qur’an, yet on account of this, he hopes that his followers will outnumber past nations. This Prophetic narration indicates that the miracle of the Qur’an is such that it will bring people flowing into Islam, the Arab and non-Arab alike, from the time of the Prophet until the Day of Judgement. It is a miracle that transcends all other miracles, including those that have taken place throughout the Prophet’s life. Qadi Iyad has expounded upon the divine nature of the Qur’an in his unique book, Al Shifa. He writes, “The Qur’an was revealed upon Prophet Muhammad, amongst the Arabs, a people gifted in eloquence of tongue and wisdom in speech unlike any other nation. They were given a fluency of expression no other people possessed, and a clarity of oration which delved straight to the heart of a matter. Allah made this a part of their nature and habit. The Arabs would amaze people with their skills of improvisation, and had an ability to find the right turn of phrase for any situation. Through the power of their speech – oscillating between appeal and reproach, lavishing praise and cutting condemnation – the Arabs would implore and reach out, and had the ability to raise some in ranks, whilst bringing others crashing to the ground.” (1:258) The Qur’an was revealed amongst these people, and openly challenged them in multiple instances to produce the like of it if they were capable, but they themselves knew it was beyond them. Al-Hakim narrates that when Al-Walid ibn Mughirah, a staunch enemy of Islam, was approached by Abu Jahl regarding his newfound compassion upon hearing the Qur’an, he replied: “But what can I say? By God, there is none amongst you who knows poetry better than me. No one knows rajz (poetic meter), or any specific poem, or even the poetry of the jinn better than me. By God, what he says (the Qur’an) is nothing like that! By Allah, it has a sweetness to it, and is adorned by great beauty. Its top is fruitful, and its bottom is a rainfall of bounty. It overpowers and nothing surpasses it, and it crushes all that which is below it!” (550) Even the most resolute enemies of Islam were well-aware that the Qur’an was unlike any scripture or literature they had heard. No man could author this, and no human could conjure it. In retaliation, they had no choice but to resort to lies. Qadi Iyad continues to write: “The Arabs were the most proficient in the field of linguistics by miles. They had the most famous orators; the greatest improvisers in poetry and rhyme; and were the most comprehensive in their knowledge of unusual expressions, which they confidently used both for everyday conversation and fiery debate. These are the people that the Prophet ﷺ was calling out to for over twenty years, challenging and rebuking them, and not sparing a single moment to invite them to the religion of Allah. “Or do they claim ‘He made it up’? Tell them O Prophet, ‘Produce one surah like it then, and seek help from whoever you can – other than Allah – if what you say is true!’” (Surah Yunus, 38). “And if you are in doubt about what We have revealed to Our servant, then produce a surah like it and call your helpers other than Allah, if what you say is true. But if you are unable to do so – and you will never be able to do so – then fear the Fire fueled with people and stones, which is prepared for the disbelievers.” (Surah Al-Baqarah, 23-24) “Say, O Prophet, ‘If all humans and jinn were to come together to produce the equivalent of this Qur’an, they could not produce its equal, no matter how they supported each other.’” (Surah Al-Isra, 88) “Say, O Prophet, ‘Produce ten fabricated surahs like it and seek help from whoever you can – other than Allah – if what you say is true.’” (Surah Hud, 13) “The Prophet ﷺ continued to chastise the Arabs with robust condemnation, refute their claims to knowledge, and humble their leaders. The social order that had become entrenched was thoroughly shattered. He devalued their false idols and denounced the corrupt ways of their ancestors. Their land, property, and wealth were confiscated. Despite all this, they were reluctant to respond to the challenge posed in the Qur’an, and remained incapable to produce anything like it. Instead, they relied on stirring trouble amongst their own ranks through self-delusion, false rumours, and incitement. They would lie to one another about the Qur’an, saying: “This Qur’an is nothing but magic from the ancients” (Surah Al-Muddaththir, 24) “Same old magic.” (Surah Al-Qalam, 2) “A fabrication which he made up with the help of others.” (Surah Al-Furqan, 4) “Ancient fables.” (Surah Al-An’am, 25) “They would make shocking, false statements, and had no interest in matters pertaining to the Hereafter, with excuses including these: “Our hearts are unreceptive.” (Surah Al-Baqarah, 88) “Our hearts are veiled against what you are calling us to, there is deafness in our ears, and there is a barrier between us and you.” (Surah Fussilat, 5) And instructing their followers: “Do not listen to this Qur’an but drown it out so that you may prevail.” (Surah Fussilat, 26) The enemies of the religion presumed that they would be able to imitate the Qur’an, and they said: “If we wanted, we could have easily produced something similar.” (Surah Al-Anfal, 31) But, Allah Exalted informed them: “...you will never be able to do so.” (Surah Al-Baqarah, 24) Of course, they were never able to do so. For any foolish person that tried, like Musailamah the Liar, Allah would expose their shortcomings for all to see and strip them of their pomp; the delicate speech they used to mislead others. Otherwise, the intelligent people amongst them may not have realized that the Qur’an was nothing like the eloquence or rhetoric of men. Instead, the ones who heard the Qur’an were in awe, either guided by its message or, at least, captivated by its beauty.” (260) To genuinely comprehend the beauty of the Qur’an, one must study the Arabic language, especially the science of balaghah (rhetoric), thoroughly. Before we analyze the structure of the Qur’an, it is necessary to understand the man it was revealed upon, the final Prophet, Muhammad ﷺ, and the context surrounding him. By the will of Allah ﷻ, we will discuss this in the following edition. Works Cited: - Al Bukhari. Al Jami’ al Saheeh, Dar al Minhaj, Jeddah. - Al Hakim. Al Mustadrak ala al Saheehain, Dar al Kutub al Ilmiyyah, Beirut. - Al Yahsubi, Iyad. Al Shifa bi Ta’reef Huquaq al Mustafa, Dar al Fikr, Beirut. - Bensen, Patrick. “The Miraculous Nature of the Qur’an — Imam Ghazali Institute.” Imam Ghazali Institute, 9 Aug. 2022, www.imanghazali.org/blog/miracles-quran. - Draz, Abdullah. Al Naba al Azim, Dar al Qalam, Damascus. BOOKS TO READ ABOUT THE MIRACLE OF THE QUR’AN: - Al Naba al Azim, authored by Shaikh Abdullah Draz in Arabic, and later translated and edited by Adil Salahi into English under the title: The Qur’an: An Eternal Challenge. This book shows the miraculous nature of the Qur’an and captures the reader with its unique style and arguments. - An Approach to The Qur’anic Sciences written by Mufti Muhammad Taqi Usmani in Urdu and later translated into English by Mohammad Siddiqui. This book will give the reader in-depth insight regarding the sciences of the Qur’an and the history of its revelation and codification, along with other fruitful discussions. - Divine Speech by Nouman Ali Khan and Sharif Randhawa. This book discusses the nature of the Qur’an and its unique style of expression. - Ma’arif al Qur’an authored by Mufti Muhammad Shafi Usmani and later translated into English by Muhammad Askari and Muhammad Shamim. This is an explanation of the Qur’anic verses wherein the author draws from traditional exegeses of the Qur’an and produces valuable discussions regarding Fiqh, Hadith, Tafsir, and more. A DAY WITH THE PROPHET IN RAMADHAN Excerpts from "A Ramadan with The Prophet" by Shaykh Abdullah A. Mullanee Compiled by Maulana Muhammad Mayat, Graduate, JQU The Prophet of Allah delays his sahoor (pre-dawn meal) as late as possible. His helper, Anas رضي الله عنه brings him one of his favourite sahoor meals of dried dates and water. He eats in moderation with his right hand and begins with the name of Allah ﷻ. Sahoor was an important aspect of the Prophet's fast. He would love sharing his meals with others and would encourage people not to miss it: تَسَّهُّرُواْ فَإِنَّ فِي السَّهُورِ بَرَكَةٌ "Eat sahoor, for verily there is barakah in sahoor." (Sahih al-Bukhari: 1923) After enjoying his meal, he solidifies his intention for the fast. He would advise the Companions رضي الله عنهم to make an intention to fast before the entering of Fajr. Generosity The Prophet of Allah ﷻ would also invest his time and money in generously spending for the sake of Allah ﷻ. 'Abdullah ibn 'Abbas رضي الله عنهما noted that, "When Ramadhan entered, the Prophet of Allah ﷻ used to free every captive and give to anyone who asked [him of something]" (Shab al-Iman: 3357). Remembering Allah The Prophet of Allah ﷻ would advise his Companions رضي الله عنهم, "Your tongue should always be moist with the remembrance of Allah" (Suran al-Tirmidhi: 3375). Abstaining from sins and futile actions The Prophet of Allah ﷻ was mindful of disciplining himself during the fast. He would explain to the Companions رضي الله عنهم: "There are many who stand in prayer at night but attain nothing from their standing but the loss of sleep" (Musnad Ahmad: 9685). He would also warn the Companions رضي الله عنهم: من لم يدع قول الزور والعمل به قلبي ليدخل جنة في أن يدع علماء ومرأة "Allah is in no need of a person to leave their food and drink if they do not leave speaking lies and acting evil." (Sahih al-Bukhari: 1903) PROPHETIC MORNINGS There is a horizontal sliver of light on the eastern sky and Fajr has entered Madina. If the Prophet ﷺ had relations with his wives in the night, he would take a bath after sahoor. He would brush his teeth with a miswak in wudhu, in spite of his fast (Sunan al-Tirmidhi: 725). As the people start filling the masjid, The Prophet ﷺ offers a short sunnah prayer (Musnad Ahmed: 2572). As soon as he enters the masjid, the iqamah (final call) for the prayer is given. The Prophet of Allah ﷺ stands before the congregation and meticulously straightens the rows like a shaft of an arrow (Abu Dawood: 663). He would extend the recitation in the Fajr prayer and recite between 60 – 100 verses of the Holy Quran (Musnad Ahmed: 19793). After performing the Fajr prayer, he sits in the masjid and engages himself in dhikr (remembrance of Allah) until the sun rises. Thereafter, approximately 10-15 minutes after sunrise he would perform 2-4 rak'ats of Salatul Israaq (post-sunrise prayer). He said: "Whoever prays Fajr in congregation and thereafter sits remembering Allah until the sun has risen, then he prays two rak'ats, for him is the reward like that of a Hajj and Umrah" (Tirmidhi: 586). The Prophet of Allah ﷺ would not sleep after Fajr. In fact, he found early mornings to be a time of productivity and blessings. His Companions رضي الله عنهم noted seeing much benefit in beginning business trips after Fajr. The Prophet of Allah ﷺ would pray: "O Allah, place blessings for my nation in their early mornings" (Tirmidhi: 1212). Outside of Ramadhan, our Prophet Muhammad ﷺ led a rigorous spiritual life. He led the people in prayer and catered to their spiritual and personal needs. However, when Ramadhan entered, he would strive even harder in worship. The blessings of the month caused him to distance himself from the world and maximize his investment for the afterlife. Let us discover how the Prophet Muhammad ﷺ observed his fasts and thereby encouraged his companions to do so, and benefit as much we can this Ramadhan by following in his footsteps! The day is almost over. The Prophet of Allah ﷺ reminds the Sahabah رضي الله عنهم to make du’a and says: “Verily, the fasting person has a prayer at the time of iftar which is not rejected” (Sunan Ibn Majah: 1753). As the sun sets, Prophet Muhammad ﷺ and the Companions رضي الله عنهم are quick to end their fast. At the time of iftar, he would recite the following du’a: دَهَبَ الْطَّمَأَنُّ وَابْتَسَمَ الْعُروقُ وَبَتَّ الأَجْرُ إِن شَاءَ اللَّهُ “The thirst has gone, the veins have become moist, and, with the will of Allah, the reward has been established.” (Sunan Abu Dawood: 2357) The Prophet of Allah ﷺ would not start the Maghrib prayer until he had some iftar. He would prefer to end his fast with dates. If that was not available, then a few sips of water (Sunan al-Tirmidhi: 696). After iftar, the Maghrib prayer would be performed without delay. If there was more food to be had, it was consumed after Maghrib. The Prophet of Allah ﷺ would rarely eat alone. Madina had many poor men who were known as Ashab al-Suffa. He would encourage the Companions رضي الله عنهم to share their food with them. The Prophet of Allah ﷺ offers eight rak’ahs of Tahajjud prayer which he follows with three rak’ahs of Witr (Sahih al-Bukhari: 1147). He recites every verse of Surah Fatiha separately without joining any of them (Sunan Abu Dawood: 4001). He recites hundreds of verses in every rak’ah in a slow manner, pondering upon every word he says (al-Mustadrak li al-Hakim: 1201). His ruku’ and sujood are just as long as his giyam (Sunan Abu Dawood: 873). The Prophet of Allah ﷺ decides to retire for a little sleep (Sahih Muslim: 139). He returns to his room where his wife is already asleep (Sahih al-Bukhari: 5843). Before bed, he places his palms together and blows on them. He then recites Sura al-Ahad, Sura al-Falaq and Sura al-Nas over them and rubs his palms over his entire body. He would do this three times (Sahih al-Bukhari: 5017). A significant portion of the night has passed. The sky is completely dark, and the Isha prayer has been performed. The Prophet ﷺ had taught his followers to utilize the night in sleep, family time and worship. He would not like to sleep before Isha nor have futile conversations after it (Sahih al-Bukhari: 771). The Prophet ﷺ retires to his home and enjoys a conversation with one of his wives (Sahih al-Bukhari: 4569). After a while, he returns to the masjid with the intention to perform his Taraweeh prayer. He used to encourage people: مَنْ قَامَ رَمَضَانَ يُبْتَغِي لَهُ مَا تَقْدِيمُ مِنْ ذَنْبِهِ “Whoever prays at night during Ramadhan with iman and hope of reward, his or her past sins are forgiven.” (Sunan an-Nasa'i: 2206) During the khilafah of Umar, Al-Masjid an-Nabawi itself was the courthouse. The tiled floor whereupon they sat to decide the fate of Asia and Africa was the same floor on which the five daily prayers were performed, hence it was filled with the habitual visitation of people. The house of Hadhrat Abbas, the uncle of the Prophet, was built in such a way that it was attached to Al-Masjid an-Nabawi, and its drain pipe came out to the Masjid itself. At times, water would drain into the Masjid and cause discomfort to the attendees. Hadhrat Umar, being the Amir al-Mumineen, ordered for it to be removed during the time of his khilafah for the comfort of the attendees and the proper observance of the Masjid. However, Hadhrat Abbas, the owner, was not present when the order was given. When he returned and noticed the drain line ripped out, he was extremely upset and went straight to the city judge to file a complaint against the Amir. Upon hearing this, Sayyidul Ansar, Ubay ibn Ka'b called upon the greatest judge (Umar) and informed him: "Abbas ibn al Muttalib has filed a complaint against you and demands justice; we call upon you to come and investigate the complaint." Any ordinary ruler or king would consider this a great insult, however Amir al-Mumineen humbly presented himself to the house of Ubay ibn Ka'b on the set date. As Ubay ibn Ka'b was occupied, Hadhrat Umar was given permission to enter after waiting outside the door for a long period of time. The complaint was presented to the court, and Hadhrat Umar wished to speak first on his behalf. But the judge quickly reprimanded him and said, "The plaintiff has the right to speak first. Until then, please remain silent." Such a statement was justified, hence Amir al-Mumineen fell silent and the trial commenced. Hadhrat Abbas began, "Your honour, my house's drain line has always been connected to the Masjid since the time of the Prophet, and the agreement was upheld during the previous khilafah of Abu Bakr but now the new Amir al-Mumineen gave the order to rip it out and dispose of it. Due to this, my property was damaged and I was highly inconvenienced; I demand justice." Hadhrat Ubay ibn Ka'b responded: "Indeed justice will be served." Thereafter he asked Amir Al-Mumineen to defend his case. Hadhrat Umar stated: "Verily I had given the order for the drain to be removed and I am responsible for it." Ubay ibn Ka'b responded: "You had decided that you would give an order regarding someone else's property. Do you have a reason for acting in such a way?" Hadhrat Umar answered, "Honourable Abu Tufail (Ubay), due to the water splattering the attendees I gave the order for it to be removed. I do not think I did anything that would be considered unlawful." Ubay ibn Ka'b replied, "O Abu al-Fadl (Abbas), what do you have to say?" Hadhrat Abbas answered: "The Prophet marked the ground upon which I built my house." When it was built the Prophet ﷺ told me to stand upon his shoulders and attach the drain to the spot he specified. Out of respect, I declined but the Prophet ﷺ insisted, so I climbed upon his shoulder and attached the drain. That is the same spot Amir al-Mumineen ordered to rip out.” Ubay ibn Ka'b asked, “O Abu al-Fadl, can you bring forth any witness to this event?” Hadhrat Abbas رضي الله عنه replied “Not one or two, but I have many witnesses that I can bring forth!” “Bring forth your witnesses immediately so we can end this case.” Hadhrat Abbas رضي الله عنه left the masjid and brought back several of the Ansar, who testified that the Prophet ﷺ had given the order to Abbas رضي الله عنه to stand upon his shoulders and attach the drain. After the testimonials, Amir al-Mumineen, who had been humbly looking down, now stepped forward and spoke to Hadhrat Abbas رضي الله عنه: “O Abu al-Fadl, forgive me for the sake of Allah. I did not know that Prophet ﷺ had given such an order, otherwise I would not have ordered for its removal, even forgetfully. How could a man of my stature go against something that the Prophet ﷺ approved of? All of this was done because I did not know of such information. The only way to settle this is that you should stand on my shoulders and reattach the drain.” Ubay ibn Ka'b declared, “Yes. This is what justice seeks, O Amir al-Mumineen, and this is what you must do.” After a while, the people emerged and saw that Abbas رضي الله عنه was indeed standing on the shoulder of Amir Al-Mumineen, reattaching the drain in the same spot. I guarantee, should you search the books of history you would not find such a case that justice had been carried out in such a manner that would please the Prophet ﷺ himself. When the drain was reattached Abbas رضي الله عنه jumped down and said, “That which was served was my right. I ask your forgiveness for such crude behaviour and with immense pleasure, I give my estate for the sake of Allah. I leave it to your discretion to demolish the house and incorporate the land to Al-Masjid an-Nabawi so that the attendees have ample space and no discomfort comes to them. May Allah accept this from me.” This is not a folk tale but an accurate account of history. It can be found in other history books such as Usud al-Ghabah, Seeratul Abbas رضي الله عنه, Seeratul Ansar, The Travels of Ibn-e-Batoota and many other historical books have a written account of this incident. Benefits of Miswaak Compiled by Alimah A.A.B, Graduate, JQU - Prevents headaches, sharpens the memory and improves digestion and eyesight - Prevents bad breath and phlegm - Helps eradicate most dental health problems - Includes trimethylamine (TMA), a chemical which acts as a cleanser and makes sure germs and residue are removed (also known as the fourth flotation) - Includes salvadorine, a chemical which has antifungal and antibacterial effects - Includes chloride, a chemical which prevents the formation of calculus, which is a hard form of plaque that has been there for a period of time - Includes fluoride, a chemical which prevents tooth decay and aids in tooth remineralization (creates a natural repairing process) - Includes silica, a chemical which removes plaque and stains on teeth which ultimately whitens teeth - Includes sulfur, a chemical which keeps the bacteria out and keeps the mouth healthy - Includes vitamin C, a chemical which helps in keeping the teeth and gums healthy while preventing tooth decay and ulcers as well as repairing tissue - Includes resin, a chemical which has protection from dental caries by creating a layer on surface of the tooth - Includes benzyl isothiocyanate (BITC), which has chemical agents that prevent or slow down cancer development and prevents carcinogenic and genotoxic agents which cause cancer. It also eliminates bacteria and viruses - Includes tannis, a chemical which prevents or reduces plaque and gingivitis, a gum disease which causes swelling and redness around the gums - Reward is multiplied 70 times if used before salah - The kalima is made easy on the death-bed - Blessings are gained in wealth - Gaining the pleasure of Allah, which is the greatest benefit. Works Cited: (Abideen 235-237) (Chughtai 418-420) (Hague, 2015, p.533) Surah Al-Qadr is a Makki surah. It makes mention of the revelation of the Qur’an and Lailatul Qadr, a night which is better than one thousand months. The surah comprises of five verses and occurs in the 30th juz of the Qur’an. The following is a brief exegesis of this noble surah. إِنَّا أَنزَلْنَاهُ فِي لَيْلَةِ الْقَدْرِ We have sent it (the Qur’an) down on Lailatul Qadr. (Surah Al-Qadr, 1) The revelation of the Qur’an on this night has two meanings: 1. The entire Qur’an was sent down from Al-Lawh al-Mahfudh (the Protected Tablet), where it was inscribed, to the First Heaven. Thereafter, over a period of 23 years, it was gradually revealed to Nabi ﷺ through Jibril عليه الصلاة والسلام at its appointed time. 2. The first revelation, which was the initial verses of Surah Al-‘Alaq, occurred on this night in the cave of Hira. The rest of the Qur’an would come over time when it was required. The word “qadr” can mean: 1. Greatness, honour, or dignity: it is a night that embodies these qualities, according to Imam Zuhri رحمه الله and others. Abu Bakr Warraq رحمه الله mentions that one becomes a man with these qualities through his repentance and righteous actions on that night (Uthmani, 844). 2. Predestination: It is the night in which those things destined in what Mufti Shafi Uthmani رحمه الله calls “pre-destiny” are handed off to the angels to implement until the next Ramadhan. This includes a person’s age, their death, their sustenance, their rain, etc (as-Sabuni, 585). 3. To be constricted: since it is the night in which the earth is filled with angels (al-Andalusi, 493). Nabi ﷺ mentioned that Lailatul Qadr is in Ramadhan, however, he did not specify the exact date. There are close to forty different opinions regarding its date. According to Allamah Mazhari رحمه الله, the most authentic opinion is that it occurs in the last ten nights of Ramadhan and its exact date is not fixed (Uthmani, 845). There are many authentic narrations that encourage seeking Lailatul Qadr in the last ten nights (without specifying odd nights): قال ابن نمير التميمي - وقال وكيع - تحرروا ليلة القدر في العشر الأواخر من رمضان “In the words of ibn Numair رحمه الله: Look for, and in the words of Waki’ رحمه الله: Seek —Lailatul Qadr in the last ten (nights) of Ramadhan.” (Sahih Muslim, 282) There are also narrations that encourage looking for it during the last odd nights: A person can maximize their chances of witnessing it by worshipping for all of the last ten nights, and treating each one as if it is Lailatul Qadr. This includes the 29th night as well, which is when people tend to lessen their worship in preparation for Eid. And what may let you know what Lailatul Qadr is? (Surah Al-Qadr, 2) Allah describes Lailatul Qadr in the following verses through its merits (as-Sabuni, 585). Lailatul Qadr is much better than one thousand months. (Surah Al-Qadr, 3) This is the first merit. Ibn Abi Hatim رحمه الله mentions in a mursal narration of Mujahid رحمه الله that Nabi ﷺ told the Sahabah رضي الله عنهم about a man from Bani Israel who carried weapons of war, never put them down, and fought in the path of Allah for a thousand months. Another narration by Ibn Jarir رحمه الله states that the man would worship all night and when dawn broke, he would arm himself and fight all day for a duration of one thousand months (Uthmani, 844). The Sahabah were amazed. However, they realized that their lives were shorter than those of the previous nations, and thus they would not be able to accomplish this amazing feat. Allah revealed this surah, granting Lailatul Qadr to this nation and mentioning that it would be better than the thousand months this warrior fought. Aisha رضي الله عنها narrates that she asked Nabi ﷺ what she should recite if she knew which night was Lailatul Qadr. He ﷺ told her: تقولين اللَّهُمَّ إِنَّكَ عَفُوٌ كَرِيمٌ تُحِبُّ التَّعْوِيْفَ فَاعْفُ عَنِّي “Say: O Allah, you are Forgiving. You love to forgive. So, forgive me.” (Jami’ At-Tirmidhi, 3513) The angels and the Spirit (Jibril) descend in it with the permission of their Lord, with every command. (Surah Al-Qadr, 4) The descent of angels is the second merit (as-Sabuni, 585). Peace it is until the rise of dawn. (Surah Al-Qadr, 5) There are two meanings to the last two verses, depending on how they are recited: 1. If a person pauses on من كل أمر, then the من will be in the meaning of “with.” This will entail that the angels descend with all of the decrees of that year until the next year. 2. If a person continues and pauses on شَدَمْ, then the من كل أمر will be related to شَدَمْ and it will mean that the night of Lailatul Qadr is secure from every evil and calamity. The peace of this night is the third merit (as-Sabuni, 585). If a person is concerned that Lailatul Qadr may occur in one part of the world, while it is daytime in another part, then they may put their worries to ease because Lailatul Qadr occurs for each person relative to their location. Lailatul Qadr is a very blessed night and it is important to make the most of it. The more a person worships, the more rewards they will receive. It is narrated from Abu Hurairah رضي الله عنه that Nabi ﷺ said: من يقيم ليلة القدر يمَدَّاً واحتساباً عفَّرَ له ما تقدَّم من ذنبه “Whoever stands in prayer on Lailatul Qadr with sincere belief and hoping for reward, then his past sins will be forgiven.” (Sahih al-Bukhari, 35) Works Cited: • Al-Andalusi, Muhammad bin Yusuf al-Bahrul Muhit. Beirut, Darul Kutub al-Ilimiyah • As-Sabuni, Muhammad Ali. Safwah at-Tafasir. Beirut, Darul Qur’an al-Kareem • Sahih al-Bukhari • Sahih Muslim • Sunan ibn Majah • Uthmani, Muhammad Shafi. Ma’ariful Qur’an. Pakistan, Maktab-e-Darul-Uloom The Most Valuable of Treasures Translation By Alimah U. Ansari Graduate, JQU تُوَلِّي العُمُرُ في سَهوٍ * وَفِي لَهوٍ وَفي خُسْر Life is spent in distractions, leisure, and loss. قَدْ ضَيَعْتُهُ مَا أَنْفَقْتُ * فِي الأَيَامِ مِنْ عُمُري O how I've lost the days of my life which I have spent? وَمَا لِي فِي الَّذِي ضَيَعْتُ * مِنْ عُمُريَ مِنْ عُدْر And I have no excuse for the days of my life that I wasted, فَمَا أَغْفَلْنَا عَنْ وَا * جِبَاتِ الْحَمْدِ وَالشُّكْرِ O how much it has distracted us from the obligations of praise and gratitude! أَمَا قَدْ حَصَنَ اللَّهُ * بِشَهْرٍ آيَةً شَهْرٍ Has Allah not honoured us with a month?—What a great month! بِشَهْرٍ أَنْزَلَ الرَّسُولُ * نُّفِيهِ أَشْرَفُ الذِّكْرِ With such a month in which the Most Merciful revealed the best reminder. وَهَلْ تُشْبِهُهُ مَهْرُهُ * وَفِيهِ لَيْلَةُ الْقَدْرِ Does any [other] month resemble it while it contains the Night of Power? فَكِمْ مِنْ خَبِيرٍ صَحَّ * بِمَا فِيَهَا مِنْ الْخَبِيرِ How many narrations are true regarding the merit that is in it? رَوَيْنَا عَنْ ثَقَاتٍ أَنْهَا * نُطْلُبُ فِي الْوَبْرِ We narrate from reliable sources that it is sought in the [last] odd [nights]. فَطَوَيْنِي لَامْرِئٍ * يَطْلُبُهَا فِي هَذِهِ الْعُشْرِ Glad tidings to the person who seeks it in these [last] ten [nights]. فَيَغْيِرْهَا تَنْزِلُ الأَمَلُ * لَكُ بِالأَنْوَارِ وَالْيَرِ For the angels descend therein bearing light and goodness. قَدْ قَالَ: سَلامٌ هِيَ * حَتَّى مَطَلَّعَ الْفَجْرِ Allah said: "Peace it is until the rise of dawn." آلاَ فَأَذْخُرُوهَا إِنَّهَا * مِنْ أَنْفَسِ الدُّخْرِ Lo! Cherish it, for it is from among the most valuable of treasures. فَكِمْ مِنْ مُعْتَقِ فِيَهَا * مِنْ النَّارِ وَلَا يَدْرِي How many are set free in it from the Fire, and they are not aware! ابن رجب الحنبلي – Death is the termination of this worldly life and a bridge to the hereafter. It is the only worldly thing that we, as Allah Ta’ālā’s creation, are certain of. It is referred to in the Holy Qur’ān as yaqīn (certainty) because it is the inevitable end of every living thing (Al-Baydhāwī 2:269). Allah Ta’ālā illustrates this point numerous times in the Holy Qur’ān: > كلُّ نَفْسٍ ذَائِقَةُ الْمَوْتِ وَإِنَّمَا تُوَفَّوْنَ أَجُورَكُمْ يَوْمَ الْقِيَامَةِ > "Every soul shall taste death. It is on the Day of Judgement that you shall be paid your rewards in full." (Āl ‘Imrān, 185) > أَيْنَما تَكُونُوا يُدْرِكُكُمُ الْمَوْتُ وَلَوْ كُنتُمْ فِي بُرُوجٍ مُشَيَّدَةٍ > "Wherever you will be, death will overtake you, even though you are in fortified castles." (Al-Nisā, 78) > كُلُّ مَن عَلَيْهَا فَانٌ > "Everyone who is on it (the earth) has to perish." (Al-Rahmān, 26) As Muslims, our entire lives are dedicated to preparing for the hereafter. We struggle to find the perfect balance between our spiritual and social lives; fortunately Islam governs all aspects and gives us a clear outlook on what is required from us. In a hadith, the Holy Prophet ﷺ informs us of the reality of passing on into the next life, > يَتَبَعُهُ الصَّيْدَىَ ثَلاَثَ، فَيُرِيحُ أَشَارَ وَيَبْقَى وَاحِدٌ، يَتَبَعُهُ أَهْلُهُ وَمَالُهُ وَعَمَلُهُ، فَيُرِيحُ أَهْلُهُ وَمَالُهُ وَيَبْقَى عَمَلُهُ > "Three things follow the deceased (to the grave). Two of them return and one remains (with them). Their family, wealth, and actions follow them; their family and wealth return and their actions remain." (Al-Tirmidhī, 2379) Our actions will be the only thing we take with us on our journey to the afterlife whilst our family and wealth stay here. In such a case, Islam has special rules for the distribution of one’s estate to its rightful inheritors. The Importance of Estate Planning: كُتِبَ علَيْكُمْ إِذَا حَضَرَ أَحَدُكُمُ الْمَوْتَ إِن تَرَكَ خَيْرًا أَلْوَصِيَّةً لِلْوَلَدِينَ وَالْأَقْرَبِينَ بِالْمَعْرُوفِ حَقًّا عَلَى الْمُمْتَقِينَ "It is enjoined upon you, when death approaches any one of you and he leaves some wealth, that he must bequeath for the parents and the nearest of kin in the approved manner, being an obligation of the God-fearing." (Al-Baqarah, 180) In the early days of Islam, no specific shares of inheritance were fixed for the heirs. This verse was revealed in those days, to make it obligatory on every person to make a will in favour of those of his near relatives whom he wished to share his property with. Later, when the Holy Qur'an itself laid down the detailed rules of inheritance in Surah Nisa verse 11-12, the share of each inheritor was fixed by Shari'ah. The obligatory nature of making a will was thus abrogated. However, one can still make a will in favour of any person, other than his legal heirs, to the extent of one third of his property. The rule of bequest mentioned in this verse is operative to this extent, as explained by the Prophet ﷺ (Taqi Usmani, 1:85). The Holy Prophet ﷺ said: ما حَقٌّ أَمْرُكُ مُسْلِمٌ، لَهُ شَيْءٌ يُرِيدُ أَنْ يُوصِيَ فِيهِ، يُبِيتُ لَيْلَتَيْنِ، أَلَا وَوَصِيَّةٌ مَكْنُونَةٌ عَنْهُ وَرَآدَ مُسْلِمٍ، مَا مَرَّتْ عَلَيْهِ لَيْلَةٌ مِنْذُ سَمِعْتُ رَسُولَ اللَّهِ صَلَّى اللَّهُ عَلَيْهِ وَسَلَّمَ قَالَ ذَلِكَ أَلَا وَعَنْدِي وَصِيَّتِي It is not befitting for a Muslim who has anything concerning which a will should be made, to abide for two nights without having a written will with him." Imam Muslim adds: Abdullah ibn Umar said, "A night did not pass since hearing that from the Messenger of Allah ﷺ except that I had my will written with me". (Sahih Al-Bukhari 2738, Sahih Muslim 1627) Post-Death Financial Matters: After a person's demise, the following things need to be taken care of in order: 1. Funeral expenses: This includes any payments which need to be made to the masjid/funeral directors for the shroud (kafan), bathing (ghusl), coffin, and burial (dafa'). This would also include the purchasing of a grave, if not done prior. 2. Clearing debts (if any): This includes loans, unpaid bills, and dowry (mahr), etc. Debts owed to Allah Ta'āla as a result of not fulfilling monetary acts of worship will fall under this category for all mazhāhib aside from the Hanafi mazhab (Al-Sābūni 1:22). 3. Fulfilling the bequest from 1/3rd of the remaining estate: This includes any gifts to non-heirs and for Hanafis it also includes debts of zakāh, vows, kaffārah (expiations), etc. 4. Distribution of the remaining 2/3rds (or all if nothing was bequeathed) as inheritance (Al-Sajāwandi 1:5-7). Just like Islam governs many aspects of a person's life, it also has guidelines for inheritance. A Muslim has no choice in the disposal of their assets after their demise. They do not get to decide how much is given to each one of their heirs. Rather the amount stipulated by Islam will be given regardless. Even the 1/3rd which he is able to bequeath has restrictions. The Islamic Way is the Most Just Way: Much like other Islamic rulings, we must come to terms with the rules of inheritance, whether they fit our worldview or not. Our belief in Allah Ta'āla should compel us to trust all the rulings of Shari'ah, especially those explicitly mentioned in the Holy Qur'ān. The Prophet ﷺ teaches us this in a beautiful supplication wherein he says: "عَدْلٌ فِي نَا قَضَائِكَ" - "your decree amongst us is justice." Although certain individuals have taken issue with it based on their understanding of justice and equality, we must accept that the divine law is something that at times is beyond the scope of the average mind. Our Dilemma and Responsibility: As Muslims living in the West, since the laws of inheritance do not coincide with Shari'ah, it is incumbent upon us to mention how we want our estate distributed after we die. Although inheritance is not discretionary, we must seek religious counsel and dedicate a portion of our will that illustrates the Islamic distribution of our estate. This must be done in order to avoid causing harm to our heirs either knowingly or unknowingly, and to ensure each legitimate heir receives only that which they are Islamically entitled to. The Prophet ﷺ said: إِنَّ الرَّجُلَ يَبْعُلُ أَوِ اِلْمَرْأَةَ يَطَاعَةَ اللَّهِ سِيَئَنَ سَيَمَّ بَخْضُرُهُمَا الْمَوْتُ فَيُصَارَانِ فِي الْوَصِيَّةَ فَتَحْبُّ ثُمَّا النَّارَ قَالَ: وَقَرَأَ عَلَى أَبْوَ هُرَيْرَةَ مِنْ هَا هُنَا { مِنْ بَعْدِ وَصِيَّ يُوصَيَ بِهَا أَوْ دِينٍ غَيْرُ مُضَارٍ } حَتَّى بَلْغَ { وَذَلِكَ الْفَتْرَةُ الْعَظِيمَ } "A man or a woman acts in obedience to Allah Ta'āla for..." sixty years. Then when they are about to die, they cause harm by their will, so they must go to Hell.” Then, Abu Hurairah recited: “After settling the will that might have been made, or a debt, provided that the will must not be intended to harm anyone. This is a direction from Allah Ta’āla. Allah Ta’āla is All-Knowing, Forbearing. These are the limits set by Allah Ta’āla. Whoever obeys Allah Ta’āla and His Messenger, He will admit them to gardens beneath which rivers flow, where he will live forever. That is a great success.” (Abū Dāwūd, 2867) According to Canadian law, a will is a legal document that says how you want your estate to be divided once you die. This is beneficial for us since we may prepare a will that is totally in accordance with Shari’ah. Making sure that our will is correctly prepared, both Islamically and legally, ensures the correct and successful distribution of our estate. Although seeking legal counsel is not necessary, it is highly recommended to ensure legal requirements are met, lest it be contested or offered for probate. The Tough Conversation: Death is often a difficult topic to discuss. Thus, people tend to shy away from discussing anything remotely connected to it, such as estate planning and will preparing. Many of us do not even know who owns the items in our homes. Who does the car belong to? Is the money in the bank shared between the spouses? Do we have property back home? These are conversations we must have with our families. Often, we find it difficult to talk about ownership since it may seem like we’re being greedy, or the topic is just too taboo for us. However, not having this discussion could lead to complications after one’s demise. Therefore, having these conversations right now and leaving a detailed list of one’s assets and liabilities included within the will is the best way to ensure all of one’s assets and liabilities are included, and the debtors and heirs receive their rightful portion. Don’t Delay: In order for a will to be formally accepted in Canada, it needs to be in written form with the testator’s signature alongside two witnesses who were not named in the will. It does not have to be notarized, registered, or even deposited with the court. Simply informing the executors of its location is sufficient. A will does not have to be perfect from the very beginning. It is a living document that can be changed, updated, and revamped whenever you like (so long as you are capable according to Canadian law). It is not a complicated process, rather the first version can be made today from the comfort of your home. Some Pieces of Advice: - Find a will template that works for you. There are many available online that will make it quick and easy for you to develop your first version. [https://drive.google.com/drive/folders/1N0zo57fszkn5195a-6l25_5mt3kfwmSw](https://drive.google.com/drive/folders/1N0zo57fszkn5195a-6l25_5mt3kfwmSw) - Don’t over-engineer it. Prepare the first version as soon as possible and keep evolving it. - Seek counsel from scholars regarding complicated issues and modify them depending on the recommendations. - Under Ontario law, the testator cannot compel the executor of the will to conduct their funeral in a specific manner. The best way is for the testator to inform their family members and friends regarding their wish to be shrouded and buried according to Shari’ah. - Have the tough conversation of ownership with your family. Establish what is your property and what should be considered part of your estate after you die. - Get it notarized by a lawyer/solicitor to avoid legal complications. Works Cited: - Al-Baydhawi, Abdullah Ibn ‘Umar. Anwār al-Tanzil wa Asrār al-Ta’wil. Beirut, Dār al-Kutub al-‘Ilmiyyah, 2019 - Al-Tirmidhi, Muhammad Ibn ‘Isā. Jami’ al-Tirmidhi. Oman, Arwiqa, 2017 - Al-Naisabūri, Muslim Ibn al-Hajjāj. Sahih Muslim. Riyadh, Dār al-Salām, 2000 - Al-Bukhāri, Muhammad Ibn Ismā’eel. Sahih al-Bukhāri. Jeddah, Dār al-Minhāj 2015 - Abu Dawud, Sulaimān Ibn al-Ash’ath. Sunan Abi Dāwud. Damascus, Al-Risālah al-‘Alāmiyyah, 2012 - Al-Sābuni, Muhammad Ali. Al-Mawārith fi al-Shari’ah al-Islāmiyyah. Pakistan, Maktabah al-Bushra, 2017 - Al-Sajīwandi, Siraj al-Dīn Muhammad. Al-Sirāj fī al-Mirāth. Pakistan, Maktabah al-Bushra, 2011 - Usmani, Muhammad Taqi. The Noble Qur’an. Pakistan, Maktabah Ma’ārif al-Qur’an, 2021 There is a sin that is not restricted to any geographic location or ethnic group. It is witnessed in some of our homes and places of worship. You can see it nearly every day in Muslim-owned halal restaurants where many consumers are Muslim. This sin is most rampant during the holiest month of our calendar, Ramadhan. Muslim functions such as Aqeeqahs, Walimahs, wedding receptions, and social gatherings are no exception. Sometimes it can be committed multiple times a day. This sin is wasting food. In the Prophet’s home, food was never wasted. That is the model to adopt. Our beloved Prophet used the word kareem which means “precious/honourable” to describe the piece of bread he found on the ground. Before you decide to organize a function or host some guests, if there are leftovers, think of practical ways you can ensure that it does not make its way into the garbage bin, as everything will be accounted for on the Day of Regret (Day of Judgment). Honour is in respecting the leftovers, not discarding them. The next time you notice... - Half a bottle of water being wasted - Leftovers being thrown in the garbage - Spoiled food from the fridge no one cared to eat - Half a can of pop left discarded - Filled plates at a buffet being tossed out - Perfectly edible food left behind on a restaurant table - Pizza crusts discarded - Food being left on the plate ...remind yourself that someone somewhere in the world is willing to stand in a line for hours in the scorching heat or the freezing cold, so they can share that food with their family. The First Map to show Europe, Asia, and North Africa In the 12th century, a scholar named Muhammad Al-Idrisi produced an atlas showing most of Europe, Asia, and North Africa for the first time. The map was commissioned by Roger II of Sicily, a Norman king. He invited Al-Idrisi, who was at that time living in Spain, to make the map for him - a task that would take 15 years. He referred back to older knowledge and interviewed thousands of travellers to make his map the most accurate of its day. Al-Idrisi drew India, Arabia, Asia, the Mediterranean, Europe, and northern Africa on a circular map, showing that the Earth is round. Blood Circulation Ibn an-Nafis was a scholar of jurisprudence and doctor from Egypt who first described pulmonary circulation of venous blood passing into the heart and lungs via the ventricles, thus becoming oxygenated and arterial blood. He was rightfully accredited with this discovery in 1957, which was previously allotted to a man named Sir William Harvey. Ibn an-Nafis also stated that there must be small "communications" or pores between the pulmonary artery and vein, a prediction that preceded 400 years the discovery of the pulmonary capillaries by Marcello Malpighi (West, 2008). Camera Obscura One day, Al-Hasan Ibn Al-Haytham was called to Cairo by the ruling caliph, to help control the Nile river's floods. Ibn Al-Haytham realized the task was impossible. To avoid the caliph's wrath over his failure, Ibn Al-Haytham pretended to be mad, resulting in the caliph putting him on house arrest. During imprisonment, Ibn Al-Haytham saw light shining through a pinhole into his darkened room, projecting an image of the outside onto the opposite wall. This is when he made the discovery that vision is made possible because of the refraction of light rays. Trick Devices Muhammad Ibn Musa Ibn Shakir, Ahmed Ibn Musa Ibn Shakir, and Al-Hasan Ibn Musa Ibn Shakir, also known as the Banu Musa brothers, were great mathematicians who invented fabulous trick devices that, some say, are the forerunners to executive toys. The brothers designed and made trick inventions, and their Book of Ingenious Devices lists more than a hundred of them. These were the beginning of mechanical technology. Many of the mechanisms involved water, fake animals, and sounds. Constellations 'Abd Al-Rahman Al-Sufi was a Persian astronomer who lived during the 10th century. In 964, he described the Andromeda galaxy, calling it "little cloud." This was the first written record of a star system outside of our own galaxy. Al-Sufi discussed the stars' positions, sizes and colours for each constellation and wrote about the astrolabe and its uses. The result of this was the recording of many stars and constellations, which are still known by their original Arabic names. Other Muslims are known for devising star maps and astronomical tables, both of which would be used in Europe and the Far East for centuries. Flight The first person to make a real attempt to construct a flying machine and fly was the Cordoban 'Abbas Ibn Firnas in the 9th century. The first of its kind was capable of carrying a human into the air. His first flight took place in 852, when he wrapped himself in a loose cloak stiffened with wooden struts and jumped from the minaret of the Great Mosque of Cordoba. This attempt was unsuccessful. Other Muslims such as Lagari Hasan Celebi also invented various types of flights. Celebi built the first manned rocket in 1633, which he launched using about 300 pounds of gunpowder as the firing fuel. Works Cited: Al-Hassani, Salim T. S. 1001 Inventions: The Enduring Legacy of Muslim Civilization. 3rd ed. Washington, D.C., National Geographic, 2012. & West, John B. "Ibn al-Nafis, the pulmonary circulation, and the Islamic Golden Age." Journal of applied physiology (Bethesda, Md. : 1985) vol. 105,6 (2008): 1877-80. doi:10.1152/japplphysiol.91171.2008 FASTING 101 What nullifies a fast and what does not? Note: the following verdicts are in accordance to the Hanafi Madhab By an Alimah "Whoever breaks one fast during Ramadhan without a concession or an illness, then even if he fasted for all of time, his fasting would not make up for it." (Jāmi’ al-Tirmidhi, 712) DOES NOT NULLIFY: The following do not nullify the fast: • Forgetfully eating or drinking • Wet dreams, unintentional discharge of seminal fluid without physical stimulation, engaging in sexual intercourse forgetfully • Beginning the fast in the state of major ritual impurity • Kissing or touching one’s spouse (when it does not result in the discharge of seminal fluid) • Applying oil, surma, makeup, (unflavoured) lip balm, cream, ointments (including Vicks), and/or deodorant • Ear drops (unless the eardrum is perforated), water going into the ears unintentionally • Using a miswak • Nosebleeds • Sniffing up mucus even if it descends in the throat • Swallowing one’s own saliva or the wetness that remains after rinsing the mouth • Eye drops and contact lenses • Inhaling smoke or dust unintentionally • Burning incense (unless it is inhaled deliberately, or the visible fumes are inhaled) • Smelling food, smelling perfume • Cupping, blood tests, donating blood, or receiving a blood transfusion • Vomiting unintentionally, even if it is more than a mouthful • Vomiting less than a mouthful intentionally • Swallowing vomit unintentionally, even if it is a mouthful • Swallowing food stuck in between the teeth which is collectively smaller than the size of a chickpea • Injections of any kind when there is a need (e.g. glucose injections, saline injections) • Kidney dialysis, laparoscopy/ keyhole surgery • Nicotine patches NULLIFIES WITH QADHA & KAFFARAH: The following nullify a fast and necessitate qadha (making up the fast) and kaffarah (expiation): • Deliberately engaging in sexual intercourse • Deliberately eating or drinking (food or medicine) NULLIFIES WITH QADHA: The following nullify a fast and only necessitate qadha (making up the fast): - Deliberately eating or drinking after having done so forgetfully - Unknowingly breaking one's fast before the correct time - Water unintentionally descending the throat while rinsing the mouth or nose* - Swallowing the saliva of one's spouse - Swallowing blood from bleeding gums, dental procedures, etc. when the blood is equal to or dominates the saliva - Swallowing toothpaste or mouthwash - Swallowing food stuck in between the teeth the size of a chickpea or larger - Vomiting a mouthful intentionally - Deliberately returning vomit that is a mouthful down the throat - Discharge of seminal fluid caused by physical contact with one's spouse, or self-pleasure - Inhaling smoke deliberately, including smoking a cigarette or hookah - Asthma inhalers - Nasal sprays - Endoscopy (due to the lubricant), gastronomy, jejunostomy, nasogastric intubation - Menstruation and post-natal bleeding** * It is best to avoid being excessively thorough when rinsing the mouth or nose ** It would be impermissible for a menstruating woman to imitate a fasting person unless the menstruation period has ended (due to which imitating a fasting person is necessary). DISLIKED WHILE FASTING: The following are makruh (disliked) in the state of fasting: - Chewing a tasteless food or non-food item - Tasting food (without swallowing it) without a valid reason - Using toothpaste - Using flavoured miswak, or flavoured lip balm - Collecting saliva in the mouth, then swallowing it Works Cited: - Al-Ghunaymi, Abdul Ghani. al-Lubab fi sharh al-Kitāb. Maktaba al-Bushra, 2018, p. 106-107. - Al-Tirmidhi, Abu Isa Muhammad ibn Isa. Jāmi’ al-Tirmidhi. Maktaba al-Bushra, 2012, vol. 2 p. 262. - Raf’at Qāsmi, Muhammad. Masa’il Raf’at Qāsmi. Hāmid Kutub Khana Karachi, 2008. - Shabbir, Yusuf. “What nullifies the fast and what does not?”. Islamic Portal, 3 June 2015. - Ludhyanwi, Muhammad Yusuf. Āp k Masāil Aur Un Ka Hal. Maktaba Ludhyanwi, 1997, vol. 3. - Hussain, Waseem. “Principles on what invalidates the fast.” 23 July 2010, p. 13. Mufti Rafi Usmani رحمه الله عليه chose this couplet of his mentor Hadhrat Arifi رحمه الله عليه to start off his book ميرے مرشد حضرت عارفی رحمه الله عليه (My Mentor Hadhrat Arifi). It seems befitting to mention this at the emotional passing of our scholar Mufti Rafi Usmani رحمه الله عليه. He was an amazing person, full of life and wisdom. A single meeting with him would change one’s perception about this world and transform their mood for the better. His warmth and kindness would flow wonderfully through each and every one of his actions. His smile would light up the room, his gestures would alert everyone and his presence alone would be a source of peace and comfort. He had a marvelous way of making everyone feel like they were the most important person to him. There was an abundance of might and power behind every word he uttered. His narrative of Deoband and meeting earlier scholars would transport the congregation back to that time. Mufti Rafi رحمه الله عليه was one of the last candles of knowledge carrying on the flame from خانقاه تنهان بهوون (Khanqah Thana Bhawan) through Hadhrat Arifi رحمه الله عليه. The teachings of Hadhrat Arifi رحمه الله عليه were the essence of all that Mufti Rafi Usmani رحمه الله عليه embodied as a Muslim and a scholar of Islam. A small glimpse of the thought process of Mufti Rafi رحمه الله عليه and the teachings of Hadhrat Arifi رحمه الله عليه have been gathered here to illuminate the hearts. If, while reading this small article, something touches the heart, it is humbly requested that a small dua be made for Mufti Rafi Usmani رحمه الله عليه and all mashaikh (scholars), may Allah grant them all the highest levels of Jannah. At around 18 years of age Mufti Rafi رحمه الله عليه embarked on his journey in takhassus fil ifta (specialization in jurisprudence). Upon this critical juncture he discusses his thought process towards self improvement and purifying his actions: "Through mental and physical observations it was clear from the beginning of studentship that without rectifying the inner self (heart and emotions) and purifying the actions, both knowledge and actions would be lifeless. Just like how our deen is incomplete without salah, fasting, and other actions; similarly our deen is also incomplete without purifying and rectifying our inner self. Unless we hand ourselves over to a mentor, these rectifications will never take place. This knowledge was merely in the mind, but it had not yet entered the heart. The importance of water was understood with clear evidence, but the thirst for it was not yet developed. It was during takhassus fil ifta that the thirst began. "When I initially considered bay’ah (pledging), for whatever reason I would think that as soon as I give bay’ah I would have to give up all fun, life would start becoming dry and the heart would become mature. Meeting friends or engaging in recreational activities would no longer be enjoyable. "...There would be so many thoughts that would scare me from giving bay’ah. But by the grace of Allah, one thing was always engraved in the heart from early childhood: that purifying one’s inner self is fardh ain (an individual obligation) and without it the deen and knowledge is incomplete. Therefore, fearfully I made the intention for bay’ah. It was similar to how one must intend to fast upon seeing the moon of Ramadhan during a blazing hot summer. However, my weak strength would not allow me to start the journey just yet. I had always seen myself giving bay’ah to my father (Hadhrat Mufti Shafi Usmani رحمه الله عليه) because I had an immense amount of love for him. Throughout my whole life I had witnessed his exquisite characteristics, and it left an everlasting impression on me. My father on the other hand was always hesitant to do bay’ah with me." "Every time I would bring up the topic and express my desire to give my bay’ah to him, Hadhrat Mufti Shafi Usmani رحمه الله عليه would say: 'The relationship of a father and son is an informal one. In the beginning this informality is detrimental between the mentor and mentee. I know myself and it would be difficult for me to keep a good grip on this, therefore I urge you brothers (Mufti Rafi Usmani and Mufti Taqi Usmani رحمه الله عليهم) to go do bay’ah with Hadhrat Arifi رحمه الله عليه. He will take good care of you two.'" Eventually Mufti Rafi رحمه الله عليه decided on giving bay’ah to Hadhrat Arifi رحمه الله عليه. "After doing the bay’ah, Hadhrat held his hands up for dua; through the lens of imagination I saw far into all those hands that had risen in this sacred line of relationship. I could see the chain of transmission, and this gave my heart great strength. Hadhrat Arifi رحمه الله عليه would say himself اپنے دل کی جلوہوں کا حسن تھی میں نظر کیتا تو میں بھی خوشی میں کیا نظر آیا گی My own heart's beauty was my intent How can I explain what I saw by losing myself "When we were leaving Hadhrat’s house and going back home, all the weight on my heart and mind was gone. The deen seemed easier and more beautiful than ever before. All the problems I was expecting in tasawwuf (introspection) seemed insignificant. "Hadhrat Arifi رحمه الله عليه would say: 'I will tell you of a great position that no one can take away from you, no one will ever be jealous of, and no one will block you - it is the position of the servant. Live like a servant, and make the intention to serve others in any way possible. All the evils come about from being the one wanting to be served. If you become a servant then there is no evil and no arguments. And this position is the highest because Allah Ta’ala loves the worship of servants, and the chief of any nation is its servant. This position is the highest and the safest.' "Many times, Hadhrat رحمه الله عليه would say: 'If you remember this couplet, it is an easy remedy to the vice of narcissism: سر وہ جانی پے جب حب جانو ناچس کے ابتد آذار کی بات پے لے ول کے چرک کیا کے ابتد When the love of fame and this world goes cold because of narcissism Just think of this small thing: what will happen after (this world)?'" RAMADHAN DU'AS At the time of breaking fast: ذَهَبَ الظَّمَأُ وَابْتَلَتِ الْعُروقُ وَنَبَتَ الأَجْرُ إِنْ شَاءَ اللَّهُ "Thirst has gone, the veins are moist and the reward is sure, if Allah wills." (Sunan Abi Dawud, 2857) For your iftar host: أَفْطَرَ عَنْدَكُمُ الصَّائِمُونَ وَاَكَلَ طَعَامَكُمُ الأَبْرَارُ وَصَلَّتْ عَلَيْكُمُ الْمَلَائِكَةُ "May the fasting break their fast with you, the pious eat your food, and the angels pray for blessings on you." (Sunan Abi Dawud, 3854) Dua to read during the last ten nights: اللَّهُمَّ إِنَّكَ عَفُوٌ تُحِبُّ الْعَفْوَ فَاعْفُ عَنِّي "Oh Allah, indeed you are pardoning; You love to pardon, so pardon me." (Sunan Ibn Majah, 3850) Du'as to Conquer Time and Productivity اللَّهُمَّ إِيَّى أَعُوذُ بِكَ مِنَ الْكَسَلِ وَالْهَمِّ وَالْجُبْنِ وَالْبَخْلِ وَفِتْنَةِ الْمَسِيحِ وَعَذَابِ الْقَبْرِ “O Allah, indeed, I seek refuge in You from laziness, weakness of old age, cowardice, stinginess, the trial of Al-Masih (Dajjal), and the punishment of the grave.” The Prophet ﷺ used to supplicate with this prayer. (Jami’ at-Tirmidhi: 3485) Fatima رضي الله عنها came to the Prophet ﷺ asking for a servant. He said, آَلاَ أُخْبِرُكَ مَا هُوَ خَيْرُ لَكَ مِنْهُ، تُسْجِنِينَ اللَّهَ عِندَ مَنْ أَمِكَ ثَلَاثًا وَثَلَاثِينَ، وَتَحْمَدِينَ اللَّهَ ثَلَاثًا وَثَلَاثِينَ، وَتُكَبِّرِينَ اللَّهَ أَرْبَعًا وَثَلَاثِينَ “May I inform you of something better than that? When you go to bed, recite ‘Subhan Allah’ thirty three times, ‘Alhamdulillah’ thirty three times, and ‘Allahu Akbar’ thirty four times.” (Sahih al-Bukhari, 5362) آَصْبَحْنَا وَأَصْبَحَ الْمُلْكُ لِلَّهِ رَبِّ الْعَالَمِينَ اللَّهُمَّ إِيَّى أَسَأَلُكَ خَيْرَ هَذَا الْيَوْمِ فَتَحَّا وَتَصْرِهَ وَنُورَهُ وَبَرْكَتِهَ وَهَدَاءَ وَأَعُودُ بِكَ مِنْ شَرِّ مَا فِيهِ وَشَرَّ مَا بَعْدَهُ “We have reached the morning, and in the morning the dominion belongs to Allah, the Lord of the universe. O Allah! I ask Thee for the good this day contains, for conquest, victory, light, blessing and guidance during it; and I seek refuge in Thee from the evil it contains and the evil contained in what comes after it.” The Prophet ﷺ mentioned that a person is to recite this when they rise in the morning, and in the evening they should say the equivalent. (Sunan Abi Dawud, 5084) REVIVE A SUNNAH Let’s try and set a goal to complete the following sunnahs this Ramadan and implement them into our daily lives Insha’Allah! Check the circle when you’ve completed a sunnah. \| \| Sunnah Description \| Completed \| \|---\|------------------------------------------------------------------------------------\|-----------\| \| 01\| Eat suhoor (Sahih al-Bukhari) \| ✔ \| \| 02\| Do Miswaak (Sahih al-Bukhari) \| \| \| 03\| Recite the du’a before entering the toilet (Sahih al-Bukhari) \| \| \| 04\| Refrain from talking whilst reciting the Qur’an. (Sahih al-Bukhari) \| \| \| 05\| Sit and urinate (Jami’ at-Tirmidhi) \| \| \| 06\| Sleep on the right hand side, with the right hand under the cheek (Sunan Abi Dawud) \| \| \| 07\| Do not speak in the bathroom (Sunan Ibn Majah) \| \| \| 08\| Spread out a cloth on the floor before eating (Sahih al-Bukhari) \| \| \| 09\| Not to use excessive water when having a shower (Sunan Ibn Majah) \| \| \| 10\| Leave the toilet with the right foot (Jami’ at-Tirmidhi) \| \| \| 11\| Recite the du’a after leaving the toilet (Sunan Abi Dawood, Sunan Ibn Majah) \| \| \| 12\| Eat sitting on the floor with both legs as in Tashahhud position (Sunan Ibn Majah) \| \| \| 13\| Enter the toilet with your head covered (Bayhaqi) \| \| \| 14\| Clean the plate thoroughly after eating (Sahih Muslim, Sunan Abi Dawud) \| \| \| 15\| Drink in 3 sips, removing the vessel from the mouth after each sip (Tabarani) \| \| \| 16\| Say “Bismillah” before drinking & “Alhamdulillah” after (Jami’ at-Tirmidhi) \| \| \| 17\| Say Salam when entering the house (Jami’ at-Tirmidhi) \| \| \| 18\| To enter the house with the right foot (Sahih al-Bukhari) \| \| \| 19\| Wash both hands before eating (Shamaail) \| \| \| 20\| Before eating recite ‘Bismillah wa barakatillah’ (Mustadrak Haakim) \| \| \| 21\| Sleep in the state of wudhū (Sahih al-Bukhaari) \| \| \| 22\| Feed a fasting person (Jami’ at-Tirmidhi) \| \| \| 23\| Eat with the right hand (Sahih al-Bukhari) \| \| \| 24\| Eat together (Sunan Abi Dawud) \| \| \| 25\| Say Salam to members of the household when leaving the house (Sahih Al-Bukhari) \| \| \| 26\| Use both hands when doing a Musafahah (handshake) \| \| \| 27\| Dust the bedding before sleeping (Sahih al-Bukhari) \| \| \| 28\| After eating, lick the fingers three times (Sahih Muslim) \| \| \| 29\| Start wearing shoes with the right foot (Sahih al-Bukhari) \| \| \| 30\| Wear white clothes (Sunan Abi Dawud, Jami’ at-Tirmidhi) \| \| Can I fish using live bait? One may not use live bait while fishing. However, one may use dead fish, or artificial lures and jigs to catch fish. (I’laa al-Sunan, 17/201) The Prophet has cursed anyone who makes a living thing a target. (Sahih Muslim) Is it true that it is preferable to bury fingernails after cutting them? The preferred method of disposing the nails after cutting them is by burying them. (Al-Bahr al-Raiq, 8/232) Is a person supposed to wear a topi/kufi/headgear while eating? There is no hadith narration which suggests that it is sunnah to cover the head while eating. Jurists have indicated that it is ideal to cover the head when eating. Therefore, a person should not be too extreme in regards to this. (Fatawa Qasimiyyah, 24/57) Can I wear tight clothing in front of the same gender? It is not permissible to wear tight clothing in front of others. The purpose of clothing is to conceal one's shape and figure as the Quran states, "dress which covers your private area" (Surah Araf, 26). (Fatawa Darul Uloom Zakariyya, 7/101) I was told that sleeping after Asr is impermissible, is this true? Sleeping after Asr Salah is disliked and thus should be avoided. (Fatawa Darul Uloom Zakariyya, 8/243) What are the conditions of an Islamic will? After paying for the shrouding, burial, and resolving all debts, the deceased’s will is taken into consideration. The conditions are as follows: 1. The full will cannot exceed one-third of the inheritance. 2. None of the inheritors can be the intended beneficiary of the will. 3. The will cannot be used for any unlawful (haram) purpose. (Moeen-ul-Faraaidh, 1/10-11, Jamiah Husaniyah Rander) See page 15 for more information Can a Muslim man greet a strange/non mahram woman by shaking her hand? In Islam, non-mahrams are not permitted to touch one another. This includes shaking hands. (Contemporary Fatwā By Mufti Taqi Uthmani, 1/292, Idrah Islamiyat) When should intention be made while fasting? Depending on the type of fast the intention can be made at different times. The following fasts require a specification of type of fast and the intention must be made the previous night before Fajr in Arabic. This is known as Tabyit: 1. Makeups of Ramadhan fasts (Qadhā) 2. Makeups of voluntary fasts that one invalidated 3. Fasts of expiation (Kaffarah) 4. Unspecified vows (i.e., one makes a vow to fast without specifying a day) The following types of fasts require neither specification of the type of fast, nor that the intention be made the previous night before Fajr; rather, the intention may be made any time from the previous night until before midday (about an hour before zuhr begins): 1. Ramadhan fasts during the month of Ramadhan 2. Specified vows 3. Voluntary fasts. (Ascent to Felicity, pg.124) I’ve heard that sweeping the house at night makes you lose the blessings of the house. Is this true? Sweeping the house at night is not a reason for someone to lose blessings. This is a misconception amongst the people which should be avoided. (Aghlātul-Awām fi Bābil-Ahkām, 1/48, Darul-Hamd) Is it true that I must give Sadaqah if I drop the Qur’an accidentally? If one accidentally drops the Qur’an, seeking forgiveness will suffice. Giving Sadaqah is not necessary. (Kitab al-Nawazil, 15/70) A woman starts menstruating in Ramadhan; is she permitted to eat? If a woman is in menstruation during the month of Ramadhan, she may eat in a manner that fasting people don’t see her. (Badai al-Sanai, Vol.2, pg. 102 - Rahimiya) Am I allowed to earn credit card points? If a credit card is used for purchases and the bills are paid promptly without requiring to pay interest on late payment, it is permissible and the benefits given by the credit card company as rewards can be availed of. It is not impermissible to benefit from such rewards. (Mufti Taqi Usmani, https://tinyurl.com/4u8v3kmk) Can I name my child with the name of an angel? It is permissible to name a child with the name of an angel. The majority of scholars have permitted keeping the name of angels. Some have discouraged it due to a weak hadith which discourages it. Generally, jurists have written that it is ideal to keep names which are common amongst Muslims. (Radd al-Muhtar, 6/417) Can a person wear red clothing? If clothing is dyed in safflower/saffron, then it is not permissible for men to wear, otherwise, it is permissible. This is the opinion of the majority. Although taqwa is to refrain, it is still permissible (both opinions are strong). (Fatawa Rashidiyyah, p.478 and Majmu Rasail Shurunbulali) Can a woman perform I'tikaf? Yes, a woman can also perform I'tikaf, however it will take place in her house. It is recommended that she performs the I'tikaf in a room of the house which she designates for prayers. (Maraqiyl al-Falah, pg. 299, Bab al-Itikaaf - Qadimi Kutub Khanna) If a person willingly eats, drinks or cohabits with one's spouse during Ramadhan, what becomes obligatory? They must fast 60 days consecutively. If one omits a fast in the process then they must restart from the beginning. (Kitab al-Asl, Shaybani, Vol.2, pg. 152 - Dar Ibn Hazm) If a person breaks their fast during Ramadhan, can they continue eating? They are required to continue their fast, imitate fasting people, and make up that fast on a later day. This is to conceal oneself from the sin of breaking a fast (or to avoid others from having negative thoughts). (Hashiyat al-Tahtawi ala Maraqiy al-Falah, pg. 674 - Kitab al Sawm) If someone cannot fast due to old age how will they make up their fast? For every missed fast they must give the amount equivalent to sadagat al-fitr. (Al-Hidayah, Vol.1, pg.225 - Rahimiya/Radd al-Muhtar ala al-Durr al-Mukhtar, Vol 3, pg. 373/ Athmar al-Hidayah) What is the ruling of the janazah (funeral) prayer? Salah al-janazah is a fardh kifayah (communal obligation); if a deceased Muslim is buried without salah being performed, then all those aware of the situation will be sinful. If one Muslim person performs the salah, then all Muslims will be absolved. (Bada'i al-Sana'i, l/46) A menstruating woman is no longer menstruating during the day; can she continue eating? No, she cannot continue eating in order to imitate the fasting people and to honour the necessary time of fasting. (Al Mabsut li Sarakhsi, Vol.3. pg. 57 - DKI) SADAQAT AL-FITR AND UDHIYA (QURBANI): Sadagat al-Fitr and Udhiya (Qurbani) are incumbent upon a person who owns the nisab (quantum)* or more after deducting debts from those assets which are in excess of their basic needs. Sadagat al-Fitr and Udhiya (Qurbani) may be incumbent upon a person although zakat may not be. For Sadagat al-Fitr, specifically, the adult male will pay on behalf of himself and his children (who have not reached puberty). Whereas, an adult female will pay for herself only. The spouses can pay on behalf of each other if they have explicit or implicit permission to do so. The amount for Sadagat al-Fitr is 1.636 kg of wheat, or 3.27 kg in barley, dates, or raisins (or the equivalent in cash). A person should aspire to give more if they are capable, as all these items have been mentioned in the hadith. Ideally, it should be given before leaving for the Eid prayer and it is disliked to give it afterwards. Organizations which distribute Sadagat al-Fitr under general circumstances, are wakils (agents) on behalf of giver, hence a person's obligation remains until they discharge it on behalf of the giver. Ensure that the organization is reliable after researching and asking your trusted scholars. This nisab differs from the nisab of zakat in such that along with zakat-liable assets, those assets which are not in daily use will also be counted towards the nisab of Sadagat al-Fitr and Udhiya, as opposed to the nisab of zakat where only zakat-liable assets are counted towards determining zakat. TO SEND IN A QUESTION, EMAIL: email@example.com DO'S* 1. Arrive at the appointed time. One should not keep other guests or the host waiting. 2. The guest should inform the host of any diets/restrictions/allergies he may have at the time of accepting the invitation. 3. Inform the host immediately if one has no intention of eating there for some reason or another. If one does not do so, the host will be grieved and food may go to waste. 4. Listen to the host when he asks you to move/sit in a particular spot. Sometimes there is a better reason in the host’s mind. 5. Those who have the right of starting, such as the elderly, a person of virtue or the honourable guest, should begin the food. 6. Only leave after seeking the happiness/permission of the host. 7. Eat the amount you usually eat and take what you desire. There is a level of nifaaq (hypocrisy) when you eat other than this. 8. Lower your gaze from the plate of others. A person may be shy to reach for more food due to your aggressive gaze. 9. Chew with your mouth closed. 10. Make your morsels small. DON'TS 1. Don’t bring up conversations that might offend the people of the house. 2. Don’t interfere in the arrangements and system of the host. 3. Don’t gather all in one place. If there is space in other parts of the hosting area, sit in those spots as well. 4. Don’t let people get up for you (to give you a seat). 5. Don’t wedge yourself between two people. Find another seat. 6. If some guests are finished with their food, and another group of guests are waiting for their turn, don’t talk excessively as to prolong their wait. 7. Don’t ask for leftovers to take home. 8. Don’t ask for anything extra, except for water and/or salt. 9. Don’t criticize the food. 10. Don’t talk with food in your mouth. DO'S When a person is sharing one plate with another person, he should bring the morsel to his mouth, so that food does not fall out of his mouth onto the plate. If there are several different types of food, the guest should taste a bit of each one. If removing something from the mouth, one should turn his head away and take it away with his left hand, discreetly. When sneezing or coughing, turn the face away, or at the very least, cover the mouth. The guests should leave a little amount of food in the serving dishes so the host does not feel ashamed that there wasn’t enough food. Continue to eat so long as those around you are still eating. Eat something small, or eat slowly so as to not pressure them to finish quickly, unless they don’t mind if you finish before them. If you stop eating for any reason, excuse yourself and assure that you will be back so as to not cause shame to those who continue to eat. DON'TS Men should not sit opposite from the door for the women. Don't stare at the place where the food is coming out from. Don't bring anyone (a plus one) except by the permission of the host. Don't dip the item you bit into a food item that is shared (don’t double dip). Don't cross-contaminate two different types of foods such as gravy and vinegar. Don't do things other people will find dirty such as sneezing and coughing into the food. Don't stay behind to talk too much. Guests shouldn't prolong their stay unless the host specifically asks them to. Sources: An-Nahlawi, Khalil. Ad Durarul Mubahah; Thanvi, Ashraf ‘Ali. Aadabul Mu’aasharat: Etiquettes of Social Life, 1992; Al-Fattah, Abu Ghuddah Shaykh Abd, et al. Islamic Manners. Awakening Publications, 2002. \| 1 \| 2 \| 3 \| 4 \| 5 \| 6 \| 7 \| 8 \| 9 \| 10 \| 11 \| 12 \| 13 \| 14 \| 15 \| 16 \| 17 \| 18 \| 19 \| 20 \| 21 \| 22 \| 23 \| 24 \| 25 \| 26 \| 27 \| 28 \| 29 \| 30 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|----\|----\|----\|----\|----\|----\|----\|----\|----\|----\|----\|----\|----\|----\|----\|----\|----\|----\| \| SUHOOR \| FAJR \| MORNING DUAS \| ISHRAAQ \| SADAQAH \| DHUHR \| QUR’AN \| ASR \| DHIKR \| FEED THE FASTING \| MAGHRIB \| EVENING DUAS \| ISHA \| TARAWEEH \| TAHAJJUD \| The Holy Qur'an is the speech of Allah given to all of mankind. It was first revealed in the month of Ramadhan to Prophet Muhammad ﷺ at the age of 40, through Angel Jibreel عليه السلام. The Prophet ﷺ would often spend time alone in the Cave of Hira to worship Allah. One day, while he was alone in the cave, he was suddenly approached by Jibreel عليه السلام and was asked to read. The Prophet ﷺ replied, "I do not know how to read." Jibreel عليه السلام then squeezed the Prophet ﷺ tightly, let go of him and asked him to read again to which the Prophet ﷺ replied "I am unable to read." Upon the third squeeze, Jibreel عليه السلام released the Prophet ﷺ and read the following verses: "Read in the name of your Lord, Who has created (everything)..." up to "...He has taught man that which he did not know." (Surah Alaq, Verses 1-5) The Prophet ﷺ returned home with fear that something might happen to him. He said to his wife Khadijah رضي الله عنها, "Cover me! Cover me!" seeking comfort. After he felt at ease, he told her everything that had taken place. Later, the Prophet ﷺ was visited by Jibreel عليه السلام again and was given the glad tidings of being chosen as the messenger of Allah. Upon hearing this he felt relieved. The Prophet ﷺ continued to receive revelation gradually over the span of 23 years until he passed away at the age of 63. Sources: Al-Itqaan by Jalal ad-Din as-Suyuti Vol. 1 page 170, Seeratul Mustafa Vol.1 Chapter 3 FIND YOUR WAY FROM THE KA'BAH TO CAVE HIRA! Did you know? The Prophet ﷺ did not know how to read or write, so he memorized every verse that was revealed to him!? There were a few companions who could write, so they wrote the verses on surfaces like parchment, leaf stalks of date palms, tanned leather, flat stones, pieces of wood, dried up bones and shoulder blades of camels or sheep. Previous Issue Crossword Answers: 1. Messenger 2. Judgement 3. Injeel 4. Earth 5. Miracles 6. Father 7. Maryam 8. Baby 9. Mahdi 10. Dajjal JAMIAH QASIMUL ULOOM SCAN & SUBSCRIBE! OR FILL OUT THE FORM AVAILABLE AT JQULOOM.CA 3482 Lawrence Ave E Unit #208, Scarborough, ON M1H 3E5 firstname.lastname@example.org and email@example.com (416) 431-2589
General Microbiology (Dalton State) April Kay Dalton State College, email@example.com Susan Burran Dalton State College, firstname.lastname@example.org Leah Howell Dalton State College, email@example.com Follow this and additional works at: [https://oer.galileo.usg.edu/biology-collections](https://oer.galileo.usg.edu/biology-collections) Part of the [Microbiology Commons](https://oer.galileo.usg.edu/biology-collections) Recommended Citation Kay, April; Burran, Susan; and Howell, Leah, "General Microbiology (Dalton State)" (2018). Biological Sciences Grants Collections. 21. [https://oer.galileo.usg.edu/biology-collections/21](https://oer.galileo.usg.edu/biology-collections/21) General Microbiology April Kay, Susan Burran, and Leah Howell Affordable Learning Georgia Grants Collections are intended to provide faculty with the frameworks to quickly implement or revise the same materials as a Textbook Transformation Grants team, along with the aims and lessons learned from project teams during the implementation process. Each collection contains the following materials: - Linked Syllabus - The syllabus should provide the framework for both direct implementation of the grant team’s selected and created materials and the adaptation/ transformation of these materials. - Initial Proposal - The initial proposal describes the grant project’s aims in detail. - Final Report - The final report describes the outcomes of the project and any lessons learned. Unless otherwise indicated, all Grants Collection materials are licensed under a [Creative Commons Attribution 4.0 International License](https://creativecommons.org/licenses/by/4.0/). Initial Proposal Application Details Manage Application: ALG Textbook Transformation Grants Award Cycle: Round 9 Internal Submission Deadline: Sunday, April 30, 2017 Application Title: 320 Application ID: #001750 Submitter First Name: April Anne Submitter Last Name: Kay Submitter Title: Associate Professor of Biology Submitter Email Address: firstname.lastname@example.org Submitter Phone Number: 706-272-2669 Submitter Campus Role: Proposal Investigator (Primary or additional) Applicant First Name: April Applicant Last Name: Kay Co-Applicant Name: Susan Burran, Leah Howell Applicant Email Address: email@example.com Applicant Phone Number: 706-272-2669 Primary Appointment Title: Associate Professor of Biology Institution Name(s): Dalton State College Submission Date: Monday, May 1, 2017 Proposal Title: 320 Final Semester of Instruction: Spring 2018 Team Members (Name, Title, Department, Institutions if different, and email address for each): 1. Dr. April Kay, Associate Professor of Biology, firstname.lastname@example.org 2. Professor Susan Burran, Assistant Professor of Biology, email@example.com 3. Dr. Leah Howell, Assistant Professor of Biology, firstname.lastname@example.org All team members are in the Department of Natural Sciences, School of Science, Technology, Sponsor, (Name, Title, Department, Institution): Dr. Patricia Chute, Provost and Vice President for Academic Affairs, Dalton State College Course Names, Course Numbers and Semesters Offered: Microbiology BIOL 2215K offered fall, spring and summer semesters General Microbiology BIOL 3340K, offered in fall and spring semesters Average Number of Students per Course Section: 22 Number of Course Sections Affected by Implementation in Academic Year: 9 Total Number of Students Affected by Implementation in Academic Year: 200 List the original course materials for students (including title, whether optional or required, & cost for each item): The textbook currently required: Foundations in Microbiology 9th edition by Talaro and Chess. ISBN: 9780073522609. Cost: $266 new. Proposal Categories: OpenStax Textbooks Requested Amount of Funding: $15,800 Original per Student Cost: $266 Post-Proposal Projected Student Cost: $0 Projected Per Student Savings: $266 Projected Total Annual Student Savings: $53,200 Creation and Hosting Platforms Used ("n/a" if none): OpenStax CNX Project Goals: Provide a free open access textbook to students taking courses BIOL 2215K and BIOL 3340K at Dalton State College. This will eliminate high cost textbooks that will benefit all of our students, especially our economically challenged population. Redesign lecture materials for these courses using the structure and outline of the OpenStax free textbook. Microbiology BIOL 2215K focuses on learning the basics of infectious agents, and clinically significant diagnostic medical microbiology; whereas, General Microbiology BIOL 3340 focuses on a general overview including environmental, clinical, probiotics and specialized assays. Trial the use of the free online textbook. Evaluate the content of the free textbook and compare it to the content of the current textbook. Quantitatively evaluate student success in meeting learning objectives for these courses. Students will be given the same tests on content in Fall 2017 with the current textbook, and Spring 2018 with the OpenStax textbook. If the OpenStax textbook is positively reviewed by team members, then there will be a department-wide adoption of this book for all Microbiology courses (BIOL 2215K and BIOL 3340K). Share feedback to other faculty teaching these courses and share course materials derived from using the free online textbook. Implement surveys to determine student satisfaction with the new course design and the cost of course materials. Statement of Transformation: The two microbiology courses offered at Dalton State College (DSC) are BIOL 2215K and BIOL 3340K. BIOL 2215K is primarily for pre-health professional students such as nursing and pharmacy. BIOL 3340K is an upper level course offered to biology majors. Approximately 200 students per academic year will benefit from this transformation. DSC serves many economically disadvantaged students in Northwest Georgia (1). Many students are non-traditional with families and cannot afford expensive textbooks. Many students do not buy the textbook for these courses due to the cost ($266). Thus, many students are at a disadvantage without this resource material (2). Using an OpenStax textbook will guarantee that all students have access to a textbook for these courses. Therefore, implementation of the free online text should have a positive impact on student success. The transformative impact will serve all faculty teaching these courses at DSC. Sharing the course materials redesigned through this transformation will ensure that students are being taught the learning outcomes with the same content and rigor. Working as a team in the Natural Sciences department with this redesign to a free textbook will promote more discussion among the microbiology faculty. This transformation will engage sharing high-impact course activities and exercises, thus benefiting all of our students in the STEM and health professional fields. Transformation Action Plan: Redesign Microbiology course syllabi for BIOL 2215K and BIOL 3340K Overhaul lecture materials for both courses to correspond with the OpenStax textbook for Microbiology. Administer experiential surveys to students using the current text compared to the free text. Evaluate GPA, DFW rates, course learning outcomes; compare among students using current textbook and free textbook. Direct student to the OpenStax online free textbook Internet site to obtain course materials. Provide students with free lecture materials including PowerPoints, notes, and homework assignments on Georgia view. Coordinate content of lecture materials among team members to ensure all sections cover course learning outcomes comparably. Quantitative & Qualitative Measures: Students in BIOL 3340K sections will have a graded assignment in which they will compare selected chapters from each textbook and complete a survey on comprehension of text and figures. This will be done in two sections in different semesters: during Fall 2017 using the current textbook and Spring 2018 using the OpenStax textbook. Surveys from each semester will be compared. In Fall 2017, students will be using the current textbook (Talaro and Chess). During Fall 2017, 3 surveys will be given to students at various points throughout the semester to access their satisfaction with this text. In Spring 2018, we will switch to the OpenStax textbook. Then the same 3 surveys used in Fall 2017 will be used to access the OpenStax book. Surveys from Fall 2017 and Spring 2018 will be compared. Team members will survey the ease of transition to the new OpenStax Microbiology text and compare content and organization to that of the current textbook. Faculty members teaching the course will be surveyed on satisfaction with OpenStax. Quantitative measures: Students in BIOL 2215K and BIOL 3340K will be given tests at the beginning and close of the semester (pre/post tests) to access their success in learning the objectives for both courses. This data will be compared between Fall 2017 (current text will be used) and Spring 2018 (new text will be used). Grade distribution data and DFW rates will be evaluated and compared between students using the current textbook in Fall 2017 and the new OpenStax textbook in Spring 2018. Timeline: June 5, 2017: Attend kick-off training/implementation meeting August-December 2017 Modify syllabi and course materials to align with OpenStax framework for implementation in Spring 2018. August 2017: Create student experience surveys over the current textbook (Talaro and Chess) to give at various points throughout semester Give Pretest BIOL 3340K students will be given an assignment to compare text book chapters September 2017: Survey students with Initial experience survey to gauge first impressions of current textbook (Talaro and Chess) Late October 2017: Poll students with mid-semester survey over current text December 2017: Poll students with final survey over current text Give Posttest Prepare status report for ALG December 15, 2017: Submit Status Report January 2018: Modify surveys from previous semester to give again in Spring 2018. This time the surveys will address the OpenStax textbook Give Pretest BIOL 3340 students will be given an assignment to compare text book chapters February 2018: Poll students with initial experience survey to gauge first impressions of OpenStax text End of March 2018: Poll students with mid-semester survey over OpenStax text Late April 2018: Poll students with final survey over OpenStax text Give Posttest Prepare final report for ALG May 1 2018: Submit Final Report Budget: $5,000 to each team member: Dr. April Anne Kay, Dr. Leah Howell, and Professor Susan Burran. This funding will serve as salary for redesigning courses, preparing surveys, creating new assignments for textbook comparison, analyzing quantitative and qualitative data, and preparing final report. $800 for project expenses including travel to the grant kick-off and training and auxiliary services such as printing surveys. Sustainability Plan: Depending on demand for the Microbiology courses, there are 9-11 sections taught each academic year. Typically, sections are full, thus we serve over 200 students a year. By offering a free online textbook through OpenStax, we can potentially save our students $53,200 a year. Upon positive evaluation of the OpenStax textbook, this book will be adopted across all sections and all courses of Microbiology at DSC. Thus, the sustainability for this transformation will be initiated across all Microbiology sections taught at DSC. This will result in 100% savings to our students. These courses also use lab manuals created by Dalton State Faculty and are available at no cost for students. This will have an enormous impact on our college: offering low-cost tuition (1) and courses with no additional costs will be appealing for students looking for an affordable first destination college. In addition, many of our students struggle to stay in school because of financial hardships. This transformation will help relieve that population of some of the financial burden in hopes to retain their registration in school (2). April 25, 2017 Re: ALG Proposal, Dr. April Kay Dear Committee Member: Provost and VP for Academic Affairs 650 College Drive Dalton, GA 30720 706-272-4420 / 706-272-2670 www.daltonstate.edu I am writing in support of the application for grant funds by Dr. April Kay, Associate Professor in Biology at Dalton State College (DSC). Dr. Kay is leading a team of faculty to develop an OpenStax textbook to address several courses in the Natural Sciences. These include Microbiology and General Microbiology which are offered during different semesters at DSC and affect 200+ students in up to nine sections. The current text, which costs more than $250 would be replaced thereby saving students a great deal of expense. As more students are entering STEM fields, it behooves faculty, programs and colleges to develop methods of effective teaching along with passing on substantial savings in areas that often require sizable investments of precious dollars to ensure access to curriculum. In addition to the STEM fields, Microbiology is a course utilized by a large number of potential health professionals. As the workforce groups in Northern Georgia have identified the health fields as those of great need, it is important that the college provide students with opportunities that will enhance their learning while remaining affordable. Since Northern Georgia represents a considerable underserved population, this initiative becomes even more critical. Dalton State College is presently on the cusp of being identified as a Hispanic Serving Institution. As of this date enrollment is at 24.8% and there is reason to believe that college will exceed the 25% tipping point. The request for funding by Dr. April and her team of faculty is one that should be considered as part of the mission that supports these grants. The populations served in Dalton as well as the emphasis on health professions and STEM make this application an extremely strong one. I support it with great enthusiasm. If you have any questions, please feel free to contact me at 706-241-2491. Sincerely, Patricia M. Chute, Ed.D. Provost and Vice President for Academic Affairs University System of Georgia · An Equal Opportunity/Affirmative Action Program Institution REFERENCES 1. Wheeler, M. (2016, July 28). Dalton State Remains One Of Most Affordable Colleges In Nation. Retrieved from http://www.chattanoogan.com/2016/7/28/328883/Dalton-State-Remains-One-Of-Most.aspx. 2. Grasgreen, A. (2014, January 28). Options Don't Stem Textbook Woes. Retrieved from https://www.insidehighered.com/news/2014/01/28/textbook-prices-still-crippling-students-report-says OpenStax Microbiology Textbook Redesign Dr. April Kay, Associate Professor of Biology, email@example.com Professor Susan Burran, Assistant Professor of Biology, firstname.lastname@example.org Dr. Leah Howell, Assistant Professor of Biology, email@example.com Dalton State College Proposal Narrative 1.1 PROJECT GOALS - Provide a free open access textbook to students taking courses BIOL 2215K and BIOL 3340K at Dalton State College. This will eliminate high cost textbooks to our students that will benefit all of our students, especially our economically challenged population. - Redesign lecture materials for these courses using the structure and outline of the OpenStax free textbook. Microbiology BIOL 2215K focuses on learning the basics of infectious agents, and clinically significant diagnostic medical microbiology; whereas, General Microbiology BIOL 3340 focuses on a general overview including environmental, clinical, probiotics and specialized assays. - Trial the use of the free online textbook. Evaluate the content of the free textbook and compare it to the content of the current textbook. - Quantitatively evaluate student success in meeting learning objectives for these courses. Students will be given the same tests on content in Fall 2017 with the current textbook, and Spring 2018 with the OpenStax textbook. - If the OpenStax textbook is positively reviewed by team members, then there will be a department-wide adoption of this book for all Microbiology courses (BIOL 2215K and BIOL 3340K). - Share feedback to other faculty teaching these courses and share course materials derived from using the free online textbook. - Implement surveys to determine student satisfaction with the new course design and the cost of course materials. 1.2 STATEMENT OF TRANSFORMATION - The two microbiology courses offered at Dalton State College (DSC) are BIOL 2215K and BIOL 3340K. BIOL 2215K is primarily for pre-health professional students such as nursing and pharmacy. BIOL 3340K is an upper level course offered to biology majors. Approximately 200 students per academic year will benefit from this transformation. - DSC serves many economically disadvantaged students in Northwest Georgia (2). Many students are non-traditional with families and cannot afford expensive textbooks. Therefore, many students do not buy the textbook for these courses due to the cost ($266). Thus, many students are at a disadvantage without this resource material (1). - Using an OpenStax textbook will guarantee that all students have access to a textbook for these courses. Therefore, implementation of the free online text should have a positive impact on student success. - The transformative impact will serve all faculty teaching these courses at DSC. Sharing the course materials redesigned through this transformation will ensure that students are being taught the learning outcomes with the same content and rigor. - Working as a team in the Natural Sciences department with this redesign to a free textbook will promote more discussion among the microbiology faculty. This transformation will engage sharing high-impact course activities and exercises, thus benefitting all our students. 1.3 TRANSFORMATION ACTION PLAN - Redesign Microbiology course syllabi for BIOL 2215K and BIOL 3340K - Overhaul lecture materials for both courses to correspond with the OpenStax textbook for Microbiology. - Administer experiential surveys to students using the current text compared to the free text. - Evaluate GPA, DFW rates, course learning outcomes; compare among students using current textbook and free textbook. - Direct student to the OpenStax online free textbook Internet site to obtain course materials. - Provide students with free lecture materials including PowerPoints, notes, and homework assignments on Georgia view. - Coordinate content of lecture materials among team members to ensure all sections cover course learning outcomes comparably. 1.4 QUANTITATIVE AND QUALITATIVE MEASURES • Qualitative Measures: o Students in BIOL 3340K sections will have a graded assignment in which they will compare selected chapters from each textbook and complete a survey on comprehension of text and figures. This will be done in two sections in different semesters: during Fall 2017 using the current textbook and Spring 2018 using the OpenStax textbook. Surveys from each semester will be compared. o In Fall 2017, students will be using the current textbook (Talaro and Chess). During Fall 2017, 3 surveys will be given to students at various points throughout the semester to access their satisfaction with this text. o In Spring 2018, we will switch to the OpenStax textbook. Then the same 3 surveys used in Fall 2017 will be used to access the OpenStax book. Surveys from Fall 2017 and Spring 2018 will be compared. o Team members will survey the ease of transition to the new OpenStax Microbiology text and compare content and organization to that of the current textbook. o Faculty members teaching the course will be surveyed on satisfaction with OpenStax. • Quantitative Measures: o Students in BIOL 2215K and BIOL 3340K will be given tests at the beginning and close of the semester (pre/post tests) to access their success in learning the objectives for both courses. This data will be compared between Fall 2017 (current text will be used) and Spring 2018 (new text will be used). o Grade distribution data and DFW rates will be evaluated and compared between students using the current textbook in Fall 2017 and the new OpenStax textbook in Spring 2018. 1.5 TIMELINE - June 5, 2017: Attend kick-off training/implementation meeting - August-December 2017 - Modify syllabi and course materials to align with OpenStax framework for implementation in Spring 2018. - August 2017: - Create student experience surveys over the current textbook (Talaro and Chess) to give at various points throughout semester - Give Pretest - BIOL 3340K students will be given an assignment to compare textbook chapters - September 2017: Survey students with Initial experience survey to gauge first impressions of current textbook (Talaro and Chess) - Late October 2017: Poll students with mid-semester survey over current text - December 2017: - Poll students with final survey over current text - Give Posttest - Prepare status report for ALG - December 15, 2017: Submit Status Report - January 2018: - Modify surveys from previous semester to give again in Spring 2018. This time the surveys will address the OpenStax textbook - Give Pretest - BIOL 3340 students will be given an assignment to compare textbook chapters - February 2018: Poll students with initial experience survey to gauge first impressions of OpenStax text • End of March 2018: Poll students with mid-semester survey over OpenStax text • Late April 2018: • Poll students with final survey over OpenStax text • Give Posttest • Prepare final report for ALG • May 1 2018: Submit Final Report 1.6 BUDGET $5,000 to each team member: Dr. April Anne Kay, Dr. Leah Howell, and Professor Susan Burran. This funding will serve as salary for redesigning courses, preparing surveys, creating new assignments for textbook comparison, analyzing quantitative and qualitative data, and preparing final report. $800 for project expenses including travel to the grant kick-off and training and auxiliary services such as printing surveys. 1.7 SUSTAINABILITY PLAN Depending on demand for the Microbiology courses, there are 9-11 sections taught each academic year. Typically, sections are full, thus we serve over 200 students a year. By offering a free online textbook through OpenStax, we can potentially save our students $53,200 a year. Upon positive evaluation of the OpenStax textbook, this book will be adopted across all sections and all courses of Microbiology at DSC. Thus, the sustainability for this transformation will be initiated across all Microbiology sections taught at DSC. This will result in 100% savings to our students. These courses also use lab manuals created by Dalton State faculty and are available at no cost for students. This will have an enormous impact on our college: offering low-cost tuition (2) and courses with no additional costs will be appealing for students looking for an affordable first destination college. In addition, many of our students struggle to stay in school because of financial hardships. This transformation will help relieve that population of some of the financial burden in hopes to retain their registration in school (1). 1.8 REFERENCES & ATTACHMENTS 1. Grasgreen, A. (2014, January 28). Options Don’t Stem Textbook Woes. Retrieved from https://www.insidehighered.com/news/2014/01/28/textbook-prices-still-crippling-students-report-says. 2. Wheeler, M. (2016, July 28). Dalton State Remains One Of Most Affordable Colleges In Nation. Retrieved from http://www.chattanoogan.com/2016/7/28/328883/Dalton-State-Remains-One-Of-Most.aspx. Syllabus BIOL 2215- Microbiology Spring 2018 Instructor: Dr. Leah Howell Office: Sequoya 227 Email: firstname.lastname@example.org Office Hours: M (9:15-10:15), T (10:40-12:15, 2:05-3:05), R (10:40-3:05) You may also make an appointment if office hours do not fit your schedule. Required Materials: Textbook: Free online OpenStax textbook: https://openstax.org/details/books/microbiology Lab manual: Lab handouts will be posted on GaView. Other course materials: i-Clicker-1 or i-Clicker-2 (You may use the cell phone app at your own risk - if you lose internet connection, this will not work.) COURSE OBJECTIVES: Upon completion of this course, you should be able to: 1. Demonstrate effective use of a microscope, demonstrate knowledge of laboratory safety, and demonstrate laboratory techniques required to isolate, culture, and identify microorganisms. 2. Demonstrate an understanding of the biology of viruses, bacteria, fungi, and protozoan and animal parasites; demonstrate an understanding of the basic procedures used in the culture, identification, and control of microorganisms. 3. Demonstrate an understanding of the pathogenesis, epidemiology, diagnosis, and treatment of microbial diseases of humans; demonstrate an understanding of the human immune system, disorders of the immune system, and uses of immunological techniques. Grading- Your grade in the course is composed of the following: - 3 lecture exams (worth a total of 40%) - Cumulative final exam (20%) - Lecture clicker questions (10%) - Lab attendance (5%) - Lab report “Identification of an Unknown Bacterium” (10%) - Turn in lab sheets (print from GaView) with all pictures drawn and questions answered (5%) - 2 lab exams (worth a total of 10%) About clicker questions: You need to purchase an i-clicker as soon as possible (I recommend the i-clicker-2 as it is more user friendly). You need to register your clicker by going to iclicker.com. Go to register a clicker. Select iclicker classic and then select that we are not using an LMS. It will then let you put in your name and iclicker # (the number below the barcode). If you are asked for a credit card number, simply email me the number below the barcode on your i-clicker and I will register you for free. You should not have to pay to register your clicker, but if you purchase a used clicker, you may be asked to pay for registering. I can manually register you for free. As we finish chapters in class, I will often (not always) give you a clicker quiz over the chapter to make sure you have been listening in class. This may or may not be open note. I will also imbed clicker questions into my lectures that will count equally to those on quizzes. About labs: Attendance is mandatory! Attendance will be taken at the beginning of lab. If you are late, you will be counted absent. I will give you one “free” late/leave early lab where being a few minutes late or leaving a few minutes early will not count against your attendance grade. Missing labs may result in difficulty in future labs. Lab policy is to complete the lab with your group as instructed. All members are responsible for conducting labs while always thinking “Safety First!” All members of the group must participate fully. You must work well together, and all members must remain in lab until finished; this includes clean-up. Points may be deducted from your grade if problems arise and persist. About Exams: Exams will be multiple choice. Your final exam grade will replace your lowest exam grade (if it will help you to do so). ALG grant for microbiology Microbiology at Dalton State has become involved in an initiative to provide low cost/no cost textbooks to students in Georgia (ALG grant- Affordable Learning Georgia grant). I will be asking you to complete surveys throughout this semester to access the current textbook and to compare it to other textbooks you have been required to purchase in your time as a college student. I appreciate you giving your full and truthful feedback in this process. Absence/Makeup Policy: Class attendance and makeups: You are strongly advised to attend all class meetings. The material on the exams comes from class lectures, so it is to your benefit to attend all classes. If class is missed, you will be responsible for obtaining material and announcements. I will begin class promptly. Please be on time out of courtesy to me and your classmates. Announcements and clicker questions are often given at the beginning of class. Your grade on the final exam will be used to replace your lowest exam score (assuming, of course, the final exam score is higher). No make-up exams will be given except for in certain circumstances which are noted below. I will determine if your excuse for missing an exam qualifies you for a make-up (i.e. planning a vacation during an exam is not a valid excuse). If making up an exam, you must do so before the next class period. However, your highest exam grade replaces your lowest exam grade, so you will not have a zero on your missed exam if you cannot make it up in time (unless you miss more than one exam). Lab attendance and makeups: Attendance in lab is mandatory, there will be no make-ups available for the material, and you cannot make up lab exams except for in certain circumstances as noted below. What qualifies you for a makeup?: Makeups on lab exams, lab attendance, and lecture exams are permitted in cases of sickness (with doctor’s note), military required service, or DSC approved activities or events. If your absence fits into one of these categories, please let me know ASAP. A Few Odds and Ends: Please turn off cell phones or leave them on silent in lecture and lab. Texting is not allowed in lecture or lab because it is distracting to me and other students. If you have a situation where you absolutely must use your phone, please leave the room to do so. Questions and discussion in class and lab are encouraged – this is your class and I want you to participate! On the other hand, private conversations are distracting to others and to me. If your private conversations become excessive, I will warn you. The next time it happens, you will be asked to leave class for the day. Please do not hesitate to stop by my office hours or make an appointment if you have questions. Extra credit is neither a privilege or a right. It is my prerogative as the professor to offer extra credit questions or opportunities to the entire class. I do not allow individual students to do projects or assignments for extra credit. Emergency Instructional Plan If the college is closed for inclement weather or other conditions, please consult the lecture schedule located in this syllabus posted on GAView and read the chapter on the topic scheduled for lecture and examine and study thoroughly the PowerPoint slides. Compensatory make-up days may be required if the total number of days lost exceeds the equivalent of one week. DROP/WITHDRAWAL POLICY: Revised June 25, 2007 Students wishing to withdraw from the course may do so without penalty until the mid-point of the semester, and a grade of W will be assigned. After that point, withdrawal without penalty is permitted only in cases of extreme hardship as determined by the Vice President for Academic Affairs; otherwise a grade of WF will be issued. (Please note: At Dalton State College, the Hardship Withdrawal process requires students to withdraw from all classes at the college.) The proper form for dropping a course is the Schedule Adjustment Form, which can be obtained at the Enrollment Services Office in Westcott Hall. The Schedule Adjustment Form must be submitted to the Enrollment Services Office. Students who disappear, completing neither the official withdrawal procedure nor the course work, will receive the grade of F. This instructor will not withdraw students from the class. Withdrawal from any Dalton State College classes is a student responsibility. The last day to drop classes without penalty is March 23. COMPLETE WITHDRAWAL STATEMENT: REVISED JULY 17, 2012 “The proper form for withdrawing from all classes at the college after the official drop/add period but before the published withdrawal date is the Schedule Adjustment Form. All students must meet with a staff member at the Office of Academic Resources in the Pope Student Center to initiate the withdrawal process. After meeting with the staff member, students will then finalize the withdrawal process in the Enrollment Services Office.” ETHICAL CONDUCT Academic Dishonesty: Cheating and plagiarism are a part of the Dalton State Code of Student Conduct, which can be found in its most updated form at [http://daltoncampuslife.com/student-conduct/](http://daltoncampuslife.com/student-conduct/). ANY assistance provided or given in any way toward work in a class constitutes cheating, unless such behavior is authorized by your instructor. Additionally, any use of the ideas or words of others should be noted, or this will constitute plagiarism. For more details on what Dalton State considers to be Academic Dishonesty, please review the Code of Student Conduct. Instructors will assign grades based on classroom performance. Additional sanctions may be provided as a learning experience from the Student Conduct process. Borrowing another students’ work or collaborating on an assignment not designated as collaborative is unacceptable. Furthermore, presenting work that was completed for another class, while not plagiarism technically, is not the same as presenting original work, and is therefore unacceptable. Classroom Behavior: Dalton State is committed to respect via the Roadrunner Respect pledge. To learn more, please visit [http://daltoncampuslife.com/roadrunner-respect/](http://daltoncampuslife.com/roadrunner-respect/). “I pledge to show my fellow Roadrunner students, faculty, staff, and administration respect by treating others the way they want to be treated and by thinking about others first before making decisions that might affect them.” OFFICIALLY APPROVED DSC GROUPS AND ACTIVITIES: (Effective Fall 2013) When students are engaged in officially approved Dalton State groups or activities that require them to participate in events off campus during school days, they shall be treated similarly to any faculty or staff member acting in that same capacity. Thus, just as faculty and staff have excused absences from their regular work schedules, students shall be excused from class without penalty if they are off campus representing Dalton State College in an approved, official capacity during their regular class time. Examples include presenting a paper or otherwise participating in a conference, attending a University System student affairs event, participating in intercollegiate competition (athletic or academic), participating in an approved field trip, etc. Just as faculty and staff members are required to submit Request to Travel forms for approval, in order to be excused, the student needs to provide the following information to the instructor prior to the date when he/she will be absent from class: - notification of the event (in the case of athletics, students should provide each instructor a schedule of away events at the beginning of the semester or as soon as possible after the schedule is available); - estimated time of departure from and return to campus (for example, if a student has an away game in the evening and will not be leaving campus until 3:00, he/she will not be excused from classes prior to that time on that day; similarly if the event is in the morning and the student will be returning to campus during the day, he/she is expected to attend any class scheduled after the return trip); and - contact information for the person or organization sponsoring/authorizing the student’s participation in the event. The student shall be allowed to make up any work missed during the time he/she is off campus representing DSC in an official capacity. He/she shall discuss what will be missed with the instructor and make arrangements to make up any assignments, tests, presentations, etc. that were scheduled on that date. DISABILITY SUPPORT SERVICES: (Revised July 30, 2014) Students with disabilities or special needs are encouraged to contact Disability Support Services. In order to make an appointment or to obtain information on the process for qualifying for accommodations, the student should visit the Disability Support Services Library Guide at http://www.libguides.daltonstate.edu/Disability or contact the Coordinator of Disability Support Services. Contact information: Andrea Roberson, Coordinator Pope Student Center, lower level 706/272–2524 email@example.com http://libguides.daltonstate.edu/c.php?g=24716&p=149667 Workforce Innovations Opportunity Act: Questions regarding students receiving financial assistance through the Workforce Innovations Opportunity Act should be directed to 706-295-6840. TITLE IX INFORMATION: Sex Discrimination, Harassment, & Assault Sexual harassment is unwelcome, gender-based verbal or physical conduct that is sufficiently severe, persistent or pervasive that it has the effect of interfering with, denying or limiting someone’s ability to participate in or benefit from the college’s educational program and/or activities, and is based on power differential (quid pro quo), the creation of a hostile environment, or retaliation. Sexual misconduct is a form of sexual harassment prohibited by Title IX. Sexual misconduct refers to “physical sexual acts perpetrated against a person’s will or where a person is incapable of giving consent due to the victim’s use of drugs or alcohol. An individual also may be unable to give consent due to an intellectual or other disability.” Sexual misconduct includes dating violence, domestic violence, rape, sexual assault, sexual battery, stalking, and sexual coercion. Reporting Options Call 911 if you are in an emergency situation Dalton State Public Safety (this report is not confidential) Tech Building- Upper Level - 706-272-4461 Online Sexual Assault Report - https://dynamicforms.ngwebsolutions.com/ShowForm.aspx?RequestedDynamicFormTemplate=3fe5724c-a8bd-4a31-9c25-1a3d35110a51 If you would like to report to Dalton State Administration: (this report is not confidential) Report Title IX complaint online - http://daltonstate.edu/campus_life/student-conduct-about.cms Report Student-on-Student Title IX complaint in person: Brittnie Lee, Office of Student Life Coordinator for Student Responsibility & Service/ Deputy Title IX Coordinator Pope 113 firstname.lastname@example.org, 706-272-2999 Report Title IX complaint involving Faculty or Staff in person: Faith Miller, Human Resources Director of Human Resource/ Title IX Coordinator Memorial 122 email@example.com 706-272-2034 If you would like to talk with someone confidentially: Dalton State Counseling & Career Services, Academic Resources Lower Pope 706-272-4429 firstname.lastname@example.org http://libguides.daltonstate.edu/Counseling HB 280 Information For information regarding HB 280 (campus carry) please visit the following website http://www.usg.edu/hb280 \| Week of \| Topic \| Chapters \| \|-----------\|--------------------------------------------\|----------\| \| 9-Jan \| An Invisible World \| \| \| \| How We See the Invisible World \| 1, 2 \| \| 16-Jan \| The Cell \| \| \| \| Prokaryotic Diversity \| 3, 4 \| \| 23-Jan \| Prokaryotic Cells \| 4 \| \| 30-Jan \| Eukaryotic Cells \| \| \| \| Acellular \| 5, 6 \| \| 6-Feb \| Acellular \| \| \| \| Exam 1 - Thurs Feb 8 \| 6 \| \| 13 Feb \| Biochemistry \| \| \| \| Metabolism \| 7, 8 \| \| 20-Feb \| Metabolism \| \| \| \| Growth \| 8, 9 \| \| 27-Feb \| Genome \| \| \| \| Genetics \| 10, 11 \| \| 6-March \| Genetics \| \| \| \| Genetic Engineering \| 11, 12 \| \| 20-March \| Exam 2- Thurs March 22 \| \| \| \| Controlling Growth \| \| \| \| Drugs \| 13, 14 \| \| 27-March \| Mechanisms of Pathogenicity \| \| \| \| Diseases and Epidemiology \| 15, 16 \| \| 3-Apr \| Innate Immunity \| \| \| \| Adaptive Immunity \| 17, 18 \| \| 10-Apr \| Immune Disorders \| \| \| \| Lab Methods/Immune Response \| 19, 20 \| \| 17-Apr \| Exam 3-Thurs April 19 \| \| \| \| Diseases \| 21-26 \| \| 24-Apr \| Diseases \| 21-26 \| \| \| Final exam date TBA \| \| \| Day \| Lab # \| Topic(s) \| \|-----------\|-------\|-----------------------------------------------\| \| Jan 16 \| Lab 1 \| Lab Orientation, Safety, Microscope \| \| Jan 23 \| Lab 2 \| Aseptic technique, Inoculations, Simple Stains\| \| Jan 30 \| Lab 3 \| Microbial Morphology and Gram Stain \| \| Feb 6 \| Lab 4 \| Acid fast and endospore stain \| \| Feb 13 \| Lab 5 \| Bacterial Motility, Streak Plate, and Spread Plate \| \| Feb 20 \| Lab 6 \| Catch up and Practice Day for Exam 1 \| \| Feb 27 \| Lab 7 \| Lab Exam 1 \| \| March 6 \| Lab 8 \| Selective Media, Biochemical Tests, Serial Dilutions \| \| March 20 \| Lab 9 \| Selective Media, Biochemical Tests \| \| March 27 \| Lab 10\| Work on Unknowns \| \| April 3 \| Lab 11\| Work on Unknowns \| \| April 10 \| Lab 12\| Work on Unknowns and Practice Day for Exam 2 \| \| April 17 \| Lab 13\| Lab Exam 2 \| Schedule is subject to change at the discretion of the instructor. General Microbiology BIOL 3340K H Syllabus Instructor: Dr. April Anne Kay 217 Peeples Hall Office phone: 706-272-2669 Email: email@example.com Office Hours: Monday: 12:40-1:40 and 3pm-4pm Tuesday: 3:30-4:30pm Wednesday: 12:40-1:40 and 3pm-4pm Thursday: 1:30-4:30pm Like me on Facebook: Dr. Kay’s Announcements http://www.facebook.com/DrKayDaltonState ALG grant for microbiology Microbiology at Dalton State has become involved in an initiative to provide low cost/no cost textbooks to students in Georgia (ALG grant- Affordable Learning Georgia grant). I will be asking you to complete surveys and assign additional homework throughout this semester to access the current textbook. I appreciate you giving your full and truthful feedback in this process. There is point compensation for completion of these surveys and assignments. Textbook: Openstax Microbiology Lab manual: Lab handouts will be posted on GAview (GAV) or given during lab. You need a composition book, the kind that is string bound. You also need a glue stick or double sided tape to paste your labs in your notebook. NO STAPLES! They are a safety hazard. Notebooks with staples will not be accepted. Other course materials: A natural fiber article to tie-dye and rubber bands to tie. Optional course material is an I Clicker. Course description: Introduces students to the biology of viruses, bacteria, fungi, and protozoan and animal parasites. Teaches students the fundamental principles of microbiology with special emphasis on the relationships of microbes to man. Trains students to isolate, culture, and identify microbes in a laboratory. Student learning outcomes 1. Lab techniques: Demonstrate effective use of a microscope, demonstrate knowledge of laboratory safety, and demonstrate laboratory techniques required to isolate, culture, and identify microorganisms. 2. Microbiology and Laboratory Theory: Demonstrate an understanding of the biology of viruses, bacteria, fungi, and protozoan and animal parasites; demonstrate an understanding of the basic procedures used in the culture, identification, and control of microorganisms. 3. Human-Microbe Interaction: Demonstrate an understanding of the pathogenesis, epidemiology, diagnosis, and treatment of microbial diseases of humans; demonstrate an understanding of the human immune system, disorders of the immune system, and uses of immunological techniques. \| Grading \| Points \| \|--------------------------\|--------\| \| 4 Lecture exams \| 400 \| \| Final exam (comprehensive) \| 100 \| \| Lab \| 300 \| \| Quizzes \| 200 \| TOTAL points possible Grade Scale - A = 90-100% = 900-1000 points - B = 80 - 89% = 800-899 points - C = 70 - 79% = 700-799 points - D = 60 - 69% = 600-699 points - F = < 60% = 599 points or less Your grades will be posted on GAview. Your grade is determined on a point system. You can determine your grade at any time during the semester by taking the number of points earned, divide that by the total points possible and multiply by 100. \[ \frac{\text{points earned}}{\text{possible possible}} \times 100 = \% \text{ grade} \] For example, you have earned a total of 330 points out of 500 your grade would be a 66% or a D. Attendance Policy Lectures: Attendance is mandatory. Attendance will be taken daily. Attendance must be taken daily for financial aid purposes. If you have an excused absence: see make-up policy. Most lecture quizzes are posted on GAV and should be completed before the exam. Pop quizzes may be given in lectures. This is to insure you are keeping up with the material. PowerPoint presentations and lab handouts will be posted on GAV. Laboratories: Attendance is mandatory! Missing three labs may result in an automatic F for the entire course. If you have an excused absence: see make-up policy. Labs are cumulative, so missing one lab may result in difficulty in completing future labs. Lab policy is to complete the lab with your group as instructed. All members are responsible for conducting labs always thinking “Safety First!” All members of the group must participate fully. You must work well together, so pick your partner wisely, all members must remain in lab until finished; this includes clean-up. 10 point deduction from your grade if you do not work well, if you are disrespectful to a TA or myself when we are trying to help you, or if your area is not cleaned properly before you exit the lab. Exams: Attendance is required! If you have an excused absence: see make-up policy. You have 4 lectures exams. If your final exam grade is higher than any one of your lecture exam grades, it will be replaced in the final calculation of your grade. Final exam: Attendance is required! The final exam will be cumulative and will contain material covered in lecture and laboratory. Make-up Policy: Make-ups are allowed with a written excuse. The excuse must follow the student guidelines for an excuse absence. These include officially approved DSC group activity, documented court activity, documented military activity, or documented illness. YOU have seven calendar days after absence to contact me via email or office call to arrange a make-up. You will have up to 14 calendar days to make up the work from the day missed, unless this time surpasses the last day of classes then other arrangements will be made. If you know you will be absent and will not be able to make-up the work after the absence, you will have to make arrangements for you to take graded work earlier than the rest of the class. If you miss lab and have an excused absence, you may be able to make it up depending on lab availability and if you contact me so I can reserve lab materials. SO if you know you are going to be absent, or if you are sick, let me know asap. If you do miss lab, you are still responsible for the following week’s quiz. Academic Honesty: Conduct such as cell phone use during an exam/lab, roaming eyes, going to the restroom during an exam, or getting up out of your seat during a lab practical the student will be reported to the Associate Director for Student Conduct and Student Development for disciplinary action. I will recommend the disciplinary action to be a letter grade F for the course. Any type of cheating reported by a student or teaching assistance will undergo the same scrutiny. There is no tolerance for academic dishonesty. Class policies To create and preserve a classroom atmosphere that optimizes teaching and learning, all participants share a responsibility in creating a civil and non-disruptive forum. Students are expected to conduct themselves at all times in this classroom in a manner that does not disrupt teaching or learning. - Please feel free to ask questions pertaining to the scope of the subject at appropriate times. Raise your hand if you have a question or comment. - Classroom discussion should be civilized and respectful to everyone and relevant to the topic we are discussing. Classroom discussion is meant to allow us to hear a variety of viewpoints. This can only happen if we respect each other and our differences. - Electronic devices in class are not needed and are often a distraction. So my policy is no electronic devices except for your 1 clicker. These devices include cell phones, laptops, I pads, and any other device including wrist e-devices. Any distractions such as cell phone sounds and/or vibrations, you using your device or conversations with your neighbor over something online using a lap-top or other device will result in a 10 point deduction for each infraction. • What is expected of you? Be on time, turn off your devices, do not use devices during lecture and lab, take notes, ask questions, actively participate in class and lab exercises, and be respectful. If you do this, you are on your way to success. • Class behavior should not be a problem if you follow the Golden Rule, treat others as you want to be treated. Human courtesy is simple and essential in all aspects of life. Working well with others in our community with a happy heart comes back to benefit you! Any infractions of disrespectful language to another student or to the professor will result in a point deduction. Depending on the severity of the incident, a student may lose up to 50 points for each disrespectful outburst and/or wasting class time. If a student shows a pattern of misbehavior, the student will be reported to the student conduct board. If the student’s misbehavior is too severe, they may not be allowed to come back to class until after seeking appropriate counseling. TITLE IX INFORMATION: Sex Discrimination, Harassment, & Assault Sexual harassment is unwelcome, gender-based verbal or physical conduct that is sufficiently severe, persistent or pervasive that it has the effect of interfering with, denying or limiting someone’s ability to participate in or benefit from the college’s educational program and/or activities, and is based on power differential (quid pro quo), the creation of a hostile environment, or retaliation. Sexual misconduct is a form of sexual harassment prohibited by Title IX. Sexual misconduct refers to “physical sexual acts perpetrated against a person’s will or where a person is incapable of giving consent due to the victim’s use of drugs or alcohol. An individual also may be unable to give consent due to an intellectual or other disability.” Sexual misconduct includes dating violence, domestic violence, rape, sexual assault, sexual battery, stalking, and sexual coercion. Reporting Options Call 911 if you are in an emergency situation Dalton State Public Safety (this report is not confidential) Tech Building- Upper Level - 706-272-4461 Online Sexual Assault Report - https://dynamicforms.ngwebsolutions.com/ShowForm.aspx?RequestedDynamicFormTemplate=3fe5724c-a8bd-4a31-9c25-1a3d35110a51 If you would like to report to Dalton State Administration: (this report is not confidential) Report Title IX complaint online - http://daltonstate.edu/campus_life/student-conduct-about.cms Report Student-on-Student Title IX complaint in person: Brittnie Lee, Office of Student Life Coordinator for Student Responsibility & Service/ Deputy Title IX Coordinator Pope 113 firstname.lastname@example.org, 706-272-2999 Report Title IX complaint involving Faculty or Staff in person: Lori McCarty, Human Resources Director of Human Resource/ Title IX Coordinator Memorial 122 email@example.com 706-272-2034 If you would like to talk with someone confidentially: Dalton State Counseling & Career Services, Academic Resources Lower Pope 706-272-4429 firstname.lastname@example.org http://libguides.daltonstate.edu/Counseling Emergency Instructional Plan If the college is closed for inclement weather or other conditions, please consult the lecture schedule located in this syllabus posted on GAView and study the chapter on the topic scheduled for lecture and examine and study thoroughly the PowerPoint slides. Once you have finished studying, complete the GAView quiz posted. If a lab is cancelled, read over the lab and complete a lab quiz posted on GAView. Questions on the subject matter should be addressed via email: email@example.com. Compensatory make-up days may be required if the total number of days lost exceeds the equivalent of one week. ## Lab Schedule \| Lab Number \| Week \| Topic \| \|------------\|------------\|--------------------------------------------\| \| Lab 1 \| Jan 11 \| Lab Orientation, Safety, Handwashing lab \| \| Lab 2 \| Jan 18 \| Aseptic technique, Inoculation and Simple Stains \| \| Lab 3 \| Jan 25 \| Microbial Morphology and Gram Stain \| \| Lab 4 \| Feb 1 \| Bacterial Motility, Acid fast and Endospore stain \| \| Lab 5 \| Feb 8 \| Eukaryotic Lab \| \| Lab 6 \| Feb 15 \| Media Preparation and Sterilization \| \| Lab 7 \| Feb 22 \| Microbial metabolism \| \| Lab 8 \| March 1 \| Pour plate and spread plate \| \| Lab 9 \| March 8 \| Microbial Enumeration, colony counting \| \| Lab 10 \| March 15 \| Control of Microbial Growth, Tie dye lab \| \| Lab 11 \| March 22 \| Virology and Immunology \| \| Lab 12 \| March 29 \| Gram-positive lab \| \| Lab 13 \| April 5 \| Gram-negative Lab \| \| Lab 14 \| April 12 \| Unknowns \| \| Lab Final \| April 19 \| Lab Final, notebooks and lab report due \| \| Make-up \| April 26 \| Make-up lab in case of class cancellation \| Lecture Schedule \| Week \| Topics \| \|--------\|---------------------------------------------\| \| Jan 11 \| Syllabus, An Invisible World \| \| Jan 18 \| How We see the Invisible World \| \| \| Quiz 1 \| \| Jan 25 \| The Cell \| \| \| Prokaryotic Diversity \| \| Feb 1 \| Exam 1 \| \| Feb 8 \| Microbial Eukaryotes \| \| \| Acellular Pathogens \| \| Feb 15 \| Microbial Metabolism \| \| \| Quiz 2 \| \| Feb 22 \| Microbial Growth \| \| Mar 1 \| Exam 2 \| \| Mar 8 \| Control of Microbial Growth \| \| Mar 15 \| Spring Break \| \| Mar 22 \| Antimicrobial Drugs \| \| \| Quiz 3 \| \| Mar 29 \| Microbial Mechanisms of Pathogenicity \| \| \| Disease and Epidemiology \| \| Apr 5 \| Exam 3 \| \| Apr 12 \| Innate Nonspecific Host Defenses \| \| \| Adaptive Host Defenses \| \| \| Quiz 4 \| \| Apr 19 \| Disease of the Immune System \| \| \| Laboratory Analysis of the Immune Response \| \| Apr 26 \| Exam 4 \| \| May 3 \| Final Exam 4:10-6:10 pm \| Schedule and syllabus subject to change at the discretion of the instructor. Disability Support Statement Students with disabilities or special needs are encouraged to contact Disability Support Services in Academic Resources. In order to make an appointment to obtain information on the process for qualifying for accommodations, the student must contact the Disability Support Specialist. Contact information: Andrea Roberson Pope Student Center, lower level 706/272-2524 firstname.lastname@example.org Drop/Withdrawal Statement The last day to drop this class without penalty is March 23, 2018. You will be assigned a grade of W. After this date, withdrawal without penalty is permitted only in cases of extreme hardship as determined by the Vice President for Academic Affairs; otherwise a grade of WF will be issued. The proper form for withdrawing from all classes at the college after the official drop/add period but before the published withdrawal date is the Schedule Adjustment Form. Students who are assigned to the Academic Advising Center for advisement must meet with an advisor or staff member at the Academic Advising Center (1074 Liberal Arts Building) to initiate the withdrawal process. All other students must meet with a staff member or advisor at the Office of Academic Resources in the Pope Student Center to initiate the withdrawal process. After meeting with the staff member or advisor, all students will then finalize the withdrawal process in the Financial Aid Office. Students who fail to complete the official drop/withdrawal procedure will receive the grade of F. Withdrawal from class is a student responsibility. The grade of W counts as hours attempted for the purposes of financial aid. I have read, understand, and agree to the above policies and syllabus for BIOL 3340K General Microbiology with Professor Dr. April Anne Kay for Spring 2018. Signed _______________________________ Print name__________________________ Phone: _______________________________ Final Report Affordable Learning Georgia Textbook Transformation Grants Final Report General Information Date: May 22, 2018 Grant Round: 9 Grant Number: 69268 Institution Name(s): Dalton State College Project Lead: Dr. April Anne Kay, Associate Professor of Biology, Natural Sciences, email@example.com Team Members: (1) Professor Susan Burran, Associate Professor of Biology, Natural Sciences, firstname.lastname@example.org (2) Dr. Leah Howell, Assistant Professor of Biology, Natural Sciences, email@example.com Course Name(s) and Course Numbers: Microbiology 2215K and General Microbiology 3340K Semester Project Began: Summer 2017 Final Semester of Implementation: Spring 2018 Total Number of Students Affected During Project: 71 1. Narrative A. Describe the key outcomes, whether positive, negative, or interesting, of your project. Include: - Summary of your transformation experience, including challenges and accomplishments - Transformative impacts on your instruction - Transformative impacts on your students and their performance Overall, the project was very positive. Students and professors alike were able to use the OpenStax textbook with ease and could navigate through the e-book effortlessly. It was interesting in the fact that there were many more diagrams, pictures, and tables than what the old paper textbook provided. This was a great feature to OpenStax! Professors were able to learn new concepts to teach and explain to their students thanks to the descriptions and detail in the OpenStax textbook. It was a challenge to create new PowerPoint slides for every chapter. Before using this e-book, note pages and PowerPoints were created for the old textbook. Incorporating the new textbook into lecture was demanding. New PowerPoints had to be made that meshed all the new information, pictures, and diagrams with some of the old material that was still relevant to the course. This took a lot of time. However, additional diagrams and pictures meant that lecture time was spent more on explaining concepts instead of repeating worded information on a slide. This is believed to help students in the future at really understanding what professors are teaching instead of just memorizing information. Concept knowledge will help the student when he or she goes to take a graduate or pre-professional evaluation. This Final Report was also a challenge due to the time it took to complete and to provide accurate and true findings. The majority of student survey responses showed how grateful they were for a free textbook that they could take along with them anywhere they went. Also, many students mentioned how much they preferred the OpenStax textbook just based on the layout and ease of use and accessibility of the textbook. Although there was about the same performance in students from previous semesters using a different textbook compared to the new OpenStax textbook, the students preferred to learn out of OpenStax. B. Describe lessons learned, including any things you would do differently next time. The only thing we would do differently would be to have all PowerPoints prepared and updated before the semester began. Time constraints prevented all participants from completing this task prior to the initiation of the project. 2. Quotes 1. “I very much prefer the free online textbook version. I have spent a lot of money on college textbooks over the years. Any help is greatly appreciated.” 2. “A free online textbook is better. Physical textbooks are bulky and expensive.” 3. “I prefer the online textbook to reduce the cost.” 4. “Openstax was not only easier to navigate but also did not talk completely over my head.” 5. “The organizations of the chapter, subheads, and book overall allowed for the reader to be both intrigued, engaged and challenged.” 3. Quantitative and Qualitative Measures 3a. Uniform Measurements Questions Student Opinion of Materials: Was the overall student opinion about the materials used in the course positive, neutral, or negative? Total number of students affected in this project: 71 - Positive: 65% of 47 number of respondents - Neutral: 30% of 47 number of respondents - Negative: 4% of 47 number of respondents *Many students who answered that they had a neutral opinion of the textbook revealed that they never used it as a resource. Please reference attached surveys from students. Student Learning Outcomes and Grades: Was the overall comparative impact on student performance in terms of learning outcomes and grades in the semester(s) of implementation over previous semesters positive, neutral, or negative? Choose One: - Positive: Higher performance outcomes measured over previous semester(s) - Neutral: Same performance outcomes over previous semester(s) - Negative: Lower performance outcomes over previous semester(s) Student Drop/Fail/Withdraw (DFW) Rates: Was the overall comparative impact on Drop/Fail/Withdraw (DFW) rates in the semester(s) of implementation over previous semesters positive, neutral, or negative? Drop/Fail/Withdraw Rate: 5.6% of students, out of a total of 71 students affected, dropped/failed/withdrew from the course in the final semester of implementation. Choose One: - Positive: This is a lower percentage of students with D/F/W than previous semester(s) - Neutral: This is the same percentage of students with D/F/W than previous semester(s) - Negative: This is a higher percentage of students with D/F/W than previous semester(s) 3b. Measures Narrative Student Learning Outcomes and Grades The student success measures were very similar during the Fall 2017 semester (using the traditional textbook) compared to the Spring 2018 semester (using the OpenStax textbook). Very few students (2) withdrew from the course during the Fall 2017 semester; during the Spring 2018 semester, only one student failed to complete the course due to a medical issue. For Biology 2215K (pre-nursing Microbiology): the percentage of students receiving an A or B was higher during the Spring 2018 semester (85% of students) compared to the Fall 2017 semester (83%). The percentage of students receiving an A or B in Biology 3340K (Biology majors Microbiology) was lower during Spring 2018 (67% of students) in comparison with Fall 2017 (96%). Of note, the Biology 3340K course was taught as a hybrid during Spring 2018 and as a traditional course during Fall 2017: this may have been a contributing factor to the lower grades observed in that course during the semester of implementation. The major learning objectives for Biology 2215K and Biology 3340K are demonstrating proper laboratory technique and theory, demonstrating an understanding of microbial biology, and demonstrating an understanding of the human immune system and interactions with pathogenic microbes. All three learning objectives were assessed successfully and our targets were met. Our objectives are assessed by giving a short test at the start of the semester and again at the close of the semester. There was marked improvement on these tests during Spring, indicating that the OpenStax textbook adequately assists students in accomplishing the learning objectives for the course. Student Satisfaction We questioned our students on their method of accessing the internet, their preferences for textbooks, whether textbooks were adequately used in their experience, and what consequences they experienced by not buying the textbook for a class (see Student Survey 1). Most students stated that they had access to a personal computer (98% in the Fall and 91% in the Spring). In the Fall 2017 semester, a high proportion of students (40%) indicated that they would not be willing to use an eBook, even if it would save them money. The rationale offered for this preference was that most students simply would rather have a physical copy of the book. For the Spring 2018, only 25% of students indicated that they would be unwilling to use an eBook, again citing their preference for a physical textbook. These responses indicate that students have access and, for the most part, are willing to use a digital textbook. Most students (67% in the Fall and 86% in the Spring) indicated that the required textbook was not used in at least one of their classes, and a surprising number of students (19% in the Fall and 39% in the Spring) indicated that the required textbook was not used in at least 5 of their classes. Students who responded to the surveys indicated that they have experienced the following negative consequences associated with expensive textbooks: not purchased the required textbook, dropped the course, received a poor grade or failed the course, or registered for fewer classes. The responses to these questions indicate that students understand the necessity for utilizing the textbooks in courses as well as notice when the textbook is underutilized in the course. Student satisfaction rated high with the OpenStax textbook: most students surveyed indicated that they were satisfied with the OpenStax textbook (31 of 47 students, or 66%; see Student Survey 2). This is a higher satisfaction rate than the previous semester with the traditional textbook (only 42 out of 76 students, or 55%). Students rated the ease with which one can search the OpenStax textbook as its greatest strength, followed by the fact that it is free and available online. Most students were able to access the textbook through multiple platforms: most commonly directly via the OpenStax website or by downloading and printing the PDF version of the chapters. For both the traditional and OpenStax textbooks, one of the frequently-cited weaknesses was that the students found the textbooks difficult to understand or containing too much information. Another issue for both textbooks is lack of access: 26% of students failed to access the textbook during the Fall 2017 semester and 29% of students did not access the textbook during the Spring 2018 semester. Chapter 5 Side-by-Side Comparison Students in Biology 3340K during the Spring 2018 semester were asked to complete a side-by-side comparison of Chapter 5 in the Talaro textbook to Chapter 5 in the OpenStax textbook. This chapter was chosen because it covered similar topics in both textbooks. The students were given a short test (37 questions) covering the content in both textbooks. They were then shown their grade on the test, and were asked to complete a reflection about their experience. To ensure students completed the assignment, they were graded based upon their completion of the test and questionnaire. This was a useful means of evaluation as students were able to directly compare textbook content within a narrow focus and gauge assets for both. Students overwhelmingly preferred the OpenStax textbook, citing its strengths in multiple areas: comprehension of the language used, ease of navigation, and helpfulness of review resources. Most students (78%, or 17 of 22 students) even declared their preference of OpenStax to a physical textbook, which previous surveys indicated was contentious for many students. The majority of students mentioned specifically that they liked the “free” aspect of the OpenStax textbook: this may be a key factor for many students. Professor Opinion The professors who participated on this project were overall satisfied with either textbook (Talaro rated 7.8/10 and OpenStax rated 7/10). The major factor from the faculty was whether the instructor resources were helpful. Overall, the resources for the traditional textbook (Talaro) were better: the PowerPoint presentations were more robust, the test bank questions were better-developed, and the pictures/descriptions in the textbook were more thoughtful. There were some minor issues with the layout of the OpenStax but all agree that makes more sense for the pathogen unit (Chapters 21-26) to be organized by body system to a future health professional, which is the majority of our students. 4. Sustainability Plan Starting in the summer of 2018 we are happy to say that we will continue to offer the free online OpenStax textbook for all students enrolled in a Microbiology class at Dalton State College. Students will have access to use the textbook in whatever ways that will help them succeed in the class. OpenStax is a perfect course material because it is online which requires little to no work to keep updated. Professors teaching this course will use this textbook to gather information and concepts that students need to know. Professors will continue working on their updated PowerPoints and mold them so that what is on them can be clearly referenced to the OpenStax book. As needed, professors can make changes to what is expected of the student based on the rigor of the class itself. For example, a 3000 level Microbiology student might need to know more in depth material than a 2000 level Microbiology student. This book is a low maintenance, low-cost learning material which is exactly what students and professors will benefit from in the years to come. 5. Future Plans We were pleased to see how many students were relieved when they found out that their textbook for the semester was free. We try to keep everything at a low cost, including printing off labs for all my students. We understand the financial pressures our students have considering that many are non-traditional students trying to earn a degree. This textbook provides a quick and easy way for students to study and grasp concepts presented in class. In the future, we will continue to use OpenStax as our survey results showed a very high appreciation of it by the students. At this time there are no planned presentations or publications of the work done on this project. Surveys of students will be kept and referenced when needed. The knowledge gained from this experience will always be remembered and the college will continue to use and enjoy the OpenStax textbooks. We intend to address the issues surrounding students’ failure to access the textbook and error in appreciating the value of their textbook. We propose to give a textbook-specific assignment that would be difficult for students to complete if they neglect to access their books. This will ensure that students know how to access their textbook. One suggestion is a textbook scavenger hunt in which students have to search the book for answers to questions. To help students understand how important it is to use their book to further their understanding of course content, some suggestions are to re-use a few chapter review questions on each exam. Additionally, we could assign review questions ahead of lecture that would require students to reference the textbook; students would be quizzed on these review questions randomly during lecture (perhaps using the iClicker technology). In the future, we propose to offer our lecture presentations and some original test questions to OpenStax in order to round out their instructor materials, since we felt that was a major weakness with adopting the OpenStax textbook. 6. Description of Photograph Pictured left from right are the grant recipients: Professor Susan Burran, Dr. April Anne Kay (project lead), and Dr. Leah Howell.
The author(s) shown below used Federal funds provided by the U.S. Department of Justice and prepared the following final report: Document Title: Development and Validation of a Standardized Canine STR Panel for Use in Forensic Casework Author: Sree Kanthaswamy Document No.: 226639 Date Received: April 2009 Award Number: 2004-DN-BX-K007 This report has not been published by the U.S. Department of Justice. To provide better customer service, NCJRS has made this Federally-funded grant final report available electronically in addition to traditional paper copies. Opinions or points of view expressed are those of the author(s) and do not necessarily reflect the official position or policies of the U.S. Department of Justice. The Development and Validation of a Standardized Canine STR Panel for Use in Forensic Casework (NIJ Grant No. 2004-DN-BX-K007) Sree Kanthaswamy Abstract: The American Pet Products Manufacturers Association 2007-2008 National Pet Owners survey found that 39% of U.S. households have at least one dog (APPMA 07-08A). Given that dogs regularly come into close contact with humans, canine biological material is frequently found at crime scenes and constitutes a useful source of evidence. Testimony based on short tandem repeats (STRs) analysis of animal DNA evidence has been used in a number of court cases worldwide. For example, casework based on domesticated dog DNA has been instrumental in successfully linking a perpetrator to a crime scene in instances of murder, burglary, and sexual assault and in cases of animal abuse and theft. Unfortunately, despite its tremendous potential for facilitating forensic investigation, canine DNA remains under-utilized as a source of evidence. The few laboratories that currently perform forensic analysis of canine DNA use a variety of marker sets with little overlap among them. Recent court challenges to canine DNA analysis have demonstrated a need for a standardized canine STR panel that has been validated according to human forensic guidelines. In collaboration with the California Department of Justice, the National Institute of Standards and Technology, the National Institute of Health, the Federal Bureau of Investigation, MMI Genomics, and Finnzymes, we developed and validated a canine forensic fluorescent-based multiplex composed of 18 independently-segregating STR markers that are robust, reliable, and informative for all dog breeds. In addition to STR markers, the panel also includes the gender identification and the canine Zinc Finger gene. This multiplex was used to profile Pit Bull Terrier and Rottweiler samples (two breeds frequently involved in forensic cases), mixed-breed samples, and a collection of pedigreed pure-bred dogs (over 667 unrelated individuals representing over 50 American Kennel Club-recognized breeds). These subpopulations formed the foundation of our canine database. The resulting data was used to assess genetic and geographic substructure and to estimate recombination ratios and inbreeding coefficients, including Fst. In addition, genetic diversity among and within the regional and breed datasets were compared. Each pedigreed dog population was genetically distinct and could be differentiated from the mixed breed dog population. Genetic diversity was slightly clinally distributed among the different U.S. regions. The results herein provide further support for using allele frequency data with the canine STR multiplex to convey the significance of identity testing for forensic casework, parentage testing, and breed assignments. The underlying scientific procedures and results have been submitted to peer-reviewed journals and presented at national and international conferences. # Table of Contents: \| Section \| Page \| \|----------------------------------------------\|------\| \| Abstract \| 1 \| \| Executive Summary \| 3 \| \| Main Body of the Final Technical Report \| 10 \| \| I. Introduction \| 10 \| \| II. Methods \| 13 \| \| III. Results \| 19 \| \| IV. Conclusions \| 49 \| \| V. References \| 54 \| \| VI. Dissemination of Research Findings \| 60 \| ## Acknowledgements: 62 Executive Summary: Routine STR profiling of human bioevidence is the mainstay of most state-sponsored and private forensic laboratories. STR analysis provides a powerful approach for match comparison and parentage or kinship testing. In human DNA testing, the DNA Advisory Board, led by peer consensus, has successfully implemented standards in quality assurance for performing DNA typing with efficiency and reproducibly (DNA Advisory Board [DAB] 1998). Though not considered mainstream, animal forensic DNA testing is performed routinely in some private and academic laboratories to assess an animal’s identity by discovering its parentage, breed, species, or geographic origin. In several instances, pet animal DNA has been used to adjudicate criminal or civil cases (Menotti-Raymond et al. 1997, Halverson and Basten 2005, Budowle et al. 2005), but forensic analysis of biological material from animals is not limited only to household pets. STR analyses of animal DNA have been presented in court cases involving livestock such as cattle, goats, horses, llamas, and sheep (http://www.vgl.ucdavis.edu/forensics/index.php). Since dogs are common domestic pets in the United States (The American Pet Products Manufacturers Association’s [APPMA] National Pet Owners Survey of 2005-2006 estimated that there are over 70 million dogs in the U.S. with an average of 1.7 dogs per house-hold and about one dog for every four persons in the U.S. (2007-2008 APPMA survey)), the development and validation of a commercially available canine-specific forensic STR profiling kit would provide a valuable tool to forensic investigations. Despite its obvious utility, domestic dog DNA evidence remains largely under-utilized in criminal investigations. While this situation is partially created by the absence of robust forensic STRs, another reason is the unavailability of standardized and validated canine PCR kits and protocols as well as a lack of standard nomenclature and internal sizing standards (allelic ladder). The lack of information about the potential value of canine hair or other biological samples and the low probability of obtaining an informative STR profile from fallen hair samples may also contribute to the indifference of the forensic community to the value of non-human DNA evidence. Unlike human identification kits, there are no commercially available forensic STR multiplex kits for canine DNA testing despite the utility they would offer the forensic community. Zajic et al. (1994), Shutler et al. (1999), Pádár et al. (2001a, b, 2002) and Halverson and Basten (2005) have opted to use either commercial kits or laboratory-assembled STR panels originally developed for non-forensic testing in forensic applications. Commercial and laboratory kits for animal DNA typing are usually formulated for co-amplifying markers in pristine samples such as blood or buccal cells with high copy numbers of DNA. The Applied Biosystems’ (Foster City, CA) Stockmarks® Canine I and II kits, once marketed for routine parentage assessment, have been used to analyze evidentiary canine material in homicide cases (Halverson and Basten 2005), but these canine kits, which neither include allelic ladders nor proposed a nomenclature for forensic casework, were discontinued from production in 2005. A vast number of forensic cases not reported in the literature have used in-house or commercially developed non-forensic kits. Most of these cases also rely on ad-hoc and private databases that were assembled based on these non-forensic reagent kits. An ideal database should include samples from a broad spectrum of sources, including pure breed dogs whose lineages are recorded by breed registries, pure breed dogs whose lineages are not recorded, dogs from pedigrees that cannot be tracked and, consequently, are not recognized by most breed registries, and dogs that are hybrids of two or more breeds. Canine population genetic databases in the U.S. were originally established via routine parentage and pedigree assessment or for other non-forensic applications and likewise are dominated by pedigreed dogs (or pure breed dogs that have their ancestry formally recorded by breed registries). Relevant databases reflecting the genetic structure of mixed breed dogs (which represent approximately 50% of the dog population in the U.S., APPMA 2005-06A) are not available. To obtain more meaningful values for calculating DNA profile frequencies, the canine database should also be geographically representative in order to show the distribution of genetic variation across the country. Since biomaterial from dogs reflecting various types of canine heritage could potentially be present at crime scenes, our regionally representative canine database comprises pedigreed dogs, mixed breed and pure breed dogs (purebred dogs without formal pedigree records). Until now, no concerted effort has been made by animal typing laboratories to develop a forensically validated canine STR kit and an accompanying population database following the Scientific Working Group on DNA Analytical Methods guidelines (Technical Working Group on DNA Analysis Methods [TWGDAM] 1995). Our joint initiative to assemble a canine forensic STR typing kit involved input from several private, academic, state, and federal laboratories including the Department of Justice Laboratory in Richmond, CA, MMI Genomics Inc. (MMIG) in Davis, CA, QuestGen Forensics in Davis, CA and the Molecular Anthropology Laboratory (MAL), University of California Davis (UC Davis), CA, the National Institute of Standards and Technology (NIST) in Gaithersburg, MD, the FBI DNA Laboratory, in Quantico, VA, the Laboratory of Genomic Diversity, National Cancer Institute, in Frederick, MD and the diagnostics division of Finnzymes Oy, in Espoo, Finland. As part of a series of developmental validation measures of the proposed commercial forensic kit (Dayton 2008.), the present report provides an analysis of 18 polymorphic, canine-specific STRs that are included in the developed kit. The panel of markers, which includes the X and Y chromosome-linked zinc finger loci for gender determination, has been formatted into an easy-to-use, quality-controlled, and validated (Dayton 2008) reagent kit. This kit has been earmarked for commercialization by Finnzymes Oy and the establishment of allelic ladders based on allelic sequences and a nomenclature system (Tom et al. submitted) is underway. We conducted population studies on three different sample sets: one included geographically representative populations of mixed breed dogs from 50 states in the U.S., a second that represented dogs from the most popular pedigreed breeds in the U.S. (according to the American Kennel Club [AKC, http://www.akc.org/]), and the third included Rottweilers and American Pit Bulls, two dog breeds which have been characterized as ‘dangerous’ by the U.S. Center for Disease Control (CDC) due to their frequent involvement in dog bite-related fatalities (Gershman et al. 1994, Sacks et al. 2000). The resulting population database contains publicly accessible information designed to be admissible in U.S. courts including data on locus informativeness, allele frequencies, distribution of domestic dog genetic variation, match probability estimates, and inbreeding coefficients. Average random match probability is 1 in 2x $10^{33}$ using the regional database and 1 in $4 \times 10^{39}$ using the breed dataset. Here, we also report additional validation studies of the assay to determine its robustness and reliability in forensic DNA typing (Dayton 2008). These studies include species-specificity and sensitivity testing, peak height ratio and intra- and inter-locus color balance studies, mixture, annealing cycle number and temperature studies, and case type samples and population studies. The reagent kit not only robustly amplifies domesticated dog samples but also wolf (Canis lupus) samples. This kit is also capable of consistent amplification of full 19-locus profiles from 125 pg of canine DNA and will be commercially manufactured for the forensic research community to ensure compliance to quality assurance standards for forensic casework. Several studies, including Tom et al. (submitted) have been performed to evaluate genotype and sequence information for multiple canine STR markers (Shibuya et al. 1994; Francisco et al. 1996; Mellersh et al. 1997; Halverson et al; 1999; Neff et al. 1999; Hellmann et al. 2006) and more recently, various laboratories have multiplexed different canine STR markers for co-amplification in a PCR reaction. Earlier multiplexes usually contained from three to ten primer pairs that required multiple amplifications to type 15 or more markers (Koskinen and Bredbacka 1999; Halverson and Basten 2005; Eichmann et al. 2005; Hellmann et al. 2006). Such protocols are very similar to the human Profiler and Cofiler kits (Applied Biosystems, Foster City, CA); a sample of forensic interest would be amplified by both kits in order to type all 13 Combined DNA Index System (CODIS) core loci. However, when forensic sample is limited, it is much more efficient as well as cost- and time-effective to amplify all polymorphic markers of interest in a single multiplex PCR reaction. This also avoids exhausting evidence which can be made available for comparative testing. Similar to the human Identifiler® kit (Applied Biosystems, Foster City, CA) designed to co-amplify all 13 CODIS loci. The reagent kit enables co-amplification of 18 STR loci and the sex-linked Zinc Finger (for canine sex determination) marker. As a first evaluation of the proposed multiplex, developmental validation studies similar to the testing described in the Identifiler® validation paper (Meiboom et al. 2004; Collins et al. 2004) are reported in this study. The performance of the reagent kit is discussed in comparison with that of previous typing kits utilized for forensic casework, primarily Identifiler® (Collins et al. 2004), Stockmark® Canine I and II panels (Applied Biosystems, Foster City, CA [Halverson and Basten 2005]), the Eichmann et al. canine multiplexes (2004a; b), and the Menotti-Raymond et al. ‘Meowplex’ (2005). In its current state, the Finnzymes Canine 2.1 Multiplex STR Reagent kit contains 18 polymorphic STR markers. The multiplex is able to type 0.125ng of DNA template in a 20uL reaction volume. The optimized PCR amplification parameters for the kit are consistent with previous canine typing systems utilized for forensic casework and are similar to feline and human typing kits. Furthermore, the Finnzymes multiplex has a level of sensitivity, ability to detect low level mixture ratios, and power of discrimination comparable to those of other forensic typing systems when amplifying case-type samples. The proposed reagent kit is also capable of genotyping wolf (C. lupus) samples, which can be useful in wildlife population and conservation studies. The overall peak height ratios for most markers (excluding the Zinc Finger and FH2017) ranged between 78.88 and 93.05%. Intracolor balance was not as robust as in Identifiler® (between 32-45% depending on color channel); therefore, we suggest that the manufacturer of the canine kit improve the balance prior to the kit’s commercial release. Intercolor balance was 22%, which was averaged over 61 evaluated samples. To obtain better intracolor balance, increasing the signal of markers that tended to produce the lowest RFU values per color (FH2017, PEZ05, FH2107, and FH2088) and reducing the signal in markers that tended to generate the highest RFU values (FH2010, Zinc Finger, FH2054) could be investigated. In addition, certain primers had high sequence similarity with non-canine species. The FH2017 forward primer has 95-100% identity to numerous locations in the horse, human and rhesus monkey genomes. Also, it is probable that the primers designed for FH2017 bind to a region of DNA that contain site mutations, which is apparent in the high standard deviation for the peak height ratios calculated. The resulting high rate of allelic drop out from mutations in the FH2017 primer annealing site probably caused the lowest across-loci average observed and expected heterozygosity values obtained in a study involving 667 dogs (Kanthaswamy et al. submitted). Rather than addressing the various problems associated with marker FH2017, the primer pair should be removed from the multiplex all together. PEZ05 is another primer pair that presents problems. The PEZ05 marker is located on the same chromosome as another marker, FH2054. This usually generates the lowest signal within its dye color, and ambiguous allele calls can result from its 10 base pair overlap (discovered from the positive control animal) with FH2001. Rather than redesigning the primers, PEZ05 is another candidate for removal from the Finnzymes multiplex. Marker FH3313 is a third candidate for removal because of microvariants that are difficult to resolve due to slight sequence variations (Tom et al., submitted), and its low normalized peak signal, which reduces intracolor balance in the red channel. Even after these removals, the kit would still have 15 STR loci, which should be completely sufficient for high informativeness in forensic casework. DNA extracted from blood and buccal cells can reliably produce full profiles when amplified with the canine STR kit. Phenol/chloroform extracted hair samples produced partial profiles. Several Chelex extracted hair samples from non-probative case type samples also produced partial profiles, as did non-probative saliva stains on denim pants. Further studies designed to improve the typing results from low copy number samples (such as shed hair samples) should be planned. Furthermore, the preliminary differences in typing results dependant on other canine hair qualities (i.e. the coarseness of the hair) might also be a worthwhile investigation for optimizing sample profile information. The sequence information from STR loci, on which the allelic nomenclature system is based, reflects the importance of point mutations, insertions, and deletions within and outside these loci’s core repeat structures. Structural variation significantly impacts the precision of fragment sizing based on capillary electrophoresis, confounding allele calls, allele numbers, and estimates that rely on allele frequency. Because an understanding of the STRs’ sequence structure will improve the accuracy and precision of allele fragment sizing in U.S. canine forensic genetic testing, the expected allele sizes have been calculated and their repeat structures defined based on novel allelic sequence information. A canine STR nomenclature and allelic ladder system have been proposed to enhance accuracy in fragment sizing and to facilitate inter-lab comparison of STR data to augment STR interpretation (Eichmann et al. 2005; Hellmann et al. 2006). In accordance with the International Society of Forensic Genetics (ISFG) (DAB 1994; Bär et al. 1997; Eichmann et al. 2005; Hellmann et al. 2006), this repeat-based nomenclature system designates canine STR alleles based on the number of full repeat motifs and, separated by a decimal, the number of nucleotides contained in the partial or incomplete repeat motifs or microvariants (repeat motifs smaller in size than the general repeat motif size at a particular locus). Because this system is based on an internationally accepted nomenclature method, our goal was to use Eichmann et al.’s (2005) and Hellmann et al.’s (2006) nomenclature system to characterize the actual size and sequence structure of several canine STR loci that have not been previously characterized structurally but are included in the commercial Finnzymes multiplex. Detailed repeat motif sequences relative to common allelic size ranges of five of the 18 STR loci (FH2010, FH2054, FH2328, PEZ02, and vWF.X) in the proposed STR reagent kit have been published and displayed on the NIST Short Tandem Repeat DNA Internet DataBase (http://www.cstl.nist.gov/strbase/dogSTRs.htm). Tom et al.’s (submitted) study has three objectives, the first of which is the verification of the STR sequences and core repeat structures of these five STRs, based on canine samples collected from domestic dogs throughout the U.S. This objective is particularly important because the primers used in our proposed STR panel do not target the same annealing sites as previously cited (Eichmann et al. 2005; Hellmann et al. 2006). The second objective of this study is to describe the sequences and core repeat units of the remaining 13 STR loci. The third objective is to characterize the sequences of the sexing marker, the canine X and Y chromomsome-linked Zinc Finger gene, that were incorporated into the panel. Regardless of species, STRs are very informative markers for uniquely identifying an individual. The STR panel currently being developed to be incorporated into the Finnzymes Canine 2.1 reagent kit will allow biological evidence from canines to provide important information in criminal investigations. Since the loci chosen to be a part of this 19-plex are a combination of published loci and unpublished loci, it is prudent to confirm that the same repeat units are obtained for the published loci as well as to produce high quality sequences for the loci that have not yet been published. The number of alleles present for a particular locus is an indication of the degree of polymorphism of the marker and its value for use in canine DNA testing. While sequences flanking the STR core repeat regions normally remain unchanged, sequence variation in these flanking regions also occur and can impact the amplicon sizes of each of the possible alleles, the number of alleles per locus, and estimates based on allele frequencies and interpretations of DNA profiles. Occasionally, mutations in the flanking regions can cause PCR failure and allelic drop-outs, as observed by Dayton (2008), among some of the canine loci studied here. This study adopted the nomenclature system described by Eichmann et al. (2005) and Hellmann et al. (2006) by using the first detectable repeat unit as a starting point to characterize the repeat region and the last repeat as the ending point. It would be detrimental to base STR nomenclature on the specific variable locations within the repeat regions and not the entire repeat region because as more samples are analyzed using these STR loci, new (rare) alleles will be discovered and need to be included in the database without confounding the existing alleles at a specific locus. An important component for the proposed reagent kit is the development of internal sizing standards (i.e., allelic ladder) for standardizing allelic designations (Hellmann et al. 2006). The allelic ladder should contain the common alleles with basic repeat motifs and common microvariants of the STR loci comprising the reagent kit for use as reference for fragment sizing. The sequences of alleles used as rungs in the allelic ladder should be established so that size determination of unknown alleles can be reliably based on the similarity of electrophoretic mobility of known alleles in the ladder. The known sequences of the alleles in the allelic ladder will also facilitate inter-laboratory comparisons even if different samples are used to develop the allelic ladders. The human STR nomenclature is based on the 1994 recommendations of the International Society of Forensic Genetics (ISFG). There were no standardized canine STR nomenclature and allelic ladder systems in existence until Eichmann et al. (2005) and Hellman et al. (2006) proposed a method system that has yet to be adopted by other laboratories in canine forensic STR genotyping. Standardized and validated animal STR protocols that emerged from these previous studies as well as the one study currently being completed will promote the acceptance of animal DNA typing through creation of validated STR panels, publication of peer-reviewed articles, and establishment of a centralized database. The use of a standardized panel of loci in all investigations would facilitate interlaboratory comparison of information and will enhance the accuracy and precision of canine forensic genetic testing in the U.S. The allelic nomenclature proposed here in conjunction with a breedwise and regional-wide population genetic study using the markers included in the reagent kit by Kanthaswamy and colleagues (submitted) and the developmental validation of the kit by Dayton (2008) will provide a more accurate description of STR allele frequency distributions among the various U.S. canine subpopulations. This study focused on the application of the Finnzymes multiplex and associated genetic database in the forensic genetic identity and parentage testing of canines in the U.S. The kit’s panel of 18 STRs was shown to be reproducible, informative, and robust. The database, which is constructed based on the STRs’ allele diversity and frequency distributions, is comprehensive in terms of regional representation of pedigreed and mixed breed dog populations in the U.S. The genetic profiles and allele frequencies of important dog breeds in the U.S. that are popular as house pets and/or dangerous as vicious animals linked to fatal dog bites are also represented in the database. With their enhanced informativity and efficiency and their easy accessibility to forensic laboratories, the kit and the accompanying population genetic database combine to form a consolidated and valuable resource that could potentially develop into a universally accepted canine forensic STR system. While the aforementioned objectives of developing a validated multiplex STR panel for forensic profiling of canine evidence, complete with a nomenclature system for enhanced reproducibility and precision, were the direct goals of the project that was proposed to NIJ, the following are additional achievements of the NIJ funded project that include the development of a real time qPCR technique for canine forensic DNA and the establishment of locality-specific and national canine mtDNA databases. Using quantification data to control the amount of template DNA in the polymerase chain reaction (PCR), forensic scientists can optimize testing and minimize the consumption of limited samples. The ability to identify and quantify trace DNA in mixed-species samples is crucial when it may be overwhelmed by nontarget DNA, as in cases of dog attack. We evaluated two quantitative real-time PCR assays for dynamic range, species specificity, and inhibition by humic acid (Evans et al. 2007). While both assays proved to be highly sensitive and discriminating, the Melanocortin-1 Receptor (MC1R) gene Taqmans assay had the advantages of a shorter run time, greater efficiency, and safer reagents. In its application to forensic casework, the MC1R assay has been advantageous for quantifying dog DNA in a variety of mixed-species samples and facilitating the successful profiling of individual dogs. Mitochondrial DNA (mtDNA) analysis of hypervariable 1 (HV1) region in domestic dogs was carried out to determine the power of HV1 polymorphic sites for identifying individual dogs and breed type. A 608 bp-long stretch of canine mtDNA comprising the HVI region was sequenced for 36 domestic dogs with varying degrees of breed admixture representing 19 different distinct breeds. Evaluation of the haplotype sequence variation revealed sixteen unique haplotypes with frequencies ranging from 3 to 17 percent, confirming that the exclusion capacity of mtDNA is significantly lower than nuclear DNA markers, particularly a panel of informative STRs. No correlation was observed between mtDNA haplotype and type or breed of dogs based on morphological features or the owner’s verification. However, some haplotypes were more disproportionately represented in some breed mixes than other haplotypes. Because breed types were first verified by the owners of the dogs, the results of this study suggest that testimony by witnesses regarding the breed of a dog involved in a forensic investigation is not reliable. A 60 bp “hotspot” within the canine mtDNA HVI was discovered that portends a valuable molecular tool for future canine forensic application, particularly for assaying degraded DNA samples. The analysis of this 60 bp variation hotspot sequence in the canine mitochondrial DNA (mtDNA) hypervariable region I (HVI) was conducted to evaluate its utility in forensic investigations. Sixteen haplotypes containing 15 single nucleotide polymorphisms (SNPs) were observed among 118 sequences from five regional localities in the U.S. Another nine haplotypes containing seven SNPs were detected when 177 GenBank sequences were included in the study. Assays using these haplotypes were robust, canid specific, and are expected to provide a rapid method for correctly excluding individual dogs as non-contributors. Samples from the different localities were highly variable and representative of the much broader collection of geographically representative GenBank sequences. As previous canine mtDNA studies have shown, the inclusion of the GenBank sequences in this study did not significantly increase exclusion capacity estimates suggesting that the choice of a representative database for ascertaining frequencies and exclusion probabilities is important. In both studies, we showed that the inclusion of more globally representative mtDNA sequences does not significantly increase the exclusion capacity estimates, suggesting that the choice of a representative database used to obtain frequency estimates for a particular DNA sequence can impact exclusion probabilities. Each local sample was shown to be highly variable and representative of the much broader geographic sample, reiterating the findings of Himmelberger et al. (2008). Finally a study including the 608 bp sequence within the hypervariable region 1 (HV1) of canine mitochondrial DNA (mtDNA), first reported by Himmelberger et al. (2008), was further examined in samples of mix breed dogs within the western, midwestern, northeastern, and southern regions of the United States in order to remove biases in the current pure breed mtDNA databases (Smalling et al. in prep.). Forty-six haplotypes were discovered including the 16 haplotypes Himmelberger et al. (2008) previously reported. Analysis of molecular variance (AMOVA) concluded that all variation within the regional groups is highly correlated with geographic transitions, i.e. there is significant geographic subdivision among the four regional samplesets. These results are in stark contrast to the results that were obtained from an AMOVA analysis of short tandem repeats (STRs). The domestic dog mtDNA showed sharp geographic differences but no differences among breeds whereas STR-based data showed discrete breed-wise differences while regional differences were insignificant. Contrary to the previous findings based on mtDNA including Himmelberger et al. (2008) and Baute et al. (2008), the study by Smalling et al. (in prep) has demonstrated the need for more locality-specific canine mtDNA databases for correctly interpreting the meaning of a mtDNA haplotype match at the local level. This NIJ grant has sponsored the research of six Masters of Forensic Science graduate students at the University of California, Davis. This final report herein will only focus on the development and validation of the Canine 2.1 STR Multiplex reagent kit and the direct goals of the project that was proposed to NIJ. I. Introduction: While STR analysis of human biological evidence is widely accepted by the criminal justice system, the potential for widespread acceptance of animal DNA evidence was diminished by the September 2003 ruling by the Washington Court of Appeals which excluded canine DNA evidence in the 1998 case of the State of Washington V. Kenneth Leuluaiailii. The appellate court ruled that the trial court failed to establish “whether the scientific community generally accepted that the specific loci used by PE Zoogen in the present case were highly polymorphic and appropriate for forensic use.” The court also states that “current canine DNA testing and mapping focuses on the goals of paternity testing, breed testing, and cancer and research studies. There is little indication that polymorphic loci and alleles in canine DNA have been sufficiently studied such that probability estimates are appropriate for the forensic use applied in this case” (Docket Number 43507-8-I). As a consequence of this ruling, canine DNA evidence has been excluded from pending court cases in California and is threatened to face a similar fate in other states. Clearly there is a need for a validated canine STR panel that meets the rules of scientific acceptance and reliability. Commercially available forensic STR multiplex kits have facilitated the ease, efficiency, and standardization of human STR typing, however there are no such kits currently available for canine DNA testing. Zajc et al. (1994), Shutler et al. (1999), Pádár et al. (2001a, b) and Halverson and Basten (2005) have circumvented this problem by using in-house assembled STR panels as well as kits intended for routine parentage testing. These commercial and in-house kits for animal DNA typing were originally designed for analyzing pristine samples such as blood or buccal cells which typically contain high quality and quantity DNA. Prior to 2005, the Stockmarks® Canine I and II kits (Applied Biosystems, Foster City, CA) were used effectively to analyze evidentiary canine material in homicide cases (2). However, these canine kits did not include allelic ladders and required a level of familiarity and scientific expertise incompatible with forensic laboratories. Furthermore, the formalized nomenclature for the Stockmarks® loci was never published, and the kits were never updated to the five-dye systems now commonly used in the forensic community. Although the Stockmarks® Canine kits were discontinued from production in 2005, six of the loci in the multiplex described herein were included in the Stockmarks® kits. Since their domestication in East Asia nearly 15,000 years ago (Savolainen et al. 2002), dogs (Canis familiaris) have been selectively bred to be outdoor working animals as well as household companions (Brewer et al. 2002). An estimated seventy-two million pet dogs currently live in the U.S.A. (U.S. Pet Ownership and Demographic Sourcebook 2007), and because many dog owners live in close proximity to their pets, canine DNA evidence may often be associated with crimes. Shed dog hairs can be transferred among individuals involved in a crime and can link a suspect to a crime scene, a suspect to a victim, or a victim to a crime scene (Shutler et al. 1999; Halverson and Basten 2005). In addition, biological evidence from dogs have been used in dog attacks and abuse cases (Eichmann et al 2004a). Several studies have generated genotype and sequence information for multiple canine STR markers (Shibuya et al. 1994; Francisco et al. 1996; Mellersh et al. 1997; Halverson et al; 1999; Neff et al. 1999; Hellmann et al. 2006), and more recently, various laboratories have multiplexed different canine STR markers for co-amplification in a single PCR. Initially multiplexes usually contained from three to ten primer pairs that required multiple amplifications to type 15 or more markers (Koskinen and Bredbacka 1999; Halverson and Basten 2005; Eichmann et al. 2005; Hellmann et al. 2006). Such protocols are very similar to that of the human DNA analyses Profiler and Cofiler kits (Applied Biosystems, Foster City, CA) in which a sample of forensic interest is amplified by both kits in order to type all 13 Combined DNA Index System (CODIS) core loci. However, when a forensic sample is limited in quantity, it is much more efficient as well as cost- and time-effective to amplify all polymorphic markers of interest in a single multiplex PCR. Indeed a single multiplex with similar sensitivity to fewer loci multiplexes reduces evidence consumption, leaving sample for comparative testing if desired. The available canine population genetic databases in the U.S. were originally established via routine parentage and pedigree assessment or for other non-forensic objectives and are predominated by pedigreed dogs (or pure breed dogs that have their ancestry formally recorded by breed registries). Although mixed breed dogs represent approximately 50% of the dog population in the U.S. (APPMA 2005-06A), Halverson and Basten (2005) only included 69 mixed breed dogs out of a total of 558 dogs in their database. In addition to a larger sampling of mixed breed dogs, an ideal canine database would include geographic sampling to assess the distribution of genetic variation across the country. Goals and Objectives 1. To assemble a standardized and validated canine forensics panel by selecting the most suitable markers from existing canine forensic panels and, 2. To establish a database of canine STR genotypes that includes a validated population genetics information content to strengthen the validity of canine evidentiary data during courtroom trials. (This database will be designed in an updatable format so as to allow the uploading of new data submitted by other labs that use our multiplex panel). In addition to these original goals, we introduced additional goals part-way through the project to ensure that our research would result in a panel of markers that was not only evaluated and validated but a reagent kit that could be easily introduced into existing crime labs. The additional goals included the following: a. To include more samples of pure breed, mixed breed, and out-bred dogs from the different parts of the U.S. – this is to ensure better regional representation in our final database. Additional purebred dog samples from the American Kennel Club (AKC) will also be used in the project. b. To identify and sequence the most common allele of each informative STR locus in order to establish the repeat motifs and allele assignment. c. To perform a population study on all candidate STRs, in which the alleles will be identified and grouped according to their estimates fragment length using fixed allelic bins. The allelic size will be confirmed using sequencing analysis of length homozygotes of the most common alleles. d. To propose a nomenclature that refers to the internationally recognized recommendations for human-specific STR loci for forensics applications (Butler 2005). e. To evaluate the precision of the fragment size estimation on a capillary electrophoresis platform and demonstrate reproducibility of fragment length estimation for single base-pair intermediate alleles. f. Prepare a sample bank including a 3 generation pedigree that will be made available to forensics laboratories for purposes of record exchange and comparison or proficiency tests. g. Develop and commercialize a kit containing pertinent PCR reagents and an allelic ladder system for each locus in the final multiplex that would facilitate the introduction of the standardized panel to new laboratories. Since the establishment of a robust allelic ladder system may be cost and time-prohibitive, it may require two phases of input; a preliminary one under the current grant that will include cloning and sequencing alleles from the final selection of markers followed by the second phase which will deliver the final product, hopefully with a new grant specifically funded for the development of the system. Based on the markers that are already available in the animal forensics community, a standardized panel entailing highly informative and robust markers can be achieved through the cooperation from the Department of Justice Laboratory in Richmond, CA, MMI Genomics Inc. (MMIG) in Davis, CA, QuestGen Forensics in Davis, CA and the Molecular Anthropology Laboratory (MAL), UC Davis in Davis, CA, the National Institute of Standards and Technology (NIST) in Gaithersburg, MD, the FBI DNA Laboratory, in Quantico, VA, the Laboratory of Genomic Diversity, National Cancer Institute, in Frederick, MD and the diagnostics division of Finnzymes Oy, in Espoo, Finland. As noted above, each laboratory’s panel has certain loci that uniquely meet the needs of that laboratory, but they also have a proportion of markers in common. Collectively, these markers (especially those that overlap) could potentially provide a starting point to form a consensus panel that is derived from the various panels used by each laboratory. The crux of our proposed approach is to compare and select STR markers from previously established canine panels (such as the SuperPlex, the StockMarks and other panels that are primarily used by the canine testing community) and consolidate a standardized panel with 20 unlinked tetranucleotide loci. The markers we select must exhibit most of the following critical genetic and technical criteria that ensure optimal and reliable information underpinning aspects of breed, regional, and identity testing and significantly improve the precision and efficacy in high throughput genotyping (Kanthaswamy et al. 2006): 1. Absence of linkage; 2. High probability of parentage exclusion and individual genetic identity; 3. High level of gene diversity and polymorphic information content; 4. Presence of some alleles informative of regional origin within the U.S; 5. Tetranucleotide repeat motif; 6. Low occurrences of mutations and null (undetected) alleles; 7. Low intra-locus sampling error for estimating baseline genetic parameters (such as gene diversity and population substructure); 8. Accuracy of allele characterization (e.g., due to absence of stutter bands, nonspecific amplification, etc.); 9. Balance between the length of PCR products and the ability to form a successful multiplex reaction. A multi-laboratory joint initiative has resulted in selection of 18 STR loci for development of a commercial canine DNA profiling kit, the Finnzymes Canine 2.1 STR Multiplex Reagent Kit, for forensic applications. Similar to the human Identifiler® kit (Applied Biosystems, Foster City, CA) designed to co-amplify 15 human STR loci and the amelogenin locus, the canine beta-version STR reagent kit was developed to enable amplification of 18 STR loci and the canine sex-linked Zinc Finger marker (Meiboom et al. 2004; Collins et al. 2004). As a first evaluation of the proposed multiplex kit, similar developmental validation studies were carried out as described for validation of the Identifiler® kit (Collins et al. 2004). The performance of the reagent kit is discussed in comparison with that of previous typing kits utilized for forensic casework, primarily Identifiler® (Collins et al. 2004), Stockmark® Canine I and II panels (Applied Biosystems, Foster City, CA [Halverson and Basten 2005]), the Eichmann et al. canine multiplexes (Eichmann et al. 2004a;b; 2005) and the ‘Meowplex’ (Menotti-Raymond et al. 2005). Population studies were conducted on a sample set that included geographically distributed populations of mixed breed dogs from the U.S., a sample set that represented dogs from the most popular pedigreed breeds in the U.S. (according to the American Kennel Club [AKC, http://www.akc.org/]), and sample sets of Rottweilers and American Pit Bulls, two dog breeds which have been characterized as ‘dangerous’ by the U.S. Center for Disease Control (CDC) because of the frequency of their involvement in dog bite-related fatalities (Gershman et al. 1994; Sacks et al. 1998). In addition to their importance in mauling incidences, the inclusion of Pit Bulls in this study is of further significance because Pit Bulls are the preferred breed in dog-fighting circles and are thought to be more out bred due to frequent interbreeding with breed types that exhibit the desired phenotypes of aggressiveness and morphology. As such, both the Pit Bull and Rottweiler sample sets represent excellent models for determining the efficacy of our proposed markers in breed and individual identification. II. Methods a) Population genetics study and genotype database development (Kanthaswamy et al., submitted). DNAs used in this study are from MMIG’s collection which includes samples from pedigreed dogs registered with the United Kennel Club (UKC, http://www.ukcdogs.com/WebSite.nsf/WebPages/Home) and were extracted from cheek swabs using methods described by DeNise et al. (2004). The PCR was performed in 20 µL volumes containing 2 µl (1.0 ng/µl) template DNA, 9 µl Reaction Mix including Phusion™ Hot Start High-Fidelity DNA Polymerase (Finnzymes Oy, Keilaranta, Finland) and 9 µl Primer Mix using the AB GeneAmp® PCR System 9700® PCR System (Applied Biosystems, Foster City, CA). The thermal cycling parameters were 98°C for 3 min; then 30 cycles at 98°C for 15s; 60°C for 75s and 72°C for 30s followed by a final 72°C for 5 min. For allele typing, 1.5 µl of the amplified product and 0.3 µl of GeneScan-500 [LIZ]® Size Standard (Applied Biosystems, Foster City, CA) were added to 10 µl of deionized formamide (Amresco, Solon, OH), denatured at 95°C for 3 min and snap cooled for 3 min on crushed ice. Post-PCR amplification products were diluted 1:30 (DNA: high purity water). Two microliters of the diluted amplified product and 0.15 µl of GeneScan-500 [LIZ]® Size Standard (Applied Biosystems, Foster City, CA) were added to 10 µl of Hi-Di™ formamide (Applied Biosystems, Foster City, CA), denatured at 95°C for 3 min and followed by snap cooling for 3 min on a StrataCooler Benchtop Cooler (Stratagene, La Jolla, CA). Electrophoresis was conducted on an ABI PRISM™ 3130-Avant Genetic Analyzer (Applied Biosystems, Foster City, CA) or on an ABI PRISM™ 3100 Genetic Analyzer (Applied Biosystems, Foster City, CA) in accordance with the instructions in the Finnzymes’ Canine Genotypes™ Panel 2.1 manual. Using the Fragment Analysis 36_Pop4 module, the PCR products were injected for 10s at 3.0 kV, and subjected to electrophoresis at 15.0 kV at 60°C using the Performance Optimized Polymer (POP™ 7 or POP™ 4, Applied Biosystems, Foster City, CA) in a 36 cm capillary. Fragment sizing was conducted with comparison to a positive control (the Canine Genotypes™ Control DNA001). GeneMapper® Software v4.0 collection and analysis, ABI PRISM® Data Collection Software v1.1 and GeneScan Analysis v3.7 software packages were used for data collection and size estimation of the fluorescent labeled DNA fragments. ABI PRISM® Genotyper v3.7 NT software was used for automated genotyping of the samples. Since an allelic ladder for internal sizing was still under development at the time of the study (Tom et al. submitted), the PCR products were binned into their respective allelic categories using the FLEXIBIN program and methods described by Amos et al. (2007). The program was modified by the authors to accommodate the repeat motifs of the FH3313 and vWF.X loci (W. Amos, Pers. Comm.). The entire data set of raw and binned alleles used in this study is available at http://www.cstl.nist.gov/biotech/strbase/. The map coordinates and other relevant information about the 18 autosomal STRs and the sex-linked zinc-finger markers are listed in Table 1. With the exception of VWF.X, a hexameric marker and FH3377, a pentameric marker, all STRs are tetrameric. These include four pairs of syntenic markers: FH2107 and FH3377 on chromosome 3, FH2054 and PEZ05 on chromosome 12, FH2017 and FH2088 on chromosome 15 and PEZ 16 and vWF.X on chromosome 27. Only samples with genotypes for all loci were used in our population genetic analysis. The pedigreed dog sample of 236 animals represented nine officially recognized dog breeds, including American Pit Bull Terrier (N = 38), Beagle (N = 34), Dachshund (N = 3), German Shepherd (N = 35), Golden Retriever (N = 32), Labrador Retriever (N = 38), Poodle (Miniature Poodle [N = 15], Toy Poodle [N = 12], and Standard Poodle [N = 8]), Rottweiler (N = 15), Shih Tzu (N = 4) and Yorkshire Terrier (N = 2). In this study, the Poodles were separated according to their varieties and treated as three separate breeds; therefore, twelve separate pedigreed breeds were actually analyzed. The 431 mixed breed dogs used in this study represent various combinations of 43 different breeds (including Afghan Hound, Akita, American Pit Bulls, Basenji, Basset Hound, Beagle, Belgian Tervuren, Bernese Mountain Dog, Border Collie, Borzoi, Boxer, Bulldog, Chihuahua, Chinese Shar Pei, Chow Chow, Cocker Spaniel, Collie, Dachshund, Doberman Pinscher, English Setter, German Shepherd Dog, German Shorthaired Pointer, Golden Retriever, Greyhound, Italian Greyhound, Labrador Retriever, Mastiff, Miniature Pinscher, Miniature Schnauzer, Mongrel, Poodle, Pug, Rottweiler, Saluki, Samoyed, Scottish Terrier, Shetland Sheepdog, Shih Tzu, Siberian Husky, St Bernard, Staffordshire Bull Terrier, Whippet, and Yorkshire Terrier) as determined by the Canine Heritage Breed Test™. The samples of pedigreed and mixed breed dogs were acquired from across the U.S. and subdivided into the western (N = 147), southern (N = 241), mid-western (N = 164) and northeastern (N = 115) regions for part of the analysis (U.S. Census Bureau [http://www.census.gov/field/www/], see map in Figure 1). We have also prepared a sample bank including a three generation pedigree that will be made available to forensics laboratories for purposes of record exchange and comparison or proficiency tests (Kou and Kanthaswamy, in prep.). The exact probability test in GENEPOP version 3.4 (Raymond and Rousset 1995) was used to test for the presence of linkage disequilibrium (LD, the non-random association of genotypes occurring at different loci) between the pairs of the 18 STR loci. To test the null hypothesis that genotypes at one locus segregate independently of genotypes at any other locus at the 0.05 and 0.01 levels of probability, unbiased estimates were made through randomization (1000 iterations). The Markov-chain method was used to create a contingency table representing the random association of genotypes at all possible pairs of loci. Fisher’s method and a sequential Bonferroni-type procedure were used to correct for multiple significance tests (Rice 1989). In addition to examining LD between loci, Hardy-Weinberg (HW) equilibrium within each locus was analyzed using the GENEPOP software program. Allele frequencies (observed and expected), heterozygosities, hierarchical F-statistics, and pairwise Fst (Weir and Coeckerham 1984) were computed based on data from all loci using GENEPOP. To determine if the pedigreed and mixed breed dogs’ nuclear genetic variation at the 18 STRs followed a geographic pattern, the STRUCTURE 2.1 software program (Pritchard et al. 2000; Faluch et al. 2003) was used to calculate the expected allele frequencies of individual dogs in each geographic region based on an assignment index and to determine the relative probabilities of assigning each dog to each of the four regions based on the animal’s genotypes. Similarly, to distinguish the allele frequencies of the pedigreed and mixed breed populations, STRUCTURE was used to probabilistically assign each dog to a breed category. Both analyses were conducted assuming an admixture model (where animals can represent a mixture of two or more ancestral groups) and correlated allele frequencies among regions and among breeds, respectively. Therefore, when a genotype reflects an admixture, or the absence of genetic substructure, a dog will be assigned to two or more populations with probability Q, the proportion of its genome that originated from the Kth population (Flush et al. 2003). K-values of two to four regions and two to thirteen breeds/types (representing mixed breed dogs and the three Poodle types – the Miniature, Toy and Standard), respectively, were tested so as to include all numbers of possible populations. All STRUCTURE analyses were run at sweeps of $10^4$ iterations after a burn-in period of $10^4$ with and without a priori population information. The accuracy of assigning individuals to their breed of origin based on genotype data was studied using individual assignment tests, which were implemented in the program GeneClass v.2.0g (Piry et al. 2004). The program includes several assignment methods, but only the Bayesian statistical approach (Piry et al. 2004) was applied due to its known efficacy (Cornuet et al. 2000). Principal component analyses (PCAs) on the regional and breed data sets were also performed using the adegenet 1.1 package for R (Jombart 2008). b) Development validation studies (Dayton 2008) The Multiplex Kit and Characterization of genetic markers The canine reagent kit contains 19 primer pairs and associated reagents to amplify 18 STR loci and one gender determination locus. Table 1 presents a list of these markers and information on repeat motifs, size ranges, map location, and the fluorescent dye tags attached to the 5' end of the forward primers, as they appear during laser excitation using filter set G5 (Applied Biosystems, Foster City, CA). A few markers are located on the same chromosome: FH3377 and FH2107 loci on chromosome 3; FH2054 and PEZ05 loci on chromosome 12; FH2017 and FH2088 loci on chromosome 15; and PEZ16 and vWF.X loci on chromosome 27. A separate study by Kanthaswamy et al. (submitted) has demonstrated that alleles of these physically linked loci segregate independently, i.e., there was no detectable linkage disequilibrium for these syntenic marker pairs. Figure 2 presents the complete profile of the positive control sample F-863 and the range of allele distribution at each locus. Sample collection and extraction Three different types of biological samples were typed to evaluate the 19-plex reagent kit. Liquid blood samples were kindly provided by a West Sacramento veterinary diagnostic center. Buccal and hair samples were collected from dogs throughout the state of California, primarily from the Los Angeles area, the San Francisco Bay area and the Sacramento area. Plucked and shed hair samples were collected from seven dogs that had also provided buccal samples. DNA from liquid blood samples was extracted using the Qiagen BloodMini kit following the kit’s liquid blood extraction protocol (Qiagen, Hilden, Germany). DNA from buccal samples was extracted using the Epicentre® Catch-All™ (Epicentre, Madison, WI) swabs according to the manufacturer’s recommendations. Hair samples from six of the dogs were extracted using Epicentre QuickExtract™ DNA Extraction solution buffer (Epicentre, Madison, WI) according to the manufacturer’s instructions. Hair samples from six dogs were also extracted using the California Department of Justice Organic Extraction protocol, with the exception that an Amicon®uLtra-4 (Millipore, Billerica, MA) centrifugal filter was used instead of a Centricon®-100 (Millipore, Billerica, MA) filter. Five of the seven dog samples were extracted using both methods. Pre-extracted and quantified samples and standards Non-canine DNA samples from various species were provided by the Jan Bashinski DNA Laboratory, Method Development Group of the California Department of Justice, Richmond, CA. DNA was extracted from cat, pig, horse, cow and chicken whole blood and quantified by an electrophoretic method in a 1% agarose gel containing ethidium bromide. Other previously quantified genomic DNA samples provided by the Jan Bashinski laboratory included: fish (Catfish), monkey (African green monkey), rat (Zyagen Labs, San Diego, CA), mouse (Promega, Fitchburg, WI), Bacillus subtilis, Staphylococcus epidermidis, Candida albicans (ATCC, A human buccal sample was extracted using the Epicentre QuickExtract™ protocol (Epicentre, Madison, WI). 5 ng of DNA from each species’ sample were amplified in duplicate using the canine STR reagent kit. The F-863 canine positive DNA control originating from a female Cocker Spaniel was provided in the kit. Although stated on the tube that the canine control was a 1ng/uL concentration, quantification with PicoGreen® (Invitrogen, Carlsbad, CA) indicated that the control was in fact 0.1ng/uL concentration. Case samples Seventeen samples from a dog bite case were used for this study. Thirteen of the samples were single shed hairs found on the clothing of the victim. All shed hairs were extracted using the Chelex extraction method. Four of the samples were saliva stains extracted from cuttings around tooth marks found in the victim’s denim jeans. All saliva stains were extracted using Qiagen spin columns (Qiagen, Hilden, Germany). Sample Quantification All DNA samples were quantified using Quant-iT™ PicoGreen® (Invitrogen). Prior to quantification, a solution was prepared containing 15uL of PicoGreen® and 15mL TE$^{-1}$ buffer. 100uL of Picogreen® solution were added to dilutions of 4uL DNA sample and 96uL of sterile water in a fluoroplate. K562 human DNA standards (Invitrogen) for 5ng/uL, 2.5ng/uL, 1.5ng/uL, 0.75ng/uL, 0.25ng/uL, and 0.0ng/uL were also pipetted in aliquots of 4uL into 96uL of sterile water and combined with 100uL of Picogreen solution in the fluoroplate. A Fluoroskan Ascent (Thermo Scientific, Waltham, MA) fluorometer was used to detect and compare the fluorescence values of the known standards and those of the samples to determine DNA concentrations. Amplification All PCR amplifications were carried out using the canine STR reagent kit. Each reaction contained 9uL of Primer Mix, 9uL of Master Mix (containing a modified version of the Phusion™ Hot Start DNA Polymerase, Finnzymes Oy, Finland), and 2uL of DNA template. PCR conditions for the standard sample study, reproducibility study, sensitivity study, mixture study, peak height ratio/stutter percentage study, species specificity study, and population study were 3 min initial denaturation step at 98°C followed by 30 cycles of denaturation at 98°C for 15s, primer annealing at 60°C for 75s, and extension at 72°C for 30s. The final step was a 5 min long extension at 72°C, which was recommended by the manufacturer. The amplifications for these studies were performed on a GeneAmp® 9700 PCR thermocycler (Applied Biosystems, Foster City, CA). The Phusion polymerase makes use of double-stranded DNA binding domain (Sso7d) that is covalently linked to a Pyrococcus-like DNA polymerase domain (Wang et al. 2004). The DNA binding domain increases the processivity of the DNA polymerase by approximately 10-fold (Wang et al. 2004). Unlike the Thermus aquaticus (Taq) polymerase which is applied by all other STR typing kits, the Phusion polymerase also has 3' to 5' exonuclease activity (proofreading activity) that eliminates non-templated nucleotide additions during the PCR cycling process and makes the long final extension period redundant (Nord et al. 1997; Wikman et al. 2004; Phusion Hotstart Manual). To assess the annealing temperature range of the canine 19-plex, two blood-extracted samples and one buccal-extracted sample were amplified on an Eppendorf Mastercycler epigradient thermocycler (Eppendorf, Hamburg, Germany), which creates an annealing temperature gradient across the plate head. The exact annealing temperatures tested with all three samples (in duplicate) were 56°C, 57.7°C, 58.5°C, 60°C, and 61.9°C. The Eppendorf Mastercycler thermocycler (Eppendorf, Hamburg, Germany) was also used in the reproducibility study using a 60°C annealing temperature. Electrophoresis, Detection and Analysis All PCR products were separated by capillary electrophoresis on an Applied Biosystems 3130 Genetic Analyzer using 36cm capillary filled with POP-4™ polymer (Applied Biosystems, Foster City, CA). Unless otherwise stated, 1 µL of PCR product was combined with 0.21 µL GeneScan™-500 LIZ® Size Standard (Applied Biosystems, Foster City, CA) and 9.79 µL Hi-Di™ Formamide (Applied Biosystems, Foster City, CA) and pipetted into an injection plate. The plate was covered with Genetic Analyzer septa (Applied Biosystems, Foster City, CA), and the contents thoroughly mixed and spun down. Samples were denatured at 95°C for 3 min then snap-cooled on a cold block for 3 min. A 5s electrokinetic sample injection was performed with an injection voltage of 3 kV followed by a run voltage of 15 kV. The data collection software was set to detect G5 dye chemistry. After collection, the data were analyzed with GeneMapper™ ID Version v3.2.1 Software (Applied Biosystems, Foster City, CA) using 50 RFU peak amplitude detection thresholds for all colors, excluding LIZ peaks which were set to a threshold of 100 RFU. Balance Calculations Three different types of peak balance were evaluated to assess the overall Finnzymes canine STR kit performance (Collns et al. 2004) and to identify possible primer pairs that amplify poorly in relation to the rest of the multiplex. Intracolor balance, intercolor balance, and heterozygous peak height ratios (PHR) were calculated. Intracolor balance was calculated to assess the overall color balance within a dye lane. First, homozygous and heterozygous peaks within a dye lane had to be normalized. This was done by averaging the RFU values for each allele of heterozygous genotypes of polymorphic loci and by dividing the RFU of each homozygous peak RFU by two. The lowest normalized RFU value was then divided by the highest normalized RFU value and expressed as a percentage. Intercolor balance was calculated by first normalizing all of the loci peaks within a sample. Then the lowest normalized RFU in the sample was divided by the highest normalized RFU in the sample (regardless of dye color) (Collns et al. 2004). PHR were calculated for heterozygous genotypes for all markers by comparing the RFU values for each allele and dividing the lower RFU value by the higher value. The ratio was multiplied by 100 to express PHR as a percentage. c) Nomenclature development (Tom et al., submitted) Sample Selection: The samples used in this study were collected by MMI Genomics Inc. (MMIG) in Davis, CA and extracted from cheek swabs using methods described by DeNise et al. (2004). The samples include those from pedigreed dogs registered with the United Kennel Club (UKC, http://www.ukcdogs.com/WebSite.nsf/WebPages/Home). The panel is composed of 18 autosomal STRs and the sex-linked zinc-finger locus. With the exception of VWF.X, a hexameric marker and FH3377, a pentameric marker, the remaining STRs are tetrameric. These include four pairs of syntenic markers: FH2107 and FH3377 on chromosome 3, FH2054 and PEZ05 on chromosome 12, FH2017 and FH2088 on chromosome 15, and PEZ 16 and vWf.X on chromosome 27. The actual size and sequence structure of STR alleles were characterized by sequencing and following the recommendations of Eichmann et al. (2005) and Hellmann et al. (2006). Alleles that occurred at frequencies ≥5% in the entire sample set of 667 mixed and pure bred dogs were selected for sequencing. GENEPOP (version 3.4) was used to estimate allele frequencies (Raymond and Rousset 1995). Since a canine allelic ladder for internal sizing is not currently available, all amplicons were binned into their respective allelic categories using the FLEXIBIN program and method described by Amos et al. (2007). The program converted the observed allele sizes into the effective length of the repeat, allowing the selection of individual dogs that carried a certain bin and allele size of interest. A representative set of the relatively few variants of intermediate size were also sequenced to determine the nature of their sequence structure. Polymerase Chain Reaction (PCR) Amplification DNA samples were added to a PCR cocktail containing 2 µL 10x PCR Buffer, 0.6 µL MgCl$_2$ (50mM), 0.45 µL dNTPs (10mM), 0.6 µL forward primer (10µM), 0.6 µL reverse primer (10µM), 0.2 µL Platinum Taq Polymerase (Invitrogen, Carlsbad, CA), and 9.95 µL dH$_2$O. Samples were amplified using a MJ Research Inc. PTC 100 Programmable Thermal Controller (GMI Inc., Ramsey, MN). All parameters except the annealing temperatures, which are provided in Table 2, were kept constant for all of the samples. PCR conditions were 95° C for 12 min., followed by 35 cycles of 95°C for 15s, the appropriate annealing temperature (see Table 2) for 30s, and 72°C for 1 minute. The final extension was at 72° C for 10 min. and then a final hold at 4°C. Confirmation of Expected PCR Product by Acrylamide Gel Electrophoresis The PCR products were run on an 6% acrylamide gel (4.22 mL dH$_2$O, 1.3 mL 5x SB Buffer, 975 µL 19:1 Acrylamide-Bis mix [Bio-Rad Laboratories, Hercules, CA], 16 µL 10% APS [Amresco, Solon, OH], and 16 µL TEMED [Amresco, Solon, OH]) to confirm the presence of an amplified product of the correct length. Electrophoresis was conducted in the BIO RAD Mini PROTEAN Tetra Cell (Bio-Rad Laboratories, Hercules, CA) at 80 volts for approximately one hour. Gels were then stained in a ~2 µg/mL ethidium bromide (EtBr) solution (Amresco, Solon, OH) for 3 min., then visualized on a UV transilluminator using the AlphaImager program (Alpha Innotech Corp., San Leandro, CA). Preparing Samples for CheckIT Gel: The PCR fragments were selected from gels and prepared for sequencing as described by Hellman et al. (2006). Amplification of each sample was conducted in triplicate, using the same PCR conditions and reagent mix as before in order to increase the yields of DNA products. The PCR product triplicates were concentrated using a Savant DNA 110 DNA SpeedVac (GMI Inc., Ramsey, MN) and then re-suspended in 4 µL of dH$_2$O to meet the manufacturer’s (CheckIT gel) recommendation to use only 4 µL of product to 1 µL of the (5x) loading buffer. Some samples required further dilution by adding 2 µL re-suspended product to 2 µL dH$_2$O. Samples were run on Elchrom Scientific PCR CheckIT gel with EtBr (Elchrom Scientific U.S.A. Inc., New Hyde Park, NY) using an owl separation system, model B2 (ThermoScientific, Portsmouth, NH). Gels were visualized using a UV light and the Alpha Imager program. A felt-tipped pen was used to mark the plastic backing to identify the bands that would be punched using an Elchrom Band-Pick punch (Elchrom Scientific U.S.A. Inc., New Hyde Park, NY). The punches, representing 2 µL of DNA, were then removed and amplified using the same PCR conditions as described above. PCR Clean-up and Sequencing Preparation: The PCR product was cleaned up by adding 5 µL of the product to 2 µL of the ExoSAP-IT (USB Corp., Cleveland, OH). This mixture was then placed in a thermal cycler at 37°C for 15 min., followed by 80°C for 15 min. One µL of the Exo-SAP product was added to 2 µL BigDye Terminator v3.1 ready reaction mix (Applied Biosystems), 2 µL BigDye sequencing buffer, 3.2 µL 1 µM Primer, and 11.8 µL of dH$_2$O. Separate reaction mixes, each using either the forward or reverse primer, were placed in a PTC 100 Thermalcycler at 96°C for 1 minute, followed by 25 cycles of 96°C for 10s, 50°C for 5s, and 60°C for 4 min., followed by 4° C for 10 min. Ten µL of the BigDye Terminator product were combined with 45 µL SAM solution and 10 µL BigDye XTerminator Solution (Applied Biosystems) in a 96-well sequencing plate and capped. The plate was shaken on a tabletop vortex for half an hour to thoroughly mix all the solutions, centrifuged on a Beckman model TJ-6 for 5 min. at approximately 2500 rpm (Beckman Coulter Inc., Fullerton, CA) and run on the ABI 3130 (Applied Biosystems). Data Analysis: Sequencing data were analyzed using the Sequencher 4.7 DNA sequence editing program (Gene Code, Ann Arbor, MI). Here, the forward and reverse sequences were combined to form contigs, and the sequence data were evaluated and manually edited. Once the sequences were determined, they were exported in FASTA format from the Sequencher program and loaded into the BioEdit program where they were aligned for comparison. In some cases, excessive variation within the repeat regions precluded alignment using BioEdit, requiring the number and motif of repeats to be determined manually. In accordance with the ISFG, amplicon sequences were read in the 5’ to 3’ direction and for sequences that have been already described in the literature, the repeat sequence motif that was first reported was used as a basis for nomenclature (Bär et al. 1997). For loci whose sequences were not previously reported, the repeat motif was designated based on the first 5’ nucleotide that defined the motif. III. Results a) Population genetics study and genotype database development (Kanthaswamy et al., submitted). The number (n), range, and frequencies for each allele in each of the four U.S. geographic regions and the nationwide sample set (the sum of the four regions) are presented in Table 3. The number of alleles per locus ranged from 6 to 29 with a mean of 14. Two-way contingency chi-square $\chi^2$ tests for homogeneity of allele frequencies among all four regional populations showed that frequency distributions differed significantly ($p \leq 0.01$) at only three (i.e. FH2010, FH2309, and PEZ05) of the 18 loci studied. Contingency tables for pairs of geographic locations showed that between 0 and 2 loci showed significant allele frequency differences at the $p \leq 0.01$ level. Therefore, allele frequencies did not differ considerably between regions supporting the pooling of regional data and substructure correction concomitant with the pooled data. The highest pairwise LD was observed in the mid-west and the lowest LD was observed in the northeast. In the regional samples, 56 and 36 pairs of loci were significantly associated at the 5% and 1% probability levels, respectively. Among the 13 pedigreed and mixed breed dog populations from 3 (in Beagles) to 19 (in mixed breed dogs) pairs of loci were significantly associated at the 5% level of probability while only one pair of loci (in Beagles, Miniature Poodles and Rottweilers) and 5 loci (in mixed breed dogs) were significantly associated at the 1% level of probability. Each locus pair assayed for the pedigreed dogs was statistically significant 5 times each at the 5% and 1% levels, respectively, while the mixed breed dogs were statistically significant 19 and 10 times at the 5% and 1% levels, respectively. Four pairs of physically linked STRs (FH2107 and FH3377, FH2054 and PEZ05, FH2017 and FH2088, and PEZ16 and vWF.X), which are located on chromosomes Cfa 3, Cfa 12, Cfa 15, and Cfa 27, respectively, did not exhibit greater statistically significant association of genotypes at the $p \leq 0.05$ or $p \leq 0.01$ levels of probability than unlinked loci. Therefore, despite their synteny, these markers were treated similarly to the biologically independent loci and were included in all subsequent population genetic analyses. Fisher’s (1932) exact tests across loci within breeds (data not shown) indicate highly significant Hardy Weinberg (HW) disequilibrium within loci in American Pit Bulls, Golden Retrievers, and the mixed breed dogs. Across breeds, the loci FH2017 and FH2107 were observed to be in highly significant HW disequilibria, which suggests non-random associations among alleles at these loci only. The nationwide mean observed and expected heterozygosities... were 71% and 79%, respectively. Observed heterozygosity at each geographic location ranged from 68% to 73% while the estimated heterozygosity (or gene diversity) ranged from 78% to 79%. Across locations, gene diversity estimates were systematically greater than observed numbers of heterozygotes. The data support that while there is a decrease in observed heterozygosity, a high degree of diversity exists within and among breeds and geographic regions. Breedwise observed and expected heterozygosities mean values ranged from greater than 50% (in German Shepherds and Rottweilers) to 69% and 77%, respectively, in Dachshunds. Estimated heterozygosity exceeded observed heterozygosity in all breeds except German Shepherds where these values were approximately equal. When the estimates from all three Poodle breeds were combined, the observed and expected heterozygosities were 64% and 71%, respectively. The Toy Poodles exhibited significantly greater heterozygosity than the combined estimates. Among the mixed breed dogs the observed and expected heterozygosities were 75% and 79%, respectively. The Fis estimate, which measures the degree of inbreeding, was somewhat lower among breeds (0.06) than among regions (0.10) while the degree of genetic differentiation (or genetic subdivision) among the breeds (Fst or fixation index) was much higher (0.09) than that among regions (0.002). Fit, which reflects the combined effects of inbreeding and genetic subdivision, was higher among the dog breeds including mixed breed dogs (0.14) than among the four geographic regions (0.11). The mean genetic differentiation (pairwise Fst) among populations of dogs from each U.S. region ranged from 0.0006 between the mid-west and the south, to 0.0039 between the west and the northeast. The genetic differentiation of the pairwise Fst comparison between breeds ranged from 0.02 (Toy and Standard Poodles) to 0.2788 (Rottweilers and German Shepherds). Our results show no significant differences between estimates of allele frequency, heterozygosity, and inbreeding coefficients based on all linked and unlinked loci and estimates based on only the most informative unlinked loci (i.e. without loci FH2017, FH2107, vWF.X, and PEZ05, each of which had exhibited lower heterozygosity values compared to the locus to which it was physically linked). Results of the STRUCTURE analyses of the regional samples and each of the 13 pedigreed and mixed breed populations are illustrated in Figures 3 and 4. These results are concordant with estimates of the allele frequencies, observed and expected heterozygosities, and F-statistics. Individual assignment tests revealed high assignment success for the purebred dogs with all samples being assigned to their correct reference populations. The average within-breed assignment success score ranged from 99.17% (Poodle) to 100% (Dachshund, Golden Retriever, Labrador Retriever, Rottweiler, Shi Tzu and Yorkshire Terrier). In the mixed breed population, the average assignment score was 97.19% with a range of 38.19% to 100%. However, 35 of the 431 mixed breed dogs were assigned with a higher likelihood to one of the purebred populations instead of the mixed breed population. The regional PCA reveals no geographic distribution of variation among the domestic dogs in the U.S., while the breed PCA demonstrates substantial differentiation among these dog breeds with German Shepherds appearing as outliers. b) Development validation studies (Dayton 2008) Sensitivity Study Varying amounts of template DNA from two dogs were used to test the reagent kit’s sensitivity. DNA was extracted from whole blood samples from a Golden Retriever and an Akita. Serial dilutions of both samples (10, 5, 2, 1, 0.5, 0.25, 0.125 and 0.0625ng) were amplified in duplicate. All PCR products were diluted 1:10 prior to loading 2uL of sample into 10uL of 0.02% LIZ/formamide solution for detection on the 3130 Genetic Analyzer. This was done to reduce off scale data for the 10ng template amplified samples. For both the Golden Retriever and Akita samples, all peaks were detected when concentrations of template DNA ranging from 10-0.125ng were used for amplification. One Golden Retriever sample that used a concentration of 0.0625ng template DNA exhibited a true homozygous peak at the FH2017 locus that was below the interpretational threshold of 50 RFU. In the duplicated Golden retriever sample amplification, one of two heterozygous peaks at the FH2004 locus was below the interpretational threshold. All peaks were called (i.e., RFU>50) for the duplicated Akita sample amplifications at every template concentration (including the 0.0625ng samples). Because a 1:10 dilution was made for all PCR products prior to loading on the Genetic Analyzer, on a separate injection plate, 1uL of non-diluted PCR product was pipetted into 10uL of 0.02% LIZ/formamide solution for all template amplification amounts. Similar peak dropout results were obtained when no PCR product dilutions were made. On average, the 1:10 diluted samples had RFUs that were 52% that of the non-diluted samples with a 9.7% standard deviation. When no PCR product dilutions were made, increased pull-up artifacts were seen for the 10 ng template samples. Blue into green pull-up peaks ranged from 2031 to 3774 RFUs. Elevated baseline noise was also present in the green and yellow dye channels for the 10 ng template samples and non-template adenylation (27.4% of the parent peak) was observed for marker FH2001 in the Akita sample. Blue into green pull-up artifacts were also seen for the 5 ng template samples. The off-scale and pull-up peaks indicate that 10 ng of high-quality DNA is too much for the Finnzymes multiplex. Peak height ratios (PHR) for several markers (FH2328, FH2309, PEZ05, FH2010, vWF.X, FH3313, and FH2088) started to fall below 60% when DNA template amounts of less than or equal to 0.25ng were amplified. Noticeable stochastic fluctuations were apparent for the FH2004 locus, which experienced allelic drop out in one of the 0.0625ng amplifications. The other amplifications with 0.0625ng template DNA exhibited a PHR range between 41.5-63.2% (n=3). To verify that the template amounts prepared in serial dilutions were the amounts used in the experiment, the diluted samples were re-quantified using PicoGreen®. The minimum Akita sample (0.0625ng) was 0.01 fluorescent units higher than the Golden Retriever sample when quantified using K562 DNA standards. The 0.125ng samples were quantified at the same fluorescent values meaning the serial dilution precision for the Golden Retriever and Akita samples were better for the 0.125 ng DNA template compared to the 0.0625 ng DNA template dilutions. At 0.125 ng template, the Finnzymes multiplex was capable of detecting all profile peaks at >50 RFU (all but one peak at the FH2017 locus [63 RFU] are above 100 RFU) when no PCR product dilutions were made prior to adding sample to the LIZ/Formamide solution. This level of sensitivity is comparable to that of previous STR multiplexes developed. For instance, the ‘Meowplex’ produces full STR profiles from 125pg of template DNA (Menotti-Raymond et al. 2005), while the three canine STR multiplexes (MP1, MP2 and MP3) developed by Eichmann et al. (2005) are capable of producing full profiles from 100pg for MP1 and MP3, and 250pg for MP2. A similar input DNA template range of 0.5-1.25 ng is also seen for the Identifiler® kit (Collins et al. 2004). In addition, while the largest number of markers co-amplified in the aforementioned studies is 15, a unique feature of the Finnzymes multiplex is that it includes a total of 19 markers. Reproducibility Five canine International Society of Animal Genetics (ISAG) standards were obtained as pre-quantified genomic DNA samples (http://www.isag.org.uk/ISAG/all/ISAG2006_CompanionAnimals.pdf). The samples were amplified and run at both the Molecular Anthropology Laboratory (MAL) at the University of California, Davis and at the Jan Bashinski DNA Laboratory, California Department of Justice, Richmond, CA. At the MAL, an Eppendorf Mastercycler epigradient thermocycler (Eppendorf, Hamburg, Germany) was used to amplify the ISAG samples, and an ABI 3130 Genetic Analyzer containing POP-7™ (Applied Biosystems, Foster City, CA) was used to resolve the amplified fragments. At the Jan Bashinski DNA Laboratory, a GeneAmp® 9700 PCR thermocycler (Applied Biosystems, Foster City, CA) was used to amplify the samples and an ABI 3130 Genetic Analyzer containing POP-4™ (Applied Biosystems, Foster City, CA) was used to resolve the amplified fragments. All samples were amplified in duplicate. All sizes were calculated using a global southern method with the 75, 100, 139, 150, 160, 200, 300, 350, 400, and 450bp LIZ peaks. The samples resolved with POP-7 ran through the 3130 capillary much faster (75bp LIZ peak resolved at ~1500 data points) as compared to the samples resolved with POP-4 (75bp LIZ peak resolved at ~2600 data points). Variations from 2-5bp occurred between ISAG samples run at the different laboratories. This may be partly due to the difference of mobility between allele peaks and GS-500 peaks based on ambient room temperatures and because different sieving mediums (POP-4 versus POP-7) were used. At lower ambient temperatures, STR alleles tend to migrate slower than the GS-500 fragments and at higher temperatures the alleles migrate faster than the GS-500 fragments, causing differences in the sizing of those STR fragments (Klein et al. 2003). The canine control DNA included in the kit can be used to calibrate the allele sizes observed. However, due to the presence of only 1-2 alleles per locus, calibration may be inaccurate, particularly if a locus spans a large size range. An allelic ladder would mitigate the effects of migration variations between laboratories. Accurate concordance data (binned within 1 bp) is difficult until the allelic ladder is fully developed and utilized in subsequent runs. Currently, a canine allelic ladder is being developed for the Finnzymes multiplex, but without the use of a ladder, consistent genotyping of PCR product peaks on a capillary electrophoretic platform may be difficult. Intracolor and Intercolor balance The intracolor percentages were calculated for 61 samples. Products in the red channel consistently produced the best intracolor balance among loci at 45.18% with a standard deviation of 12.85 (n = 61). All other dye colors had intracolor balances ranging from 32.77±10.5% (green), 33.63±14.18% (blue) and 38.69±12.92% (yellow). For comparison, the amplification of non-degraded and uninhibited samples of human DNA using the Identifiler® kit was reported to attain an average intracolor balance of 50% or higher (Collins et al. 2004). Intercolor balance for 61 samples was estimated to be 21.97±7.67% which is within the lower range of intercolor balance for the Identifiler® kit (20-40%). The reduced color balances of the canine STR kit may be attributed to particular marker primer pairs. All loci that exhibit the lowest or the highest normalized RFU values are possible candidates for further primer concentration studies to improve intracolor and intercolor balance. In the blue channel, locus FH2017 demonstrated the lowest RFU value for 36 out of 61 samples, followed by locus FH2309 which had the lowest RFU value for 16 samples. The low RFU values for locus FH2017 might be partially explained by a suspected primer binding site mutation. The Zinc Finger locus usually exhibits the highest RFU value within the blue channel, but locus FH2017 also had the highest RFU value in 11 samples (presumably there is no primer binding site variant in these samples). The locus with the lowest RFU value in the green channel is PEZ05 differing 1000-3000 RFU from the highest normalized RFU in the green channel. In well balanced primer mixtures, primer pairs that produce the smallest PCR product lengths would be expected to produce the highest RFU signal because it is easier for the polymerase to amplify smaller products (Leibelt et al. 2003). Because locus PEZ05 (the smallest PCR product in the green channel) exhibits the lowest RFU value, the current primer pairs for PEZ05 are not performing optimally with the other primers in the same dye channel. Interestingly, three different markers (FH2001, FH2004 and FH2361) competed for the highest RFU’s in the green dye color. Thus, if the signal from locus PEZ05 can be increased in relation to the other markers labeled in green the intracolor balance can be improved. For the yellow channel locus FH2107 tends to produce the lowest normalized signal while locus FH2054 produces the highest signal, the difference being 1000-1700 RFU. The red channel exhibits the best averaged intracolor balance of 45.18%. Loci FH2088 and FH3313 tend to produce the lowest RFU signal, 1000-2000 RFU lower than normalized peak produced by locus FH2010 (with the highest RFU peaks). Amplification-Annealing Temperature When multiple primer sets are co-amplified in a single PCR reaction, variation in locus product yield will vary somewhat under one annealing temperature. It is important to validate how prone a reagent kit is for variation in annealing temperature, because thermal cyclers may exhibit some variation between and within their thermal blocks. Therefore, different annealing temperatures were evaluated in order to investigate the amplification success of the entire suite of primers in the Finnzymes multiplex as a function of annealing temperature. For this study, three DNA samples (2 bloods and 1 buccal extracted sample) were amplified in duplicate. One μL of PCR product was added to 10 μL of 0.02% LIZ/Formamide solution for electrophoretic injection. The best overall intracolor balance occurred at 60°C, with average color balances being 42.41% for blue, 52.99% for green, 53.31% for yellow, and 54.98% for red. A 60°C annealing temperature also provided the best intercolor balance at 29.0% compared to 27.0% for 58.5°C and 22.0% for 57.7°C. Between 56 °C and 60 °C, all allele peaks were called; the PEZ05 locus dropped out in one amplification at 61.9 °C and had RFU values below 100 for the other five amplifications (compared to RFUs of 500-4000 for all other loci). The manufacturer of the kit recommends an annealing temperature of 60 °C, which is congruent with the results herein. Amplification-Number of cycles To determine the optimal number of cycles for the canine STR kit, PCRs (1ng template in a 20uL reaction) were run for 26, 28, 30, 32, and 34 cycles on a GeneAmp 9700 thermocycler (Applied Biosystems, Foster City, CA). DNA from two blood extracted samples and one buccal extracted sample were amplified in duplicate. The manufacturer (Finnzymes Oy, Espoo, Finland) recommended 30 cycles for amplifying canine DNA. As expected, the overall signal intensity for most peaks increased with cycle number. Four of the six amplifications exhibited allelic dropout at locus FH2017 after only 26 PCR cycles, but all other cycle numbers provided peaks above 50 RFU. The best overall intracolor and intercolor balances were seen at 28 and 30 cycles. Between 26 and 32 cycles, signal intensity increased with increasing cycle number, but at 34 cycles certain loci had considerably higher signal than others. Peaks for the Zinc Finger, FH2017, FH2088, FH2010, and vWF.X loci had the highest signals (5000-8000 RFU) while most other peaks had signals below 2000 RFU. As expected, no shouldering from non-template nucleotide addition was seen at any of the cycle numbers tested because unlike Taq polymerase, Phusion Polymerase has 3' to 5' exonuclease activity that eliminates the non-templated nucleotide additions. Peak Height Ratios Sixty one samples were amplified to calculate peak height ratios (PHRs) for heterozygous allele pairs. Only samples that amplified peaks exceeding 500 RFUs were used in the calculations. PHRs (excluding FH2017 and Zinc Finger) averaged between 78.57 and 96.14%. The FH2017 locus exhibited a standard deviation in PHR over three times that of the locus with the next highest standard deviation. Also, the low heterozygosity (0.49 for n=61) for locus FH2017 in relation to other markers in the panel suggests a primer binding site mutation may be causing allelic imbalance. Another indication of a primer binding site mutation at locus FH2017 is the observed increase in PHR as the annealing temperature is decreased (Butler 2005). One sample from a Labrador retriever used in the annealing temperature study also exhibited this phenomenon. Eleven other samples produced low peak height ratios ranging from 22.41% to 8.32%. One solution to address low peak signal caused by primer binding site mutations is to design a degenerate primer for FH2017 to add to the PCR reaction (Leibelt et al. 2003; Butler The primer binding regions for animals demonstrating FH2017 binding mutations should be sequenced to determine the location and base composition of the mutation. Because both intracolor and intercolor balance are poor at 56°C, reducing the stringency of the PCR by reducing the annealing temperature is not a feasible option. In addition, the Zinc Finger locus exhibited a lower peak height ratio average (51.20%) with the male specific peak (~164 bp) amplifying 1000-2000 RFU shorter than the X specific peak (~159 bp). All samples that contained sex information about the donor animal were typed correctly by the Zinc Finger locus (n=67). Stutter Percentages The stutter percentages were calculated by dividing the RFU value of the stutter peak (n-4) by the RFU value of the parent peak (n) when the parent peak exceeded 1000 RFUs. Peaks with a heterozygous allele in the n-4 stutter position were not used to determine the mean stutter percentages for the locus. Locus PEZ17 contains both n-2 and n-4 stutter peaks. The average n-2 stutter percentage for PEZ17 is 12.10% with a standard deviation of 3.59% (n=75) when the parent peak is taller than 1000 RFU. Locus FH2309 sometimes exhibits n+4 stutter peaks (n=3). The height of the FH2309 parent peak was typically above 2000 RFU when n+4 stutter was seen with one exception of a parent peak at 900 RFU that contained an n+4 stutter artifact. Artifacts Several dye blobs were seen in the reagent blanks and in samples containing peaks with low RFU values. Dye blobs are seen at ~123 bp in the blue dye channel, at ~117 bp in the green channel, at ~96 bp in the yellow channel, and at ~112 bp and ~118 bp in the red channel. The dye blob in the yellow channel sometimes interfered with the allele calls in marker PEZ21 if the peak height for the allele was at or below 100 RFU. Mixture Study A binning program called FLEXIBIN (Amos et al. 2007) was used to determine allele calls for the animals of the mixture study (Kanthaswamy et al. submitted). The ‘Repeats’ column is not an accurate reflection of the number of tetranucleotide repeats present in the actual PCR product but the values are operationally defined. Two genomic canine samples were mixed in the following proportions so that the total DNA input for each reaction was 1.0 ng: 20:1, 10:1, 5:1, 2:1, 1:1, 1:2, 1:5, 1:10 and 1:20. For this study, loci that exhibited non-overlapping alleles (as determined by the unmixed controls) were selected. The minor component robustly amplifies (all peaks above 50 RFU) at a 1:5 mixture ratio. This may be partly due to lower intracolor balances across all dye channels. The Identifiler® kit typically has an intracolor balance of 50% for all color channels when samples are not degraded or inhibited, which may explain the typing kit’s ability to robustly amplify the minor component in mixture ratios of 1:10 (Collins et al. 2004). Better detection of minor component DNA in canine mixtures might be attained by improving intracolor balance (see ‘Intracolor and Intercolor balance’ section). Overlapping Marker size ranges Size range overlap among loci was detected in the electropherograms of 67 different California dog samples. A marker range overlap of 14 base pairs occurred between FH3377 and FH2107 in the Akita sample from the sensitivity study. The overlap was only detected because the neighboring marker range for FH2107 contained two heterozygous peaks that are of significantly less intensity than the homozygous FH3377 peak. Of 67 animals, the Akita sample was the only example of an allele size in the FH3377/FH2107 overlapping region. The analyst should be cautious when making an interpretation of an allele in the overlapping range for FH3377 and FH2107 because both markers contain an allele ~ 295.6 bp. All other alleles that type in the overlap region should be more easily distinguished with the binning properties of the different length repeat motifs since FH3377 is a pentanucleotide repeat and FH2107 is a tetranucleotide repeat. Another overlapping allele range occurs between markers FH2004/FH2361 that share a 3-4 base pair overlap, but perfect repeat allele bins in both marker ranges are offset by one base pair from each other. Microvariants Seen in FH3313 and FH2361 Three heterozygous samples typed in this study exhibited a microvariant allele for locus FH2361. One animal exhibited heterozygous alleles one base pair apart, and two other animals exhibited heterozygous alleles two base pairs apart. The peaks that are a single base pair apart are resolved clearly. Five animals contained microvariant alleles in the FH3313 locus. Three animals contained well-resolved FH3313 microvariants which appeared to be two base pairs apart, but two other canine samples had broad peaks. The samples containing broad peaks were confirmed by a second amplification and two separate injections. The morphology of these peaks might be caused by STR alleles of the same length on either autosomal chromosome containing slightly different sequence variations from each other, resulting in different migration properties during electrophoresis (Rosenblum 1997; Butler 2005). Microvariants were also observed at loci FH2107, FH2309, and FH3377 when an independent larger sample set of 667 dogs was analyzed (Tom et al. submitted; Kanthaswamy et al. submitted). Species Specificity The Finzymes multiplex amplified reproducible STR profiles in 5 wolf (Canis lupus) samples as would be expected given the evolutionary history of the domestic dog and wolf (Brewer et al. 2002). The peaks obtained in wolves were concordant with the allele spectrum of the domestic dog for each locus. Indeed, STR loci are well-known to cross-amplify even among more genetically differentiated species than the dog and wolf (Primmer et al. 1997). For example, the Identifiler® kit developed for human profiling generates partial profiles for other primate species (chimpanzee, orangutan, macaque, and gorilla, Collins et al. 2004), and the “Meowplex” generates PCR products for ocelot, and puma samples (Menotti-Raymond et al. 2005). Therefore, canine species specificity of the 19-plex was assessed by amplifying 5ng non-canine DNA samples in duplicate. Several peaks were observed when DNA samples from chicken, mouse, rat, horse, cow, pig, cat, fish (Catfish) and monkey (African green monkey) were typed. Only low level peaks below 100 RFU were present for both amplifications with rat and fish DNA. Peaks above 50 RFU were seen in one of two amplifications of pig DNA. Most peaks fell outside of the canine allele ranges or were incongruent with the ladder positions while a few non-canine specific peak sizes were close to canine allele positions. To better assess whether these peaks truly fall into a canine allele bin, the various non-canine species (fish, pig, rat, cat, mouse, chicken and monkey) should be run again with an allelic ladder, once it is developed. Subsequent BLAT and BLAST searches of the 19 sets of primers revealed that some primers have 95-100% identity with the genomic information for certain species; however, no pair of primers (both forward and reverse) for a given locus demonstrated such high similarity. Primers FH2361R, vWF.XF, and FH2017F have the most similarity with a number of non-canine species. The PEZ17R primer has 100% identity with 100 locations in the cat genome. But, the primer binding sites discovered with the BLAT and BLAST searches for the 19-plex primers do not assess the possibility for non-target binding of the 3' end of the primers. For instance, primer binding to chicken, cow, and pig samples was not confirmed by searching for similar DNA sequences between the Finzymes multiplex primer panel and the genome information available on the BLAST and BLAT websites. Similarly, several canine primers shared 95-100% identity with multiple locations in the human genome, but amplification peaks were not present in duplicate 19-plex reactions of human DNA (data not shown). A simple BLAST or BLAT search may be insufficient to assess cross-reactivity of a primer to a particular genome. Also, none of the peaks exhibited in any of the non-canine species appeared to reveal the morphology of STR products (all peaks above 500 RFU lack stutter peaks), which could be helpful in evaluating whether non-canine species amplification has occurred in a reaction. Of course, species cross-reactivity does not necessarily make a kit unreliable. It is important to perform such studies to better understand the limitations of an assay. No full 19 locus profile was observed with any of the above mentioned species. Case-Type Samples Samples from a recent dog attack were amplified in duplicate using the Finnzymes multiplex. Sample numbers 1 through 13 were single shed hairs found on a sweatshirt and samples 14 through 17 were saliva stain samples found on the victim’s sweatshirt. Although not recommended for routine casework, the detection threshold was lowered to 25 RFU for all colors to collect as much data as possible. Using the California Department of Justice casework peak threshold standards, only peaks called above 50 RFU were considered ‘alleles’, and single peaks at a locus above 200 RFU were considered a homozygous genotype. A ten second injection time at 3 kV was used while running the sample on the ABI 3130 CE. Table 4 presents a combined summary of the peaks called from duplicate PCR reactions; all alleles are described as ‘raw’ lengths in base pairs. Many of the case work samples had peaks below 50 RFU, and many markers only had a single peak call possibly indicating peak drop-out due to low input DNA amounts amplified in the PCR reactions. Samples 8 and 13 had three peaks in the marker range for PEZ17, some of which were below 50 RFU. Some of the peaks below 50 RFU may be attributed to baseline noise or allelic drop-out affected by stochastic fluctuations from typing low amounts of genomic DNA (Butler 2005). Sample 8, a single shed hair extracted using the Chelex method, provided the best profile overall with the most peaks called above 50 RFU. Additional technical modifications will be required to amplify samples below 0.125 ng such as increasing the cycle number and investigating alternative extraction protocols for telogen hair samples (Braunner et al. 2001; Lu et al. 2003), but these actions carry all the limitations experienced with low copy DNA analyses (Budowle et al. 2001). Based on the positive control sample that was processed on the same injection plate as the non-probative samples, allele calls for sample 8 were obtained by binning (for peaks above 50 RFU (Table 5)). The Fst and the allele frequencies were determined from a 667 animal population study from canines across the United States (Kanthaswamy et al., submitted), the RMP for the positive control animal profile was calculated at $3.47 \times 10^{-23}$, and a LR at $2.89 \times 10^{22}$. The RMP for the sample 8 profile was calculated at $1.00 \times 10^{-17}$. Two saliva stain samples (14 and 17) provided partial profiles containing peaks from 10 and 12 loci respectively. Using the Fst value of 0.09, the RMP for the sample 14 profile is $3.18 \times 10^{-3}$, and sample 17 has a RMP of $1.04 \times 10^{-3}$. The sex typing marker (Zinc Finger) had varying success when typing telogen hair samples. Of the ten hair samples that produced peaks, three samples typed X and Y associated peaks; however, only two of these samples had a Y peak 50 RFU. In addition, only four hair samples typed the X peak above 50 RFU, and three samples had X peaks between 25 and 50 RFU. As seen with the PHR study, the $\sim$159 bp X peak typed at much higher RFUs (typically two times higher) than the $\sim$164 Y peak in male canines, and, therefore, the ZF-X primers seemed to amplify more robustly at input DNA levels below 125 pg. The two saliva stain samples that generated profiles amplified both the X and Y peaks above 50 RFU. Positive Control Animal Interestingly, the positive control F-863 produces a profile that contains three peaks for marker FH2328. Originally, it was suspected that F-863 contained rare alleles for PEZ05 and FH2001 because this would account for all six peaks seen amongst neighboring loci PEZ05, FH2001 and FH2328. To test this theory, F-863 was amplified with single plexes of PEZ05, FH2001 and FH2328. In triplicate reactions, 4.5 µL each of the forward and reverse primers (500 nm total) was combined with 9 µL of the Finnzymes Reaction Mixture and 2 µL for each single plex. The results revealed that the positive control animal produced a single peak of ~100.4 bp at the PEZ05 locus, two peaks of ~128.01 bp and ~144.8 bp at the FH2001 locus, and two peaks of ~169.9 bp and ~205.5 bp at the FH2328 locus. In two of the three amplifications, FH2328 produced what appeared to be a third peak of ~201.6 bp. All of the amplifications of the positive control animal using the Finnzymes multiplex throughout the validation (n=13) contain the third peak (~201.6 bp), averaging a height of 53.0% that of the ~205.5 bp peak. Using Picogreen®, the positive control animal was quantified at 0.1 ng/µL, meaning that all of the positive control animal amplifications were performed using only 0.2 ng of DNA in a 20 µL reaction. This may explain why the third peak was only seen in two of the three single plex amplifications using the FH2328 primers. This third FH2328 peak could possibly be an artifact peak generated from the 19-plex or it could be a tri-allelic pattern inherent to the cell line used for the positive control. The Zinc Finger sex typing marker successfully typed the positive control animal as female in all ten amplifications. Typically, the ~159 bp X peak was the tallest peak in the blue color channel for the positive control. The proposed multiplex is comprised of 18 STR markers and a zinc-finger sexing marker. Five of the 18 STRs included in the proposed panel have been described previously, and the core repeat units of their common alleles have been published in detail (Eichmann et al. 2005; Hellmann et al. 2006). Of these five, FH2010, FH2054, FH2328, and PEZ02 were tetrameric while the VWF.X marker was a hexameric repeat unit. Although the tetrameric repeat units of nine of the remaining loci have been published, detailed characterization and nomenclature has not yet been developed. These loci include Pez05, Pez16, Pez17, Pez21, FH2001, FH2004, FH2088, FH2017, and FH2107 (Shibuya et al. 1994; Francisco et al. 1996; Neff et al. 1999; Halverson et al. 1999; Mellersh et al. 2000; Breen et al. 2001; Guyon et al. 2003). The repeat units and nomenclature of these loci as well as those of FH2309, FH2361, FH3313, and a pentameric locus, FH3377, are described in detail in the present research. Repeat unit structures were ascertained by aligning sequences and determining differences in the number of repeats within the core repeat region. In a few cases, complete sequences could not be obtained due to suboptimal priming sites, and, thus, similarity was confirmed by aligning the partial sequences obtained in this project with those provided by W. Parsons and H. Parker and sequences published by Eichmann et al. (2005) and Hellmann et al. (2006). Unpublished sequences were confirmed by aligning sequences obtained here with those of the published canine genome (http://genome.ucsc.edu/). The primary repeat motif (i.e. the most common motif within a sequence) type, length, and sequence for each STR locus are listed according to ISFG recommendations (Bär et al. 1997). For the compound and complex loci, the first observable and primary repeat motifs are not necessarily the same. The observed repeat lengths of most loci were concordant with the estimated repeat unit lengths generated by the program. FH3377 exhibited a unit length of 5, and VWF.X exhibited a unit length of 6 while the other loci exhibited a repeat unit length of 4. For loci FH2309 and FH2361, there were several instances where the actual allele sizes (Allele), which are based on the sequences, did not correspond with the estimated allele bin length (Length) based on genotypes from a capillary electrophoresis platform. Eichmann et al. (2005) also observed FH2079 amplicons which showed no nucleotide sequence differences but migrated at different rates. Conversely, amplicons exhibiting the same electrophoretic mobility rate and sharing the same sequence size but containing different repeat patterns have been reported in dogs and humans (Hellmann et al. 2006). Although mutations in regions flanking the core repeat structure undetectable by fragment sizing (Dayton 2008) may account for these discrepancies, additional sequencing would help to clarify this issue. These observations suggest that absolute reliance on amplicon size for each of the possible alleles may be misleading. Loci FH2309 and FH2361 also contained a deletion or an addition of a tetrameric sequence in their flanking regions outside of the repeat region causing changes to the allele size, and, therefore, allele number as noted by parentheses in the tables below. Of these six loci, only FH2017 did not exhibit any alleles containing microvariants (or incomplete or partial repeat motifs). Dayton (2008) has reported heterozygote dogs with alleles one base pair apart at locus FH2361, and microvariants in FH3313 that appear to be two base pairs apart. They also observed mutations in the priming sites of locus FH2017 that may have caused allelic dropouts and therefore lower estimates of heterozygosity at this locus compared to other loci used in a population genetic assessment of 667 dogs (Kanthaswamy et al. submitted). The Eichmann et al. method for nomenclature development included the entire repeat region in the calculations of the allele number (2005). This method was used when assigning allele numbers at each locus allowing for the inclusion of novel alleles into the nomenclature system. The sequences obtained in this study were analyzed using the model described in Barber et al. (1996). Working from the outside in, the primer regions were analyzed first, followed by the flanking regions, and the core repeat region in the center. c) Nomenclature development (Tom et al., submitted) Simple Repeats: Nine of the 18 STR loci were characterized by simple repeat structures. Therefore, a designated allele number directly represents the number of repeats units within each allele’s sequence. The loci Pez02, FH2010, FH2054, FH2328, and VWF.x have all been characterized in detail by Eichmann et al. (2005) and Hellmann et al. (2006). Since primers used in this study annealed at different binding sites from those in previous studies, it was important to verify that observed repeat units were the same as those described for the five structurally characterized loci. The complete sequences of Pez05, Pez17, and FH 2001 alleles are available in GenBank under the following accession numbers: FJ031004, FJ031006 and FJ030995. Each of these loci also contained simple repeat structures, and, as in the previous five loci, an allele number assigned to each allele represented the number of complete repeat units found within the allele’s sequence. According to our analysis, Pez21 also contained a simple repeat motif of AAAT. However, it was difficult to obtain complete sequences for this locus due to the location of the primer sites. Both the forward and reverse primers are located immediately before and after the core repeat region making sequencing of this locus very difficult. Sequencing regions immediately downstream of the Pez21 primers usually resulted in indistinct peaks for the first few bases before clear peaks were observed. While this made the alignment of complete forward and reverse sequences using the Pez21 primer set difficult, the partial allele sequences of this locus that we managed to obtain confirmed the simple repeat structure of the locus. This was verified using complete sequences provided by our collaborators. A partial sequence of one of the Pez21 alleles is available on GenBank under the accession number FJ042512. The repeat motifs of loci Pez05 and Pez17 observed here were different than those reported by Halverson et al. (1999). In accordance with International Society of Forensic Genetics (ISFG) recommendations, the first observable repeat motif of Pez05 core repeat region that proceeds in a 5’ to 3’ direction was a TTTA unit and not an AAAG repeat unit as reported in Halverson et al.’s report (1999). For Pez17, the first repeat unit observed was GAAA instead of the AAAG repeat reported by Halverson et al. (1999). Therefore, in accordance with ISFG recommendations, the GAAA motif for the locus’ nomenclature was used as the repeat motif for this locus. The NIST webpage (http://www.cstl.nist.gov/strbase/dogSTRs.htm) also supports the TTTA and GAAA motifs of the Pez05 and Pez17, respectively. FH2001 was a complicated locus as it contained four different tetrameric repeat units (GATA, GGTA, CAAT, and AGAT) proximal to the forward primer with GATA being the first and therefore the primary repeat motif for nomenclature purposes. Though this could be viewed as a compound repeat, only a stretch of GATA units varies among allelic sequences, making it a simple repeat in terms of nomenclature development. Compound Repeats: Pez16, FH2017, FH2088, and FH2309 contained compound repeat structures, i.e. exhibited different tetrameric repeat unit motifs. The complete sequences of representative Pez16, FH2017, FH2088 and FH2309 alleles are available in GenBank under the accession numbers FJ031005, FJ0310997, FJ030998 and FJ031000, respectively. Pez16 exhibited a compound repeat structure that consisted of two different repeat units, GAAA and GGAA instead of an AAAG repeat unit reported by Halverson et al. (1999). In accordance with ISFG, the GAAA unit was defined as the primary motif as it was the first observable repeat unit, a conclusion also supported by the NIST Dog STR webpage (http://www.cstl.nist.gov/strbase/dogSTRs.htm). Among the Pez16 alleles that were sequenced, the two smaller alleles exhibited differences in the GGAA unit while the GAAA unit differed among the three larger alleles. This was interesting because despite the motifs that differed among the smaller and larger alleles, all these alleles were sequentially ordered 16, 17, 18, 19, and 20. FH2017 exhibited a compound repeat motif with three tetrameric sequences that followed one after another: AGGT, AGAT and GATA with GATA being the primary repeat motif seen in the repeat sequence. Between 10 and 14 GATA repeat units were observed among the alleles sequenced followed by 2 AGAT units, which were followed by either 5 or 6 AGGT repeats. The nomenclature for this locus is based on the number of GATA, AGAT and AGGT repeat units found in the entire repeat sequence. Though the AGAT repeat unit did not change in number, it was located between two repeat units that varied in number. Thus, following the rules established for our nomenclature, it was included in the allele number. FH2088 is another compound repeat that contained two different repeat units, TTTA and TTCA. As in the case of Pez21, this locus was not easy to sequence due to the location of the primer sites near the core repeat region. Using different primer sets that annealed further from the core region, complete sequences were obtained. FH2309 exhibited compound structure with primary repeat units of GAAA and GGAA. Units of GGGA sometimes started the repeat stretch, followed by GGAA and GAAA, but the GGGG occurred in far fewer numbers than the other two repeat units. Most of the larger alleles contained a polymorphic stretch that did not follow the tetrameric structure. In these larger alleles, following the GAAA’s was a GAAAAA unit, followed by another stretch of GAAA. The interpretation of such alleles is problematic as it could be read as a two base insertion or as having this GAAAAAA repeat. This GAAAAAA unit was usually seen in the longer sequences. The smaller alleles that did not contain the GAAAAAA unit had integers for allele numbers, while the larger alleles that had the GAAAAAA unit had allele numbers x.2. In addition, a CTGG sequence occurred in a flanking region located 72 bases before the first GGGA stretch. In some sequences, there was a duplication of this CTGG sequence. This polymorphism could cause problems when calling alleles using a ladder as it would not be possible to tell the difference between a GAAA or a CTGG without knowing the sequence. The allele number takes into account the presence of the CTGG tetrameric unit. Complex Repeats: FH2004, FH2107, FH2361, FH3313, and FH3377 exhibited a complex repeat structure. The allele sequences for each of these loci contained repeat units that differed in both sequence and length. Therefore, allele numbers were based on the number of full repeat motifs and, separated by a decimal, the number of nucleotides contained in the partial or incomplete repeat motifs. The sequences for representative alleles of FH2004, FH2107, FH2361, FH3313, and FH3377 are available in GenBank under the accession numbers FJ030996, FJ030999, FJ031001, FJ0131002, and FJ031003, respectively. According to ISFG recommendations, the primary repeat unit of FH2004 is AAAG, and this differs from the primary repeat unit GAAA reported by Francisco et al. (1996). Sequencing revealed a stretch of A’s before the first G in the repeat region. Therefore, the first observable repeat unit would be that of the AAAG instead of GAAA. Interestingly, the NIST webpage describes TTCT as the primary repeat unit for this locus. The smaller alleles observed in our study contained only this AAAG tetrameric repeat unit while in the larger alleles contained the AAAG unit as well as the AAAAAG and GAAG units. FH2107 was a difficult locus to interpret as it had a polymorphism that complicated the allele calling process. The primary repeat unit at this locus is a tetrameric GAAA repeat. The repeat sequence that was observed started with a stretch of GAAA units. There are three stretches of the GAAA units followed by two constant A bases and then a 12 base stretch that is seen in some sequences and not others. This stretch of 12 bases does not interfere with the nomenclature as it results in a whole number: the twelve bases divides three times into the four base repeat unit. It was relatively easy to detect the GAAA repeat motif of FH2361. This locus, like the others, had a few problematic regions. One sample exhibited a deletion of a TAGA 48 bases after the last GAAA repeat, which could lead to confusion were it interpreted as a deletion of a GAAA unit. Thus, the allele number that takes into account the addition of this TAGA tetrameric unit deletion is noted in parentheses. Another unique sequence exhibited a GAAAAA prior to the last GAAA unit. Unlike previous loci, the GAAAAA did not occur in a longer sequence and could complicate allele calling. The smaller alleles are all integers while the allele containing the GAAAAA has an off-size allele number x.2. FH3313 is another compound repeat with the primary repeat unit being GAAA. The GAAA repeat unit was seen throughout the repeat structure but was separated by stretches of varying G and A combinations. Two alleles, number 44.1 and 49.1, differed from the consensus by not containing the usual GA-GAAAA-GAAA(n)-GA-GAAA sequence following the third stretch of GAAA’s. The third stretch of GAAA’s of both alleles were significantly larger than the other sequences being either 16 or 17 units in length compared to the others that were either 5 or 6 repeat units. Allele 44.1 was unique as it was the only allele that had 6 repeat units for the first stretch of GAAA repeats. Also, allele 44.1 was the only allele that contained an α sequence of GAAAA rather than the β sequence of GGGAA, which was seen in all other samples. The α or β sequence appeared after the second variable stretch of GAAA units. Alleles 57.2 and 62.1 also exhibited repeat regions that varied from the others. GAAA$_{(o)}$ was also larger than normal for these two alleles, which were the two largest alleles sequenced. It appears that the composition of the repeat region changes as the alleles increase in size. The two smallest and two largest sequenced alleles exhibit repeat sequences that differ from all other sequenced alleles. The resulting nomenclature did not contain integers but fractional repeat units expressed as $x.1$ and $x.2$. FH3377 was unique in having a primary pentameric repeat unit of GAAAA. The second most common repeat seen in this sequence was the tetrameric GAAA motif. In some samples, simple tetrameric repeats GAAA(3) are followed by the pentameric repeat GAAAA. Other samples were more complicated since they contained GAAA followed by the GAAAA and also GAAAA-GAAAAAAAA-GAAAA(2)-GAAA-GAAAA(2)-GAA-GAAAA(n). Only the larger alleles exhibited this larger, more variable repeat sequence. Treating the shorter, simpler sequences and the longer, more variable sequences separately illustrated the fact that the only repeat unit that changed in number was the pentameric GAAAA repeat. One of the samples containing this large, variable repeat sequence lacked a pentameric GAAAA following the GAAAAAAA. Another sample containing the shorter repeat sequence contained an additional A before the first GAAA. Since this locus is complex with both tetrameric and hexameric repeat units, the allele numbers are not integers. The allele numbers are based on the pentameric repeat unit, making the allele numbers $x.2$ for the shorter sequences and $x.3$ for the longer sequences. Sexing Marker The sex-linked Zinc Finger X (ZFx) and Zinc Finger Y (ZFy) alleles were also sequenced and analyzed. As would be expected, males exhibited both a ZFx and a ZFy band, while females exhibited two ZFx bands. Thus, males are heterozygous at this marker and females are homozygous. Table 1 Individual Locus STR Information. Chromosomal locations were verified using the UCSC Genome Browser (http://genome.ucsc.edu/). N/A: Information not available Italicized fonts indicate a different repeat motif than that previously reported for a particular locus. \| Locus \| Reference \| Repeat Type \| Observed Primary Repeat Motif \| Estimated Repeat Length \| Effective Repeat Range \| Chromosome (Map Coordinates) \| \|---------\|--------------------\|-------------\|-------------------------------\|-------------------------\|------------------------\|------------------------------\| \| FH2001 \| Francisco et al. (1996) \| Tetra \| GATA \| N/A \| N/A \| N/A \| \| \| Current Research \| Tetra \| GATA \| 4.145 \| 118.77-159.97 \| 23 (50961325-50961475) \| \| FH2004 \| Francisco et al. (1996) \| Tetra \| GAAA \| N/A \| N/A \| N/A \| \| \| Current Research \| Tetra \| AAAG \| 4.197 \| 232.82-325.22 \| 11 (32161381-32161621) \| \| FH2010 \| Francisco et al. (1996) \| Tetra \| ATGA \| N/A \| N/A \| N/A \| \| \| Current Research \| Tetra \| ATGA \| 4.181 \| 221.66-242.66 \| 24 (5196383-5196605) \| \| FH2017 \| Francisco et al. (1996) \| Tetra \| GGTA\textsubscript{(m)}GATA\textsubscript{(n)} \| N/A \| N/A \| N/A \| \| \| Current Research \| Tetra \| AGGT\textsubscript{(m)}AGAT\textsubscript{(n)}GATA\textsubscript{(o)} \| 3.825 \| 256.69-275.69 \| 15 (37914470-37914741) \| \| FH2054 \| Francisco et al. (1996) \| Tetra \| GATA \| N/A \| N/A \| N/A \| \| \| Current Research \| Tetra \| GATA \| 4.147 \| 139.09-176.53 \| 12 (37914504-37914739) \| \| FH2088 \| Francisco et al. (1996) \| Tetra \| TTTA\textsubscript{(m)}TTCA\textsubscript{(n)} \| N/A \| N/A \| N/A \| This document is a research report submitted to the U.S. Department of Justice. This report has not been published by the Department. Opinions or points of view expressed are those of the author(s) and do not necessarily reflect the official position or policies of the U.S. Department of Justice. \| FH2107 \| Francisco et al. (1996) \| Tetra \| GAAA \| N/A \| N/A \| N/A \| \| FH2309 \| Ostrander et al. (1993) \| Tetra \| Motif not defined \| N/A \| N/A \| N/A \| \| FH2328 \| Hellmann et al. (2006) \| Tetra \| GAAA \| N/A \| N/A \| N/A \| \| FH2361 \| Mellersh et al. (2000) \| Tetra \| Motif not defined \| N/A \| N/A \| N/A \| \| FH3313 \| Guyon et al. (2003) \| Tetra \| Motif not defined \| N/A \| N/A \| N/A \| \| FH3377 \| Guyon et al. (2003) \| Penta \| Motif not defined \| N/A \| N/A \| N/A \| This document is a research report submitted to the U.S. Department of Justice. This report has not been published by the Department. Opinions or points of view expressed are those of the author(s) and do not necessarily reflect the official position or policies of the U.S. Department of Justice. \| PEZ02 \| Eichmann et al. (2004a; b) \| Tetra \| GGAA \| N/A \| N/A \| N/A \| \|-------\|---------------------------\|-------\|------\|-----\|-----\|-----\| \| \| Current Research \| Tetra \| GGAA \| 4.011 \| 104.36-144.36 \| 17 (13276076-13276209) \| \| PEZ05 \| Halverson and Basten (2005)/Halverson et al. (17) \| Tetra \| AAAG \| N/A \| N/A \| N/A \| \| \| Current Research \| Tetra \| TTTA \| 3.967 \| 92.48-116.24 \| 12 (60326434-60326541) \| \| PEZ16 \| Halverson and Basten (1)/Halverson et al. (1999) \| Tetra \| AAAG \| N/A \| N/A \| N/A \| \| \| Current Research \| Tetra \| GAAA \| 3.935 \| 280.7-331.66 \| 27 (10305692-10305995) \| \| PEZ17 \| Halverson and Basten (2005)/Halverson et al. (1999) \| Tetra \| AAAG \| N/A \| N/A \| N/A \| \| \| Current Research \| Tetra \| GAAA \| 4.225 \| 190.98-224.58 \| 4 (71904833-71905038) \| \| PEZ21 \| Halverson and Basten (2005)/Halverson et al. (1999) \| Tetra \| AAAT \| N/A \| N/A \| N/A \| \| \| Current Research \| Tetra \| AAAT \| 4.015 \| 83.02-103.22 \| 2 (36438658-36438751) \| \| VWF.X \| Shibuya et al. (1994) \| Hexa \| AGGAAT \| N/A \| N/A \| N/A \| \| \| Current Research \| Hexa \| AGGAAT \| 5.965 \| 151.1-186.74 \| 27 (41977918-41978074) \| Table 2 Annealing temperatures for each locus. \| Locus \| Annealing Temp. °C \| \|-----------\|--------------------\| \| FH2001 \| 51 \| \| FH2004 \| 64 \| \| FH2010 \| 57 \| \| FH2017 \| 58 \| \| FH2054 \| 57 \| \| FH2088 \| 56 \| \| FH2107 \| 54 \| \| FH2309 \| 52 \| \| FH2328 \| 58 \| \| FH2361 \| 59 \| \| FH3313 \| 57 \| \| FH3377 \| 54 \| \| PEZ02 \| 60 \| \| PEZ05 \| 57 \| \| PEZ16 \| 57 \| \| PEZ17 \| 59 \| \| PEZ21 \| 52 \| \| vWF.X \| 57 \| \| ZFx/ZFy \| 57 \| Table 3 Observed national and regional STR allele frequencies (n = number of different allele types). \| Locus \| Binned allele classes (bp) \| Regional \| National=Total (N=667) \| \|-------\|----------------------------\|----------\|------------------------\| \| \| Length¹ \| Mean² \| Western (N=147) \| Southern (N=241) \| Mid-western (N=164) \| Northeastern (N=115) \| \| FH2001\| 118.77 \| 118.803 \| 0.0068 \| 0.0062 \| 0.0152 \| 0.0217 \| 0.0112 \| \| n=11 \| 122.89 \| 122.736 \| 0.0204 \| 0.027 \| 0.0122 \| 0.013 \| 0.0195 \| \| \| 127.01 \| 126.866 \| 0.2755 \| 0.2137 \| 0.2287 \| 0.2304 \| 0.2339 \| \| \| 131.13 \| 130.992 \| 0.0646 \| 0.0622 \| 0.061 \| 0.0478 \| 0.06 \| \| \| 135.25 \| 135.099 \| 0.034 \| 0.0581 \| 0.0701 \| 0.0696 \| 0.0577 \| \| \| 139.37 \| 139.283 \| 0.3197 \| 0.2386 \| 0.3079 \| 0.313 \| 0.2864 \| \| \| 143.49 \| 143.724 \| 0.2109 \| 0.2697 \| 0.1768 \| 0.1957 \| 0.2211 \| \| \| 147.61 \| 148.187 \| 0.051 \| 0.0622 \| 0.0671 \| 0.087 \| 0.0652 \| \| \| 151.73 \| 152.549 \| 0.0102 \| 0.0228 \| 0.0152 \| 0.013 \| 0.0165 \| \| \| 155.85 \| 154.552 \| 0.0068 \| 0.0311 \| 0.0396 \| 0 \| 0.0225 \| \| \| 159.97 \| 158.648 \| 0 \| 0.0083 \| 0.0061 \| 0.0087 \| 0.006 \| \| FH2004\| 232.82 \| 232.778 \| 0.1531 \| 0.112 \| 0.128 \| 0.1522 \| 0.1319 \| \| n=17 \| 237.02 \| 237.028 \| 0.3231 \| 0.3444 \| 0.3262 \| 0.2739 \| 0.3231 \| \| \| 241.22 \| 241.256 \| 0.2755 \| 0.2863 \| 0.2713 \| 0.2783 \| 0.2789 \| \| \| 245.42 \| 245.446 \| 0.0816 \| 0.139 \| 0.1311 \| 0.1696 \| 0.1297 \| \| \| 249.62 \| 249.578 \| 0.0136 \| 0.0124 \| 0.0091 \| 0.0174 \| 0.0127 \| \| \| 279.02 \| 278.603 \| 0 \| 0.0041 \| 0.003 \| 0 \| 0.0022 \| \| \| 283.22 \| 284.41 \| 0 \| 0 \| 0.003 \| 0.0087 \| 0.0022 \| \| \| 287.42 \| 286.366 \| 0.017 \| 0.0021 \| 0.0091 \| 0 \| 0.0067 \| \| \| 291.62 \| 290.21 \| 0.0034 \| 0 \| 0 \| 0 \| 0.0007 \| \| \| 295.82 \| 296.033 \| 0.0034 \| 0.0021 \| 0 \| 0.0043 \| 0.0022 \| \| \| 300.02 \| 299.892 \| 0.0306 \| 0.027 \| 0.0305 \| 0.0261 \| 0.0285 \| \| \| 304.22 \| 304.114 \| 0.017 \| 0.0228 \| 0.0183 \| 0.0304 \| 0.0217 \| \| \| 308.42 \| 308.3 \| 0.0136 \| 0.0021 \| 0.0061 \| 0.0087 \| 0.0067 \| \| \| 312.62 \| 312.663 \| 0.017 \| 0.0145 \| 0.0152 \| 0.0087 \| 0.0142 \| \| \| 316.82 \| 316.971 \| 0.0102 \| 0.0104 \| 0.0183 \| 0.0043 \| 0.0112 \| \| \| 321.02 \| 321.097 \| 0.0374 \| 0.0207 \| 0.0305 \| 0.013 \| 0.0255 \| \| \| 325.22 \| 325.245 \| 0.0034 \| 0 \| 0 \| 0.0043 \| 0.0015 \| \| FH2010\| 221.66 \| 221.66 \| 0 \| 0 \| 0 \| 0.0043 \| 0.0007 \| \| n=6 \| 225.86 \| 225.821 \| 0.085 \| 0.1183 \| 0.1585 \| 0.1609 \| 0.1282 \| \| \| 230.06 \| 230.037 \| 0.3265 \| 0.4149 \| 0.3293 \| 0.3696 \| 0.3666 \| \| \| 234.26 \| 234.204 \| 0.3299 \| 0.2199 \| 0.253 \| 0.1826 \| 0.2459 \| ¹ The expected lengths (ELs) of alleles placed in the bin were estimated using Amos et al.’s (20) methods. ELs are not observed lengths (OLs). OLs are based on the actual mobility rates of amplicons and are raw and unbinned data. ² Mean lengths of alleles placed in the bin \| \| 238.46 \| 238.384 \| 0.2415 \| 0.2448 \| 0.2561 \| 0.2739 \| 0.2519 \| \|-------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\| \| \| 242.66 \| 242.554 \| 0.017 \| 0.0021 \| 0.003 \| 0.0087 \| 0.0067 \| \| FH2017\| 256.69 \| 256.586 \| 0.017 \| 0.0477 \| 0.0488 \| 0.0609 \| 0.0435 \| \| n=6 \| 260.49 \| 260.494 \| 0.034 \| 0.0477 \| 0.061 \| 0.0261 \| 0.0442 \| \| \| 264.29 \| 264.312 \| 0.6667 \| 0.6245 \| 0.6189 \| 0.5609 \| 0.6214 \| \| \| 268.09 \| 268.177 \| 0.2075 \| 0.2407 \| 0.2195 \| 0.313 \| 0.2406 \| \| \| 271.89 \| 271.999 \| 0.068 \| 0.0394 \| 0.0488 \| 0.0391 \| 0.048 \| \| \| 275.69 \| 275.773 \| 0.0068 \| 0 \| 0.003 \| 0 \| 0.0022 \| \| FH2054\| 139.09 \| 138.508 \| 0.0034 \| 0.0083 \| 0 \| 0 \| 0.0037 \| \| n=10 \| 143.25 \| 143.028 \| 0.068 \| 0.0643 \| 0.064 \| 0.0304 \| 0.0592 \| \| \| 147.41 \| 147.427 \| 0.1973 \| 0.1971 \| 0.2256 \| 0.2522 \| 0.2136 \| \| \| 151.57 \| 151.776 \| 0.2211 \| 0.2759 \| 0.2652 \| 0.2304 \| 0.2534 \| \| \| 155.73 \| 155.986 \| 0.0952 \| 0.0871 \| 0.0945 \| 0.1087 \| 0.0945 \| \| \| 159.89 \| 160.096 \| 0.0816 \| 0.0809 \| 0.0884 \| 0.0783 \| 0.0825 \| \| \| 164.05 \| 164.115 \| 0.1939 \| 0.1452 \| 0.1006 \| 0.1348 \| 0.1432 \| \| \| 168.21 \| 168.139 \| 0.0748 \| 0.0934 \| 0.1037 \| 0.0913 \| 0.0915 \| \| \| 172.37 \| 172.156 \| 0.0612 \| 0.0373 \| 0.0518 \| 0.0696 \| 0.0517 \| \| \| 176.53 \| 176.23 \| 0.0034 \| 0.0104 \| 0.0061 \| 0.0043 \| 0.0067 \| \| FH2088\| 94.56 \| 95.49 \| 0.0068 \| 0.0021 \| 0 \| 0 \| 0.0022 \| \| n=8 \| 110.4 \| 110.709 \| 0.0272 \| 0.0249 \| 0.0366 \| 0.0261 \| 0.0285 \| \| \| 118.32 \| 118.349 \| 0.2075 \| 0.2095 \| 0.2409 \| 0.2 \| 0.2151 \| \| \| 122.28 \| 122.253 \| 0.0714 \| 0.0685 \| 0.0884 \| 0.0565 \| 0.072 \| \| \| 126.24 \| 126.233 \| 0.2755 \| 0.3154 \| 0.2988 \| 0.2652 \| 0.2939 \| \| \| 130.2 \| 130.346 \| 0.2279 \| 0.2344 \| 0.2195 \| 0.3478 \| 0.2489 \| \| \| 134.16 \| 134.312 \| 0.1837 \| 0.1432 \| 0.1159 \| 0.1043 \| 0.1387 \| \| \| 138.12 \| 138.4 \| 0 \| 0.0021 \| 0 \| 0 \| 0.0007 \| \| FH2107\| 291.72 \| 292.68 \| 0 \| 0 \| 0 \| 0.0043 \| 0.0007 \| \| n=22 \| 295.44 \| 296.38 \| 0 \| 0 \| 0 \| 0.0043 \| 0.0007 \| \| \| 347.52 \| 347.18 \| 0 \| 0 \| 0.003 \| 0 \| 0.0007 \| \| \| 351.24 \| 350.835 \| 0 \| 0.0041 \| 0 \| 0 \| 0.0015 \| \| \| 354.96 \| 354.565 \| 0.0068 \| 0 \| 0 \| 0 \| 0.0015 \| \| \| 358.68 \| 358.453 \| 0.0136 \| 0.0228 \| 0.0366 \| 0.0261 \| 0.0247 \| \| \| 362.4 \| 362.256 \| 0.0374 \| 0.0539 \| 0.0732 \| 0.0391 \| 0.0525 \| \| \| 366.12 \| 365.988 \| 0.0476 \| 0.0622 \| 0.0396 \| 0.0696 \| 0.0547 \| \| \| 369.84 \| 369.769 \| 0.119 \| 0.1535 \| 0.1799 \| 0.1522 \| 0.1522 \| \| \| 373.56 \| 373.588 \| 0.2075 \| 0.1805 \| 0.186 \| 0.1957 \| 0.1904 \| \| \| 377.28 \| 377.386 \| 0.2347 \| 0.1888 \| 0.1555 \| 0.1217 \| 0.1792 \| \| \| 381 \| 381.175 \| 0.1395 \| 0.1515 \| 0.1372 \| 0.1435 \| 0.1439 \| \| \| 384.72 \| 384.969 \| 0.0986 \| 0.0581 \| 0.0732 \| 0.1 \| 0.078 \| This document is a research report submitted to the U.S. Department of Justice. This report has not been published by the Department. Opinions or points of view expressed are those of the author(s) and do not necessarily reflect the official position or policies of the U.S. Department of Justice. \| \| 388.44 \| 388.792 \| 0.0374 \| 0.0415 \| 0.0366 \| 0.0478 \| 0.0405 \| \|-------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\| \| \| 392.16 \| 392.394 \| 0.0102 \| 0.0145 \| 0.0213 \| 0.013 \| 0.015 \| \| \| 395.88 \| 395.364 \| 0.0204 \| 0.029 \| 0.0274 \| 0.0348 \| 0.0277 \| \| \| 399.6 \| 398.567 \| 0.0068 \| 0.0145 \| 0.0091 \| 0.0261 \| 0.0135 \| \| \| 403.32 \| 402.416 \| 0.0136 \| 0.0083 \| 0.0183 \| 0.0217 \| 0.0142 \| \| \| 407.04 \| 406.508 \| 0.0034 \| 0.0104 \| 0 \| 0 \| 0.0045 \| \| \| 410.76 \| 410.457 \| 0 \| 0.0041 \| 0.003 \| 0 \| 0.0022 \| \| \| 418.2 \| 418.01 \| 0.0034 \| 0 \| 0 \| 0 \| 0.0007 \| \| \| 425.64 \| 425.85 \| 0 \| 0.0021 \| 0 \| 0 \| 0.0007 \| \| FH2309\| 339.66 \| 339.882 \| 0.0374 \| 0.027 \| 0.0183 \| 0.0391 \| 0.0292 \| \| n=22 \| 343.5 \| 343.794 \| 0.0374 \| 0.0768 \| 0.0793 \| 0.0478 \| 0.0637 \| \| \| 347.34 \| 347.613 \| 0.0068 \| 0.029 \| 0.0488 \| 0.0348 \| 0.03 \| \| \| 351.18 \| 351.448 \| 0.0408 \| 0.0062 \| 0.0061 \| 0.0043 \| 0.0135 \| \| \| 355.02 \| 355.488 \| 0.0238 \| 0.027 \| 0.0366 \| 0.0478 \| 0.0322 \| \| \| 358.86 \| 359.417 \| 0.0034 \| 0.0062 \| 0.0061 \| 0.0043 \| 0.0052 \| \| \| 362.7 \| 363.379 \| 0.0068 \| 0.0062 \| 0.003 \| 0.0087 \| 0.006 \| \| \| 366.54 \| 365.805 \| 0.0238 \| 0.0145 \| 0.0152 \| 0.0217 \| 0.018 \| \| \| 370.38 \| 369.731 \| 0.0408 \| 0.0394 \| 0.0549 \| 0.0391 \| 0.0435 \| \| \| 374.22 \| 374.345 \| 0.0306 \| 0.0207 \| 0.0183 \| 0.0522 \| 0.0277 \| \| \| 378.06 \| 377.418 \| 0.0374 \| 0.0207 \| 0.0213 \| 0.0217 \| 0.0247 \| \| \| 381.9 \| 381.335 \| 0.0782 \| 0.0788 \| 0.1037 \| 0.0696 \| 0.0832 \| \| \| 385.74 \| 385.271 \| 0.0442 \| 0.0768 \| 0.1067 \| 0.0609 \| 0.0742 \| \| \| 389.58 \| 389.252 \| 0.1156 \| 0.1141 \| 0.0732 \| 0.0696 \| 0.0967 \| \| \| 393.42 \| 393.247 \| 0.1497 \| 0.1349 \| 0.1006 \| 0.1304 \| 0.1289 \| \| \| 397.26 \| 397.27 \| 0.1259 \| 0.1432 \| 0.1037 \| 0.1174 \| 0.1252 \| \| \| 401.1 \| 401.332 \| 0.0306 \| 0.0498 \| 0.0305 \| 0.0217 \| 0.036 \| \| \| 404.94 \| 405.356 \| 0.085 \| 0.0332 \| 0.0488 \| 0.0435 \| 0.0502 \| \| \| 408.78 \| 409.345 \| 0.0578 \| 0.0685 \| 0.0854 \| 0.113 \| 0.078 \| \| \| 412.62 \| 413.395 \| 0.0204 \| 0.0124 \| 0.0274 \| 0.0478 \| 0.024 \| \| \| 416.46 \| 417.473 \| 0 \| 0.0145 \| 0.0122 \| 0.0043 \| 0.009 \| \| \| 427.98 \| 429.5 \| 0.0034 \| 0 \| 0 \| 0 \| 0.0007 \| \| FH2328\| 171 \| 170.92 \| 0 \| 0.0021 \| 0 \| 0 \| 0.0007 \| \| n=12 \| 174.84 \| 174.81 \| 0.034 \| 0.0622 \| 0.0762 \| 0.1043 \| 0.0667 \| \| \| 178.68 \| 178.618 \| 0.0068 \| 0.0041 \| 0 \| 0.0087 \| 0.0045 \| \| \| 182.52 \| 182.519 \| 0.1667 \| 0.1535 \| 0.186 \| 0.2 \| 0.1724 \| \| \| 186.36 \| 186.378 \| 0.1429 \| 0.2178 \| 0.1555 \| 0.1435 \| 0.1732 \| \| \| 190.2 \| 190.215 \| 0.1905 \| 0.1929 \| 0.1494 \| 0.1174 \| 0.1687 \| \| \| 194.04 \| 194.019 \| 0.2041 \| 0.1203 \| 0.1646 \| 0.1304 \| 0.1514 \| \| \| 197.88 \| 197.865 \| 0.1565 \| 0.139 \| 0.1463 \| 0.1696 \| 0.1499 \| \| \| 201.72 \| 201.752 \| 0.0578 \| 0.0726 \| 0.0915 \| 0.0826 \| 0.0757 \| \| \| 205.56 \| 205.805 \| 0.0306 \| 0.0311 \| 0.0244 \| 0.0261 \| 0.0285 \| This document is a research report submitted to the U.S. Department of Justice. This report has not been published by the Department. Opinions or points of view expressed are those of the author(s) and do not necessarily reflect the official position or policies of the U.S. Department of Justice. \| \| 209.4 \| 209.848 \| 0.0034 \| 0.0021 \| 0.003 \| 0.0087 \| 0.0037 \| \|-------\|---------\|---------\|--------\|--------\|--------\|--------\|--------\| \| \| 213.24 \| 213.968 \| 0.0068 \| 0.0021 \| 0.003 \| 0.0087 \| 0.0045 \| \| FH2361\| 322.7 \| 322.4 \| 0 \| 0.0021 \| 0.003 \| 0.0043 \| 0.0022 \| \| n=29 \| 326.7 \| 326 \| 0 \| 0.0021 \| 0 \| 0 \| 0.0007 \| \| \| 330.7 \| 330.498 \| 0.0136 \| 0.0041 \| 0.0061 \| 0.0043 \| 0.0067 \| \| \| 334.7 \| 334.61 \| 0.0204 \| 0.0373 \| 0.0366 \| 0.0391 \| 0.0337 \| \| \| 338.7 \| 338.872 \| 0.0918 \| 0.0809 \| 0.0762 \| 0.0609 \| 0.0787 \| \| \| 342.7 \| 342.812 \| 0.2245 \| 0.2469 \| 0.2378 \| 0.2043 \| 0.2324 \| \| \| 346.7 \| 346.609 \| 0.3095 \| 0.2448 \| 0.2439 \| 0.2348 \| 0.2571 \| \| \| 350.7 \| 350.581 \| 0.1735 \| 0.1515 \| 0.1677 \| 0.2217 \| 0.1724 \| \| \| 354.7 \| 354.531 \| 0.0816 \| 0.0871 \| 0.0823 \| 0.1087 \| 0.0885 \| \| \| 358.7 \| 358.511 \| 0.017 \| 0.0436 \| 0.0427 \| 0.0304 \| 0.0352 \| \| \| 362.7 \| 362.541 \| 0.0204 \| 0.0332 \| 0.0366 \| 0.0304 \| 0.0307 \| \| \| 366.7 \| 366.783 \| 0.0034 \| 0.0041 \| 0.0061 \| 0.0087 \| 0.0052 \| \| \| 370.7 \| 370.743 \| 0.0068 \| 0.0124 \| 0.0061 \| 0 \| 0.0075 \| \| \| 374.7 \| 374.133 \| 0.0034 \| 0.0021 \| 0 \| 0.0043 \| 0.0022 \| \| \| 378.7 \| 378.103 \| 0.0034 \| 0.0041 \| 0 \| 0 \| 0.0022 \| \| \| 382.7 \| 382.21 \| 0 \| 0.0021 \| 0 \| 0 \| 0.0007 \| \| \| 390.7 \| 390.17 \| 0.0034 \| 0.0021 \| 0 \| 0 \| 0.0015 \| \| \| 394.7 \| 394.15 \| 0 \| 0 \| 0 \| 0.0043 \| 0.0007 \| \| \| 398.7 \| 398.16 \| 0 \| 0 \| 0.003 \| 0 \| 0.0007 \| \| \| 402.7 \| 402.28 \| 0 \| 0.0021 \| 0.003 \| 0 \| 0.0015 \| \| \| 406.7 \| 406.636 \| 0.0034 \| 0.0062 \| 0.003 \| 0 \| 0.0037 \| \| \| 410.7 \| 410.385 \| 0.0136 \| 0.0083 \| 0.003 \| 0.013 \| 0.009 \| \| \| 414.7 \| 414.422 \| 0.0068 \| 0.0083 \| 0.0061 \| 0.013 \| 0.0082 \| \| \| 418.7 \| 418.547 \| 0 \| 0.0041 \| 0.0122 \| 0 \| 0.0045 \| \| \| 422.7 \| 422.524 \| 0 \| 0.0041 \| 0.0091 \| 0.0087 \| 0.0052 \| \| \| 426.7 \| 426.588 \| 0 \| 0.0041 \| 0.0061 \| 0 \| 0.003 \| \| \| 430.7 \| 430.605 \| 0 \| 0.0021 \| 0.0061 \| 0.0043 \| 0.003 \| \| \| 434.7 \| 434.745 \| 0 \| 0 \| 0.003 \| 0.0043 \| 0.0015 \| \| \| 438.7 \| 438.78 \| 0.0034 \| 0 \| 0 \| 0 \| 0.0007 \| \| FH3313\| 340.93 \| 340.37 \| 0 \| 0 \| 0.003 \| 0 \| 0.0007 \| \| n=25 \| 352.57 \| 352.42 \| 0.0034 \| 0 \| 0 \| 0 \| 0.0007 \| \| \| 360.33 \| 360.057 \| 0 \| 0.0041 \| 0 \| 0.0043 \| 0.0022 \| \| \| 364.21 \| 363.869 \| 0.0034 \| 0.0166 \| 0.0122 \| 0.013 \| 0.012 \| \| \| 368.09 \| 368.274 \| 0.0204 \| 0.0207 \| 0.0152 \| 0.0304 \| 0.021 \| \| \| 371.97 \| 372.26 \| 0.0442 \| 0.0705 \| 0.0366 \| 0.0565 \| 0.054 \| \| \| 375.85 \| 376.013 \| 0.0646 \| 0.0436 \| 0.0274 \| 0.0478 \| 0.045 \| \| \| 379.73 \| 379.857 \| 0.034 \| 0.0602 \| 0.0671 \| 0.0652 \| 0.057 \| \| \| 383.61 \| 383.771 \| 0.0476 \| 0.0747 \| 0.0915 \| 0.0522 \| 0.069 \| \| \| 387.49 \| 387.468 \| 0.0272 \| 0.0436 \| 0.0366 \| 0.0435 \| 0.0382 \| \| \| 391.37 \| 391.145 \| 0.0306 \| 0.0332 \| 0.0457 \| 0.0522 \| 0.039 \| \|-------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\| \| \| 395.25 \| 395.093 \| 0.0442 \| 0.0622 \| 0.0549 \| 0.0652 \| 0.057 \| \| \| 399.13 \| 398.82 \| 0.0612 \| 0.0581 \| 0.0427 \| 0.0565 \| 0.0547 \| \| \| 403.01 \| 402.448 \| 0.0374 \| 0.0581 \| 0.0488 \| 0.0261 \| 0.0457 \| \| \| 406.89 \| 406.437 \| 0.1054 \| 0.0519 \| 0.0457 \| 0.0435 \| 0.0607 \| \| \| 410.77 \| 410.27 \| 0.0782 \| 0.0726 \| 0.0823 \| 0.0696 \| 0.0757 \| \| \| 414.65 \| 414.337 \| 0.0884 \| 0.0871 \| 0.1098 \| 0.1304 \| 0.1004 \| \| \| 418.53 \| 418.408 \| 0.1429 \| 0.1017 \| 0.1463 \| 0.1261 \| 0.1259 \| \| \| 422.41 \| 422.308 \| 0.0612 \| 0.0394 \| 0.0549 \| 0.0652 \| 0.0525 \| \| \| 426.29 \| 426.649 \| 0.0238 \| 0.0332 \| 0.0244 \| 0.0087 \| 0.0247 \| \| \| 430.17 \| 430.99 \| 0.034 \| 0.0166 \| 0.0274 \| 0.013 \| 0.0225 \| \| \| 434.05 \| 434.627 \| 0.0238 \| 0.0145 \| 0.0122 \| 0.0174 \| 0.0165 \| \| \| 437.93 \| 438.401 \| 0.0068 \| 0.0228 \| 0.0061 \| 0.0087 \| 0.0127 \| \| \| 441.81 \| 442.972 \| 0.0136 \| 0.0104 \| 0.0061 \| 0.0043 \| 0.009 \| \| \| 445.69 \| 446.873 \| 0.0034 \| 0.0041 \| 0.003 \| 0 \| 0.003 \| \| FH3377 \| 183.01 \| 182.839 \| 0.0306 \| 0.0851 \| 0.1006 \| 0.087 \| 0.0772 \| \|--------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\| \| n=22 \| 187.71 \| 187.664 \| 0.068 \| 0.0913 \| 0.0915 \| 0.0783 \| 0.084 \| \| \| 192.41 \| 192.456 \| 0.1667 \| 0.1515 \| 0.1402 \| 0.1174 \| 0.1462 \| \| \| 197.11 \| 197.292 \| 0.2007 \| 0.1515 \| 0.189 \| 0.2435 \| 0.1874 \| \| \| 201.81 \| 202.144 \| 0.0748 \| 0.0996 \| 0.0671 \| 0.0957 \| 0.0855 \| \| \| 206.51 \| 207.299 \| 0.0612 \| 0.0456 \| 0.0457 \| 0.0348 \| 0.0472 \| \| \| 211.21 \| 212.357 \| 0.017 \| 0.0083 \| 0.0152 \| 0.0217 \| 0.0142 \| \| \| 230.01 \| 228.578 \| 0 \| 0.0041 \| 0 \| 0.0087 \| 0.003 \| \| \| 234.71 \| 233.721 \| 0.0646 \| 0.0311 \| 0.0305 \| 0.0174 \| 0.036 \| \| \| 239.41 \| 238.787 \| 0.1497 \| 0.1224 \| 0.128 \| 0.1217 \| 0.1297 \| \| \| 244.11 \| 243.936 \| 0.0918 \| 0.0934 \| 0.0915 \| 0.0478 \| 0.0847 \| \| \| 248.81 \| 248.975 \| 0.0578 \| 0.056 \| 0.0579 \| 0.0826 \| 0.0615 \| \| \| 253.51 \| 253.535 \| 0 \| 0.0166 \| 0.0122 \| 0.0087 \| 0.0105 \| \| \| 262.91 \| 263.58 \| 0 \| 0.0021 \| 0.003 \| 0 \| 0.0015 \| \| \| 267.61 \| 267.568 \| 0.0034 \| 0.0062 \| 0.0061 \| 0 \| 0.0045 \| \| \| 272.31 \| 272.82 \| 0.0034 \| 0.0041 \| 0 \| 0.0043 \| 0.003 \| \| \| 281.71 \| 281.819 \| 0 \| 0.0062 \| 0.0122 \| 0.0087 \| 0.0067 \| \| \| 286.41 \| 286.812 \| 0.0068 \| 0.0083 \| 0.0061 \| 0.0087 \| 0.0075 \| \| \| 291.11 \| 291.637 \| 0 \| 0.0104 \| 0.003 \| 0.0043 \| 0.0052 \| \| \| 295.81 \| 296.43 \| 0 \| 0.0021 \| 0 \| 0.0043 \| 0.0015 \| \| \| 300.51 \| 298.313 \| 0 \| 0.0041 \| 0 \| 0.0043 \| 0.0022 \| \| \| 305.21 \| 303.09 \| 0.0034 \| 0 \| 0 \| 0 \| 0.0007 \| \| VWF.X \| 151.1 \| 150.77 \| 0 \| 0.0041 \| 0.003 \| 0.0043 \| 0.003 \| \|--------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\| \| n=7 \| 157.04 \| 156.992 \| 0.4932 \| 0.473 \| 0.439 \| 0.5609 \| 0.4843 \| \| \| 162.98 \| 163.063 \| 0.3707 \| 0.3714 \| 0.4329 \| 0.2913 \| 0.3726 \| \| \| 168.92 \| 169.044 \| 0.0646 \| 0.0768 \| 0.0671 \| 0.0913 \| 0.0742 \| This document is a research report submitted to the U.S. Department of Justice. This report has not been published by the Department. Opinions or points of view expressed are those of the author(s) and do not necessarily reflect the official position or policies of the U.S. Department of Justice. \| \| 174.86 \| 174.994 \| 0.0476 \| 0.0228 \| 0.0091 \| 0.0217 \| 0.0247 \| \|-------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\| \| \| 180.8 \| 180.965 \| 0.0068 \| 0.029 \| 0.0244 \| 0.0087 \| 0.0195 \| \| \| 186.74 \| 186.856 \| 0.017 \| 0.0228 \| 0.0244 \| 0.0217 \| 0.0217 \| \| PEZ02 \| 104.36 \| 104.479 \| 0.017 \| \| 0.0207 \| 0.0427 \| 0.0043 \| 0.0225 \| \| n=11 \| 108.36 \| 108.397 \| 0.0034 \| 0.0041 \| 0 \| 0 \| 0.0022 \| \| \| 112.36 \| 112.351 \| 0.0306 \| 0.0539 \| 0.0213 \| 0.0652 \| 0.0427 \| \| \| 116.36 \| 116.301 \| 0.0578 \| 0.0768 \| 0.1159 \| 0.113 \| 0.0885 \| \| \| 120.36 \| 120.308 \| 0.1973 \| 0.2095 \| 0.2165 \| 0.1826 \| 0.2039 \| \| \| 124.36 \| 124.309 \| 0.3401 \| 0.334 \| 0.3018 \| 0.313 \| 0.3238 \| \| \| 128.36 \| 128.352 \| 0.2721 \| 0.2552 \| 0.2622 \| 0.2783 \| 0.2646 \| \| \| 132.36 \| 132.448 \| 0.0714 \| 0.029 \| 0.0335 \| 0.0304 \| 0.0397 \| \| \| 136.36 \| 136.531 \| 0.0034 \| 0.0124 \| 0.003 \| 0.013 \| 0.0082 \| \| \| 140.36 \| 140.8 \| 0 \| 0 \| 0.003 \| 0 \| 0.0007 \| \| \| 144.36 \| 145.188 \| 0.0068 \| 0.0041 \| 0 \| 0 \| 0.003 \| \| PEZ05 \| 92.48 \| 92.0889 \| 0.0034 \| 0.0166 \| 0.0244 \| 0.0087 \| 0.0142 \| \| n=7 \| 96.44 \| 96.1071 \| 0 \| 0.0104 \| 0.003 \| 0.0043 \| 0.0052 \| \| \| 100.4 \| 100.366 \| 0.466 \| 0.4191 \| 0.4421 \| 0.5217 \| 0.4528 \| \| \| 104.36 \| 104.3 \| 0.1531 \| 0.1556 \| 0.1677 \| 0.1435 \| 0.1559 \| \| \| 108.32 \| 108.248 \| 0.2823 \| 0.2863 \| 0.2744 \| 0.287 \| 0.2826 \| \| \| 112.28 \| 112.255 \| 0.0952 \| 0.112 \| 0.0884 \| 0.0261 \| 0.0877 \| \| \| 116.24 \| 116.2 \| 0 \| 0 \| 0 \| 0.0087 \| 0.0015 \| \| PEZ16 \| 280.7 \| 281.123 \| 0.0034 \| 0.0021 \| 0 \| 0.0043 \| 0.0022 \| \| n=14 \| 284.62 \| 284.868 \| 0.0578 \| 0.056 \| 0.0335 \| 0.0391 \| 0.048 \| \| \| 288.54 \| 288.893 \| 0.102 \| 0.0788 \| 0.0457 \| 0.0783 \| 0.0757 \| \| \| 292.46 \| 292.603 \| 0.1497 \| 0.1971 \| 0.2256 \| 0.1609 \| 0.1874 \| \| \| 296.38 \| 296.189 \| 0.1395 \| 0.1266 \| 0.1159 \| 0.1652 \| 0.1334 \| \| \| 300.3 \| 299.953 \| 0.2925 \| 0.2967 \| 0.3567 \| 0.3348 \| 0.3171 \| \| \| 304.22 \| 304.258 \| 0.1361 \| 0.0913 \| 0.1159 \| 0.1 \| 0.1087 \| \| \| 308.14 \| 308.456 \| 0.0544 \| 0.0415 \| 0.0305 \| 0.0435 \| 0.042 \| \| \| 312.06 \| 312.392 \| 0.0102 \| 0.0124 \| 0 \| 0.0174 \| 0.0097 \| \| \| 315.98 \| 316.541 \| 0.034 \| 0.0685 \| 0.0518 \| 0.0435 \| 0.0525 \| \| \| 319.9 \| 319.9 \| 0 \| 0.0041 \| 0.0091 \| 0 \| 0.0037 \| \| \| 323.82 \| 324.312 \| 0.017 \| 0.0104 \| 0.0122 \| 0.0043 \| 0.0112 \| \| \| 327.74 \| 328.169 \| 0.0034 \| 0.0104 \| 0.003 \| 0.0043 \| 0.006 \| \| \| 331.66 \| 332.59 \| 0 \| 0.0041 \| 0 \| 0.0043 \| 0.0022 \| \| PEZ17 \| 190.98 \| 191.38 \| 0 \| 0 \| 0.003 \| 0 \| 0.0007 \| \| n=9 \| 195.18 \| 195.262 \| 0.0306 \| 0.0311 \| 0.0305 \| 0.0478 \| 0.0337 \| \| \| 199.38 \| 199.263 \| 0.1701 \| 0.1784 \| 0.2043 \| 0.187 \| 0.1844 \| \| \| 203.58 \| 203.486 \| 0.2347 \| 0.2365 \| 0.1707 \| 0.2348 \| 0.2196 \| This document is a research report submitted to the U.S. Department of Justice. This report has not been published by the Department. Opinions or points of view expressed are those of the author(s) and do not necessarily reflect the official position or policies of the U.S. Department of Justice. \| \| 207.78 \| 207.757 \| 0.2449 \| 0.2344 \| 0.2561 \| 0.2217 \| 0.2399 \| \|-------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\| \| \| 211.98 \| 211.995 \| 0.2279 \| 0.222 \| 0.2073 \| 0.2304 \| 0.2211 \| \| \| 216.18 \| 216.225 \| 0.0816 \| 0.0768 \| 0.0945 \| 0.0565 \| 0.0787 \| \| \| 220.38 \| 220.465 \| 0.0102 \| 0.0145 \| 0.0335 \| 0.0217 \| 0.0195 \| \| \| 224.58 \| 224.437 \| 0 \| 0.0062 \| 0 \| 0 \| 0.0022 \| \| \| \| \| \| \| \| \| \| \| PEZ21 \| 83.02 \| 83.1112 \| 0.0374 \| 0.0643 \| 0.064 \| 0.0478 \| 0.0555 \| \| n=6 \| 87.06 \| 87.0828 \| 0.3605 \| 0.3008 \| 0.3079 \| 0.2826 \| 0.3126 \| \| \| 91.1 \| 91.0312 \| 0.1497 \| 0.1577 \| 0.1037 \| 0.1391 \| 0.1394 \| \| \| 95.14 \| 95.0956 \| 0.415 \| 0.4087 \| 0.4878 \| 0.4826 \| 0.4423 \| \| \| 99.18 \| 99.1534 \| 0.0374 \| 0.0622 \| 0.0366 \| 0.0478 \| 0.048 \| \| \| 103.22 \| 103.05 \| 0 \| 0.0062 \| 0 \| 0 \| 0.0022 \| Table 4 Peak sizes and RFU values for peaks at the canine 19-plex loci for 13 single hair extraction samples (samples 1-13) and 4 saliva stain extractions (samples 14-17). Next to the marker name, alleles are described in raw base lengths and are followed by a backslash (/) and the height of the peak is listed in RFUs. \| Sample \| Locus \| Peak 1 (bp)/RFU \| Peak 2 (bp)/RFU \| Peak 3 (bp)/RFU \| \|--------\|-------------\|-----------------\|-----------------\|-----------------\| \| 1 \| Zinc. Finger\| 159.31/70 \| 163.77/55 \| - \| \| 2 \| - \| - \| - \| - \| \| 3 \| - \| - \| - \| - \| \| 4 \| PEZ02 \| 125.86/28 \| - \| - \| \| \| Zinc. Finger\| 159.21/67 \| - \| - \| \| \| FH2328 \| 190.35/55 \| - \| - \| \| \| FH2004 \| 239.67/27 \| - \| - \| \| \| FH2361 \| 350.13/28 \| - \| - \| \| 5 \| - \| - \| - \| - \| \| 6 \| Zinc. Finger\| 159.21/67 \| - \| - \| \| \| PEZ17 \| 207.63/50 \| - \| - \| \| \| FH3377 \| 192.70/30 \| - \| - \| \| 7 \| PEZ02 \| 125.83/46 \| - \| - \| \| \| Zinc. Finger\| 159.22/67 \| 163.67/32 \| - \| \| \| PEZ05 \| 101.09/59 \| - \| - \| \| \| FH2001 \| 148.92/79 \| - \| - \| \| \| FH2361 \| 354.23/77 \| - \| - \| \| 8 \| PEZ02 \| 125.76/54 \| 129.87/50 \| - \| \| \| Zinc. Finger\| 159.29/173 \| 163.75/50 \| - \| \| \| PEZ17$^3$ \| 199.39/45 \| 203.57/49 \| 215.79/47 \| \| \| FH2309 \| 355.04/92 \| - \| - \| \| \| PEZ05 \| 101.07/234 \| - \| - \| \| \| FH2001 \| 140.71/155 \| 148.92/132 \| - \| \| \| FH2328 \| 182.46/87 \| 193.96/60 \| - \| \| \| FH2004 \| 239.60/73 \| - \| - \| \| \| FH2361 \| 346.16/57 \| 350.24/92 \| - \| \| \| PEZ21 \| 87.39/102 \| - \| - \| \| \| FH2054 \| 152.20/44 \| 164.34/70 \| - \| \| \| FH3377 \| 197.38/46 \| 246.90/40 \| - \| \| \| FH2107 \| 380.37/54 \| - \| - \| \| \| FH2088 \| 131.89/224 \| - \| - \| \| \| vWF.X \| 157.09/115 \| - \| - \| \| \| FH2010 \| 236.78/120 \| - \| - \| \| \| PEZ16 \| 304.25/112 \| - \| - \| \| \| FH3313 \| 402.70/53 \| 414.37/55 \| - \| \| 9 \| PEZ05 \| 101.12/50 \| - \| - \| \| 10 \| Zinc. Finger\| 159.14/47 \| 163.72/36 \| - \| \| \| PEZ05 \| 105.11/35 \| - \| - \| \| \| FH2001 \| 128.34/30 \| 144.61/34 \| - \| \| \| FH2328 \| 197.91/38 \| - \| - \| $^3$ This sample was extracted from a saliva stain. \| \| \| \| \| \| \|---\|---\|---\|---\|---\| \| 10 \| FH2361 \| 354.15/31 \| - \| \| \| \| PEZ21 \| 87.30/27 \| - \| \| \| \| FH2054 \| 168.43/37 \| 172.34/31 \| \| \| \| FH3377 \| 246.56/46 \| - \| \| \| \| FH2088 \| 123.49/50 \| 131.75/35 \| \| \| \| FH3313 \| 383.98/51 \| - \| \| \| 11 \| Zinc. Finger \| 159.15/25 \| - \| \| \| \| PEZ05 \| 101.01/53 \| - \| \| \| \| FH2001 \| 144.80/56 \| 148.87/26 \| \| \| \| FH2328 \| 182.47/30 \| - \| \| \| \| FH2361 \| 345.97/25 \| - \| \| \| \| PEZ21 \| 87.41/49 \| - \| \| \| \| FH2054 \| 152.09/39 \| - \| \| \| \| FH2088 \| 131.75/49 \| - \| \| \| 12 \| Zinc. Finger \| 159.16/38 \| - \| \| \| \| FH2001 \| 148.90/37 \| - \| \| \| \| FH2004 \| 239.43/53 \| - \| \| \| \| FH2361 \| 346.12/31 \| - \| \| \| \| FH2054 \| 164.36/43 \| - \| \| \| \| FH3377 \| 197.41/53 \| - \| \| \| \| FH2010 \| 236.69/46 \| - \| \| \| 13 \| PEZ02 \| 121.74/40 \| - \| \| \| \| Zinc. Finger \| 159.08/62 \| - \| \| \| \| PEZ17 \| 203.55/68 \| 207.53/35 \| 215.73/35 \| \| \| FH2017 \| 266.77/86 \| - \| \| \| \| FH2001 \| 140.70/31 \| - \| \| \| \| FH2361 \| 350.06/30 \| - \| \| \| \| PEZ21 \| 87.37/52 \| - \| \| \| \| FH2054 \| 152.12/28 \| 164.32/64 \| \| \| \| FH2010 \| 236.70/42 \| - \| \| \| \| PEZ16 \| 288.36/27 \| 299.70/43 \| \| \| \| FH3313 \| 402.71/48 \| - \| \| \| 14 \| PEZ02 \| 130.00/45 \| - \| \| \| \| Zinc. Finger \| 159.23/53 \| 163.70/73 \| \| \| \| PEZ17 \| 203.50/137 \| 215.73/64 \| \| \| \| PEZ05 \| 101.18/137 \| - \| \| \| \| FH2001 \| 140.71/101 \| 148.86/131 \| \| \| \| FH2328 \| 182.50/69 \| 193.87/93 \| \| \| \| FH2004 \| 239.49/79 \| - \| \| \| \| PEZ21 \| 83.39/83 \| 87.42/49 \| \| \| \| FH2054 \| 152.21/63 \| 164.29/34 \| \| \| \| FH3377 \| 187.92/44 \| 197.44/44 \| \| \| \| FH2088 \| 131.81/97 \| - \| \| \| 15 \| - \| - \| - \| \| \| 16 \| - \| - \| - \| \| \| 17 \| PEZ02 \| 129.91/64 \| - \| \| \| \| Zinc. Finger \| 159.23/113 \| 163.77/62 \| \| \| \| PEZ17 \| 215.57/92 \| - \| \| \| \| PEZ05 \| 101.08/126 \| - \| \| This document is a research report submitted to the U.S. Department of Justice. This report has not been published by the Department. Opinions or points of view expressed are those of the author(s) and do not necessarily reflect the official position or policies of the U.S. Department of Justice. \| Marker \| RFU \| RFU \| \|---------\|---------\|-------\| \| FH2001 \| 140.75/73 \| - \| \| FH2328 \| 193.94/29 \| - \| \| FH2004 \| 239.62/68 \| - \| \| PEZ21 \| 83.40/64 \| 87.49/54 \| \| FH2054 \| 152.15/187 \| - \| \| FH3377 \| 197.44/95 \| - \| \| FH2088 \| 131.93/199 \| - \| \| vWF.X \| 157.10/94 \| - \| \| FH2010 \| 229.02/55 \| - \| \| PEZ16 \| 288.36/54 \| - \| *** PEZ17 had three allele calls in two different samples. The low RFU values make it difficult to determine which allele calls are true peaks. Table 5 Allele calls and frequencies for the Finnzymes multiplex kit’s positive control animal (F-863) and for Non-probative Sample 8. ‘Raw’ and ‘Binned’ values are in bases. \| Locus \| Positive Control \| Non-probative sample \| National Freq. \| \|---------\|------------------\|----------------------\|----------------\| \| \| Raw \| Binned \| Raw \| Binned \| \| \| FH2001 \| \| \| \| \| 0.2339 \| \| \| 128.44 \| 127.01 \| - \| - \| \| \| \| - \| - \| 140.71 \| 139.37 \| 0.2864 \| \| \| 144.76 \| 143.49 \| - \| - \| 0.2211 \| \| \| - \| - \| 148.92 \| 147.61 \| 0.0652 \| \| FH2004 \| \| \| \| \| 0.1319 \| \| \| 231.51 \| 232.82 \| - \| - \| \| \| \| 239.63 \| 241.22 \| 239.6 \| 241.22 \| 0.2789 \| \| FH2010 \| \| \| \| \| 0.2459 \| \| \| 232.79 \| 234.26 \| - \| - \| \| \| \| - \| - \| 236.78 \| 238.46 \| 0.2519 \| \| FH2017 \| \| \| \| \| 0.6214 \| \| \| 262.64 \| 264.29 \| - \| - \| \| \| \| 266.76 \| 268.09 \| - \| - \| 0.2406 \| \| FH2054 \| \| \| \| \| 0.2136 \| \| \| 148.08 \| 147.41 \| - \| - \| \| \| \| - \| - \| 164.34 \| 164.05 \| 0.1432 \| \| \| 168.26 \| 168.21 \| - \| - \| 0.0915 \| \| FH2088 \| \| \| \| \| 0.072 \| \| \| 123.65 \| 122.28 \| - \| - \| \| \| \| 127.58 \| 126.24 \| - \| - \| 0.2939 \| \| \| - \| - \| 131.89 \| 130.2 \| 0.2489 \| \| FH2107 \| \| \| \| \| 0.1522 \| \| \| 369.77 \| 369.84 \| - \| - \| \| \| \| - \| - \| 380.37 \| 381 \| 0.1439 \| \| \| 389.23 \| 388.44 \| - \| - \| 0.0405 \| \| FH2309 \| \| \| \| \| 0.0322 \| \| \| - \| - \| 355.04 \| 355.02 \| \| \| \| 393.9 \| 393.42 \| - \| - \| 0.1289 \| \| FH2328 \| \| \| \| \| 0.0007 \| \| \| 169.79 \| 171 \| - \| - \| \| \| \| - \| - \| 182.46 \| 182.52 \| 0.1724 \| \| \| - \| - \| 193.96 \| 194.04 \| 0.1514 \| \| \| 205.47 \| 205.56 \| - \| - \| 0.0285 \| \| FH2361 \| \| \| \| \| 0.2324 \| \| \| 342.1 \| 342.7 \| - \| - \| \| \| \| 343.99 \| 342.7 \| - \| - \| 0.2324 \| \| \| - \| - \| 346.16 \| 346.7 \| 0.2571 \| \| \| - \| - \| 350.24 \| 350.7 \| 0.1724 \| \| FH3313 \| \| \| \| \| 0.0457 \| \| \| - \| - \| 402.7 \| 403.01 \| \| \| \| - \| - \| 414.37 \| 414.65 \| 0.1004 \| \| \| 418.21 \| 418.53 \| - \| - \| 0.1259 \| \| \| 423.84 \| 422.41 \| - \| - \| 0.0525 \| \| FH3377 \| \| \| \| \| 0.1874 \| \| vWF.X \| \| \| \| \| 0.4843 \| \| PEZ02 \| \| \| \| \| 0.3238 \| \| \| 129.8 \| 128.36 \| 125.76 \| 124.36 \| \| \| PEZ05 \| \| \| \| \| 0.2646 \| \| \| 101.04 \| 100.4 \| 101.07 \| 100.4 \| 0.4528 \| \| PEZ16 \| \| \| \| \| 0.3171 \| \| \| 300.32 \| 300.3 \| - \| - \| \| \| \| 304.19 \| 304.22 \| 304.25 \| 304.22 \| 0.1087 \| \| PEZ17 \| \| \| \| \| 0.1844 \| \| \| 199.47 \| 199.38 \| - \| - \| \| \| \| 211.56 \| 211.98 \| - \| - \| 0.2211 \| \| PEZ21 \| \| \| \| \| 0.3126 \| \| \| 87.44 \| 87.06 \| 87.39 \| 87.06 \| \| \| \| 95.68 \| 95.14 \| - \| - \| 0.4423 \| \|-------\|-------\|-------\|-----\|-----\|--------\| This document is a research report submitted to the U.S. Department of Justice. This report has not been published by the Department. Opinions or points of view expressed are those of the author(s) and do not necessarily reflect the official position or policies of the U.S. Department of Justice. Figure 1 Geographic locations in the U.S. that are represented by the samples used in this study. Figure 2 The positive control F-863 STR profile and the allelic distribution at each of the 19 loci. Figure 3 Assignment results of the STRUCTURE analysis based on the pedigreed breed and mixed breed dog samples, where K = 13 breeds and 1. American Pit Bull, 2. Beagle, 3. Dachshund, 4. German Shepherd, 5. Golden Retriever, 6. Labrador Retriever, 7. Miniature Poodle, 8. Standard Poodle, 9. Rottweiler, 10. Shih Tzu, 11. Toy Poodle, 12. Yorkshire Terrier, and 13. mixed breed dogs. Figure 4 Assignment results of the STRUCTURE analysis based on the four regional samples (where $K = 4$ regions and 1. Western, 2. Southern, 3. Mid-western, and 4. Northeastern) IV. Conclusions With approximately 70 million dogs residing in households in the United States, canine samples (whether hair, saliva from bites, or others) are often part of the physical evidence associated with crime scenes. Until now there were no canine testing kits that have been developed and peer-reviewed, standardized, and validated for conducting forensic analysis of canine biological specimens. This NIJ funded project focused on the development and validation of a canine multiplex reagent kit for use and the direct goals of the project that was proposed to NIJ. The population study was been carried out using 18 STR loci selected specifically for identity testing of canines. To our knowledge this is the first investigation of STR diversity and genetic subdivision among dogs of pedigreed and mixed ancestry across different regions of the U.S. The SWGDAM-like development validation study was akin to validation tests conducted on human identification kits for the analysis of challenged samples. A nomenclature for these canine-specific markers included was also developed based on internationally recognized recommendations for human forensic STR loci. By establishing and validating a panel of canine STRs that is designed for forensic application, we can address those issues raised by the courts and add the powerful tool of canine DNA typing to the forensic science arsenal. Population study Regardless of breed, mixed breed, or geographic region, the gene diversity for the combined 18 loci is high. Therefore, it can be anticipated that these loci will be useful for identity testing for most forensic and kinship analyses. However, because of the known selection and inbreeding history of the domestic dog imposed by man, it is important to assess the impact of population substructure and how it may impact estimates of the rarity of a canine STR profile. On average, only 3 locus pairs per breed across the 12 pedigreed breeds and one population of mixed breed dogs tested were found to be out of linkage equilibrium at the $p = 0.01$ level. The number of pairs of loci out of equilibrium was greater among mixed breed than pedigreed dogs. This observation concurs with that of Halverson and Basten’s (2005) which was based on private sample collections including samples from the American Kennel Club (AKC). Even pedigreed German Shepherds, which have the lowest diversity among all categories of dogs, did not show any substantial linkage disequilibrium within and between loci. Estimates of LD between loci based on the current data set were not statistically significant for any syntenic loci. This could be because the relative distance between these loci on their respective chromosomes ranged from $5 \times 10^5$ bp to $32 \times 10^5$ bp (with recombination factors of 0.05 to 0.32) giving alleles at these loci ample opportunity to segregate independently. While greater sample numbers per breed would be desirable, the data are consistent with other studies and support that allele frequencies across all loci analyzed here can be used to calculate random match, parentage exclusion and breed assignment probabilities. The mean observed and expected heterozygosity estimates reported here, especially those for Golden and Labrador Retrievers, are higher than comparable measures reported by Irion et al. (2003) and DeNise et al. (2004). This difference, in combination with the within-locus Hardy-Weinberg (HW) disequilibria among three of the most outbred dog breeds (i.e., the American Pit Bull, Golden retriever and the mixed breed dogs), implies that inbreeding is not the only factor that has shaped the genetic structure of the domestic dog. While our genetic diversity estimates are comparable to those estimated by Halverson and Basten (2005), some cross-study differences are evident. For example, the pedigreed Dachshunds exhibited the highest degree of genetic diversity among all dogs (although a sample of only 3 animals could have biased our estimates), and Pit Bulls were more genetically diverse than the combined breeds of Poodles in this study. Halverson and Basten (2005), however, also ranked the Dachshunds highest in genetic diversity after the Poodles, followed by Yorkshire Terriers, then Pit Bulls. The Dachshunds also exhibit the most divergent Y chromosome haplotypes among American, Asian, Australian and European dog breeds (32). There are several varieties of Dachshunds based on size, coat type, and color; therefore, the wide assortment of morphometric differences concur with the high level of genetic diversity within this breed. While the analysis of regionally diverse samples in our study could have inflated our heterozygosity estimates, Fst measurements show that regional variation contributed only 0.2% of the genetic differences among U.S. dog populations (based on geography). Furthermore, the PCA and STRUCTURE analyses of regional populations are consistent with the outcome that there is little genetic differentiation among groups of mixed-breed dogs originating from different geographical regions within the U.S. Regardless of whether the analysis included a priori defined geographic groups, when up to four regional populations of domestic dogs were assumed (i.e., $K = 2 - 4$), no distinct STR distributions emerged with regard to the four geographic regions. While the population substructure among regional populations is very small, there is a mild correlation between the amount of genetic distance and geographic distance. Genetic relationships among dog populations correlate slightly with geographic transition in the U.S. As an example, dogs from the western and northeastern states are more distantly related compared to dogs from the latter region and the mid-western states. Even though STR loci tend to have relatively high mutation rates, regional Fst values show extremely low levels of variation among regions and suggest sufficient amounts of gene flow among regions of the U.S. to reduce significant genetic subdivision through genetic drift. Such low levels of regional variation are consistent with the hypothesis that pet-owners take their pets with them when they migrate. Each regional sample also represented the genetic variation of the much broader nationwide sample, which confirms findings of Himmelberger et al. (2008) and Baute et al. (2008) that were based on canine mtDNA. As such, in forensic casework, estimates of genetic diversity based on regional populations proximate to the crime scene may also exhibit a similar genetic structure represented by samples collected from different and diverse geographic regions. Conversely, in the absence of a local STR database and no knowledge of the breed or breed make-up of the donor of the biological evidence, investigators can rely on a global database for estimating canine DNA match probabilities. Previous studies have attributed the wide genetic variation that exists among current dog breeds to each breed’s unique breeding history and country of origin (Halverson and Basten 2005; Irion et al. 2003). Among-breed Fst values of 0.09 imply that genetic divergence among domestic dog populations in the U.S. is moderate (although much higher than that for humans – about 10 times the recommended pragmatic value [NRC 1996]). This among-breed Fst value is comparable to the estimate computed by Halverson and Basten (2005). Since 9% of variation is attributed to genetic differences among the various dog breeds, approximately 91% of the genetic diversity is found within breed types. While Fst is influenced by the effective size and degree of gene flow among dog populations, most of this variation, especially that among pedigreed dogs and between pedigreed and mixed breed dogs, probably results from strong genetic drift due to small effective population sizes resulting from the artificial selection practices carried out in the domestic dog. The positive Fis values, which are in agreement with the gene diversity estimates among breeds and across regions, indicate that there is an increased number of homozygotes in almost all populations of pedigreed dog breeds reflecting the extent of genetic isolation (or inbreeding) still extant among these, if not all, dog breeds. Results based on pedigreed dogs, which include the reduced number of loci that are out of equilibrium among pedigreed dogs compared to mixed and pure breed dogs, are concordant with the breeding strategies of kennel clubs to outcross pedigreed dogs in order to maximize their genetic diversity while still maintaining the rigid genetic boundaries that preserve individual breed standards. German Shepherds, despite being the most highly derived breed based on low estimates of observed and expected heterozygosity, exhibited more heterozygous individuals than would be expected in an inbred breed. In the STRUCTURE and GeneClass analyses, the dichotomy between pedigreed and mixed breed dogs became obvious since each of the pedigreed breeds clustered tightly as distinct genetic groups and retaining the original assignment probabilities. This is consistent with STR data for humans where the high diversity of the forensically-selected loci provides a high power of discrimination, but the populations could be separated according to their known ethnohistory (Budowle 2003). Our STR results are different than those of Himmelberger et al.’s (2008) mtDNA-based results which concluded that no significant variation exists between population structures of pedigreed and mixed breed dogs. The different dog breeds studied here were distributed evenly across the four regions and is consistent with AKC’s survey (http://www.akc.org/) of top dog breed distributions across U.S. states. Regional allele frequency distribution is very similar even though breed-specific allele frequencies were significantly different. Interestingly, the different Poodle types cluster into a common group despite their morphological differences in size and shape with Toy Poodles exhibiting the highest degree of genetic introgression from other breeds. Toy Poodles had the most variable gene pool and fewest breed-specific STR alleles than any other breed including the other poodle-type dogs. The Toy Poodle’s genetic composition reflects a much more recent and more complex breed development history than the other Poodle subtypes. The U.S. Center for Disease Control (CDC) has attributed most dog-bite fatalities in humans to Pit Bulls and Rottweilers (Gershman et al. 1994; Sacks et al. 1996). Therefore, these two breeds are increasingly involved in litigation in which genetic testing can contribute. We tested the 18 STRs for robustness in identifying these two breeds in particular. Both the pedigreed American Pit Bulls and Rottweilers formed closed clusters in the STRUCTURE analysis, and, accordingly their breed assignments based on the GeneClass analysis, were 100% successful. This demonstrates that the specific breed categories to which pedigreed Pit Bulls and Rottweilers (as well as the other pedigreed dogs) belong are identifiable based on genetic tests using the 18 STRs reported here. The assignment probability of Pit Bull crosses and Rottweiler crosses were lower, especially for animals assigned to more than two breeds. Furthermore, unlike Himmelberger et al.’s (2008) conclusion, our data support that a mixed breed dog can be assigned with some degree of confidence to its predominant breed/s as reported by its owners. As illustrated by the complex patterns of the STRUCTURE analysis, the assignments of mixed breed dogs were indistinct, reflecting their mixed ancestry. The mixed breed dogs used in this study represent 43 different breeds and reflect varying degrees of admixture of the breeds. While some of these dogs have been described by their owners and/or have been genetically tested as belonging to a particular breed, they cannot be classified as pedigreed dogs because dog registries require a documented pedigree history and conformation to strict breed standards before recognizing a dog’s pedigreed status. Therefore, many of these dogs described as belonging to a specific breed in this study might actually be of mixed ancestry and not breed true-to-type. Also discrepancies in breed definitions could contribute to uncertainty; for example, in the U.S. the American Pit Bull is sometimes called the Staffordshire Bull Terrier. The rich genetic history of the mixed breed dogs is also evident in their heterozygosity values, which are the highest estimates obtained in this study. Pairwise comparisons of genetic differentiation (Fst) also demonstrate that mixed breed dogs have a greater degree of genetic similarity with all the other breeds and therefore reflect a shared ancestry with them. In order to conclusively characterize the heritage of a dog of unknown breed origin, specifically selected, breed-informative single nucleotide polymorphisms (SNPs) would be more useful than (Parker et al. 2004) these 18 STR loci. The STR loci studied here appear to be useful in identifying the breed of a particular animal that is the subject of litigation but of greater value is their ability to individualize the DNA of a dog. To evaluate the power of the 18 STRs, a hypothetical canid evidentiary STR profile was used to estimate RMP with Fst correction values of 0.002 and 0.09 for population substructure among the regional populations and among the different breeds, respectively, as recommended by the National Research Council (1996). Following Budowle et al.’s (2000; 2003) and the National Research Council’s (1996) recommendations for source attribution, the probability of not observing the evidentiary profile in a population of N unrelated individuals, or $(1 - \text{RMP})N$, should be $\geq (1 - \alpha)100\%$ confidence level. Accordingly, for a confidence level of 99% (where $\alpha$ is 0.01) based on the national allele frequencies (from Table 2), RMP values of less than $1 - [(1 - \alpha)/N] = \alpha/N = 1.429 \times 10^{-10}$ are required to have a high degree of confidence that a profile is unique among the estimated $N = 70$ million dogs in the U.S. (Budowle et al. 2000; 2003). Estimates of RMP of the fictional profile based on national allele frequencies of $4.8153 \times 10^{-34}$ with Fst correction of 0.002 for among-region population substructure and of $2.26054 \times 10^{-40}$ with Fst correction of 0.09 for among-breed population substructure far exceed the threshold for ensuring with a great degree of confidence that the profile is unique among U.S. domestic dogs. Thus, in addition to their utility in identifying the breed composition of an animal that is subject to litigation, the STRs studied here can also identify that animal by its unique genotypic profile with a high level of confidence. Since siblings may share more loci genotypes in common, an appropriate conditional kinship analysis should be performed when necessary. Notably, the proposed reagent kit is also capable of genotyping wolf ($C. lupus$) samples, making it useful in wildlife population and conservation studies as well. Validation study While the The Finnzymes Canine 2.1 Multiplex STR Reagent kit holds excellent promise as tool for routine forensic casework involving canine DNA, the results of our study revealed some minor problems that should be brought to the attention of the manufacturer. While the overall PHRs for most markers (excluding the Zinc Finger and FH2017) ranged between 78.57 and 96.14%, intracolor balance was not as robust as in Identifiler® (between 32-45% depending on color channel). Intercolor balance was 22% averaged over 61 samples evaluated. These lower values are due to one or two loci per color yielding too little or too much product. To obtain better intracolor balance, increasing the signal of markers that tended to produce the lowest RFU values per color (FH2017, PEZ05, FH2107, and FH2088) and reducing the signal in markers that tended to generate the highest RFU values (FH2010, Zinc Finger, FH2054) could be investigated. Furthermore, certain primers had high sequence similarity with non-canine species, but this may not be problematic because of the rare incidences that DNAs from these species may co-occur. Also, complete profiles of the non-target species will not be obtained, and non-canid alleles do have distinguishable sizes compared to canine. In particular, the FH2017 forward primer has 95-100% similarity to numerous locations in the horse, human, and rhesus monkey genomes. Also, it is probable that the primers designed for locus FH2017 bind to a region of DNA that contains site variants, which is apparent in the high standard deviation for the peak height ratios calculated. In order to improve performance, a degenerate primer could be added to the reaction. Alternatively, rather than addressing the various problems associated with marker FH2017, the primer pair could be removed from the multiplex altogether. We also discovered that the positive control animal sample provided in the kit is at a lower concentration (0.1 ng/μL) than what is reported in the kit (1 ng/μL). In addition, three peaks were seen in locus FH2328 for the positive control. This peak could potentially be an artifact peak (possibly elevated stutter) generated by the Finnzymes 19-plex, or it could be a tri-allelic pattern associated with the cell line used for positive control F-863. Only the positive control sample exhibited this three peak pattern at locus FH2328. While the original goals of the project have been met, an allelic ladder system would greatly enhance the PCR reagent kit. All commercial human forensic kits include ladders, and if practitioners in the field are to use the canine kit, they must have access to one that is based on standards to which they are accustomed. Nomenclature The 18 STR loci that have been assembled into the canine STR reagent kit can be divided into simple, compound, and complex repeat structures. In general, our data agrees with the repeat structure of the defined loci. The exceptions are loci PEZ05, PEZ16, PEZ17, FH2004, and FH2017 where the original sequences were not interpreted according to ISFG convention. Sometimes mutations in the flanking regions can cause PCR failure and allelic dropout among some of the canine loci studied here (as observed by Dayton [2008]). For some loci, sequence variation in the regions flanking the core repeat region also can impact the PCR product sizes and thus allele designation. The human STR nomenclature is based on the 1994 recommendations of the ISFG. Standardized canine STRs and validated analysis protocols from their studies as well as the one described herein will promote the use of validated STR panels and robust nomenclatures. The benefits are consistency through time within a laboratory, an ability for inter-laboratory sharing of typing results, pooling of population data, and sharing of experiences to more expeditiously improve processes. The allelic nomenclature proposed here in conjunction with breedwise and regional-wide population genetic study using the markers included in the reagent kit by S. Kanthaswamy and colleagues (submitted) and the developmental validation of the kit (Dayton 2008) will provide a more accurate description of STR allele frequency distributions among the various canine subpopulations, which will enhance the accuracy and precision of canine forensic genetic testing. This study focused on the development and application of the panel of loci included in the proposed Finnzymes multiplex and the associated genetic database in forensic genetic identity and parentage testing in the U.S. The kit’s panel of 18 STRs was shown to be informative and robust for identity testing of canines, and DNA extracted from both blood and buccal cells reliably produced full profiles when amplified with the canine STR kit. Furthermore, the database, which is constructed based on the 18 STRs, is more comprehensive than other dog STR databases in terms of regional representation of pedigreed and mixed breed dog populations in the U.S. The genetic profiles and allele frequencies of important dog breeds in the U.S., which are popular as house pets and could be dangerous as vicious animals linked to fatal dog bites, are also represented in the database. The Finnzymes multiplex is comparable to other forensic typing systems in its level of sensitivity, ability to detect low level mixture ratios, and power of discrimination while amplifying case-type samples. With enhanced informativity and efficiency, as well as their easy accessibility to the forensic laboratories, the kit and the accompanying population genetic database should combine to form a valuable resource that could potentially develop into a universally accepted canine forensic STR system. With the availability of such a commercial kit, more population data will likely be generated that will enable more precise estimates of the effects of canine population substructure. The data and database presented in these validation and population genetic studies should prove highly useful for the forensic science community as well as for the manufacturer of the kit so that final modifications can be made in order to meet the needs and requirements of the forensic science community. V. 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We have also disseminated the procedures and results of our population and developmental studies to local and international state and federal academic and forensic communities through professional meetings. Publications: Tom, BK, Koskinen, MT, Dayton, MR, Mattila, A-M, Johnston, E, Fantin, D, DeNise, S, Spear, T, Smith, DG, Satkoski, J, Budowle, B, Kanthaswamy, S (submitted). Development of a Nomenclature System for a Canine STR Multiplex Reagent Kit. International Journal of Legal Medicine. Dayton M. Developmental Validation of an STR Reagent Kit for Forensic DNA Profiling of Canine Biological Material. University of California Master of Forensic Thesis (2008). Kanthaswamy, S, Tom, BK, Mattila, A-M, Johnston, E, Dayton, M, Kinaga, J, Erickson, B, J-A, Halverson, J, Fantin, D, DeNise, S, Kou, A, Malladi, V, Satkoski, J, Budowle, B, Smith, DG, Koskinen, MT (submitted). Canine Population Data Generated from a Multi-Plex STR Kit for Use in Forensic Casework. Journal of Forensic Science. Baute DT, Satkoski JA, Spear TF, Smith DG, Dayton MR, Malladi VS, Goyal V, Kinaga JL, Kanthaswamy S. Analysis of forensic SNPs in the canine mtDNA HVI mutational hotspot region. Journal of Forensic Science 2008; DOI 10.1111/j.1556-4029.2008.00880.x. Himmelberger, AL, Spear, TF, Satkoski, J A, George, D A, Garnica, W T, Malladi, VS, Smith, DG, Allard MW and Kanthaswamy, S. Forensic utility of the mitochondrial hypervariable 1 region of domestic dogs, in conjunction with breed and geographic information (2008). Journal of Forensic Science, 53:81 – 89. Evans JJ, Wictum EJ, Penedo, MCT and Kanthaswamy S (2007). Real-Time PCR Quantification of Canine DNA. Journal of Forensic Science, 52: 93 – 96. Oral and poster presentations: Kanthaswamy, S, Bradley Tom, Melody Dayton, Briana Smalling. The Development and Validation of a Standardized Canine STR Panel for Use in Forensic Casework. Poster presentation at the XXXI Conference of the International Society for Animal Genetics, RAI Conference Center, Amsterdam, The Netherlands. July 20 – 24, 2008. Bradley Tom, Melody Dayton, Briana Smalling, Kanthaswamy, S. The Development and Validation of a Standardized Canine STR Panel for Use in Forensic Casework. Poster presentation at the 9th Annual US National Institute of Justice (NIJ) Conference 2008, Arlington, Virginia, July 20 – 24, 2008. Kanthaswamy, S, Bradley Tom, Melody Dayton, Briana Smalling. The Development and Validation of a Standardized Canine STR Panel for Use in Forensic Casework. Poster presentation at the XXXI Conference of the International Society for Animal Genetics, RAI Conference Center, Amsterdam, The Netherlands. July 20 – 24, 2008. Kanthaswamy, S. Progress report on the Development and Validation of a Standardized Canine STR Panel for Use in Forensic Casework. US National Institute of Justice 7th Annual Grantees Workshop, Arlington, Virginia. June 26 – 28, 2006. Kanthaswamy, S. Animal Forensics – Use of mtDNA in Forensics Casework. Mitochondrial DNA Analysis and Typing (R602). Jan Bashinski DNA Laboratory, Department of Justice, State of California, Richmond, CA. February 9, 2006. Kanthaswamy, S. Progress report on the Development and Validation of a Standardized Canine STR Panel for Use in Forensic Casework. US National Institute of Justice 6th Annual Grantees Workshop, Washington DC. June 26 – 29, 2005. Kanthaswamy, S. Veterinary Forensics – Canine Forensics Evidence. American Kennel Club (AKC)/Canine Health Foundation/UC Davis Center for Comparative Animal Health (CCAH), University of California, Davis, CA. May 21, 2005. Kanthaswamy, S. CSI Davis - Using Animal DNA Evidence to Fight Crime. Sacramento City College, Sacramento, CA. April 29, 2005. Kanthaswamy, S. Veterinary forensics – a tool for crime fighters. California Crime Laboratory Directors Meeting, Bahai Hotel, San Diego, CA. April 7, 2005. Kanthaswamy, S. Animal CSI - Using Animal DNA Evidence to Fight Crime. UC Davis Division of Biological Sciences Biology Undergraduate Scholars Program – Honors Research (BUSP-HR). March 9, 2005. Kanthaswamy, S. Veterinary Forensics in 3D - Establishing A Veterinary Forensics Program at the UC Davis School of Veterinary Medicine: A Job Talk. Department of Medicine and Epidemiology, School of Veterinary Medicine, UC Davis. December 12, 2004. Kanthaswamy, S. Veterinary Forensics – Use of Animal DNA in Forensics Casework. Jan Bashinski DNA Laboratory, Department of Justice, State of California, Richmond, CA. November 11, 2004. Kanthaswamy, S. Animal CSI - Using Animal DNA Evidence to Fight Crime. General Education Class (GED), Charles A. Jones Skill and Business Education Center, Sacramento City Unified School District, Sacramento, California, October 20, 2004. Kanthaswamy, S. Introduction to Animal Forensics. Roundtable Forum on Animal Forensics at the International Society for Animal Genetics Conference, Tokyo, Japan, September 11 to September 16, 2004. Kanthaswamy, S., J. Evans and E. Wictum. Improved Genotyping Through the Use of Real-Time PCR DNA Quantification. Poster presentation at the International Society for Animal Genetics Conference, Tokyo, Japan, September 11 to September 16, 2004. Acknowledgements: Many have contributed to this work in terms of sampling, research in the laboratory and the write up of research articles that have led to this final report. Some of the notable contributors are: Mikko Koskinen, David Glenn Smith, Bruce Budowle, Joy Halverson, Melody Dayton, Anna-Maria Matilla, Brad Tom, Briana Smalling, Jennifer Kinaga, Jessica Satkoski, Terry Spear, Eric Johnston, Sue deNise, Dennis Fantin, Walther Parsons, Cordula Eichmann, Andreas Hellmann, Shelia Stevens, Shannon Flynn, and John Butler. Without their contribution, this work would not have happened. We wish to thank Dr Lois Tully for her steadfast support for this project.
From the City Manager Brandon M. Lovett As the Grateful Dead stated in their 1970 hit Truckin’ – “What a long, strange trip it’s been.” At this time last year, we were all cautiously optimistic that the COVID-19 pandemic was going to be a short-lived bump in the road. Fast forward one year later, and it finally looks that there is light at the end of the tunnel. The State of New York is slowly lifting the restrictions the Governor implemented in 2020. As of March 22, the previous limit of 50 people allowed at a public venue was increased to 100 indoors and 200 outdoors. We remain hopeful by summer that this number will grow and pave the way for our community to resume to some normalcy by hosting concerts, and we are planning on offering a fall festival with the possibility of fireworks if we can secure funding and are permitted to host such an event. We are excited to re-open the pool in 2021. Due to COVID protocols and opening regulations the City will only be selling full season pool passes. There will be no day passes. The pool will be open to Sherrill and Town of Vernon residents as well as residents of the VVS school district only. More information can be found on the City’s website and the new City Recreation Software program known as Rec Desk. You’ll need to register at www.sherrillrec.com in order to sign up for Swim Lessons and purchase a pool pass. Curbside green waste collection started April 12 and runs until October 25. Green waste collection takes place the 2nd and 4th Mondays of each month. The 2021 calendar is on page 7. Sherrill Residents may also utilize the green waste drop off location at the DPW garage. Due to the pandemic, the City had to postpone the Rt. 5 Corridor project to 2022. The Wastewater Treatment Plant upgrade project is still moving ahead, and we expect shovels in the ground by fall. The City’s new fire engine arrived in March and was put in service in early April along with the new SCBA Air packs we received a $175K FEMA grant to purchase. The City held a meeting to discuss the development of a City Dog Park in March. The temporary park is scheduled to open June 1, 2021 at Moench Park “The Pit.” The park is membership based and will be open to Sherrill residents. Oneida County owns the West Hamilton Ave. Bridge that spans the Taylor Creek and is soliciting bids for bridge rehabilitation. The City will do its best to provide information on this project to the public as we receive info from the County and/or their selected contractor. We do not know a time frame or any additional information on delays/closures at this time, but we will be sure to post updates on the City’s Facebook page and website, and send email updates. Lastly, those 16 years of age and older wishing to get vaccinated may visit: https://ocgov.net/oneida/health or https://covid19vaccine.health.ny.gov/ to schedule an appointment. Wishing everyone a safe and healthy Spring and Summer. Regards, Brandon M. Lovett Inside City Contact Information, Fire Police, Assessor & DPW News page 2 Recreation News page 3 Organization News page 4 Library News page 5 Green Waste Schedule page 6 Water Flushing Schedule page 7 City of Sherrill Contact Information City Officials Brandon Lovett, City Manager (315) 363-2440, email@example.com Michael Holmes, City Clerk/Comptroller (315) 363-2440, firstname.lastname@example.org City Commissioners William Vineall, Mayor (315) 366-5430, email@example.com Patrick Hubbard, Deputy Mayor (315) 762-4924, firstname.lastname@example.org Tom Dixon (315) 363-1890, email@example.com David Hyle (315) 225-1377, firstname.lastname@example.org Joseph Shay (315) 363-9234, email@example.com Other City Phone Numbers City Hall, (315) 363-2440 CAC, (315) 363-6525 Power & Light, (315) 363-0780 Police Department- Please note these numbers and use the correct one for efficient response. Emergencies- 911 Dispatch- (315) 363-3200 Leave a message- (315) 363-6221 From Chief Drake and the Sherrill Police Department People who need the police to respond to take a report or who need immediate assistance should call 911 so dispatchers can send the on-duty officer for assistance. If you have a question for the police you can call (315) 363-6221 and leave a message but the return call may be hours since the office doesn’t always have an officer inside. DO NOT CALL CITY HALL to get an officer to respond to your location. Sherrill Police Department News -Studded tires must be removed by May 1. -Please be aware of scams. Do not give out information unless you can verify the request. -Please license dogs, honor leash laws, and pick up after them. -Keep car doors locked, especially at night. -Please be aware of pedestrians. Pedestrians are encouraged to wear reflective clothing and use reflective gear for pets after dark. Tax Roll Information The Tentative Tax Roll will become available May 1. It may be examined at City Hall during normal work hours. The City Assessor will also be in attendance with the Tentative Roll Wednesday 5/5 6-8pm, Thursday 5/6 9-10am, Friday 5/7 9-10am and Saturday 5/8 9-9:30am at Sherrill City Hall, 377 Sherrill Road. The Board of Assessment Review will meet for Grievance Day 5/18 from 2-4pm & 6-8pm at City Hall to hear and examine all complaints related to assessments. Grievance forms may be obtained at City Hall and should be returned to the Assessor by 5/18. The Assessor has the authority to stipulate assessment adjustments prior to the BAR meeting at 2pm on Grievance Day. Contact Duane Munger, Assessor for the City of Sherrill (315)-761-9009, or City Hall with questions. Sherrill-Kenwood Volunteer Fire Department News -Membership- The department is always looking for members, especially junior members! If you’re interested in firefighting, EMS, or scene support and are 18 years or older for adult membership, or 16 years for junior, visit the station during weekly Wednesday night drill at 6:50pm. -Ferris Lawnmower Raffle- Tickets are available for $10 each! 1st Prize- Ferris Zero Turn Lawnmower Valued at $4495, 2nd Prize-Snapper Push Mower, 3rd Prize- Rechargeable Blower/Trimmer Combo, Winner is responsible for taxes/need not be present to win. Winner will be drawn at the Annual Sherrill-Kenwood Volunteer Fire Department Chicken BBQ to be held Saturday July 31! DPW News -Brush & Green waste Reminders- Limbs must be less than 6’ long and 4” wide and be placed parallel to the curb. Piles must be free of garbage, soil, rocks, animal waste, etc., and not be placed in any type of bag, etc. Contractors must obtain a permit from City Hall to drop off brush or green waste from residents or businesses. -Transfer Station Spring Hours- Saturdays- 8am-1pm, Wednesdays- 4-7pm, April 1-early fall. The transfer station is for use by Sherrill residents. Residents must purchase coupons at City Hall to drop things off. The number of coupons varies based on the size of the load. Please remember not to bring paint. -Plow Damage- Work to repair damage from plows will begin soon, as the DPW can now get topsoil. Recreation News Visit Sherrillrec.com for updates and to sign up for events and programs! Duck Derby Day at City Hall- May 15, 12-2pm- Music by Millertime DJ, $10/Duck- money raised will be used to fund concerts and fireworks, Food by VVS Rotary Memorial Day at Memorial Park- May 31, 9am, Sponsored by Sherrill American Legion Post 230, featuring guest speaker Senator Joseph A. Griffio. Summer Concert Series, Reilly Mumford Park, 6:30-8:30pm July 6- Fritz’s Polka Band July 13- Kevin “K-Dogg” Dundon July 20- Country Band Kickin’ It August 10- D’ Funk D’ Summer Camps- June 28-July 30- sign up today! City Wide Garage Sale- July 24 Sherrill Celebration Week July 28- Luau- Sherrill Pool July 29- City Golf Tournament- OCGC July 30- Silver City 5K, 6pm July 31- Sherrill-Kenwood Fire Department Chicken BBQ, 12pm until sold out Cruise-In Car Show, 4pm Concert featuring Tim Creaser playing Johnny Cash/Neil Diamond, 4-6pm Concert featuring PG Unplugged, 6:30- 8:30pm Food Trucks, Copper City Brewery and more Vendors 4pm to 8pm City of Sherrill Fall Festival, September 18 Music, Food and more! Additional details to follow! Al Glover Pool OPEN SWIMMING HOURS: MONDAY – FRIDAY; 11AM – 5PM SATURDAY/SUNDAY; 12PM – 7PM NO DAY PASSES will be sold in 2021. All users will be required to purchase a Family Pool Pass which is good for the entire household family. Due to COVID Protocols and Restrictions the Pool will only be open to residents of the City of Sherrill and Town of Vernon as well as residents of the VVS School District. (NO EXCEPTIONS) Pool Pass includes access to open swim, lesson registration and special events such as Luau (7/28). Pool Passes must be purchased via www.sherrillrec.com Trouble registering? Contact Rec. Super. Barry VanDreason at 315-363-6525 or firstname.lastname@example.org Fees Household Family of 4 or less: $75.00 (Sherrill Town of Vernon Residents) Household Family of 5 or more: $100.00 (Sherrill Town of Vernon Residents) Surcharge for Non-Resident: $50.00 (Non-Resident: Remainder of VVS School District: Oneida-Kenwood, Verona in VVS School District) Pool is scheduled to open 6/26 and Close 8/22. As per current COVID restrictions we will have a “rolling” occupancy of approx. 60 swimmers at all times for both pools combined. (Will notify if this changes.) 2021 SWIM LESSONS There are two sessions for lessons: Mornings and Evenings; MONDAY – FRIDAY 15 participants per class. (Min. of 8 participants need to register in order to hold class). Lessons will start on 6/28 and run until 8/6 If unsure of what level to register child, instructors/lifeguards can test child to place in upper or lower level based on skill set. Lesson schedule is available at www.sherrillrec.com (YOU MUST REGISTER TO PARTICIPATE) Sherrill Residents ONLY; will have priority registration starting May 17th through May 23rd. Open registration for rest of VVS District will start May 24th through June 18th/or till class is full. Christ Church United Methodist 417 Park Street Christ Church has resumed in person worship! The following pandemic restrictions apply: Enter through the front door and the Park Street (elevator) door only. Exit through the parking lot door only. Those attending will be required to: Sign in, Answer Screening Questions, Wear a Mask, Socially Distance from others attending, Hymns will be projected upon screen, At this time there is no full congregational singing, Depart at the end of service. We look forward to sharing worship together each Sunday! Plymouth Alliance Church 169 Kinsley Street, (315)363-5642 email@example.com Rev. Kurt Johnson Youth Pastor Dave Richter Sunday Service @ 10:30am, Sunday School PreK-Adult Classes, 9:15am every Sunday, Children’s Church every Sunday midway through the service. There are 3 options to enjoy our service: Come inside the Sanctuary. Live Stream it on YouTube @PAC_NY. Or tune your car radio in the church parking lot to 87.9FM. PAC will be having a friend day/parking lot service on Sunday May 23 at 10:30am! Everyone is invited! Oneida Community Mansion House A National Historic Landmark Please visit www.oneidacommunity.org for more information or to sign up for events. Preserving the Mansion House- May 11, 7pm, Free Zoom Talk featuring a History of the Building and Insights into Current Preservation Work Architecture Tours- May 15, 19 and 22 at 11am Oneida Community Legacy: Oneida Ltd. an Oral History Project- We’re pleased to announce the launch of the Oneida Community Legacy: Oneida Ltd. Project. The goal of this project is to create an oral history of Oneida Limited, told through the voices of the people who worked there. Former employees interested in volunteering to participate in the project may visit www.oneidacommunity.org/ol News From VVS Schools The Summer LEAP and Camp Invention programs will be held this year! LEAP: 6/28-7/29 Camp Invention: 8/9-8/13 Visit www.vvsschools.org for more information! SHERRILL SILVERSMITHS The Silversmiths return to Noyes Park this summer! Stop by to watch their home games at 5pm unless noted. June 9 vs. Syracuse Salt Cats June 11 vs. Syracuse Salt Cats June 12 vs. Genesee at 1pm, DH June 14 vs. Syracuse Spartans June 23 vs. Syracuse Salt Cats June 25 vs. Cortland June 28 vs. Cortland June 29 vs. Cortland July 4 vs. Dansville at 1pm, DH July 6 vs. Syracuse Spartans July 7 vs. Cortland July 15 vs. Cortland July 16 vs. Syracuse Spartans July 17 vs. Mansfield at 1pm, DH July 20 vs. Syracuse Salt Cats July 21 vs. Syracuse Spartans July 22 vs. Syracuse Salt Cats CHICKEN BBQ Skating Rink @ Reilly Mumford Park 377 Sherrill Road, Sherrill, NY 13461 Sunday, June 20th 12:00PM until... Come out in support of the Sherrill Silversmiths of the New York Collegiate Baseball League with a $10 donation to the program and pick up your meal! “Libraries store the energy that fuels the imagination. They open up windows to the world and inspire us to explore and achieve, and contribute to improving our quality of life. Libraries change lives for the better.” -Sidney Sheldon 1917 - 2007 American author, director and producer Save The Date! 6th Annual “Spring” For Books Wednesday, June 16, 11am-7pm- Our successful and popular community event will return this year! Help us add new books to our collection! We will have books available for purchase to be donated back to us. Books can be purchased in memory of loved ones such as parents, grandparents, siblings, friends or to honor a special person in your life, or for occasions such as anniversaries, birthdays or graduations. Stop by and give a lasting gift to our community. The Cremeria Gelato Cart & Gypsy Girl Wood Fired Pizza will be here! Art Classes- Oil Painting with Judy Bond has resumed on Mondays at 12pm. Please contact the library for more information. Watercolor classes, instructed by Laura Diddle, will resume Thursday evenings starting September 23rd and Linda Evans will offer Tuesday afternoon classes this fall-the exact start date TBA. Mah Jongg- Wednesdays at 1pm, has resumed. All levels of play are welcome. Summer Fun- Campfire Tales with s’mores, croquet, messy art days, and story walks have also returned with dates to be announced in June, July & August. Summer Reading Program- The Summer Reading Program theme is Tails & Tales with events to be announced on our website and Facebook page. Community Art Wall- Share your talent on our Community Art Wall! Here’s the schedule of upcoming work that will be on display: -May- Homeschool art, instructed by Mary Thompson -June- John Seeley- watercolors “Things from the Junkyard” -July- Wilda Huss- acrylic barn paintings -August- Michelle Reylea- photography -September- available- contact us if you are interested -October- John Barron- wood carvings Used Book Sale- The Friends of the Library Used Book Sale returns to the CAC, Saturday September 18. More details will follow. We are NOT accepting donations at this time. Please hold your donations until September. Food Pantry Donations- We continue to accept non-perishable food items for the Holy Family Parish serving the VVS district. How Our Library Came To Exist- The first library for public use in Sherrill was a cupboard of books in the Oneida Community Limited Trap factory set up by Steven R. Leonard and another cupboard in the OCL Silk Factory set up by Harriet E. Joslyn in 1900 for use by employees. When Mrs. Joslyn died in 1915, she left a considerable donation of OCL stock for the purpose of developing a public library incorporated under the laws of New York State. Sherrill Garden Club News The garden club resumed meeting Tuesday April 6 at the Sherrill Library with the election of officers and a discussion of how the club can proceed with meetings and activities. Unfortunately for the second year, the club will not be holding the Plant Sale but a suggestion was made to have a bulb/mum sale in the fall. The next meeting will be May 4 with club members making paper flowers for cancer patients for the community service program “Because Char Smiled.” The June meeting will feature guest speaker Lisa Sipp-Vallee who will share her beautiful nature photographs. Unfortunately, due to group number restrictions, meetings are only open to club members. Hopefully that will change by September. The Sherrill Garden Club will continue its community beautification programs by planting and maintaining the hanging baskets of petunias around Reilly-Mumford Park and the flower boxes at the Sherrill Library. The club will be giving a graduating VVS senior their annual scholarship to help him or her further their education. Many thanks to the community for the support in the past and during this pandemic. ## Residential Collection Schedule ### 2021 \| January \| February \| March \| \|---------\|----------\|-------\| \| S M T W T F S \| S M T W T F S \| S M T W T F S \| \| 1 2 \| 1 2 3 \| 1 2 3 4 5 6 \| \| 3 4 5 \| 4 5 6 7 8 9 \| 7 8 9 10 11 12 13 \| \| 10 11 \| 11 12 13 14 15 16 17 \| 14 15 16 17 18 19 20 \| \| 17 18 \| 18 19 20 21 22 23 24 \| 21 22 23 24 25 26 27 \| \| 24 25 \| 25 26 27 28 29 30 31 \| 28 29 30 31 \| ### April \| May \| June \| July \| \|-----\|------\|------\| \| S M T W T F S \| S M T W T F S \| S M T W T F S \| \| 1 2 3 4 5 6 7 \| 1 2 3 4 5 6 7 \| 1 2 3 4 5 6 7 \| \| 8 9 10 11 12 13 14 \| 8 9 10 11 12 13 14 \| 8 9 10 11 12 13 14 \| \| 15 16 17 18 19 20 21 \| 15 16 17 18 19 20 21 \| 15 16 17 18 19 20 21 \| \| 22 23 24 25 26 27 28 \| 22 23 24 25 26 27 28 \| 22 23 24 25 26 27 28 \| \| 29 30 31 \| 29 30 31 \| 29 30 31 \| ### August \| September \| October \| November \| \|-----------\|---------\|----------\| \| S M T W T F S \| S M T W T F S \| S M T W T F S \| \| 1 2 3 4 5 6 7 \| 1 2 3 4 5 6 7 \| 1 2 3 4 5 6 7 \| \| 8 9 10 11 12 13 14 \| 8 9 10 11 12 13 14 \| 8 9 10 11 12 13 14 \| \| 15 16 17 18 19 20 21 \| 15 16 17 18 19 20 21 \| 15 16 17 18 19 20 21 \| \| 22 23 24 25 26 27 28 \| 22 23 24 25 26 27 28 \| 22 23 24 25 26 27 28 \| \| 29 30 31 \| 29 30 31 \| 29 30 31 \| ### December - Days that green waste collection starts: ___ - Days green waste can be put out to curb: ___ - Days you may NOT put green waste out: ___ Residents may NOT place green waste at the curb after Monday’s collection date or prior to the Friday before the collection date. Residents may drop off green waste at the DPW Garage on Elmwood Pl. anytime. Please call the Sherrill DPW at (315) 363-0370 if you have any questions. Water Department Flushing Schedule The first scheduled date of the month will be for the North & West side of the City, and Kenwood as needed. The second scheduled date of the month will be for the East side of the City, along with high pressure areas (around the storage tank and reservoir) and Kenwood. Sherill Road is the dividing line. Water flushing may cause discolored water for a day or two. Please call the City of Sherrill at (315) 363-2440 if you have any questions. Scheduled Dates.
Finding a better fit for lithium ion batteries: A simple, novel, load dependent, modified equivalent circuit model and parameterization method Hua, X., Zhang, C. & Offer, G. Author post-print (accepted) deposited by Coventry University's Repository Original citation & hyperlink: Hua, X, Zhang, C & Offer, G 2021, 'Finding a better fit for lithium ion batteries: A simple, novel, load dependent, modified equivalent circuit model and parameterization method', Journal of Power Sources, vol. 484, 229117. https://dx.doi.org/10.1016/j.jpowsour.2020.229117 DOI 10.1016/j.jpowsour.2020.229117 ISSN 0378-7753 Publisher: Elsevier NOTICE: this is the author’s version of a work that was accepted for publication in Journal of Power Sources. Changes resulting from the publishing process, such as peer review, editing, corrections, structural formatting, and other quality control mechanisms may not be reflected in this document. Changes may have been made to this work since it was submitted for publication. A definitive version was subsequently published in Journal of Power Sources, 484, (2021) DOI: 10.1016/j.jpowsour.2020.229117 © 2020, Elsevier. Licensed under the Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International http://creativecommons.org/licenses/by-nc-nd/4.0/ Copyright © and Moral Rights are retained by the author(s) and/or other copyright owners. A copy can be downloaded for personal non-commercial research or study, without prior permission or charge. This item cannot be reproduced or quoted extensively from without first obtaining permission in writing from the copyright holder(s). The content must not be changed in any way or sold commercially in any format or medium without the formal permission of the copyright holders. This document is the author’s post-print version, incorporating any revisions agreed during the peer-review process. Some differences between the published version and this version may remain and you are advised to consult the published version if you wish to cite from it. Finding a better fit for lithium ion batteries: a simple, novel, load dependent, modified equivalent circuit model and parameterization method Xiao Hua, Cheng Zhang, Gregory Offer Affiliations: a. Department of Mechanical Engineering, Imperial College London, SW7 2AZ, United Kingdom b. The Faraday Institution, Harwell Science and Innovation Campus, Didcot, United Kingdom c. Institute for Future Transport and Cities, Coventry University, CV1 5FB, United Kingdom Abstract Equivalent circuit models (ECM) of lithium ion batteries are used in many applications because of their ease of implementation and low complexity. The accuracy of an ECM is critical to the functionality and usefulness of the battery management system (BMS). The ECM accuracy depends on the parametrization method, and therefore different experimental techniques and model parameter identification methods (PIM) have been widely studied. Yet, how to account for significant changes in time constants between operation under load and during relaxation has not been resolved. In this work a novel PIM and modified ECM is presented that increases accuracy by 77.4% during drive cycle validation and 87.6% during constant current load validation for a large format lithium iron phosphate prismatic cell. The modified ECM uses switching RC network values for each phase, which is significant for this cell and particularly at low state-of-charge for all lithium ion batteries. Different characterisation tests and the corresponding experimental data have been trained together across a complete State-of-Charge (SoC) and temperature range, which enables a smooth transition between identified parameters. Ultimately, the model created using parameters captured by the proposed PIM shows an improved model accuracy in comparison with conventional PIM techniques. Keywords: Lithium-ion battery, equivalent circuit model parameterization, parameter identification method, lithium iron phosphate, electric vehicle, stationary energy storage. 1. Introduction Electrification is inevitable. The transformation from internal combustion engine (ICE) transportation to electric drive is dramatically increasing in recent years, due to aggressive policies worldwide driven by air quality, greenhouse emissions and national economic competition. Between 2030-40, a significant majority of countries and/or cities will ban the sales of ICE passenger vehicles, including China, USA, Germany, UK and many more. [1,2] As a consequence the sales of EVs have been increasing dramatically. There are over 2 million electric vehicles sold in 2018, up from just a few thousand in 2010. Bloomberg NEF forecasted that the sales of annual passenger EV will rise to 10 million in 2025, 28 million in 2030 and 56 million by 2040. [3] During this global transport industry paradigm shift, the lithium-ion battery plays a central role in the majority of EVs. [3] While researching and developing lithium-ion batteries with new materials and manufacturing [4,5], the usage of a robust battery model is pivotal at the application level. Models enable the battery management system (BMS) to improve battery performance and prolong lifetime. [6] There are predominantly three types of models in the literature, which are data-driven models, physics-based models and equivalent circuit models (ECM) [7]. Data-driven models, such as neural networks [8] and support vector machine [9], etc., do not require a physical interpretation of the battery’s internal dynamics, making it suitable for simulating complex or unknown systems. However, the model training usually relies on a large amount of data. Further, it is difficult to predict the model’s generalization performance under different operating conditions. The test data collection can be time-consuming, and the model training involves complex optimization. The physics-based models capture the physical behaviours through solving equations such as lithium diffusion equations and charge conservation equations. Newman, Doyle, Fuller et al established the foundations for these physics-based model [10,11]. Later, other electrochemical models have been proposed to describe different battery properties, such as capacity fade and electrode particle geometry etc. [12–18]. The main two drawbacks of physics-based models for BMS applications are 1. High complexity of parameterisation; 2. High computational power. There are more than 30 parameters needed to be fitted and parameterised including salt concentration, electrode/separator thickness, conductivity of electrolyte etc. Quite often the parameters in the physicsbased model require ex-situ experimental measurements which are time/cost inefficient. [19,20] Also, the computational speed is another disadvantage of this type of models. Further, it is challenging to scale such model into multi-dimensional or pack level analysis. [16,21,22] Although these drawbacks can be mitigated through reduced order models (ROMs) ECMs are still the model of choice for many applications. ECMs describe the battery terminal voltage–current dynamics using passive electrical components (resistors and capacitors) and measured/parameterised look-up tables or simple mathematical functions. The ease of implementation and low model complexity make ECM feasible in real-time applications such as integrated BMS systems, and they are regularly embedded in microprocessors and deliver precise simulation/feedback signals in real-time.[23]. The reader is referred to recent reviews by He et al. [24] and Hu et al.,[25] on ECM models. A typical ECM consists of the battery open circuit voltage (OCV) and a series ohmic resistor $R_0$ and several resistor-capacitor (RC) networks [26]. The battery OCV can be measured directly from experimental data using low-rate constant current (CC) (dis)charge (giving a pseudo-OCV), or using a pulsed current (dis)charge with long rest periods between pulses (true OCV) [27]. The RC values, on the other hand, need to be identified by fitting the model’s voltage prediction under current load to measurements using optimisation algorithms [28,29]. This represents the model parametrization procedure. The parameter identification method (PIM) is critical for the ECM model accuracy. The model accuracy is correlated with what and how PIM is used for the certain Li-ion battery. There are various PIMs for ECM parametrization in the literature, including genetic algorithm (GA) [30], particle swarm optimization (PSO) algorithm [31], and the least-squares method [32,33]. A recent study conducted by Lai et al [34] compared 9 different popular PIMs for 9 different ECM models in the entire SoC area and demonstrated the importance of the PIM to the model accuracy. The ECM parameters depend on the operating conditions. The popular methods for capturing this parameter dependency include offline parameterized look-up tables [35–37] and the online adaptive parameter estimation algorithms such as recursive least squares methods [28,38] and the dual Kalman filter algorithms [39]. Existing PIMs mainly focus on capturing the parameter dependence on the SoC, temperature and current directions. However, another important dependency factor for ECM parameters that is generally overlooked is the type of current loads. Different current profiles have been used for ECM parameter estimation, such as the pulsed current test (different types of pulse design as in [36, 37, 40]), drive cycles [41, 42] and constant-current charging and discharging [43–45]. However, few works have considered the effect of choosing different current profiles on the identified parameters and the model accuracy [41, 42]. The battery is an electrochemical system with complex internal dynamics, and ECM is an approximate reduced-order model. Therefore, different current excitations will reveal different system properties. As a result, the ECM parameters will vary under different load conditions [46, 47]. Waag et al [47] analysed the dependency of the ECM parameters on the frequency characteristics of the load current, and proposed an application-specific parametrization method by taking into consideration the frequency spectrum of the load current. However, the switching scheme between different load conditions is not addressed in [47]. Further, because of the nonlinearity of the battery dynamics, it is not straightforward to translate the frequency domain analysis to time-domain implementation. The influence of the load current profile on the ECM parameters was also studied in [42]. However, the study is limited to a few standard drive cycles that are usually used for battery characterization, and the underlying mechanism is not explained. There is one key difference in the current load that the studies in the literature were missing, which is the difference in the underload and the relaxation. Generally the model parameters were identified without distinguishing the two different working conditions and the underload and relaxation test data are used together for ECM parametrization [36, 40]. However, the test data analysis on the chosen cell in this paper shows that the battery performs distinctly differently during underload and relaxation, in terms of the scale of magnitude of time constants of the RC networks. It shows that using the same parameter set cannot capture both the underload and the relaxation dynamics accurately. Therefore, this paper proposes a parameter switching scheme between underload and relaxation working conditions to address this problem. Further, this study delivers a novel PIM that captures ECM parameter dependence on load switching, SoC (0-100%) and temperatures (10°C, 20°C, 30°C and 40°C). The novelty of the proposed PIM is that the time constants of the RC networks are independent from SoC and temperature. The rest parameters, i.e., the resistor values, then become linear-in-the-variable which can be readily obtained using computationally efficient least squares optimization solvers. This also enables the simultaneous estimation of all the resistor values under all SoC and temperatures levels with parameter constraints to ensure a smooth transition between different temperature levels. In theory, the battery internal resistance is inversely proportional with the operating temperature. However, in the conventional way of parameter identification, the resistance values might zig-zag across a range of temperatures without using parameter constraints [29]. The ultimate purpose of this novelty is to provide a temperature dependent ECM model e.g. [21], in many BMS and modelling applications, which is critical for the model accuracy. This proposed PIM shows a better fit for large current/large power/large heat generation applications. Unlike smaller cells, large format cells have significant heat generation challenges, therefore training the data within the operating temperature window is important and inevitable. The rest of the paper is structured as follows. The ECM equations are expressed in Section 2. The experimental design for battery characterization and model validation is introduced in Section 3. Then, in Section 4 there is a detailed data analysis and the introduction of the novelties of the proposed PIM. In Section 5, the modelling results are validated against the experimental data from Section 3. Also, there is one comparative study between the proposed PIM and conventional method. Please note, in the main paper there are only experimental data and its corresponding validation results under a single thermal chamber temperature. The rest results at other temperature levels can be found in the supplementary material A. Lastly, Section 6 concludes this study. 2. ECM Equations The typical $n$-th order battery ECM consists of $n$ RC networks connected in series with the OCV and internal resistor $R_0$. The OCV represents the equilibrium voltage, and $R_0$ captures the total ohmic resistance of the current collectors, electrode and electrolyte. The battery’s internal polarization overpotential is captured by the RC networks, which have different time constants to represent the battery internal dynamics at different timescales, such as the slow diffusion and fast charge transfer. Let $ v, i $ represent the battery terminal voltage and current, respectively. Denote $ n_{rc} $ as the number of RC networks and define $ v_j, i_j, j = 1, 2, \ldots, n_{rc} $ as the voltage and current through $ R_j $. Then, $ v_j = R_j i_j $. Let $ \tau_j = R_j C_j $ be the time constant. Then \[ i_j(k + 1) = a_j i_j(k) + (1 - a_j) i(k), \quad j = 1, 2, \ldots, n_{rc} \] (1) where \[ a_j = \exp(-T_s/\tau_j) \] $ i_j(k) $ stands for $ i_j $ at the k-th sampling time, and $ T_s $ is the sampling interval (s). The battery SoC is obtained using the widely employed coulomb counting method [29,36], \[ SoC(k + 1) = SoC(k) + \frac{T_s}{3600 C_n} i(k) \] (2) where $ C_n $ is the battery nominal capacity at 25°C (unit: Ampere-hour). Next, the battery terminal voltage can be expressed as, \[ v(k) = OCV(k) + R_0 i(k) + \sum_{j=1}^{n_{rc}} R_j i_j(k) \] (3) 3. Experimental details This section introduces the detailed experimental procedure of the battery characterisation, and the test data are used for identifying the OCV, $ R_0 $ and RC values. The OCV hysteresis effect is not considered in this paper, therefore only experimental data for discharge current was used for parameter training and validation. The data sampling rate is 1Hz under current load and during relaxation periods. The battery is always charged using the same constant current constant voltage (CC-CV) test procedure to make sure the initial SoC of the battery is consistent between tests. The CC current is 1C (90A) and the CV voltage is 3.65V. The cut-off charging current of CV procedure is C/50 (1.8A). The cut-off voltage during discharge procedure is 2.5V. A range of pulse discharge characterisation tests, on a high capacity 90Ah Lithium iron phosphate (LFP) cathode based, graphite anode battery with aluminium/prismatic shell (200.5 x 130.3 x 36.5 mm) were examined under various temperatures. Before characterisation tests were carried out, the cell underwent five 1C (90A) charge/discharge cycles for pre-conditioning and demonstrated stabilised capacity. After the pulse discharge characterisation tests, a range of validation tests were examined, including drive cycle discharge with noisy current load at $20^\circ C$ and constant current discharge under various temperatures. The cell was evenly wrapped with nitrite rubber insulation material (RS Pro, thickness 25 mm, thermal conductivity 0.034 W/mK) across entire cell surface, as shown in the figure 1. The cell was placed in the centre of the bottom shelf of a thermal chamber (Binder, model KB23). The thermal boundary condition has been designed in this format to approach a near ‘adiabatic condition’ by minimizing convection in the thermal chamber, this is done to minimize the internal thermal gradient of the cell being tested and to avoid the problems this can cause as described by Zhao et al.[21] The same thermal boundary condition was implemented in the model. K-type thermocouple was placed and taped with Kapton® polyimide films tape on the centre of the prismatic aluminium shell surface (200.5 x 130.3 mm) to measure surface temperature, as marked in Figure 1. A single channel battery cycling system (BioLogic, HCP-1005) was used for charging/discharging the cell. One set of characterisation pulse discharge tests, one validation noisy load drive cycle test and one set of constant current discharge tests were carried out in this study, as detailed below. 3.1. Experiment #1: variable ambient temperature characterisation pulse discharge tests Characterisation pulse discharge (PD) tests were carried out to generate data for the PIMs in this work. The measurement involves repetitions of a constant current discharge pulse at 1C (90A) followed by a resting period of 2 hours. This process starts from 100% SoC and finished at 0% SoC. The SoC breakpoints step length is 1% (9Ah) for 0% -10%, 90% - 100% SoC, and 5% (4.5Ah) for 10% - 90%. The current input and the corresponding voltage response are shown in Figure 2. Also, in Figure 2(d), the cell surface centre temperature is presented, where a maximum temperature difference at different SoC is about 0.5 °C. The measurements were repeated for a range of temperatures (10°C, 20°C, 30°C and 40°C). Here, Figure 2 only shows data at 20°C as an example, and all the other data can be found in supplementary material A. 3.2. Experiment #2: validation noisy load drive cycle discharge test The model and the parameters are validated using independent sets of experiment data. The first one is the bespoke designed noisy load discharge which based on the US06 drive cycle current profile with enlarged average current value and extended test time. The Figure 3 demonstrates the current profile examined, the voltage and cell surface temperature responses respectively. Figure 3: Test data for the discharge drive cycle experiment at 20°C thermal chamber ambient temperature: (a) Input Current, (b) Terminal voltage, (C) Cell centre surface temperature. 3.3. Experiment #3: variable ambient temperature validation constant current discharge tests The second set of validation experiments are constant current discharge tests. The measurement involves a constant current discharge at 1C (90A). This process starts from 100% SoC and finished when the voltage reaches 2.5V. The current input and the corresponding voltage and cell surface temperature responses are shown in Figure 4. The measurements were repeated for a range of temperatures (10°C, 20°C, 30°C and 40°C). Here, the Figure 4 only shows 20°C as an example, and all the other data can be found in supplementary material A. Figure 4: Test data for the constant current discharge experiment at 20°C thermal chamber ambient temperature: (a) Input current & terminal voltage, (b) Cell centre surface temperature & SoC profile. 4. Data analysis and ECM parameter estimation Open circuit voltage measurement The battery OCV is captured by the pulse discharge test followed by 2 hours rest. The test data is shown in Figure 2. The battery OCV between the SoC breakpoints is calculated with the commonly used linear interpolation method [29,48]. 4.1. RC network characterisation After collecting experimental data, it is essential to conduct a detailed data analysis to better understand the battery properties under study. A single pulse discharge data segment shown in Figure 2 is used here for data analysis. The SoC value decreases from 50% to 45%. A detailed look is presented in the Figure 5a, which shows an underload period of 1C (90A) constant current discharge load for 180 seconds (5% SoC breakpoint step) followed by a 2-hour relaxation period. Since both the SoC and temperature changes are small for this single pulse discharge (The SoC decreases by 5%, and the battery’s surface temperature variation is less than 1°C.), the model parameters are assumed to be constant. There are mature methods in the literature, such as the cross-validation method, for selecting the number of RC networks, which for this study was chosen to be 3 following the procedure described in [36,40]. It is found that 3 RC networks can capture both the underload and relaxation dynamics with high accuracy and 4 RC networks provides negligible accuracy improvement. The ECM RC parameters, including the time constants in Eq (1) and the resistor values in Eq (3), are obtained following an optimization procedure to minimize the root mean square error (RMSE) between the model voltage output and the measurements. The Matlab function ‘fmincon’ is used for the numerical optimization. This optimization involves only 6 parameters and is a standard procedure and therefore not detailed here. The results give an indication that it is difficult to capture both the battery underload and relaxation voltage profiles accurately using a single parameter set. This is because large RC time constants are required to capture the 2-hour voltage relaxation, while only small RC time constants are required to capture the underload voltage profile. In this study, the LFP cell has a nominal capacity of 90Ah with a dimension of W200.5 x L130.3 x H36.5 mm. This large-size battery is an energy cell with thick electrodes. It is therefore hypothesized that the fast electrochemical reactions at the interface between the electrode and the electrolyte dominate the voltage response under load, while the slow diffusion dynamics inside the solid electrode particles dominate the voltage output during relaxation. Therefore, these two working conditions require RC time constants at different magnitudes. This data analysis process leads to the first novelty of this study, which captures the significant time constant difference between under load phase and relaxation phase using a parameter switching scheme, as follows, \[ \tau_j = \begin{cases} \tau_{j,u}, & \text{if } \|i\| > i_{th} \\ \tau_{j,r}, & \text{if } \|i\| \leq i_{th} \end{cases}, j = 1,2,3 \] (4) where $ \tau_{j,u} $ represents the underload time constant and $ \tau_{j,r} $ the relaxation time constant. The current threshold value $ i_{th} = 0.1A $ is used in this paper. Note that this switching scheme will not cause sudden jumps of the state variables, as shown in Eq (1). Only the poles of the transfer function of the RC networks vary with parameter-switching, and the gain (the resistor value) is not affected. Further, the parameter-switching is only triggered when the battery switches between underload and relaxation operating conditions, therefore the switching bandwidth is much lower than the model dynamics (around 1Hz) in EV driving conditions. To illustrate the comparison between the underload and relaxation dynamics, four parameter identification cases are compared. The first case uses only the underload data for parameter identification. The second case uses underload test data and 500-second relaxation period. The third uses the underload with the full 2-hour relaxation data. The fourth case represents the proposed parameter switching scheme. Table 1 introduces the time constants obtained in these four case studies, and the modelling results are given in Figure 5 which compares the measured data with the simulation results. As it can be seen in Table 1, the time constants grow with the length of the relaxation period used for parameter identification. Using underload data alone for parameter identification in Case 1, the model can capture the underload dynamics with high accuracy. However, the model error during the relaxation period is high. This is because the maximum RC time constant is only 35.7s, which cannot reproduce a 2-hour voltage relaxation profile. The relaxation stage voltage profile can be better captured in Case 2 and 3, however, this comes at a cost of a larger underload modelling error. This can be clearly seen in Figure 5(b), i.e., the zoomed segment at the end of the pulse discharge, where the model outputs of Case 2 and Case 3 produce an over-shoot error. It can be predicted that if the current pulse is longer, the underload modelling error will further increase. This is because, the three RC networks with high time constants ($r_3 = 2285.1s$) and large resistance values are needed in order to sustain the 2-hour voltage relaxation, which compromised the underload accuracy. This shows an apparent trade-off between the quality of fitting for underload region and the relaxation region, regardless of the length of the relaxation data being examined. The underload stage needs small RC time constants, while the relaxation stage needs long RC time constants. By using the proposed switching time constants in Eq (4), the results in Figure 5 (a)&(b) show good model accuracy for both underload and relaxation, which essentially solve this issue. It is noteworthy that not all lithium ion battery cells show such distinctive features between underload and relaxation stages across their full SOC range, but it is often observed at the extremes, particularly at low SOC when state estimation can be particularly important. Therefore, this study highlights the importance of considering the load dependency of the ECM parameters. Figure 5: Test data and simulation results for the constant current discharge pulse experiment at 20°C thermal chamber ambient temperature, SoC starts at 50%, ends at 45%. (a) Comparison between the measured data with simulation results using 1. Underload time constant 2. Underload + short relaxation (500 seconds) time constant 3. Underload + long relaxation (7200 seconds) time constant, (b) Zoomed look for (a). \| Data Selected/Tau No. \| Time constant 1/s \| Time constant 2/s \| Time constant 3/s \| \|-----------------------\|------------------\|------------------\|------------------\| \| Case 1: Underload alone \| 0.21 \| 6.4 \| 35.7 \| \| Case 2: Underload + 500s relaxation \| 2.0 \| 17.9 \| 498.4 \| \| Case 3: Underload + 7200s relaxation \| 10.7 \| 170.0 \| 2285.1 \| \| Case 4: Switching Taus \| Underload: 0.2 Relaxation: 1653 \| Underload: 6.4 Relaxation: 68.7 \| Underload: 35.7 Relaxation: 9.3 \| Table 1: Time constant used for the simulation results shown in Figure 5. 4.2. ECM parameter identification: -- This section presents the full parameter identification procedure. The proposed method consists of two steps. The first step uses the underload test data to identify the underload RC time constants and the resistors values. The second step identifies the relaxation time constants using the relaxation region test data. To reduce the complexity of the parameter optimization, the time constants of the RC networks are fixed throughout the entire SoC range and at various temperature levels. In this way, the resistor values become linear-in-the-variable parameters and can be solved using computationally efficient least squares tools. In literature, it is concluded by Hu et al. that the time constants of the RC networks can be considered as independent from SoC values. The benefit of this assumption is reducing the parameter identification complexity by finding the global minima of fewer parameters. The insensitivity of the variation of the capacitor values to the ECM-based SoC estimation accuracy further supports this assumption. [49] The RC time constants represent the time scale of interest for the voltage profile which can be considered independent from the working condition. The modelling results later show that this simplification doesn’t lead to poor model accuracy. 4.2.1. Step 1: identification of the underload time constants and resistors For a given set of the underload RC time constants, $ \tau_{j,u}, j = 1,2,3 $, the current passing through $ R_j $ (i.e., $ i_j $) can be calculated in Eq (1). Denote $ i_0 = i $ to represent the current passing through $ R_0 $ (to be consistent with $ i_j, j = 1,2,3 $). To capture the SoC dependency of the resistor values, the full SoC operating window is divided using breakpoints as follows, \[ 0 < SoC_1 < SoC_2 < \ldots < SoC_{n_{soc}} < 100\% \] (5) where $ n_{soc} $ is the number of SoC breakpoints. Next, define the triangle base function at each SoC breakpoint as follows, \[ f_i(SoC) = \begin{cases} 1, & \text{if } SoC < SoC_1 \\ \frac{SoC_2 - SoC}{SoC_2 - SoC_1}, & \text{if } SoC_1 \leq SoC < SoC_2' \end{cases} \] \[ f_m(SoC) = \begin{cases} \frac{SoC - SoC_{m-1}}{SoC_m - SoC_{m-1}}, & \text{if } SoC_{m-1} \leq SoC < SoC_m \\ \frac{SoC_{m+1} - SoC}{SoC_{m+1} - SoC_m}, & \text{if } SoC_m \leq SoC < SoC_{m+1} \end{cases}, \quad m = 2, ..., n_{soc} - 1 \tag{6} \] \[ f_{n_{soc}}(SoC) = \begin{cases} \frac{SoC - SoC_{n_{soc}-1}}{SoC_{n_{soc}} - SoC_{n_{soc}-1}}, & \text{if } SoC_{n_{soc}-1} \leq SoC < SoC_{n_{soc}} \\ 1, & \text{if } SoC_{n_{soc}} \leq SoC \end{cases} \] The SoC dependency of the resistor values can now be expressed using linear interpolation as follows, \[ R_j = \sum_{m=1}^{n_{soc}} R_{j,m} f_m, \quad j = 0, 1, 2, 3 \tag{7} \] Then from the terminal voltage in Eq (3), yielding, \[ v - OCV = \sum_{j=0}^{N_{rc}} (\sum_{m=1}^{n_{soc}} R_{j,m} f_m) I_j \tag{8} \] Here the time step indicator $ k $ is dropped from the variables, e.g., $ v(k) $. Denote $ y = v - OCV $, and row vector $ F = [f_1, f_2, ..., f_{n_{soc}}] $. Let row vector $ p = [F_{i_0}, F_{i_1}, F_{i_2}, F_{i_3}] $ and $ \theta = [R_{0,1}, R_{0,2}, ..., R_{0,n_{soc}}, ..., R_{3,1}, R_{3,2}, ..., R_{3,n_{soc}}] $ as the collection of all the resistor values. Eq (8) can then be reformulated as \[ y = p \theta \] Denote the value of $ y $ and $ p $ at time $ k $ as $ y(k) $ and $ p(k) $, respectively, and let \[ Y = \begin{bmatrix} y(1) \\ y(2) \\ ... \\ y(N) \end{bmatrix}, P = \begin{bmatrix} p(1) \\ p(2) \\ ... \\ p(N) \end{bmatrix} \] Then from Eq (8) we obtain a least-squares formulation as follows, \[ Y = P \theta \tag{9} \] Repeat the above procedure from Eq (5) to Eq (9) at the four different temperatures, and denote the $ Y, P $ and $ \theta $ at $[10, 20, 30, 40]^{\circ}C$ as $ Y_{10}, Y_{20}, Y_{30}, Y_{40}; P_{10}, P_{20}, P_{30}, P_{40} $ and $ \theta_{10}, \theta_{20}, \theta_{30}, \theta_{40} $ respectively. Denote $ P_s = blkdiag(P_{10}, P_{20}, P_{30}, P_{40}) $ where ‘blkdiag’ stands for block diagonal, $ Y_s = [Y_{10}^T, Y_{20}^T, Y_{30}^T, Y_{40}^T]^T $ and $ \theta_s = [\theta_{10}^T, \theta_{20}^T, \theta_{30}^T, \theta_{40}^T]^T $. Then \[ Y_s = P_s \theta_s \] (10) The parameter constraints can be put as $ \theta_{10} \geq \theta_{20} \geq \theta_{30} \geq \theta_{40} $ in elementwise. This comes from the prior knowledge that the resistance value decreases with temperature rise. The optimal parameters to Eq (10), $ \hat{\theta}_s $ can be obtained using least-squares solvers (here Matlab function ‘lsqlin’ is used). This is a convex optimization problem which can be solved efficiently. Then optimal resistor values can be calculated using the least squares method, \[ E_s = Y_s - P_s \hat{\theta}_s \] (11) and the modelling RMSE is $ \sqrt{\frac{1}{N_s} E_s^T E_s} $, where $ N_s $ is the length of $ Y_s $. Note that this RMSE depends on the choices of the underload RC time constants, $ \tau_{j,u} $. Then the optimal $ \tau_{j,u} $ can be obtained by solving the following parameter optimization problem \[ \min_{\tau_{1,u}, \tau_{2,u}, \tau_{3,u}} \sqrt{\frac{1}{N_s} E_s^T E_s} \] (12) Here, with only three parameters to optimize, the chance of finding the global minimum is greatly increased compared with optimizing all the model parameters together using the Genetic algorithm [50]. The Matlab function ‘fminbnd’ is used in this paper for finding the optimal underload RC time constants in Eq (12). ### 4.2.2. Step 2: identification of the relaxation time constants Note that in Section 4.3.1, only the underload test data are used. Next, the rest relaxation test data will be used for identification of the relaxation RC time constants. First, the underload time constants and the resistor values obtained in Section 4.3.1 are used to simulate the current values $ i_j, j = 1, 2, 3 $ under current load. Next, given the relaxation time constants $(\tau_{1,r}, \tau_{2,r}, \tau_{3,r})$, the model’s voltage profile during relaxation stage can be simulated using Eq (1) and Eq (3). The model voltage during the relaxation stage will be compared with the measurements and the RMSE depends on the chosen relaxation time constants. This is an optimization problem similar to Eq (12). Again, with only three parameters $(\tau_{1,r}, \tau_{2,r}, \tau_{3,r})$ to optimize, the chance of finding the global minimum is high. The Matlab function ‘fmincon’ is used again for parameter optimization. 4.2.3. Comparison against PIM without parameter switching scheme In order to compare with the case that doesn’t consider the load dependency of the ECM parameters, another PIM is given here that uses the same RC time constants for both underload and relaxation stages. The PIM with no switching consists of only the optimization step in Section 4.3.1 but uses different test data for parameter identification, i.e., both the underload and 2-hour relaxation test data are used for extracting the ECM parameters. 5. Modelling results vs validation results In order to conduct a comparative study of the conventional PIM and the proposed PIM with switching, the model training results for the pulse discharge tests and 2 sets of validation tests are demonstrated in this section. 5.1. Model training results The Figure 6 shows the model parameter training results for the two PIMs. Both PIMs perform under certain error bias within 20mV besides a few error spikes when the current jumps. In general, the PIM with no switching leads to better model accuracy during the relaxation stage and lower underload accuracy compared with the switching PIM, as it shows in Figure 6 (c) & (d). It is noticeable that the model accuracy decreases under low SoC (<5%). Essentially, the training results show the overall RMSE errors are comparable, 2.4 mV and 3.4 mV for no switching and switching respectively. However, the underload phase RMSE errors are 7.1 mV and 1.8 mV for no switching and switching respectively, which demonstrates the benefits of using the switching PIM in this study. Figure 6 (c) & (d) shows a detailed investigation at SoC value of 85 % - 84%, where the cell underwent constant current discharge for 180s (5% SoC breakpoint step) followed by a 2-hour relaxation. The PIM with no switching illustrates a better performance on the relaxation phase but poorer fitting on the underload phase, by contrast to the switching PIM as detailed in Figure 6 (c) & (d). In Figure 6 (b) subplot, PIM with no switching delivers a noticeable large error spike at SoC value of 90%, where the underload time for the constant current period changes from 36s (1% SoC breakpoint step) to 180s (5% SoC breakpoint step). The larger error generated from PIM with no switching (maximum error about 21 mV) compares to switching PIM (maximum error about 8mV) shows another advantage of the proposed switching PIM. As the underload phase and the relaxation phase are trained individually, therefore the RC networks values have greater potential to overcome current load fluctuation during characterisation tests, which fits the potential needs for various current load characterisation tests. Figure 6 Comparison of the two PIM methods using the 1% & 5% SoC pulse discharge data at 1C (90A) with a 120 minutes relaxation period at 20 °C (a): battery voltage fitting results, (b) modelling error & a zoomed segment 5.2. Validation results: In this study, there are 2 set of validation tests examined for both PIMs, which are constant current load and drive cycle noisy load. Normally if a set of parameters are trained from conventional PIM with pulse load as characterisation tests, then validation against constant current test data is typically not done, in many cases this is described as out of scope but is more likely because of poor agreement. Here, the proposed switching PIM is validated against both constant current and under load experimental data, to show its ability to reproduce a wide range of current loads. 5.2.1. Constant Current load validation Figure 7 (a) demonstrates the measured data together with simulated model results using both PIMs for a constant current discharge test at 1C (90A). The cell centre surface temperature acts as an additional input to the model. Figure 7 (b) demonstrates the error of both PIMs in voltage response. The overall modelling RMSE errors are 140.8 mV and 17.4 mV for PIM with no switching and switching PIM, respectively. The PIM with no switching shows a poor alignment between measured data and model simulation, where a constant error bias over 130 mV is observed. Meanwhile, the switching PIM delivers a good fit between measured data and simulation result. There is over 87.6% improvement on the error bias level from switching PIM. This is because the PIM with no switching sacrifices partly the underload accuracy in order to improve the accuracy at the relaxation period, i.e., a trade-off. It is noteworthy that the model accuracy during the training step is acceptable, as shown in Figure 7. This problem of underload accuracy deficiency only becomes outstanding under this constant current discharge. In another word, the model training results can be misleading without careful data analysis. The root cause to this problem is that the battery shows distinctive dynamics properties for underload and relaxation. This effect must be taken into consideration during ECM parametrization and application. It is therefore recommended that the training data set for ECM parametrization should have similar characteristics with the intended application of the model. In particular, if the intended application of the model includes constant current discharge, then a similar load profile should be used for ECM parametrization. This is a general recommendation for identifying a reduced order model from a highly complex or nonlinear system [46], which is however, generally overlooked in the ECM modelling field. The proposed PIM method using the parameter switching scheme effectively avoids this trade-off which would otherwise reduce the model underload accuracy. There are similar features at low SoC region (<10%), where error is accumulated. This may be caused by the severe nonlinearity of the battery dynamics at this low SoC range, making constant-parameter ECM unsuitable for capturing the voltage profiles under different current profiles. The model accuracy at low SoC could be improved by taking into consideration of the difference between the surface and bulk concentrations of the battery electrode [51]. This, however, uses a different model structure from ECM and increases the model parametrization complexity. The low SoC accuracy of the ECM modelling will be explored in future work, however this is out of the scope for this study. 5.2.2. Drive cycle validation A bespoke designed drive cycle based on a US06 drive cycle is subjected to the cell, where the input current is shown in Figure 3a. Figure 8 (a) demonstrates the measured data together with simulated model results using both PIMs. The cell centre surface temperature acts as an additional input to the model. Figure 8 (b) demonstrates the error of both PIMs in voltage response. The modelling overall RMSE errors are 78.2 mV and 17.7 mV for PIM with no switching and switching PIM, respectively. Also, the underload phase RMSE errors are 81.4 mV for PIM with no switching and 7.7 mV for switching PIM, where the switching PIM delivers 10 times less error (improved 90.5% for underload phase, and 77.4% for overall simulation) in this validation scenario. It is clear to see a constant error bias level about 75mV for the results generated from PIM with no switching, while the switching PIM offers an error bias level less than 10mV. The less error and more accurate model performance that uses the parameters generated from switching PIM proves the necessity of this PIM, especially for this type of battery. The reason for the difference of the model accuracy is similar to that in Figure 7. All the PIMs trained the parameters across the entire SoC bandwidth together with 4 characterisation test temperatures. As shown in Figure 3 (c) and 4 (b), the cell centre surface temperature grows from 20 °C to 26 °C for drive cycle test and 20 °C to 35 °C, respectively. Training all the data together gives the model a smooth transition on these thermally dynamic scenarios. 6. Conclusion and future work A novel modified equivalent circuit model and parameter identification method is presented which takes into account the fact that many lithium ion batteries exhibit different time constants during underload operation compared to relaxation. The model switches between RC values for different current profiles. This is particularly pronounced in the large prismatic with lithium iron phosphate cathode studied in this paper but is also seen at the extremes of SOC in other lithium ion batteries, particularly at low SOC where state estimation can be particularly difficult yet even more important. The approach presented in this paper demonstrates significant improvements over a conventional equivalent circuit model without switching time constants. The work should be of interest to application engineers, battery management system developers, and control engineers. The study in this paper is limited to the specific phenomena of the battery’s different dynamics between underload and relaxation. The discharge current pulses are used for model training and parameter identification, and the model performance is validated under constant-current full discharge and drive cycle profile. A more detailed analysis of the ECM’s parameter dependency on the load current profile (such as frequency spectrum of the drive cycles) and the corresponding parameter-switching scheme are left for future work. Further, although frequency domain methods such as Fourier transform have been widely used for input profile characterization and categorization, a time domain method for the classification of current profile still needs to be developed and validated for real-time BMS implementation. 7. Supplementary material Figure 1-3: Model training results for other temperatures + experimental data for other temperatures Figure 4-6: CC discharge validation for other temperatures + experimental data for other temperatures Figure 7: OCV curves for different temperatures Figure 8: The identified model parameters – resistor values versus SoC and temperature Figure 9: ECM model structure with n RC networks Table 1. The identified underload and relaxation RC time constants of the ECM 8. Acknowledge The authors would also like to acknowledge Envision AESC China Ltd. for funding this work for Xiao Hua, as well as support from project TRENDS (reference number EP/R020973/1) for Cheng Zhang and funding from the Faraday Institution (faraday.ac.uk; EP/S003053/1), grant number FIRG003 for Gregory Offer. References [1] Wikipedia, Phase-out of fossil fuel vehicles, 2020. [2] H.Y. He Kebin, Zhang Qiang, Ming Dengli, Wu Ye, Catherine Witherspoon, Valentin Foltescu, Q.Y., Cheng Jing, A Review of 20 years’ Air Pollution Control in Beijing, Nairobi, Kenya, 2019. [3] C. Mckerracher, Electric Vehicle Outlook 2019, 2019. [4] S. Yan, S. Luo, J. Feng, P. Li, R. Guo, Q. Wang, Y. Zhang, Y. Liu, S. Bao, Rational design of flower-like FeCo2S4/reduced graphene oxide films: Novel binder-free electrodes with ultra-high conductivity flexible substrate for high-performance all-solid-state pseudocapacitor, Chem. Eng. J. 381 (2020) 122695. https://doi.org/https://doi.org/10.1016/j.cej.2019.122695. 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Measurement of photon–jet transverse momentum correlations in 5.02 TeV Pb + Pb and pp collisions with ATLAS The ATLAS Collaboration* ARTICLE INFO Article history: Received 19 September 2018 Received in revised form 19 November 2018 Accepted 10 December 2018 Available online 13 December 2018 Editor: W.-D. Schröder ABSTRACT Jets created in association with a photon can be used as a calibrated probe to study energy loss in the medium created in nuclear collisions. Measurements of the transverse momentum balance between isolated photons and inclusive jets are presented using integrated luminosities of 0.49 nb$^{-1}$ of Pb + Pb collision data at $\sqrt{s_{NN}} = 5.02$ TeV and 25 pb$^{-1}$ of $pp$ collision data at $\sqrt{s} = 5.02$ TeV recorded with the ATLAS detector at the LHC. Photons with transverse momentum $63.1 < p_T^{\gamma} < 200$ GeV and $\|\eta^{\gamma}\| < 2.37$ are paired with all jets in the event that have $p_T^{jet} > 31.6$ GeV and pseudorapidity $\|\eta^{jet}\| < 2.8$. The transverse momentum balance given by the jet-to-photon $p_T$ ratio, $x_{\gamma j}$, is measured for pairs with azimuthal opening angle $\Delta \phi > 7\pi/8$. Distributions of the per-photon jet yield as a function of $x_{\gamma j}$, $(1/N_{\gamma j})dN/dx_{\gamma j}$, are corrected for detector effects via a two-dimensional unfolding procedure and reported at the event level. In $pp$ collisions, the distributions are well described by Monte Carlo event generators. In Pb + Pb collisions, the $x_{\gamma j}$ distribution is narrower than that observed in $pp$ collisions with increasing centrality, consistent with the picture of parton energy loss in the hot nuclear medium. The data are compared with a suite of energy-loss models and calculations. © 2018 The Author(s). Published by Elsevier B.V. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). Funded by SCOAP3 1. Introduction The energy loss of fast partons traversing the hot, deconfined medium created in nucleus–nucleus collisions can be studied in a controlled and systematic way through the analysis of jets produced in association with a high transverse momentum ($p_T$) prompt photon [1–7]. At leading order in quantum chromodynamics, the photon and leading jet are produced back-to-back in the azimuthal plane, with equal transverse momenta. Measurements of prompt photon production in Au + Au collisions at the Relativistic Heavy Ion Collider (RHIC) [8] and Pb + Pb collisions at the Large Hadron Collider (LHC) [9] have confirmed that, since photons do not participate in the strong interaction, their production rates are not modified by the medium [10]. Thus, photons provide an estimate of the $p_T$ and direction of the parton produced in the initial hard-scatter, before it has lost energy through interactions with the medium. Measurements of jet production with different requirements on the photon kinematics can therefore shed light on how the absolute amount of parton energy loss depends on the initial parton $p_T$. Furthermore, photon–jet events offer a particularly useful way to probe the distribution of energy lost by jets in individual events, and are complementary to measurements such as the dijet $p_T$ balance [11–13]. Whereas those measurements report the ratio of the transverse momenta of two final-state jets, both of which may have lost energy, photon–jet events provide an alternative system in which one high-$p_T$ object is certain to remain unaffected by the hot nuclear medium. Finally, jets produced in association with a photon are more likely to originate from quarks than those produced in dijet events at the same $p_T$. Thus, when considered together with measurements of dijets or of inclusive jet [14–16] and hadron [17–19] production rates in Pb + Pb collisions, analysis of photon–jet events can help to further constrain the flavour (i.e. quark versus gluon) dependence of parton energy loss. Studies of photon–hadron correlations, in particular, high-$p_T$ hadrons are used as a proxy for the jet, were first performed at RHIC [20–22] and measurements using fully reconstructed jets have since begun at the LHC [23,24]. In the LHC studies, the distribution of the photon–jet azimuthal separation, $\Delta \phi$, was found to be consistent with that in simulated photon–jet events embedded into a heavy-ion background, and the jet-to-photon transverse momentum ratio, $x_{\gamma j} = p_T^{\text{jet}} / p_T^{\gamma}$, was studied for inclusive photon–jet pairs. The per-photon jet yield $(1/N_{\gamma j})dN/dx_{\gamma j}$ distribution was shifted to significantly smaller values in Pb + Pb data. In these previous measurements, the $x_{\gamma j}$ distributions in Pb + Pb events were not corrected for detector resolution effects, which led to a substantial broadening of the reported distributions in data. As a result, qualitative comparisons with models or even with the analogous distributions in proton–proton (pp) data could only be accomplished by applying an additional smearing to the comparison distributions to introduce detector effects. Recent measurements of dijet $p_T$ correlations [12] and inclusive jet fragmentation functions at large longitudinal momentum fraction [25] in Pb + Pb collisions used unfolding procedures to correct for bin-migration effects and return the distributions to the particle level, i.e. free from detector effects. This letter reports a study of photon–jet correlations in Pb + Pb collisions at a nucleon–nucleon centre-of-mass energy $\sqrt{s_{NN}} = 5.02$ TeV and pp collisions at the same centre-of-mass energy $\sqrt{s} = 5.02$ TeV. The data were recorded in 2015 with the ATLAS detector at the LHC and correspond to integrated luminosities of 0.49 mb$^{-1}$ and 25 pb$^{-1}$, respectively. Events containing a prompt photon with 63.1 < $p_T^{\gamma}$ < 200 GeV and pseudorapidity $\|\eta^{\gamma}\| < 2.37$ (excluding the region 1.37 < $\|\eta^{\gamma}\| < 1.52$) are studied. The $p_T$ balance of photon–jet pairs for jets with $p_T^{jet} > 31.6$ GeV and $\|\eta^{jet}\| < 2.8$ which are approximately back-to-back with the photon in the transverse plane, $\Delta \phi > 7\pi/8$, is analysed through the per-photon yield of jets as a function of $x_{\gamma j}$, with all jets that meet this selection requirement counted separately. In Monte Carlo simulations, the fraction of photons paired with more than one jet rises from 1% to 15% over the reported photon $p_T$ ranges. The particle, photon and jet $p_T$ ranges used in the measurement are chosen to be evenly spaced on logarithmic scales to facilitate the unfolding procedure described below. The yields are corrected via data-driven techniques for background arising from combinatoric pairings of each photon with unrelated jets in Pb + Pb events and from the contamination by neutral mesons in the photon sample. The resulting $x_{\gamma j}$ distributions are corrected for the effects of the experimental resolution on the photon and jet $p_T$ via a two-dimensional unfolding procedure similar to that used in Ref. [12]. Due to higher-order effects, photon–jet events do not generally have the back-to-back leading order topology mentioned above. Thus the pp data, which includes these effects, provides the reference distributions against which to interpret the results in Pb + Pb events. This Letter directly compares photon–jet data in Pb + Pb and pp events, and with Monte Carlo event generators and analytic calculations [26–29]. 2. Experimental set-up The ATLAS experiment [30] is a multipurpose particle detector with a forward–backward symmetric cylindrical geometry and nearly 4$\pi$ coverage. This analysis relies on the inner detector, the calorimeter and the data acquisition and trigger system. The inner detector comprises three major subsystems: the pixel detector and the silicon microstrip tracker, which extend out to $\|\eta\| = 2.5$, and the transition radiation tracker which extends to $\|\eta\| = 2.0$. The inner detector covers the full azimuth and is immersed in a 2 T axial magnetic field. The pixel detector consists of four cylindrical layers in the barrel region and three disks in each endcap region. The silicon microstrip tracker comprises four cylindrical layers (nine disks) of silicon strip detectors in the barrel (endcap) region. The calorimeter is a large-acceptance, longitudinally-segmented sampling detector covering $\|\eta\| < 4.9$ with electromagnetic (EM) and hadronic sections. The EM calorimeter is a lead/lithium-argon sampling calorimeter with an accordion-shaped geometry. It is divided into a barrel region, covering $\|\eta\| < 1.475$, and two endcap regions, covering 1.375 < $\|\eta\| < 3.2$. The EM calorimeter has three primary sections, longitudinal in shower depth, called “layers”, in the barrel region and up to $\|\eta\| = 2.5$ in the end cap regions. In the barrel and first part of the end cap ($\|\eta\| < 2.4$), with the exception of the regions 1.4 < $\|\eta\| < 1.5$, the first layer has a fine segmentation in $\eta$ ($\Delta \eta = 0.003–0.006$) to allow the discrimination of photons from the two-photon decays of $\pi^0$ and $\eta$ mesons. Over most of the acceptance, the total material upstream of the EM calorimeter ranges from 2.5 to 6 radiation lengths. In the transition region between the barrel and endcap regions (1.37 < $\|\eta\| < 1.52$), the amount of material rises to 11.5 radiation lengths and thus this region is not suited for the detection of photons. The hadronic calorimeter is located outside the EM calorimeter. It consists of a steel/scintillator-tile sampling calorimeter covering $\|\eta\| < 1.7$ and a liquid–argon calorimeter with copper absorber covering 1.5 < $\|\eta\| < 3.2$. The forward calorimeter (FCal) is a liquid–argon sampling calorimeter located on either side of the interaction point. It covers 3.1 < $\|\eta\| < 4.9$ and each half is composed of one EM and two hadronic sections, with copper and tungsten serving as the absorber material, respectively. The FCal is used to characterise the centrality of Pb + Pb collisions as described below. Finally, zero-degree calorimeters (ZDC) are situated at large pseudorapidity, $\|\eta\| > 8.3$, and are primarily sensitive to spectator neutrons. A two-level trigger system is used to select events, with a first-level trigger implemented in hardware followed by a software-based (high-level) trigger. Data for this measurement were acquired using a high-level photon trigger [31] covering the central region ($\|\eta\| < 2.5$). At the first-level trigger stage, the transverse energy of EM showers is computed within regions of $\Delta \phi \times \Delta \eta = 0.1 \times 0.1$ in the transverse plane, which are then summed and are used to seed the high-level trigger stage. At this next stage, reconstruction algorithms similar to those applied in the offline analysis use the full detector granularity to form the final trigger decision. The trigger was configured with an online photon-$p_T$ threshold of 30 GeV (20 GeV) in the pp (Pb + Pb) running period and required the candidate photon to satisfy a set of loose criteria for the electromagnetic shower shape [31]. For the Pb + Pb data-taking, the high-level trigger included a procedure to estimate and subtract the underlying event (UE) contribution to the $E_T$ measured in the calorimeter [9], ensuring high efficiency in high-activity Pb + Pb events. In addition to the photon trigger, Pb + Pb data were recorded with minimum-bias triggers; these events are used to characterise the centrality of Pb + Pb collisions as described in Section 3. The minimum-bias triggers are based on the presence of a minimum amount of approximately 50 GeV of transverse energy in all sections of the calorimeter system ($\|\eta\| < 3.2$) or, for events that do not meet this condition, on substantial energy deposits in both ZDC modules and an inner-detector track identified by the high-level trigger system. 3. Data selection and Monte Carlo samples Photon–jet events in pp and Pb + Pb collisions are initially selected for analysis by the high-level triggers described above. The typical number of interactions per bunch crossing in the pp and Pb + Pb data-taking were one and smaller than $10^{-4}$, respectively. Events are required to satisfy detector and data-quality requirements, and to contain a vertex reconstructed from tracks in the inner detector. An additional requirement in Pb + Pb collisions, based on the correlation of the signals in the ZDC and the FCAL, is used to reject a small number of recorded events consistent with two Pb + Pb interactions in the same bunch crossing (pile-up) [32]. The pile-up rate is largest in the most central events, where it is at most 0.1% and rejected with an efficiency greater than 98%. No pile-up rejection is applied in pp collisions. The centrality of Pb + Pb events is defined using the total transverse energy measured in the FCAL, evaluated at the electromagnetic scale and denoted by $\sum E_T$. The same observable was used to characterise 2010 and 2011 Pb + Pb data at $\sqrt{s_{NN}} = 2.76$ TeV [33] and a similar procedure, based on Monte Carlo Glauber modelling [34], is followed in 2015 data [35]. In this analysis, Pb + Pb events with low centrality ratios are considered that represent 0–10% (largest $\sum E_T$ values and degree of nuclear overlap), 10–20%, 20–30%, 30–50% and 50–80% (smallest $\sum E_T$ values and degree of nuclear overlap) of the population. The mean number of participating nucleons in minimum-bias Pb + Pb collisions, $N_{\text{part}}$, ranges from 33.3 ± 1.5 in 50–80% events to 358.8 ± 2.3 in 0–10% events. Monte Carlo simulations of $\sqrt{s} = 5.02$ TeV pp photon–jet events are used to correct the data for bin migration and inefficiency effects, and for comparison with distributions measured in pp collision data. For all the samples described below, the generated events were passed through a full Geant 4 simulation [36,37] of the ATLAS detector under the same conditions present during data-taking and were digitised and reconstructed in the same way as the data. For the primary simulation samples, the Perugia 8.18G [38] generator was used with the NNPDF23LO parton distribution function (PDF) set [39] and generator parameters which were tuned to reproduce a set of minimum-bias data (the “A14” tune) [40]. Both the direct and fragmentation photon contributions are included in the simulation. Six million pp events were generated with a generator-level photon in the $p_T$ range 50 GeV to 280 GeV. Additionally, a sample of 18 million events were produced with the same generator, tune and PDF, and were overlaid at the detector-hit level with minimum-bias Pb + Pb events recorded during the 2015 run. The relative contribution of events in this “data-overlay” sample were reweighted on an event-by-event basis to match the $\sum E_T$ distribution observed in the photon–jet events in Pb + Pb data selected for analysis. Thus the Pb + Pb simulation samples contain underlying-event activity levels and kinematic distributions of jets (used in the combinatoric photon-jet background estimation) identical to those in data. Additional samples of 0.3 million pp events and 6 million events overlaid with Pb + Pb data were produced with the SimPyth 1.1 [41] generator and the CT10 PDF set [42], as were 0.6 million pp Herwig 7 [43] events with the MMHT UE tune and PDF set [44]. The Sherpa samples were generated with leading-order matrix elements for photon–jet final states with up to three additional partons, which were merged with the Sherpa parton shower. The Herwig events were generated in a way that includes the direct and fragmentation photon contributions. Both the Sherpa and Herwig samples were filtered for the presence of a photon in the required kinematic region, and are used because they contain different photon + multiplet topological distributions and jet-flavour compositions. At generator level, photons are required to be isolated by requiring the sum of the transverse energy carried by primary particles\footnote{Primary particles are defined as those with a proper mean lifetime, $\tau$, exceeding $\tau t = 10$ mm. For the jet and isolation $E_T$ measurements, muons and neutrinos are excluded from the definition.} in a cone of size $\Delta R = 0.3$ around the photon, $E_{T}^{\text{iso}}$, to be smaller than 3 GeV. In the analysis, the background subtraction, described below, removes photons which pass the isolation cut in data but fail this isolation requirement at the particle level. Jets are defined by applying the anti-$k_t$ algorithm [45,46] with radius parameter $R = 0.4$ to primary particles within $\|\eta\| < 4.9$. In simulation, the jet flavour, i.e. whether it is quark- or gluon-initiated, is defined as the flavour of the highest-$p_T$ parton that points to the generator-level jet [47]. ### 4. Event reconstruction #### 4.1. Photon reconstruction Photon candidates are reconstructed from clusters of energy deposited in EM calorimeter cells, following a procedure used for previous measurements of isolated prompt photon production in Pb + Pb collisions [9]. The procedure is similar to that used extensively in pp collisions [48,49], but is applied to the calorimeter cells after an event-by-event estimation and subtraction of the pile-up and UE contribution to the deposited energy in each cell [14]. In Pb + Pb collisions, all photon candidates are treated as if they were unconverted photons. Photon identification is based primarily on shower shapes in the calorimeter [50], selecting those candidates which are compatible with originating from a single photon impacting the calorimeter. The measurement of the photon energy is based on the energy deposited in a small region of calorimeter cells centred on the photon ($\Delta \eta \times \Delta \phi = 0.075 \times 0.175$ in the barrel and $\Delta \eta \times \Delta \phi = 0.125 \times 0.125$ in the endcap), and is corrected via a dedicated calibration [51], which accounts for upstream losses and both lateral and longitudinal leakage. The sum of transverse energy in calorimeter cells inside a cone size of $\Delta R = 0.3$ centred on the photon candidate, excluding a small central area of size $\Delta \eta \times \Delta \phi = 0.125 \times 0.175$, is used to compute the isolation energy $E_{T}^{\text{iso}}$. It is corrected for the expected leakage of the photon energy into the isolation cone. Reconstructed photon candidates are required to satisfy identification and isolation criteria. The identification working point (called “tight”) includes requirements on each of several shower-shape variables [50]. These criteria reject two-photon decays of neutral mesons using information in the finely segmented first calorimeter layers, and reject hadrons which began showering in the EM section using information from the hadronic calorimeter. The isolation energy is required to be $E_{T}^{\text{iso}} < 3$ GeV in pp collisions. In Pb + Pb collisions, where UE fluctuations significantly broaden the distribution of $E_{T}^{\text{iso}}$ values, this requirement is set to approximately one standard deviation of the Gaussian-like part of the distribution centred at zero, $E_{T}^{\text{iso}} \sim 8$ GeV. In simulation, prompt photons in pp collisions have a total reconstruction efficiency of better than 90%. At low $p_T \approx 60$ GeV in the most central Pb + Pb collisions, this efficiency is $\approx 60\%$, rising with increasing $p_T$ and in less central collisions. In all events, the $p_T$ scale, defined as the mean ratio of measured photon $p_T$ to the generator-level $p_T$, for photons which satisfy these criteria is within 0.5% (1%) of unity in the barrel (endcap). The $p_T$ resolution decreases from 3% to 2% over the measured $p_T$ range. #### 4.2. Jet reconstruction Jets are reconstructed following the procedure previously used in 2.76 TeV and 5.02 TeV pp and Pb + Pb collisions [14,15,52], which is briefly summarised here. The anti-$k_t$ algorithm [46] with $R = 0.4$ is applied to energy deposits in the calorimeter grouped into towers of size $\Delta \eta \times \Delta \phi = 0.1 \times 0.1$. An iterative procedure, based entirely on data, is used to obtain an event-by-event estimate of the average $\eta$-dependent UE energy density, including that from pile-up, while excluding from the estimate the contribution from jets arising from a hard scattering. An updated estimate of the jet four-momentum is obtained by subtracting the UE energy from the constituent towers of the jet. This procedure is also applied to $pp$ data. The $p_T$ values of the resulting jets are corrected for the average calorimeter response using an $\eta$- and $p_T$-dependent calibration derived from simulation. An additional correction, derived from in situ studies of events with a jet recoiling against a photon or $Z$ boson and from the differences between the heavy-ion reconstruction algorithm and that normally used in the 13 TeV $pp$ data [52], is applied. A final correction at the analysis level is applied to correct for a deficiency in jet calibration due to it being derived from an event sample with a different jet flavour composition. The distribution of reconstructed jet $p_T$ values was studied in simulation as a function of generator-level jet $p_T$. In $pp$ and Pb + Pb collisions, the jet $p_T$ scale is within 1% of unity. In $pp$ collisions, the jet $p_T$ resolution decreases from 15% at $p_T = 30$ GeV to 10% at $p_T \approx 200$ GeV. In Pb + Pb collisions, the resolution at fixed jet $p_T$ becomes worse in more central collisions in a way consistent with the increasing magnitude of UE fluctuations in the jet cone. In the most central events and at the lowest jet-$p_T$ values, the resolution reaches 50%. At high $p_T$, the resolution asymptotically becomes centrality-independent and, at 200 GeV, consistent with that in $pp$ collisions. More information about the jet reconstruction and jet performance in this dataset may be found in Ref. [54]. 5. Data analysis 5.1. Photon purity and yield After applying the identification and isolation selection criteria in $pp$ collisions, approximately 19 500, 7800, 4100 and 400 photons are selected with $p_T^{\gamma} = 63.1–79.6$ GeV, 79.6–100 GeV, 100–158 GeV and 158–200 GeV, respectively. In Pb + Pb collisions, the analogous yields are 15 400, 6300, 3500 and 300. These raw yields are determined as a function of $p_T^{\gamma}$ and are then corrected for background and for the effects of $p_T$ bin migration. First, the selected photon sample is corrected for the background contribution, primarily from misidentified neutral hadrons. For each $p_T^{\gamma}$ and centrality range, the purity of prompt photons within this range is estimated with a double-sideband approach [9, 48,49], which is summarised in the following. In addition to the nominal selection, background-enhanced samples of photon candidates are defined by selecting photons failing at least one of four specific shower-shape requirements (referred to as the “non-tight” selection), or by requiring that they are not isolated such that $E_{\text{iso}}^{\gamma} > 5$ GeV in $pp$ collisions or $E_{\text{iso}}^{\gamma} > 10$ GeV in Pb + Pb collisions. Regions $A$ and $B$ are defined as those containing tight photons which are isolated and non-isolated, respectively, with region $A$ corresponding to the signal photon selection. Regions $C$ and $D$ contain non-tight photons which are isolated and non-isolated, respectively. The number of photon candidates in each region is generally a mixture of signal and background photons, i.e. those arising from neutral mesons inside jets. The $E_{\text{iso}}^{\gamma}$ distribution for background photons is expected to be the same for the tight and non-tight selections such that the distribution of background photons “factorises” along isolation and identification axes. Separately, the probability that a prompt photon is found in regions $B$, $C$ or $D$ is determined from simulation. This information and the background factorisation assumption is then applied to the data to determine the purity of photons in region $A$, defined as the ratio of the number of signal photons to all selected photons. The purity increases systematically with $p_T^{\gamma}$ over the measured $p_T^{\gamma}$ range. In $pp$ collisions, it rises from $\approx 85\%$ at $p_T^{\gamma} = 80$ GeV to more than 95% at 100 GeV, while in Pb + Pb collisions it is typically $\approx 75$–90% over the same kinematic range. The background-corrected prompt photon yields are then corrected for the resolution of the $p_T^{\gamma}$ measurement. This is performed by comparing the yields, evaluated separately as a function of reconstructed and generator-level $p_T$, in simulation. Given the good $p_T$ resolution, these differ by 2% at most, and this small resulting correction is applied to the yields in data. 5.2. Jet background subtraction The raw jet yields, measured as a function of $x_{j\gamma}$, are corrected for two background components using data-driven methods. The corrections are performed separately for each $p_T^{\gamma}$ interval and separately in $pp$ collisions and Pb + Pb collisions of different centrality ranges. The first background arises from the combination of a high-$p_T$ photon with jets unrelated to the photon-producing hard scattering. These include jets from separate hard parton–parton scatterings and UE fluctuations reconstructed as jets. This background is negligible in $pp$ collisions. Because of the inclusive jet selection in the analysis, the combinatoric background is purely additive and can be statistically subtracted after scaling to the total photon yield. The combinatoric jet yields are determined in the data-overlay simulation, by examining the yield of reconstructed jets separated from a generator-level photon by $\Delta \phi > 7\pi/8$. Reconstructed jets that are not consistent with a generator-level jet, i.e. no generator-level jet with $p_T > 20$ GeV within $\Delta R < 0.4$, are deemed to arise from the original Pb + Pb data event and are thus labelled as “combinatoric” jets. The combinatoric jet yields are subtracted from the measured $x_{j\gamma}$ distributions in data. The second background is related to the estimated purity of the selected photons. The $x_{j\gamma}$ yields for photon candidates in region $A$ contain an admixture of dijets, specifically jets correlated with misidentified neutral mesons. Since these hadrons pass experimental isolation requirements, they may be, for example, the leading fragment inside a jet. The shape of this background in the $x_{j\gamma}$ distribution is determined by repeating the analysis for photon candidates in region $C$, since this region contains mostly neutral mesons that remain isolated at the detector level. The resulting per-photon $x_{j\gamma}$ distributions are scaled to match the number of background photons, as determined above in Section 5.1, and their yields are statistically subtracted from the jet yields for photons in region $A$. Fig. 1 shows the size of these backgrounds in the lowest-$p_T^{\gamma}$ interval, where they are the largest. The combinatoric jet background for Pb + Pb collisions contributes primarily to kinematic regions populated by $p_T^{\gamma} < 50$ GeV. It also depends strongly on centrality, being largest in 0–10% collisions but nearly negligible already in 30–50% collisions. The dijet background contributes to a broad range of $p_T^{\gamma}$ values including the region $x_{j\gamma} > 1$, since the $p_T$ ratio of a jet to one of the hadrons in the balancing jet can generally be above unity. This background has a similar shape in all event types. However, since the photon purity is lower in Pb + Pb events than in $pp$ events, this correction is larger in the former. 5.3. Unfolding The background-subtracted $x_{j\gamma}$ yields are corrected for bin-migration effects due to detector resolution via a Bayesian unfolding procedure [55,56]. To accomplish this, the reconstructed yields are arranged in a two-dimensional $(p_T^{\gamma}, x_{\text{jet}})$ matrix with bin edges that are evenly spaced on logarithmic scales (and with values matching those used in previous jet measurements), and a two-dimensional unfolding is performed similar to that for dijet $p_T$ correlations in Ref. [12]. The unfolding is performed in $x_{\text{jet}}$ directly to preserve the fine correlation between $p_T^{\gamma}$ and $p_T^{\text{jet}}$ which would be washed out if the unfolding were performed in $(p_T^{\gamma}, p_T^{\text{jet}})$. Although the migration along the $p_T^{\gamma}$ axis is small, it is necessary to include it since the degree of bin migration in $x_{\text{jet}}$ depends on the $p_T$ of the jets. To fully account for the effects of bin migration across the analysis selection, the axes of the matrix are extended over a larger range of $p_T^{\gamma}$ and $x_{\text{jet}}$ than the fiducial region in which the results are reported. A response matrix is determined by matching each pair of $(p_T^{\gamma}, x_{\text{jet}})$ values at the generator level to their counterparts at the reconstruction level, separately for $pp$ events and for each Pb + Pb centrality. The Bayesian unfolding method requires a choice for the number of iterations, $n_{\text{iter}}$, and an assumption for the prior for the initial particle-level distribution. The Pythia simulation does not include the effects of jet energy loss, and thus the underlying particle-level distribution in data is expected to have a shape different from the default prior in the simulation. An initial unfolding using the default Pythia prior is performed for each centrality selection, and the ratios of the unfolded distributions to the generator-level priors in Pythia are fitted with a smooth function in $x_{\text{jet}}$ in each $p_T^{\gamma}$ interval. This function is evaluated to give a weight $w = w(x_{\text{jet}}, p_T^{\gamma})$ that is used to reweight the generator-level distribution in simulation and thus construct a nominal prior. Alternative reweightings, used in evaluating the sensitivity to the choice of prior, are determined by applying $\sqrt{w}$ (the geometric mean of the nominal reweighting and no reweighting) and $w^{3/2}$ to the sample. The reconstruction-level $x_{\text{jet}}$ distributions in simulation after each of these reweightings were examined to ensure that they span a reasonable range of values compared to that observed at the reconstruction level in data. Before applying the unfolding procedure to data, it was tested on simulation. After the nominal reweighting, the Monte Carlo samples were split into two statistically independent subsamples. One subsample was used to populate the response matrix, which was then used to unfold the reconstruction-level distribution in the other subsample. The unfolded result was compared with the original generator-level distribution in the latter sample, which were found to be recovered within the limits of the statistical precision of the samples. The values of $n_{\text{iter}}$ used for the nominal results are chosen following the same procedure as in Ref. [12]. For each centrality selection, the unfolded distributions are examined as a function of $n_{\text{iter}}$. For each value of $n_{\text{iter}}$, a total uncertainty is formed by adding two components in quadrature: (1) the statistical uncertainty of the unfolded data, which grows slowly with $n_{\text{iter}}$, and (2) the sum of square differences between the results and those obtained with an alternative prior, which decreases quickly with $n_{\text{iter}}$. The final values of $n_{\text{iter}}$ are chosen to minimise the total uncertainty, and are between two and four. The unfolded $x_{\text{jet}}$ results are corrected for the jet reconstruction efficiency, evaluated in simulation as the $p_T^{\text{jet}}$-dependent probability that a generated jet at the given $x_{\text{jet}}$ is successfully reconstructed within the total $(p_T^{\gamma}, x_{\text{jet}})$ range used in the unfolding. This efficiency is typically >99% for all events in the kinematic regions populated by jets with $p_T > 50$ GeV. In $pp$ collisions, this efficiency falls to ≈96% in the lowest-$x_{\text{jet}}$ region for each $p_T^{\gamma}$ interval. In Pb + Pb collisions, the efficiency at fixed $x_{\text{jet}}$ decreases monotonically in increasingly central events, reaching a minimum of ≈75% in the lowest-$x_{\text{jet}}$ region in 0–10% centrality events. 6. Systematic uncertainties The primary sources of systematic uncertainty can be grouped into three major categories: the measurement of $p_T^{\text{jet}}$; the selection of the photon and measurement of $p_T^{\gamma}$; the modelling and subtraction of the combinatoric background; and the unfolding procedure. For each variation described below, the entire analysis is repeated including the background correction steps and unfolding. The differences between the resulting $x_{\text{jet}}$ values and the nominal ones are taken as an estimate of the uncertainty from each source. A standard set of uncertainties in the energy scale and resolution, following the strategy described in Ref. [57] and commonly used for measurements in 2015 Pb + Pb and $pp$ data [54,58], are used in this analysis. The impact of the uncertainties is evaluated by modifying the response matrix according to the given variations in the reconstructed jet $p_T$. These include uncertainties in the $p_T$ scale derived from in situ studies of the calorimeter response [47,59], an uncertainty in the resolution derived using data-driven techniques [60], and uncertainties in both which result from a small relative energy-scale difference between the heavy-ion jet reconstruction procedure and that used in $\sqrt{s} = 13$ TeV. pp collisions [53]. All of the above uncertainties apply equally to jets in pp and Pb + Pb events. A separate, centrality-dependent uncertainty is included in 0–60% Pb + Pb collisions. This uncertainty accounts for a possible modification of the jet response after energy loss and is evaluated through in situ comparisons of the charged-particle track-jet and calorimeter-jet $p_T$ values in data and simulation. More details are provided in Refs. [54–57]. No additional uncertainty is included for 60–80% centrality events. Uncertainties in the photon purity estimate are determined by varying the anti-light-cone isolation and isolation criteria used to select hadron background candidates, and by considering a possible non-factorisation of the hadron background along the axes used in the double-sideband procedure. The sensitivity to the modelling of photon shower shapes in simulation is evaluated by removing the data-driven corrections to these quantities [50]. Finally, the photon $p_T$ scale and resolution uncertainties are described in detail in Ref. [51], and their impact is evaluated by applying them as variations to the response matrices used in unfolding. Modelling- or unfolding-related systematic uncertainties arise from several sources. The estimate of the combinatoric photon–jet rate in the data-overlay simulation is sensitive to the requirement on the minimum $p_T$ of a generator-level jet in the classification of a given reconstructed jet as a combinatoric jet, as opposed to a photon-correlated jet. To provide one estimate of the sensitivity to this threshold, it is varied in the range 20 ± 10 GeV. To assess the sensitivity to the choice of prior, the unfolding is repeated using the alternative priors which are systematically closer to and farther from the original PYTHIA prior. The sensitivity to statistical limitations of the simulation samples is determined through pseudo-experiments, resampling entries in the response matrices according to their uncertainty. Finally, the analysis is repeated using the SHERPA simulation to perform the corrections and unfolding, since this generator provides a different description of photon–jet production topologies. Fig. 2 summarises the systematic uncertainties in each category, as well as the total uncertainty, for the lowest-$p_T^\gamma$ interval in pp and 0–10% Pb + Pb events. The jet-related uncertainties are generally the dominant ones, except in more central events and lower-$p_T^\gamma$ intervals, where the unfolding and modelling uncertainties become co-dominant. As an additional check on the features in the unfolded $x_{J\gamma}$ distributions observed in data, the analysis was repeated with two modifications which change the signal photon–jet definition. First, the photon–jet $\Delta \phi$ requirement was changed from $> 7\pi/8$ to $> 3\pi/4$. With this alteration, the correlated jet yield changes only by a small amount, while the combinatoric background, which is constant in $\Delta \phi$, doubles. Second, the analysis was repeated, but selecting only the leading (highest-$p_T$) jet in the event if it fell within the $\Delta \phi$ window. In this case, the combinatoric background contribution is no longer purely additive and the inefficiency when a higher-$p_T$ uncorrelated jet is selected instead of the photon-correlated jet must be accounted for, similar to Ref. [12]. In both cases, the distributions in Pb + Pb exhibit a qualitatively similar modification pattern compared to the main results as a function of $x_{J\gamma}$. 7. Results The unfolded $(1/N_\gamma)(dN/dx_{J\gamma})$ distributions in pp collisions are shown for each $p_T^\gamma$ interval in Fig. 3. The distributions are reported for all $x_{J\gamma}$ bins where the jet minimum $p_T$ requirement is fully efficient. Also shown are the corresponding generator-level distributions from the PYTHIA, SHERPA and HERWIG samples. Each generator describes the data fairly well, with HERWIG generally overpredicting the yield at large-$x_{J\gamma}$ and SHERPA showing the best agreement over the full $x_{J\gamma}$ range. The unfolded $(1/N_\gamma)(dN/dx_{J\gamma})$ distributions in Pb + Pb collisions are presented in Figs. 4 through 7, with each figure representing a different $p_T^\gamma$ interval. Since the results are fully corrected, they may be directly compared with the analogous $x_{J\gamma}$ distributions in pp collisions, which are reproduced in each panel for convenience. For all $p_T^\gamma$ intervals, the $x_{J\gamma}$ distributions in Pb + Pb collisions evolve smoothly with centrality. For peripheral collisions with centrality 50–80%, they are similar to those measured in pp collisions. However, in increasingly more central collisions, the distributions become progressively more modified. For the $p_T^\gamma < 100$ GeV inFig. 3. Photon–jet $p_T$-balance distributions $(1/N_p) dN/dx_{\gamma p}$ in $pp$ collisions, each panel showing a different photon-$p_T$ interval. The unfolded results are compared with the particle-level distributions from three Monte Carlo event generators. Bottom panels show the ratios of the generators to the $pp$ data. Total systematic uncertainties are shown as boxes, while statistical uncertainties are shown as vertical bars. Intervals shown in Figs. 4 and 5, the $x_{\gamma p}$ distributions in the most central 0–10% events are so strongly modified that they decrease monotonically over the measured $x_{\gamma p}$ range and no peak is observed. For the $p_T^\gamma > 100$ GeV region shown in Fig. 6, the $x_{\gamma p}$ distributions retain a peak at or near $x_{\gamma p} \approx 0.9$ even in the most central collisions. However, the magnitude of the peak is lower and significantly wider than the sharp peak in $pp$ events. In both cases, the jet yield at small $x_{\gamma p}$ is systematically higher than that in $pp$ collisions, by up to a factor of two. In less central events, a peak-like structure develops at the same position as the maximum in $pp$ events, near $x_{\gamma p} \approx 0.9$. For the lowest-$p_T^\gamma$ interval, this occurs only for 50–80% centrality events, while in the highest two $p_T^\gamma$ intervals the distribution in 0–10% events is consistent with a local peak. As another way of characterising how the modified $x_{\gamma p}$ distributions depend on centrality and $p_T^\gamma$, Fig. 8 presents their mean value, $\langle x_{\gamma p} \rangle$, and integral, $R^\gamma$, with both values calculated in the region $x_{\gamma p} > 0.5$. These quantities are shown as a function of the mean number of participating nucleons $N_{\text{part}}$ in the corresponding centrality selection, and are plotted for the first three $p_T^\gamma$ intervals where they have small statistical uncertainties. When measured in the region $x_{\gamma p} > 0.5$, the value of $\langle x_{\gamma p} \rangle$ in $pp$ collisions is observed to be $\approx 0.89$ for all $p_T^\gamma$ intervals. Simulation studies show that, at generator level, the jet yield at $x_{\gamma p} > 0.5$ corresponds to only the leading (highest-$p_T$) photon-correlated jet in each event. Thus, $\langle x_{\gamma p} \rangle$ can be interpreted as a conditional per-jet fractional energy loss, and $R^\gamma$ can be interpreted as the fraction of photons with a leading jet above $x_{\gamma p} = 0.5$. In $pp$ collisions, $R^\gamma$ ranges from 0.65 to 0.75 in the three $p_T^\gamma$ intervals shown, which is below unity due to the jet selection criteria ($\|\Delta \phi\| > 7\pi/8$, $\|\eta\| < 2.8$). In Pb + Pb events, $\langle x_{\gamma p} \rangle$ decreases monotonically from the value in $pp$ collisions as the collisions become more central. In the most central collisions, it is below the $pp$ value by 0.04–0.06, depending on the $p_T^\gamma$ interval, while in peripheral collisions it reaches a Fig. 4. Photon–jet $p_T$-balance distributions $(1/N_{\gamma})dN/dx_{j\gamma}$ in Pb + Pb events (red circles) with each panel showing a different centrality selection compared to that in pp events (blue squares). These panels show results for $p_T^j = 63.1$–79.6 GeV. Total systematic uncertainties are shown as boxes, while statistical uncertainties are shown as vertical bars. Fig. 5. Photon–jet $p_T$-balance distributions $(1/N_{\gamma})dN/dx_{j\gamma}$ in Pb + Pb events (red circles) with each panel showing a different centrality selection compared to that in pp events (blue squares). These panels show results for $p_T^j = 79.6$–100 GeV. Total systematic uncertainties are shown as boxes, while statistical uncertainties are shown as vertical bars. value which is statistically compatible with that in pp events. The $R_{\gamma\gamma}$ value also decreases monotonically as the collisions become more central, reflecting the overall shift of the $x_{j\gamma}$ value of leading jets below $x_{j\gamma} \approx 0.5$. At low $p_T^j$ in central Pb + Pb collisions, $R_{\gamma\gamma}$ reaches the value of 0.5, which is only $\approx 75\%$ of its value in pp collisions. The results are compared with the following theoretical predictions which include Monte Carlo generators and analytical calculations of jet energy loss: (1) a pQCD calculation which includes Sudakov resummation to describe the vacuum distributions and energy loss in Pb + Pb collisions as described in the BDWPS-Z formalism [26], (2) a perturbative calculation within the framework of soft–collinear effective field theory with Glauber gluons (SCET$_G$) in the soft gluon emission (energy-loss) limit [27], (3) the JEWEL Monte Carlo event generator which simulates QCD jet evolution in heavy-ion collisions and includes energy-loss effects from radiative and elastic scattering processes [28], and (4) the Hybrid Strong/Weak Coupling model [29] which combines initial production using Pythia with a parameterisation of energy loss derived from holographic methods, and includes back-reaction effects. Figs. 9 and 10 compare a selection of the measured $x_{j\gamma}$ distributions with the results of these theoretical predictions, where possible. Before testing the description of energy-loss effects in Pb + Pb events, the predicted $x_{j\gamma}$ distributions are compared with pp data in Fig. 9. The Hybrid model and JEWEL, which use Pythia for the photon–jet production in vacuum, give a good description of pp events over the measured $x_{j\gamma}$ range in both $p_T^j$ intervals shown. The BDWPS-Z and SCET$_G$ perturbative calculations capture the general features but predict distributions that are more and less peaked, respectively, than those in data. In Pb + Pb events with low $p_T^j$, shown in the left panel of Fig. 10, the JEWEL, Hybrid, and SCET$_G$ models successfully capture several key features of the $x_{J\gamma}$ distribution, including the absence of a visible peak, and the monotonically increasing behaviour with decreasing $x_{J\gamma}$. The BDMPS-Z model predicts a suppression of the yield near $x_{J\gamma} \approx 0.9$ relative to what is predicted in $pp$ events, consistent with the trend in data. However, it underestimates the yield at low $x_{J\gamma}$ in both $pp$ and Pb + Pb collisions. In the higher-$p_T^j$ interval, the Hybrid model and JEWEL successfully describe the reappearance of a localised peak near $x_{J\gamma} \approx 0.9$. However, none of the models considered here describe the increase of the jet yield at $x_{J\gamma} < 0.5$ above that observed in $pp$ events. Additional comparisons between these data and theoretical calculations which are differential in both $p_T^j$ and centrality will further constrain the description of the strongly coupled medium in these models. 8. Conclusion This Letter presents a study of photon–jet transverse momentum correlations for photons with $63.1 < p_T^\gamma < 200$ GeV in Pb + Pb collisions at $\sqrt{s_{NN}} = 5.02$ TeV and $pp$ collisions at $\sqrt{s} = 5.02$ TeV. The data were recorded with the ATLAS detector at the LHC and correspond to integrated luminosities of 0.49 nb$^{-1}$ and 25 pb$^{-1}$, respectively. The data are corrected for the presence of combinatoric photon–jet pairs and of dijet pairs where one of the jets is misidentified as a photon. The measured quantities in data are fully corrected for detector effects and reported at the particle level. Per-photon distributions of the jet-to-photon $p_T$ ratio, $x_{J\gamma} = p_T^{j,\text{lab}} / p_T^\gamma$, are measured for pairs with an azimuthally balanced configuration, $\Delta \phi > 7\pi/8$. In $pp$ events, the data are well reproduced by event generators or models that depend on them, but are... Fig. 8. Summary of (left) the mean jet-to-photon $p_T$ ratio $\langle x_{J/\gamma} \rangle$ and (right) the total per-photon jet yield $R'_{\gamma}$, calculated in the region $x_{J/\gamma} > 0.5$. The values are presented as a function of the mean number of participating nucleons $N_{\text{part}}$ in top panels. Each colour and symbol represents a different $p_T^J$ interval, where the lowest and highest intervals are displaced horizontally for clarity. The points plotted at $N_{\text{part}} = 2$ correspond to $pp$ collisions. The bottom panels show the difference between the Pb + Pb centrality selection and $pp$ collisions. Boxes show the total systematic uncertainty while the vertical bars represent statistical uncertainties. Fig. 9. Photon–jet $p_T$-balance distributions $(1/N_j)(dN/dx_{J/\gamma})$ in $pp$ collisions for (left) $p_T^J = 63.1–79.6$ GeV and (right) $p_T^J = 100–158$ GeV. The unfolded results are compared with the theoretical calculations shown as dashed coloured lines (see text). Total systematic uncertainties are shown as boxes, while statistical uncertainties are shown as vertical bars. Fig. 10. Photon–jet $p_T$-balance distributions $(1/N_j)(dN/dx_{J/\gamma})$ in 0–10% Pb + Pb collisions for (left) $p_T^J = 63.1–79.6$ GeV and (right) $p_T^J = 100–158$ GeV. The unfolded results are compared with the theoretical calculations shown as dashed coloured lines denoting central values or coloured bands which correspond to a range of theoretical parameters (see text). Total systematic uncertainties are shown as boxes, while statistical uncertainties are shown as vertical bars. not fully described in detail by approaches based on perturbative calculations. In Pb + Pb collisions, $X_{pT}$ distributions are observed to have a significantly modified total yield and shape compared with those in pp collisions. These modifications have a smooth onset as a function of Pb + Pb event centrality and $p_T^{\gamma}$. In peripheral collisions at high $p_T^{\gamma}$, the distributions in Pb + Pb are statistically compatible with those in pp. In the most central Pb + Pb events at low $p_T^{\gamma}$, the yield decreases monotonically with increasing $X_{pT}$ over the measured range, in strong contrast to the sharply peaked distributions in pp events. However, in less central events or in higher-$p_T^{\gamma}$ intervals, the $X_{pT}$ distributions retain a peak-like excess at an $X_{pT}$ value similar to that in pp collisions but with a smaller per-photon yield. This last observation suggests that the amount of energy lost by jets in single events has a broad distribution, with a small but significant population of jets retaining a pp-like jet correlation with the photon because they do not lose an appreciable amount of energy. These results are sensitive to how partons initially produced opposite to a high-$p_T$ photon lose energy in their interactions with the hot nuclear medium. Taken together with other measurements of single-jet and dijet production, the data provide new, complementary information about how energy loss in the strongly coupled medium varies with the initial parton flavour and $p_T$. Acknowledgements We thank CERN for the very successful operation of the LHC, as well as the support staff from our institutions without whom ATLAS could not be operated efficiently. We acknowledge the support of ANPCyT, Argentina; YenPh, Armenia; ARC, Australia; BMWFW and FWF, Austria; ANAS, Azerbaijan; SSTC, Belarus; CNPq and FAPESP, Brazil; NSERC, NRC and CFI, Canada; CERN; CONICYT, Chile; CAS, MOST and NSFC, China; COLCIENCIAS, Colombia; MSMT CR, MPO CR and VSC CR, Czech Republic; DNRF and DNSRC, Denmark; IN2P3-CNRS, CEA-DRF/IRFU, France; SRNSPG, Georgia; BMBF, HGF, and MPG, Germany; GSRT, Greece; RGC, Hong Kong SAR, China; ISF and Benoziyo Center, Israel; INFN, Italy; MEXT and JSPS, Japan; CNRST, Morocco; NWO, Netherlands; RCN, Norway; MES and RNP, Poland; FCT, Portugal; MINEIFA, Romania; MES of Russia and NRC KI, Russia; FEDER funds through FCT, MESTD, Serbia; MEC and JCCM, Spain; ARC and UWS, Slovenia; DST/NRF, South Africa; MINEDUC, Spain; SRC and Wallenberg Foundation, Sweden; SERI, SNSF and Cantons of Bern and Geneva, Switzerland; MOST, Taiwan; TAEK, Turkey; STFC, United Kingdom; DOE and NSF, United States of America. In addition, individual groups and members have received support from BCKDF, Canarie, CRC and Compute Canada, Canada; COST, ERC, ERDF, Horizon 2020, and Marie Skłodowska-Curie Actions, European Union; Investissements d’Avenir Labex and Idex, ANR, France; DFG and AvH Foundation, Germany; Herakleitos, Thales and Aristeia programmes co-financed by EU-ESF and the Greek NSRF, Greece; BSF-NIS and GIF, Israel; CERCA Programme Generalitat de Catalunya, Spain; The Royal Society and Leverhulme Trust, United Kingdom. The crucial computing support from all WLCG partners is acknowledged gratefully, in particular from CERN, the ATLAS Tier-1 facilities at TRIUMF (Canada), NDGF (Denmark, Norway, Sweden), CC-IN2P3 (France), KIT/GridKA (Germany), INFN-CNAF (Italy), NL-T1 (Netherlands), PIC (Spain), ASGC (Taiwan), RAL (UK) and BNL (USA), the Tier-2 facilities worldwide and large non-WLCG resource providers. Major contributors of computing resources are listed in Ref. [61]. References [1] X.-N. Wang, Z. 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Merola 67a, 67b, C. Meron 66a, F.S. Merritt 36, A. Messina 70a, 70b, J. Metcalfe 6, A.S. Mete 168, C. Meyer 133, J. Meyer 157, J-P. Meyer 142, H. Meyer Zu Theenhausen 59a, F. Miano 153, R.P. Middleton 141, L. Mijović 48, G. Mikenberg 177, M. Mikesitekova 137, M. Mikúz 89, M. Milesi 102, A. Milic 164, D.A. Millar 90, D.W. Miller 36, A. Milov 177, D.A. Milstead 13a, 43b, A.A. Minaenko 40, M. Miñano Moya 71, I.A. Minashvili 156b, A.I. Mincer 121, B. Mindur 81a, M. Mineev 77, Y. Mineiguchi 160, Y. Ming 78, L.M. Mir 14, A. Mirto 65a, 65b, K.P. Mistry 133, T. Mitani 176, J. Mitrevski 112, V.A. Mitsou 71, A. Miucci 20, P.S. Miyagawa 146, A. Mizukami 79, U.J. Mjörmark 94, T. Mkrtchyan 181, M. Mlynarikova 39, T. Moa 53a, 43b, K. Mochizuki 107, P. Mogg 20, S. Mohapatra 38, S. Molander 43a, 43b, R. Moles-Valls 24, M.C. Mondragon 104, K. Mönig 44, J. Monk 39, E. Monnier 99, A. Montalbano 149, J. Montejo Berlingen 35, F. Monticelli 86, S. Monzani 66a, N. Morange 128, D. Moreno 22, M. Moreno Liácer 35, P. Morettini 53b, M. Morgenstern 118, S. Morgenstern 46, D. Mori 149, M. Morii 37, M. Morinaga 176, V. Morisbak 130, A.K. Morley 35, G. Mornacchi 35, A.P. Morris 92, J.D. Morris 30, L. Morvaj 152, P. Moschovakos 10, M. Mosidze 156b, H.J. Moss 149, J. Moss 150,m, K. Motohashi 162, R. Mount 150, E. Mountirucha 25, E.W. Moyse 100, S. Muanza 99, F. Mueller 113, J. Mueller 137, R.S.P. Mueller 112, D. Muenstermann 87, G.A. Mullier 20, F.J. Munoz Sanchez 28, P. Murin 28b, W.J. Murray 175,141, A. Murrone 66a,66b, M. Muškinja 89, C. Mwewa 32a, A.G. Myagkov 140,ai, J. Myers 127, M. Myska 138, B.P. Nachman 18, O. Nackenhorst 45, K. Nagai 131, K. Nagano 9, Y. Nagasaka 60, M. Nagel 50, E. Nagy 99, A.M. Nairz 35, Y. Nakahama 115, K. Nakamura 79, T. Nakamura 160, I. Nakano 123, H. Nanjo 129, F. Napolitano 84a, R.F. Naranjo Garcia 44, R. Narayan 11, D.I. Narrias Villar 39a, I. Naryskyin 134, T. Naumann 44, G. Navarro 22, R. Nayyar 100, H.A. Neal 105, P.Y. Nechaeva 108, T.J. Neep 137, A. Negri 68a,68b, M. Negrini 23b, S. Nektarijevic 117, C. Nellis 51, M.E. Nelson 131, S. Nemecek 137, P. Nemethy 121, M. Nessi 35,e, M.S. Neubauer 170, M. Neumann 179, P.R. Newman 21, T.Y. Ng 91c, Y.S. Ng 9, H.D.N. Nguyen 99, T. Nguyen Manh 107, E. Nibigira 37, R.B. Nickerson 131, R. Nicolaidou 142, J. Nielsen 43, N. Nikiforou 11, V. Nikolaenko 140,ai, I. Nikolic-Audit 132, K. Nikolopoulos 21, P. Nilsson 29, Y. Ninomiya 79, A. Nisati 70a, N. Nishu 58c, R. Nisius 115, I. Nitsche 45, T. Nitta 176, T. Nobe 60, Y. Noguchi 83, M. Nomachi 129, I. Nomidis 132, M.A. Nomura 29, T. Nooney 90, M. Nordberg 35, N. Norijoaruddeen 131, T. Novak 89, O. Novgorodova 46, R. Novotny 138, L. Nozka 126, K. Ntekas 168, E. Nurse 32, F. Nutt 102, F.G. Oakham 33,ap, H. Oberlack 113, T. Obermann 24, J. Ocariz 132, A. Ochi 80, I. Ochoa 38, J.P. Ochoa-Ricoux 144a, K. O’Connor 26, S. Oda 85, S. Odaka 79, S. Oerder 51, A. Oh 98, S.H. Oh 47, C.C. Ohm 151, H. Oide 53b,53a, M.L. Ojeda 164, H. Okawa 166, Y. Okazaki 82, Y. Okumura 160, T. Okuyama 79, A. Olariu 27b, L.F. Oleiro Seabra 136a, S.A. Olivares Pino 144a, D. Oliveira Damazio 27, J.L. Oliver 1, M.J.R. Olsson 36, A. Olszewski 82, J. Olszowska 82, D.C. O’Neil 149, A. Onofre 136a,136e, K. Onogi 115, P.U.E. Onyisi 11, H. Oppen 130, M.J. Oreglia 36, Y. Oren 158, D. Orestano 72a,72b, E.C. Orgill 98, N. Orlando 51b, A.A. O’Rourke 44, R.S. Orr 164, B. Osculati 53b,53a,=, V. O’Shea 52, R. Ospanov 58e, G. Otero y Garzon 30, H. Otono 85, M. Ouchrif 34d, F. Ould-Saada 130, A. Ouraou 142, Q. Ouyang 154, M. Owen 55, R.E. Owen 21, V.E. Ozcan 12c, N. Ozturk 8, J. Pacalt 126, H.A. Pacey 31, K. Pachal 49, A. Pacheco Pages 14, L. Pacheco Rodriguez 142, C. Padilla Aranda 14, S. Pagan Griso 18, M. Paganini 180, G. Palacino 63, S. Palazzo 40b,40a, S. Palestini 35, M. Palka 81d, D. Pallin 37, I. Panagoulia 10, C.E. Pandini 35, J.G. Pando Vazquez 91, P. Pani 35, G. Panizzo 64a,64c, L. Paolozzi 52, T.D. Papadopoulou 10, K. Papageorgiou 91, A. Paramonov 6, D. Paredes Hernandez 61b, S.R. Paredes Saenz 131, B. Parida 58c, A.J. Parker 87, K.A. Parker 44, M.A. Parker 31, F. Parodi 53b,53a, J.A. Parsons 38, U. Parzefall 50, V.R. Pascuzzi 164, J.M.P. Pasner 143, E. Pasqualucci 70a, S. Passaggio 53b, F. Pastore 91, P. Pasuwan 43a,43b, S. Pataraia 97, J.R. Parker 36, A. Pathak 178,j, T. Pauly 35, B. Pearson 113, M. Pedersen 130, L. Pedraza Diaz 117, R. Pedró 136a,136b, S.V. Peleaganchuk 120b,120a, O. Perez 137, C. Peng 15d, H. Peng 88a, B.S. Peralta 8va, M.M. Perego 142, A.P. Pereira Peixoto 136a, D.V. Perelpeitia 29, F. Peri 19, L. Perini 66a,66b, H. Pernegger 35, S. Perrella 67a,67b, V.D. Peshekhonov 77,, K. Peters 44, R.F.Y. Peters 98, B.A. Petersen 35, T.C. Petersen 39, E. Petit 56, A. Petridis 1, C. Petridou 159, P. Petroff 128, M. Petrov 31, F. Petrucci 72a,72b, M. Pettte 180, N.E. Pettersson 100, A. Peyaud 142, R. Pezoa 148b, T. Pham 102, F.H. Phillips 104, P.W. Phillips 141, G. Piacquadio 152, E. Pianori 18, A. Picazio 100, M.A. Pickering 131, R.H. Pickles 98, R. Piegaia 30, J.E. Pilcher 30,d, A.D. Pilkington 98, M. Pinamonti 71a,71b, J.L. Pinfold 3, M. Pitt 177, M.-A. Pleier 29, V. Pleskot 139, E. Plotnikova 77, D. Pluth 76, P. Podberezko 120b,120a, R. Poettgen 94, R. Poggii 52, L. Poggioli 128, I. Pogrebnyak 104, D. Pohl 24, I. Pokharel 51, G. Poleseolo 68a, A. Poley 18, A. Polisciucchio 70b, R. Polifka 35, A. Polini 23b, C.S. Pollard 44, V. Polychronakos 29, D. Ponomarenko 110, L. Pontecorvo 70a, G.A. Popenciu 27d, D.M. Portillo Quintero 132, S. Pospisil 138, K. Potamianos 44, I.N. Potrap 7, C.J. Potter 31, H. Potti 17, T. Poulsen 34, J. Poveda 35, T.D. Powell 146, M.E. Pozo Astigarraga 35, P. Pralavorio 39, S. Prell 67, D. Price 38, M. Primavera 65a, S. Prince 101, N. Proklova 110, K. Prokofiev 91c, F. Prokoshin 144b, S. Protopopescu 29, J. Proudfoot 6, M. Prybycien 81a, A. Puri 170, P. Puzo 128, J. Qian 103, Y. Qin 98, A. Quadri 31, M. Queitsch-Maitland 44, A. Qureshi 1, P. Rados 102, F. Ragusa 66a,66b, G. Rahal 95, J.A. Raine 52, S. Rajagopalan 29, A. Ramirez Morales 90, T. Rashid 128, S. Raspopov 5, M.G. Ratti 66a,66b, D.M. Rauch 44, F. Rauscher 112, S. Rave 37, B. Ravina 146, I. Ravinovich 177, J.H. Rawling 98, M. Raymond 35, A.L. Read 130, N.P. Readoff 36, M. Reale 65a,65b, D.M. Rebuzzi 68a,68b, A. Redelbach 174, G. Redlinger 29, R. Reece 143, R.G. Reed 32c, K. Reeves 42, L. Rehnisch 19, J. Reichert 133, A. Reiss 97, C. Rembser 35, H. Ren 15d, M. Rescigno 70a, S. Resconi 86a, E.D. Ressegue 133, S. Rettie 172, E. Reynolds 21, O.L. Rezanova 120b,120a, P. Reznicek 139, E. Ricci 73a,73b, R. Richter 143, S. Richter 143, E. Richter-Was 81b, O. Ricken 24, M. Ridel 132, P. Rieck 113, C.J. Riegel 179, O. Rifki 44, M. Rijsenbeek 52, A. Rimoldi 68a,68b, M. Rimoldi 20, L. Rinaldi 23b, G. Ripellino 151, B. Ristic 87, E. Ritsch 35, I. Riu 47, J.C. Rivera Vergara 44a, F. Rizatdinova 125, E. Rizvi 90, C. Rizza 97, R.T. Roberts 98, S.H. Robertson 101,ab, D. Robinson 31, J.E.M. Robinson 44, A. Robson 55, E. Rocca 87, C. Roda 69a,69b, Y. Rodina 99, S. Rodriguez Bosca 171, A. Rodriguez Perez 4, D. Rodriguez Rodriguez 171, A.M. Rodriguez Vera 185b, S. Roe 35, C.S. Rogan 57, O. Rohne 130, R. Röhrig 113, C.P.A. Roland 63, J. Roloff 57, A. Romaniouk 110, M. Romano 23b,23a, N. Rompotsis 88, M. Ronzani 1, L. Roos 132, S. Rosati 70a, K. Rosbach 30, P. Rose 43, N.-A. Rosien 91, E. Rossi 44, E. Rossi 37a,67b, L.P. Rossi 52b, L. Rossini 66a,66b, J.H.N. Rosten 21, R. Rosten 14, M. Rotaru 27b, J. Rothberg 145, D. Rousseau 128, D. Roy 32c, A. Rozanov 29, Y. Rozen 157, X. Ruan 32c, F. Rubbo 150, A. Ruiz-Martinez 171, Z. Rurikova 50, N.A. Rusakovich 77, H.L. Russell 101, J.P. Rutherfoord 7, E.M. Rüttinger 44,f, Y.F. Ryabov 134, M. Rybar 170, G. Rybkin 128, S. Ryu 6, A. Ryzhov 140, G.F. Rzebhorz 51, P. Sabatin 51, G. Sabato 118, S. Sacerdoti 128, H.F-W. Sadrozinski 143, R. Sadykov 77, F. Safai Tehrani 70a, P. Saha 119, M. Sahinsoy 89a, A. Sahu 179, M. Saimpert 34, M. Saito 160, T. Saito 160, H. Sakamoto 186, A. Sakharov 121,ab, D. Salamani 52, G. Salamanna 72a,72b, J.E. Salazar Loyola 144b, D. Salek 118, P.H. Sales De Bruin 169, D. Salihagic 112, A. Salnikov 150, J. Salt 171, D. Salvatore 40b,40a, F. Salvatore 152, A. Salvucci 61a,61b,61c, A. Salzburger 55, J. Samarati 35, D. Sammel 50, D. Sampsonidis 159, D. Sampsonidou 159, J. Sánchez 171, A. Sanchez Pineda 64a,64c, H. Sandaker 130, C.O. Sander 44, M. Sandhoff 179, C. Sandoval 22, D.P.C. Sankey 141, M. Sannino 53b,53a, Y. Sano 115, A. Sansoni 49, C. Santoni 37, H. Santos 136a, I. Santoyo Castillo 152, A. Santra 171, A. Sapronov 77, J.G. Saraiva 136a,136b, O. Sasaki 79, K. Sato 166, E. Sauvan 3, P. Savard 164,ap, N. Savic 113, R. Sawada 160, C. Sawyer 141, L. Sawyer 93,86, C. Sbarra 23b,23a, A. Sbrizzi 23b,23a, T. Scanlon 92, J. Schaarschmidt 145, P. Schacht 113, B.M. Schachter 112, D. Schaefer 136, L. Schaefer 133, J. Schaeffer 97, S. Schaepe 35, U. Schäfer 97, A.C. Schaffer 128, D. Schalle 112, R.D. Schamberger 152, N. Scharring 98, V.A. Schegelsky 134, D. Scheirich 139, F. Schenck 19, M. Schernau 168, C. Schiavi 53b,53a, S. Schlier 143, L.K. Schilgen 24, Z.M. Schillaci 26, E.J. Schioppa 35, M. Schioppa 40b,40a, K.E. Schleicher 50, S. Schlenker 35, K.R. Schmidt-Sommerfeld 113, K. Schmieden 45, C. Schmitt 97, S. Schmitt 44, S. Schmitz 97, J.C. Schmoelck 44, U. Schnoor 50, L. Schoeffel 142, A. Schoening 59b, E. Schopf 24, M. Schott 97, J.F.P. Schouwenburg 117, J. Schovancova 35, S. Schramm 52, A. Schulte 97, H-C. Schultz-Coulon 59a, M. Schumacher 50, B.A. Schumm 143, Ph. Schune 142, A. Schwartzman 150, T.A. Schwarz 103, H. Schweiger 98, Ph. Schwemling 142, R. Schwienhorst 104, A. Scandura 24, G. Sciolla 36, M. Scornajenghi 40b,40a, F. Scuri 69a, F. Scutti 102, L.M. Scyboz 113, J. Searcy 103, C.D. Sebastiani 70a,70b, P. Seema 24, S.C. Seidel 116, A. Seiden 143, T. Seiss 36, J.M. Seixas 78b, G. Sekhniaidze 174, K. Sekhon 103, S.J. Sekula 41, N. Semprini-Cesari 23b,23a, S. Sen 47, S. Senkin 37, C. Serfon 130, L. Serin 128, L. Serkin 64a,64b, M. Sessa 72a,72b, H. Severini 124, F. Sforza 167, A. Sfyrla 52, E. Shabalina 51, J.D. Shahinian 43, N.W. Shaikh 43a,43b, L.Y. Shan 15a, R. Shang 170, J.T. Shank 25, M. Shapiro 18, A.S. Sharma 1, A. Sharma 131, P.B. Shatalov 109, K. Shaw 133, S.M. Shaw 98, A. Shcherbakova 134, Y. Shen 124, N. Sherafati 33, A.D. Sherman 25, P. Sherwood 92, L. Shi 155,ab, S. Shimizu 79, C.O. Shimmin 180, M. Shimojima 114, I.P.J. Shipsey 131, S. Shirabe 85, M. Shiyakova 77, J. Shlomi 177, A. Shimeleva 108, D. Shoaleh Saadi 107, M.J. Shochet 36, S. Shojaii 102, D.R. Shope 124, S. Shrestha 122, E. Shulga 110, P. Sicho 137, A.M. Sickles 170, P.E. Sidebo 151, E. Sideras Haddad 32c, O. Sidiropoulou 35, A. Sidoti 23b,23a, F. Siegert 46, Dj. Sijacki 16, J. Silva 136a, M. Silva Jr. 178, M.V. Silva Oliveira 78a, S.B. Silverstein 43a, L. Simic 77, S. Simion 128, E. Simioni 97, M. Simon 97, R. Simonello 37, P. Sinervo 164, N.B. Sinev 127, M. Sioli 23b,23a, G. Siragusa 174, I. Siral 103, S.Yu. Sivoklokov 111, J. Sjolin 43a,43b, P. Skubic 124, M. Slater 21, T. Slavicek 138, M. Slawinska 82, K. Sliva 167, R. Slovak 139, V. Smakhtin 177, B.H. Smart 5, J. Smiesko 28a, N. Smirnov 110, S.Yu. Smirnov 110, Y. Smirnov 110, L.N. Smirnova 111, O. Smirnova 94, J.W. Smith 31, M.N.K. Smith 38, M. Smizanska 87, K. Smolek 138, A. Smykiewicz 82, A.A. Snesarev 108, I.M. Snyder 127, S. Snyder 29, R. Sobie 173,ab, A.M. Soffa 168, A. Soffer 158, A. Sogaard 48b, D.A. Soh 155, G. Sokhramny 89, C.A. Solans Sanchez 35, M. Solar 38, E.Yu. Soldatov 110, U. Soldevila 171, A.A. Solodkov 140, A. Soloshenko 77, O.V. Solovyarov 140, V. Solovyev 134, P. Sommer 146, H. Son 167, W. Song 141, W.Y. Song 165b, A. Sopczak 138, F. Sopkova 28b, D. Sosa 59b, C.L. Sotiriopoulou 69a,69b, S. Sottocornola 68a,68b, R. Soualah 64a,64c,h, A.M. Soukharev 120b,120a, D. South 44, B.C. Sowden 91, S. Spagnolo 65a,65b, M. Spalla 113, M. Spangenberg 175, F. Spanò 91, D. Sperlich 19, F. Spettel 113, T.M. Spieker 59a, R. Spighi 23b, G. Spigo 35, L.A. Spiller 102, D.P. Spiteri 55, M. Spousta 13c, A. Stabile 66a,66b, R. Stamen 59a, S. Stamm 19, E. Stanecka 82, R.W. Stanek 6, C. Stanescu 72a, B. Stanislaus 131, M.M. Stanitzki 44, B.S. Stapf 111, S. Stappnes 130, E.A. Starchenko 140, G.H. Stark 36, J. Stark 56, S.H. Stark 39, P. Staroba 137, P. Starovoitov 59a, S. Stärz 35, R. Staszewski 82, M. Stegler 44, P. Steinberg 25, B. Stelzer 142, H.J. Stelzer 35, O. Stelzer-Chilton 165a, H. Stenzel 54, T.J. Stevenson 90, G.A. Stewart 55, M.C. Stockton 127, G. Stoica 27b, P. Stolte 51, S. Stonjek 113, A. Straessner 46, J. Strandberg 151, S. Strandberg 43a,43b, M. Strauss 124, P. Strizenec 28b, R. Ströhmer 174, D.M. Strom 127, R. Stroynowski 41, A. Strubig 28, S.A. Stucci 29, B. Stugu 17, J. Stupak 124, N.A. Styles 44, D. Su 150, J. Su, S. Suchek 59a, Y. Sugaya 129, M. Suk 138, V.V. Sulin 108, D.M.S. Sultan 32, S. Sultanosy 4c, T. Sumida 83, S. Sun 102, X. Sun 74, K. Suruliz 153, C.J.E. Suster 154, M.R. Sutton 153, S. Suzuki 79, M. Svatos 137, M. Swiatlowski 36, S.P. Swift 4, A. Sydorenko 97, I. Sykora 28a, T. Sykora 139, D. Ta 97, K. Tackmann 44, J. Taenzer 158, A. Taffard 168, R. Tafirout 165a, E. Tahirotic 90, N. Taiblum 158, H. Takai 29, R. Takashima 84, E.H. Takasugi 113, K. Takeda 80, T. Takeshita 147, Y. Takubo 79, M. Talby 99, A.A. Talyshev 120b,120a, J. Tanaka 160, M. Tanaka 162, R. Tanaka 128, B.B. Tannenwald 122, S. Tapia Araya 144b, S. Tapprogge 97, A. Tarek Abouelfadel Mohamed 132, S. Tarem 157, G. Tarna 27b,d, G.F. Tartarelli 166a, P. Tas 159, M. Tasevsky 137, T. Tashiro 83, E. Tassi 40b,40a, A. Tavares Delgado 36a,136b, Y. Tayalati 34e, A.C. Taylor 116, A.J. Taylor 48, G.N. Taylor 102, P.T.E. Taylor 102, W. Taylor 165d, A.S. Tee 87, P. Teixeira-Dias 91, H. Ten Kate 35, P.K. Teng 155, J.J. Teoh 118, F. Tepel 179, S. Terada 79, K. Terashi 160, J. Terron 96, S. Terzo 14, M. Testa 49, R.J. Teuscher 64,ab, S.J. Thais 180, T. Theveneaux-Pelzer 44, F. Thiele 39, D.W. Thomas 91, J.P. Thomas 21, A.S. Thompson 55, P.D. Thompson 21, L.A. Thomson 180, E. Thomson 133, Y. Tian 38, R.E. Ticse Torres 51, V.O. Tikhomirov 108,a, Yu.A. Tikhonov 120b,120a, S. Timoshenko 110, P. Tipton 180, S. Tisserant 39, K. Todome 162, S. Todorova-Nova 7, S. Todt 46, J. Tojo 85, S. Tokár 28a, K. Tokushuku 79, E. Tolley 122, K.G. Tomiwa 126, M. Tomoto 15, L. Tompkins 150, K. Toms 116, B. Tong 57, P. Tornambe 50, E. Torrence 127, H. Torres 46, E. Torró Pastor 145, C. Tosciari 131, J. Toth 99,aa, F. Touchard 99, D.R. Tovey 146, C.J. Treado 121, T. Trefzger 174, F. Tresoldi 153, A. Tricoli 29, I.M. Trigger 165a, S. Trimac-Duvaid 132, M.F. Tripiana 14, W. Trischuk 164, B. Trocmé 56, A. Trofymov 128, C. Troncon 66a, M. Trovatelli 173, F. Trovato 153, L. Truong 32b, M. Trezbinski 82, A. Trzupek 82, F. Tsai 44, J.-C.L. Tseng 131, P.V. Tsiaraschi 105, A. Tsirigotis 159, N. Tsirintanis 9, V. Tsikaridze 152, E.G. Tskhadadze 156a, Il. Tsukerman 109, V. Tsulaia 8, S. Tsuno 79, D. Tsybychev 152,163, Y. Tu 61b, A. Tudorache 27b, V. Tudorache 27b, T.T. Tulbrue 27a, A.N. Tuna 57, S. Turchikhin 77, D. Turgeman 177, I. Turk Cakir 48, R. Turra 66a, PM. Tuts 38, E. Tzovara 37, G. Uccielli 23b,23a, I. Ueda 79, M. Ughetto 43a,43b, F. Ukegawa 166, G. Unal 35, A. Undrus 49, G. Unel 168, F.C. Ungaro 102, Y. Unno 79, K. Uno 160, J. Urban 28b, P. Urquijo 102, P. Urrejola 97, G. Usai 79, J. Usui 79, L. Vacavant 99, V. Vacek 138, B. Vachon 101, K.O.H. Vadla 130, A. Vaidya 92, C. Valderanis 112, E. Valdes Santurio 43a,43b, M. Valente 52, S. Valentinetti 23b,23a, A. Valero 171, L. Valery 44, R.A. Vallance 21, A. Vallier 5, J.A. Valls Ferrer 171, T.R. Van Daalen 14, H. Van der Graaf 118, P. Van Gemmeren 6, J. Van Nieuwkoop 149, I. Van Vulpen 118, M. Vandaia 71a,71b, W. Vandelli 35, A. Vaniachine 163, P. Vankov 118, R. Vari 70a, E.W. Varnes 7, C. Varni 23b,53a, T. Varol 41, D. Varouchas 128, K.E. Varvell 154, G.A. Vasquez 144b, J.G. Vasquez 180, F. Vazeille 32, D. Vazquez Furelos 14, T. Vazquez Schroeder 101, J. Veatch 51, V. Vecchio 72a,72b, L.M. Veloce 164, F. Veloso 136a,136b, S. Veneziano 70a, A. Ventura 35a,65b, M. Venturi 173, N. Venturi 35, V. Vercesi 88a, M. Verducci 72a,72b, CM. Vergel Infante 76, C. Vergis 24, W. Verkerke 118, A.T. Vermeulen 118, J.C. Vermeulen 118, M.C. Vetterli 49,aa, V. Vieux Maira 144b, M. Vicente Barreto Pinto 52, I. Vichou 70,* T. Vickey 146, O.E. Vickey Boeriu 146, G.H.A. Viehhauser 131, S. Viel 18, L. Vigani 131, M. Villa 23b,23a, M. Villaplana Perez 66a,66b, E. Vitulucci 49, M.G. Vincter 23, V.B. Vinogradov 17, A. Vishwakarma 44, C. Vittori 23b,23a, I. Vivarelli 153, S. Vlachos 10, M. Vogel 179, P. Vokac 138, G. Volpi 44, S.E. Von Buddenbrock 32c, E. Von Toerne 24, V. Vorobel 139, K. Vorobev 110, M. Vos 171, J.H. Vossebeld 88, N. Vranjes 16, M. Vranjes Milosavljevic 16, V. Vrba 138, M. Vreeswijk 118, T. Šfiligoj 89, R. Vuillermet 35, I. Vukotic 36, T. Ženiš 88a, L. Živković 16, P. Wagner 24, W. Wagner 179, J. Wagner-Kuhr 112, H. Wahlberg 86, S. Wahrmund 46, K. Wakamiya 80, V.M. Walbrecht 113, J. Walder 87, R. Walker 112, S.D. Walker 51, W. Walkowiak 148, V. Wallangen 43a,43b, A.M. Wang 37, C. Wang 35b,d, F. Wang 77b, H. Wang 18, H. Wang 3, J. Wang 54, J. Wang 59b, P. Wang 41, Q. Wang 124, R.-J. Wang 132, R. Wang 58a, R. Wang 6, S.M. Wang 155, W.T. Wang 58a, W. Wang 15b,ac, W.X. Wang 58a,dc, Y. Wang 58a, Z. Wang 58c, C. Wanotayaroj 44, A. Warburton 101, C.P. Ward 31, D.R. Wardrope 92, A. Washbrook 48, P.M. Watkins 21, A.T. Watson 21, M.F. Watson 21, G. Watts 145, S. Watts 98, B.M. Waugh 92, A.F. Webb 11, S. Webb 57, C. Weber 180, M.S. Weber 20, S.A. Weber 33, S.M. Weber 59a, A.R. Weidberg 13, B. Weinert 63, J. Weingarten 51, M. Weirich 57, C. Weiser 35, P.S. Wells 35, T. Wenaus 29, T. Wengerl 35, S. Wenig 25, N. Wermes 24, M.D. Werner 76, P. Werner 35, M. Wessels 59a, T.D. Weston 20, K. Whalen 127, N.L. Whallon 145, A.M. Wharton 85, A.S. White 103, A. White 8, M.J. White 1, R. White 144b, D. Whiteson 168, B.W. Whitmore 87, F.J. Wickens 141, W. Wiedenmann 178, M. Wieler 141, C. Wiglesworth 39, L.A.M. Wilk-Fuchs 50, A. Wildauer 113, F. Wilk 98, H.G. Wilkens 35, L.J. Wilkins 91, H.H. Williams 133, S. Williams 31, C. Willis 104, S. Willocq 100, J.A. Wilson 21, I. Wingerter-Seez 5, E. Winkels 153, F. Winklmeier 127, O.J. Winston 153, B.T. Winter 24, M. Wittgen 150, M. Wobisch 93, A. Wolf 97, T.M.H. Wolf 118, R. Wolff 99, M.W. Wolter 82, H. Wolters 136a, 136c, V.W.S. Wong 172, N.L. Woods 143, S.D. Worm 21, B.K. Wosiek 32, K.W. Woźniak 82, K. Wright 55, M. Wu 76, S.L. Wu 78, X. Wu 52, Y. Wu 58a, T.R. Wyatt 88, B.M. Wynne 48, S. Xella 39, Z. Xi 103, L. Xia 175, D. Xu 15a, H. Xu 38a, L. Xu 29, T. Xu 142, W. Xu 103, B. Yabsley 154, S. Yacoob 32a, K. Yajima 129, D. Yamaguchi 92, D. Yamaguchi 162, Y. Yamaguchi 162, A. Yamamoto 79, T. Yamanaka 160, F. Yamane 50, M. Yamatani 160, T. Yamazaki 160, Y. Yamazaki 30, Z. Yan 25, H.J. Yang 58c, 58d, H.T. Yang 8, S. Yang 2, Y. Yang 160, Z. Yang 17, W.-M. Yao 18, Y.C. Yap 74, Y. Yasu 79, E. Yatsenko 58c, 58d, J. Ye 41, S. Ye 29, I. Yeletskikh 77, E. Yigitbasi 25, E. Yildirim 97, K. Yorita 176, K. Yoshihara 133, C.J.S. Young 15, C. Young 150, J. Yu 8, J. Yu 76, X. Yue 59a, S.P.Y. Yuen 24, B. Zabinski 82, G. Zacharis 10, E. Zaffaroni 14, R. Zaidan 14, A.M. Zaitsu 140, a1, T. Zakareishvili 156b, N. Zakharchuk 44, J. Zalieckas 17, S. Zambito 57, D. Zanzi 25, D.R. Zaripovs 55, S.V. Zeišner 45, C. Zeitnitz 179, G. Zemaityte 131, J.C. Zeng 170, Q. Zeng 150, O. Zenin 140, D. Zerwas 128, M. Zgubić 131, D.F. Zhang 58b, D. Zhang 103, F. Zhang 78, G. Zhang 58a, H. Zhang 15b, J. Zhang 6, L. Zhang 58a, M. Zhang 170, P. Zhang 15b, R. Zhang 58a, R. Zhang 24, X. Zhang 58b, Y. Zhang 15d, Z. Zhang 128, X. Zhao 41, Y. Zhao 58b, 128, a1, Z. Zhao 58a, A. Zhemchugov 77, B. Zhou 103, C. Zhou 178, L. Zhou 41, M.S. Zhou 15d, M. Zhou 152, N. Zhou 58c, Y. Zhou 7, C.G. Zhu 58b, H.L. Zhu 58a, H. Zhu 15a, J. Zhu 103, Y. Zhu 58a, X. Zhuang 15a, K. Zhukov 108, V. Zhulanov 120b, 120a, A. Zibell 174, D. Ziemiński 63, N.I. Zimine 77, S. Zimmermann 50, Z. Zinonos 113, M. Zinser 97, M. Ziolkowski 148, G. Zobernig 178, A. Zoccoli 23b, 23a, K. Zoch 31, T.G. Zorbas 146, R. Zou 36, M. Zur Nedden 19, L. Zwalinski 35 1 Department of Physics, University of Adelaide, Adelaide, Australia 2 Physics Department, SUNY Albany, Albany, NY, United States of America 3 Department of Physics, University of Alberta, Edmonton, AB, Canada 4 a) Department of Physics, Ankara University, Ankara; b) Istanbul Aydin University, Istanbul; c) Division of Physics, TOBB University of Economics and Technology, Ankara, Turkey 5 LAPP Université Grenoble Alpes, Université Savoie Mont Blanc, CNRS/IN2P3, Annecy, France 6 High Energy Physics Division, Lawrence Livermore National Laboratory, Livermore, IL, United States of America 7 Department of Physics, University of Arizona, Tucson, AZ, United States of America 8 Department of Physics, University of Texas at Arlington, Arlington, TX, United States of America 9 Physics Department, National and Kapodistrian University of Athens, Athens, Greece 10 Physics Department, National Technical University of Athens, Athens, Greece 11 Department of Physics, University of Texas at Austin, Austin, TX, United States of America 12 Bahcesehir University, Faculty of Engineering and Natural Sciences, Istanbul; 13) Istanbul Bilgi University, Faculty of Engineering and Natural Sciences, Istanbul; 14) Department of Physics, Bogazici University, Istanbul; 15) Department of Physics Engineering, Gaziantep University, Gaziantep, Turkey 16 Institute of Nuclear Research and Nuclear Energy, Bulgarian Academy of Sciences, Sofia, Bulgaria 17 Institut de Física d'Altes Energies (IFAE), Barcelona Institute of Science and Technology, Barcelona, Spain 18 Institute of High Energy Physics, Chinese Academy of Sciences, Beijing; 19) Department of Physics, Nanjing University, Nanjing; 20) Physics Department, Tsinghua University, Beijing; 21) University of Chinese Academy of Science (UCAS), Beijing, China 22 Institute of Physics, University of Belgrade, Belgrade, Serbia 23 Department of Physics, University of Bergen, Bergen, Norway 24 Physics Division, Lawrence Berkeley National Laboratory and University of California, Berkeley, CA, United States of America 25 Institut für Physik, Humboldt Universität zu Berlin, Berlin, Germany 26 Albert Einstein Center for Fundamental Physics and Laboratory for High Energy Physics, University of Bern, Bern, Switzerland 27 School of Physics and Astronomy, University of Birmingham, Birmingham, United Kingdom 28 Cavendish Laboratory, University of Cambridge, Cambridge, United Kingdom 29 Dipartimento di Fisica e Astronomia, Università di Bologna, Bologna; 30) INFN Sezione di Bologna, Italy 31 Physikalisches Institut, Universität Bonn, Bonn, Germany 32 Department of Physics, Boston University, Boston, MA, United States of America 33 Department of Physics, Brigham University, Wahsington, MA, United States of America 34 Transilvania University of Brasov, Brasov; 35) Horia Hulubei National Institute of Physics and Nuclear Engineering, Bucharest; 36) Department of Physics, Alexandru Ioan Cuza University of Iasi, Iasi; 37) National Institute for Research and Development of Isotopic and Molecular Technologies, Physics Department, Cluj-Napoca; 38) University Politehnica Bucharest, Bucharest; 39) West University in Timisoara, Timisoara, Romania 40 a) Faculty of Physics, Physics and Informatics, Comenius University, Bratislava; b) Department of Subnuclear Physics, Institute of Experimental Physics of the Slovak Academy of Sciences, Kosice, Slovak Republic 41 Physics Department, Brookhaven National Laboratory, Upton, NY, United States of America 42 Departamento de Física, Universidad de Buenos Aires, Buenos Aires, Argentina 43 Cavendish Laboratory, University of Cambridge, Cambridge, United Kingdom 32. (a) Department of Physics, University of Cape Town, Cape Town; (b) Department of Mechanical Engineering Science, University of Johannesburg, Johannesburg; (c) School of Physics, University of the Witwatersrand, Johannesburg, South Africa 33. Department of Physics, Carleton University, Ottawa, ON, Canada 34. (a) Faculté des Sciences Ain Chock, Réseau Universitaire de Physique des Hautes Énergies – Université Hassan II, Casablanca; (b) Centre National de l’Energie des Sciences Techniques Nucléaires (CNESTEN), Rabat; (c) Faculté des Sciences Semlalia, Université Cadi Ayyad, LPHEA, Marrakech; (d) Faculté des Sciences, Université Mohamed Premier et LPTPM, Oujda; (e) Faculté des sciences, Université Mohammed V, Rabat, Morocco 35. CERN, Geneva, Switzerland 36. Fermilab, Batavia, Illinois, University of Chicago, Chicago, IL, United States of America 37. LPC, Université Clermont Auvergne, CNRS/IN2P3, Clermont-Ferrand, France 38. Nevis Laboratory, Columbia University, Irvington, NY, United States of America 39. Niels Bohr Institute, University of Copenhagen, Copenhagen, Denmark 40. (a) Dipartimento di Fisica, Università della Calabria, Cosenza; (b) INFN Gruppo Collegato di Cosenza, Laboratori Nazionali di Frascati, Italy 41. Physics Department, Southern Methodist University Dallas, TX, United States of America 42. Physics Department, University of Texas at Dallas, Richardson, TX, United States of America 43. (a) Department of Physics, Stockholm University; (b) Oskar Klein Centre, Stockholm, Sweden 44. Deutsches Elektronen-Synchrotron DESY, Hamburg and Zeuthen, Germany 45. Institut für Experimentelle Physik, Technische Universität Dortmund, Dortmund, Germany 46. Institut für Kern- und Teilchenphysik, Technische Universität Dresden, Dresden, Germany 47. Department of Physics, Duke University, Durham, NC, United States of America 48. SUPA – School of Physics and Astronomy, University of Edinburgh, Edinburgh, United Kingdom 49. INFN Sezione di Ferrara, Università di Ferrara, Ferrara, Italy 50. Physikalisches Institut Albert-Ludwigs-Universität Freiburg, Freiburg, Germany 51. II. Physikalisches Institut, Georg-August-Universität Göttingen, Göttingen, Germany 52. Département de Physique Nucléaire et Corposulaire, Université de Genève, Genève, Switzerland 53. (a) Dipartimento di Fisica e Astronomia of Genova, Genova; (b) INFN Sezione di Genova, Italy 54. Physikalisches Institut, Justus-Liebig-Universität Giessen, Giessen, Germany 55. SUPA – School of Physics and Astronomy, University of Glasgow, Glasgow, United Kingdom 56. LPC, Université Grenoble Alpes, CNRS/IN2P3, Grenoble INP, Grenoble, France 57. Laboratory for Particle Physics and Cosmology, Harvard University, Cambridge, MA, United States of America 58. (a) Department of Modern Physics and State Key Laboratory of Particle Detection and Electronics, University of Science and Technology of China, Hefei, China; (b) Institute of Frontier and Interdisciplinary Science and Key Laboratory of Particle Physics and Particle Irradiation (MOE), Shandong University, Qingdao; (c) School of Physics and Astronomy, Shanghai Jiao Tong University, KLPMP–MoE, SKLPPC, Shanghai; (d) Tsung-Dao Lee Institute, Shanghai, China 59. (a) Kirchhoff-Institut für Physik, Ruprecht-Karls-Universität Heidelberg, Heidelberg; (b) Physikalisches Institut, Ruprecht-Karls-Universität Heidelberg, Heidelberg, Germany 60. (a) Faculty of Applied Sciences, Saitama University, Hidiroshima, Japan 61. Department of Physics, Chinese University of Hong Kong, CUHK, H.K., China; (a) Department of Physics, University of Hong Kong, Hong Kong; (c) Department of Physics and Institute for Advanced Study, Hong Kong University of Science and Technology, Clear Water Bay, Kowloon, Hong Kong, China 62. Department of Physics, National Tsing Hua University, Hsinchu, Taiwan 63. Department of Physics, Indiana University, Bloomington, IN, United States of America 64. INFN Sezione di Catania, Istituto Nazionale di Fisica Nucleare, Catania; ICTP Trieste; (i) Dipartimento di Chimica, Fisica e Ambiente, Università di Udine, Udine, Italy 65. (a) INFN Sezione di Lecce; (b) Dipartimento di Matematica e Fisica, Università del Salento, Lecce, Italy 66. (a) INFN Sezione di Milano; (b) Dipartimento di Fisica, Università di Milano, Italy 67. (a) INFN Sezione di Napoli; (b) Dipartimento di Fisica, Università di Napoli, Naples, Italy 68. (a) INFN Sezione di Pavia; (b) Dipartimento di Fisica, Università di Pavia, Pavia, Italy 69. (a) INFN Sezione di Perugia; (b) Dipartimento di Fisica, Università di Perugia, Perugia, Italy 70. (a) INFN Sezione di Roma; (b) Dipartimento di Fisica, Sapienza Università di Roma, Rome, Italy 71. (a) INFN Sezione di Roma Tor Vergata; (b) Dipartimento di Fisica, Università di Roma Tor Vergata, Roma, Italy 72. (a) INFN Sezione di Roma Tre; (b) Dipartimento di Matematica e Fisica, Università Roma Tre, Roma, Italy 73. INFN Sezione di Trento, Istituto degli Studi di Trento, Trento, Italy 74. Institut für Astro- und Teilchenphysik, Leopold-Franzens-Universität, Innsbruck, Austria 75. University of Iowa, Iowa City, IA, United States of America 76. Department of Physics and Astronomy, Iowa State University, Ames, IA, United States of America 77. Paul Institute for Fundamental Research, India 78. Departamento de Engenharia Elétrica, Universidade Federal de Juiz de Fora (UFJF), Juiz de Fora; (b) Universidade Federal do Rio De Janeiro COPPE/EE/IF, Rio de Janeiro; (c) Universidade Federal de São João del Rei (UFSJ), São João del Rei; (d) Instituto de Física, Universidade de São Paulo, São Paulo, Brazil 79. KEK, High Energy Accelerator Research Organization, Tsukuba, Japan 80. Graduate School of Science, Kobe University, Kobe, Japan 81. (a) AGH University of Science and Technology, Faculty of Physics and Applied Computer Science, Krakow; (b) Marian Smoluchowski Institute of Physics, Jagiellonian University, Krakow, Poland 82. Institute of Nuclear Physics Polish Academy of Sciences, Krakow, Poland 83. Faculty of Science, Kyoto University, Kyoto, Japan 84. Kyushu University of Education, Kyushu, Japan 85. Research Center for Advanced Particle Physics and Department of Physics, Kyushu University, Fukuoka, Japan 86. Instituto de Física La Plata, Universidad Nacional de La Plata and CONICET, La Plata, Argentina 87. Physics Department, Lancaster University, Lancaster, United Kingdom 88. Oliver Lodge Laboratory, University of Liverpool, Liverpool, United Kingdom 89. Department of Experimental Physics, Johannes Gutenberg-University Mainz and Department of Physics, University of Ljubljana, Ljubljana, Slovenia 90. School of Physics and Astronomy, Queen Mary University of London, London, United Kingdom 91. Department of Physics, Royal Holloway University of London, Egham, United Kingdom 92. Department of Physics and Astronomy, University College London, London, United Kingdom 93. Pennsylvania State University, Ruston, LA, United States of America 94. Fizikální fakulta Univerzity Karlovy, Praha, Czech Republic 95. Centre de Calcul du Institut National de Physique Nucléaire et de Physique des Particules (IN2P3), Villeurbanne, France 96. Departamento de Física Teórica 15 and CIFF, Universidad Autónoma de Madrid, Madrid, Spain 97. Institut für Physik, Universität Mainz, Mainz, Germany 98. School of Physics and Astronomy, University of Manchester, Manchester, United Kingdom 99. CPPM, Aix-Marseille Université, CNRS/IN2P3, Marseille, France 100. Department of Physics, University of Massachusetts, Amherst, MA, United States of America 101. Department of Physics, McGill University, Montreal, QC, Canada 102. School of Physics, University of Melbourne, Victoria, Australia 80 Department of Physics, University of Michigan, Ann Arbor, MI, United States of America 81 Department of Physics and Astronomy, Michigan State University, East Lansing, MI, United States of America 82 B.I. Stepanov Institute of Physics, National Academy of Sciences of Belarus, Minsk, Belarus 83 Research Institute for Nuclear Problems of Byelorussian State University, Minsk, Belarus 84 Group of Particle Physics, University of Montreal, Montreal, QC, Canada 85 P.N. Lebedev Physical Institute of the Russian Academy of Sciences, Moscow, Russia 86 Institute for Theoretical and Experimental Physics (ITEP), Moscow, Russia 87 National Research Nuclear University MEPhI, Moscow, Russia 88 D.V. Skobeltsyn Institute of Nuclear Physics, M.V. Lomonosov Moscow State University, Moscow, Russia 89 Fakultät für Physik, Ludwig-Maximilians-Universität München, München, Germany 90 Max-Planck-Institut für Physik (Werner-Heisenberg-Institut), München, Germany 91 Bogoliubov Laboratory of Theoretical Physics, Joint Institute for Nuclear Research, Dubna, Russia 92 Graduate School of Science and Koyamati–Maskawa Institute, Nagoya University, Nagoya, Japan 93 Department of Physics and Astronomy, University of New Mexico, Albuquerque, NM, United States of America 94 Institute for Mathematics, Astrophysics and Particle Physics, Radboud University Nijmegen/Nikhef, Nijmegen, Netherlands 95 Kavli Institute for Subatomic Physics and Institute for Atomic Physics, Amsterdam, Netherlands 96 Department of Physics, University of Illinois at Urbana-Champaign, Urbana, IL, United States of America 97 Budker Institute of Nuclear Physics, SB RAS, Novosibirsk, 630090, Novosibirsk, Russia 98 Department of Physics, New York University, New York, NY, United States of America 99 Ohio State University, Columbus, OH, United States of America 100 Faculty of Science, Osaka University, Osaka, Japan 101 Homer L. Dodge Department of Physics and Astronomy, University of Oklahoma, Norman, OK, United States of America 102 Department of Physics, Oklahoma State University, Stillwater, OK, United States of America 103 Palacký University, RCPIM, Joint Laboratory of Optics, Olomouc, Czech Republic 104 Center for High Energy Physics, Oregon State University, Eugene, OR, United States of America 105 CEA, Université Paris-Sud, CNRS/IN2P3, Institut de Physique Nucléaire, Orsay, France 106 Graduate School of Science, Osaka University, Osaka, Japan 107 Department of Physics, University of Oslo, Oslo, Norway 108 Department of Physics, Oxford University, Oxford, United Kingdom 109 CERN, EP, Université Paris-Saclay, Paris Diderot, Univ. Paris Cité, CNRS/IN2P3, Paris, France 110 Department of Physics, University of Pennsylvania, Philadelphia, PA, United States of America 111 Konstantinov Nuclear Physics Institute of National Research Centre "Kurchatov Institute", PNPI, St. Petersburg, Russia 112 Department of Physics and Astronomy, University of Pittsburgh, Pittsburgh, PA, United States of America 113 Instituto Superior Técnico, Departamento de Física, Faculdade de Ciências, Universidade de Lisboa, Lisboa, Portugal 114 Departamento de Física, Universidade de Coimbra, Coimbra, Portugal 115 Centro de Física Nuclear da Universidade de Lisboa, Lisboa, Portugal 116 Departamento de Física, Universidade do Minho, Braga, Portugal 117 Institute of Physics, Academy of Sciences of the Czech Republic, Prague, Czech Republic 118 Czech Technical University in Prague, Prague, Czech Republic 119 Charles University in Prague, Faculty of Mathematics and Physics, Prague, Czech Republic 120 State Research Center Institute for High Energy Physics, NRC KI, Protvino, Russia 121 Particle Physics Department, Rutherford Appleton Laboratory, Didcot, United Kingdom 122 IPMU, The University of Tokyo, Kashiwa, Japan 123 Stanford Cruz Institution for Particle Physics, University of California Santa Cruz, Santa Cruz, CA, United States of America 124 Departamento de Física, Pontificia Universidad Católica de Chile, Santiago, Chile 125 Departamento de Física, Universidad Técnica Federico Santa María, Valparaíso, Chile 126 Department of Physics, University of Washington, Seattle, WA, United States of America 127 Department of Physics and Astronomy, University of Sheffield, Sheffield, United Kingdom 128 Department of Physics, Shinshu University, Nagano, Japan 129 Department of Physics, Simon Fraser University, Burnaby, BC, Canada 130 SLAC National Accelerator Laboratory, Stanford, CA, United States of America 131 Physics Department, Royal Institute of Technology, Stockholm, Sweden 132 Department of Physics and Astronomy, Stony Brook University, Stony Brook, NY, United States of America 133 Department of Physics and Astronomy, University of Sussex, Brighton, United Kingdom 134 School of Physics, University of Sydney, Sydney, Australia 135 Institute of Physics, Academia Sinica, Taipei, Taiwan 136 G. Andronikashvili Institute of Physics, Iv. Javakhishvili Tbilisi State University, Tbilisi, Georgia 137 High Energy Physics Institute, Tbilisi State University, Tbilisi, Georgia 138 Raymond and Beverly Sackler School of Physics and Astronomy, Tel Aviv University, Tel Aviv, Israel 139 Department of Physics, Aristotle University of Thessaloniki, Thessaloniki, Greece 140 International Center for Elementary Particle Physics and Department of Physics, University of Tokyo, Tokyo, Japan 141 Graduate School of Engineering and Technology, Tokyo Metropolitan University, Tokyo, Japan 142 Department of Physics, Tokyo Institute of Technology, Tokyo, Japan 143 Tomsk State University, Tomsk, Russia 144 Department of Physics, University of Toronto, Toronto, ON, Canada 145 TRIUMF, Vancouver, BC, Canada 146 Department of Physics and Astronomy, York University, Toronto, ON, Canada 147 Division of Physics and Tomonaga Center for the History of the Universe, Faculty of Pure and Applied Sciences, University of Tsukuba, Tsukuba, Japan 148 Department of Physics and Astronomy, Tufts University, Medford, MA, United States of America 149 Department of Physics and Astronomy, University of California Irvine, Irvine, CA, United States of America 150 Department of Physics and Astronomy, University of Uppsala, Uppsala, Sweden 151 Department of Physics, University of Illinois, Urbana, IL, United States of America 152 Instituto de Física Corpuscular (IFIC), Centro Mixto Universidad de Valencia – CSIC, Valencia, Spain 153 Department of Physics, University of British Columbia, Vancouver, BC, Canada 154 Department of Physics and Astronomy, University of Victoria, Victoria, BC, Canada 155 Fakultät für Physik und Astronomie, Julius-Maximilians-Universität Würzburg, Würzburg, Germany 156 Department of Physics, University of Warwick, Coventry, United Kingdom 157 Waseda University, Tokyo, Japan 158 Department of Particle Physics, Weizmann Institute of Science, Rehovot, Israel 159 Department of Physics, University of Wisconsin, Madison, WI, United States of America 160 Fakultät für Mathematik und Naturwissenschaften, Fachgruppe Physik, Bergische Universität Wuppertal, Wuppertal, Germany Department of Physics, Yale University, New Haven, CT, United States of America Yerevan Physics Institute, Yerevan, Armenia a Also at Borough of Manhattan Community College, City University of New York, NY, United States of America. b Also at Centre for High-Performance Computing, CSIR Campus, Rosebank, Cape Town, South Africa. c Also at CERN, Geneva, Switzerland. d Also at CNRS/IN2P3, Marseille, France. e Also at Département de Physique Nucléaire et Corpusculaire, Université de Genève, Genève, Switzerland. f Also at Departament de Fisica de la Universitat Autonoma de Barcelona, Barcelona, Spain. g Also at Departamento de Física Teórica y del Cosmos, Universidad de Granada, Granada (Spain), Spain. h Also at Department of Applied Physics and Astronomy, University of Sharjah, Sharjah, United Arab Emirates. i Also at Department of Financial and Management Engineering, University of the Aegean, Chios, Greece. j Also at Department of Physics and Astronomy, University of Louisville, Louisville, KY, United States of America. k Also at Department of Physics and Astronomy, University of Sheffield, Sheffield, United Kingdom. l Also at Department of Physics, California State University, Sacramento, CA, United States of America. m Also at Department of Physics, California State University, Sacramento, CA, United States of America. n Also at Department of Physics, King's College London, London, United Kingdom. o Also at Department of Physics, St. Petersburg State Polytechnical University, St. Petersburg, Russia. p Also at Department of Physics, University of Basel, Basel, Switzerland. q Also at Department of Physics, University of Michigan, Ann Arbor, MI, United States of America. r Also at Dipartimento di Fisica E. Fermi, Università di Pisa, Pisa, Italy. s Also at Giresun University, Faculty of Engineering, Giresun, Turkey. t Also at Graduate School of Science, Osaka University, Osaka, Japan. u Also at Hellenic Open University, Patras, Greece. v Also at Horia Hulubei National Institute of Physics and Nuclear Engineering, Bucharest, Romania. w Also at II. Physikalisches Institut, Georg-August-Universität Göttingen, Göttingen, Germany. x Also at Institució Catalana de Recerca i Estudis Avancats, ICREA, Barcelona, Spain. y Also at Institut für Experimentalphysik, Universität Hamburg, Hamburg, Germany. z Also at Institute for Mathematics, Astrophysics and Particle Physics, Radboud University Nijmegen/Nikhef, Nijmegen, Netherlands. aa Also at Institute for Particle and Nuclear Physics, Wigner Research Centre for Physics, Budapest, Hungary. bb Also at Institute of Particle Physics (IPP), Canada. cc Also at Institute of Physics, Academia Sinica, Taipei, Taiwan. dd Also at Institute of Physics, Azerbaijan Academy of Sciences, Baku, Azerbaijan. ee Also at Institute of Theoretical Physics, Ivane Javakhishvili Tbilisi State University, Tbilisi, Georgia. ff Also at LAL, Université Paris-Sud, CNRS/IN2P3, Université Paris-Saclay, Orsay, France. gg Also at Louisiana Tech University, Ruston, LA, United States of America. hh Also at Manhattan College, New York, NY, United States of America. ii Also at Moscow Institute of Physics and Technology State University, Dolgoprudnyi, Russia. jj Also at National Research Nuclear University MEPhI, Moscow, Russia. kk Also at Physikalisches Institut, Albert-Ludwigs-Universität Freiburg, Freiburg, Germany. ll Also at School of Physics, Sun Yat-sen University, Guangzhou, China. mm Also at The City College, CUNY, New York, NY, United States of America. nn Also at The Collaborative Innovation Center of Quantum Matter (CICQM), Beijing, China. oo Also at Tomsk State University, Tomsk, and Moscow Institute of Physics and Technology State University, Dolgoprudnyi, Russia. pp Also at TRIUMF, Vancouver, BC, Canada. qq Also at Università di Napoli Parthenope, Napoli, Italy. * Deceased.
A Flexible Capacitive Pressure Sensor Based on Ionic Liquid Xiaofeng Yang, Yishou Wang and Xinlin Qing * School of Aerospace Engineering, Xiamen University, Xiamen 361005, China; email@example.com (X.Y.); firstname.lastname@example.org (Y.W.) * Correspondence: email@example.com Received: 1 June 2018; Accepted: 17 July 2018; Published: 23 July 2018 Abstract: A flexible microfluidic super-capacitive pressure sensor is developed to measure the surface pressure of a complex structure. The innovative sensor contains a filter paper filled with ionic liquid, and coated with two indium tin oxide polyethylene terephthalate (ITO-PET) films on the top and bottom, respectively. When external pressure is applied on the top ITO-PET film of the sensor mounted on the surface of an aircraft, the capacitance between the two ITO-PET films will change because of the deformation of the top ITO-PET film. The external pressure will be determined based on the change of the capacitance. Compared to the traditional pressure sensor, the developed sensor provides a high sensitivity of up to $178.5 \text{ nF/KPa}$ and rapid dynamic responses for pressure measurement. Meanwhile, experiments are also conducted to study the influence of the thickness of the sensing film, sensing area, temperature, and humidity. Keywords: sensor; aerodynamic pressure; ionic liquid; electrical double layer 1. Introduction Because of the characteristics of flexible flight and precise strike, hypersonic aircraft have always been an important research direction of space technology, since the mid-twentieth century. However, when the aircraft flies at a high speed in the atmosphere, the flow field will produce an aerodynamic effect. The shock wave will cause the boundary layer to be separated, resulting in the disturbance of an inviscid flow in the common boundary layer, which will influence the density, temperature, and composition of the airflow, and even produce the phenomenon of ionized gas molecules [1,2]. Therefore, it is of great significance to measure the aerodynamic pressure distribution in order to better understand the basic characteristics of the flow itself and its influence on the aircraft. According to the pressure distribution, the aerodynamic shape can be optimized. In general, there are three main methods for measuring the distribution of aerodynamic pressure, the discrete pressure hole method [3–9], the pressure sensitive coating technology (PSP) [10,11], and the computational fluid dynamics (CFD) [12–15]. There are still many problems with these methods, both in the experimental measurement and theoretical analysis. The discrete pressure hole method is complex and its computation intensive. Meanwhile, the measurement hole will also affect the aerodynamic shape of the aircraft [4]. PSP technology is a relatively new technique for measuring the aerodynamic pressure on the surface. However, it is too complex and can only be used in wind tunnel experiments [10]. There are also some shortcomings in the CFD method. The numerical calculation method can lead to deformation, resulting in pseudo physical conclusions being produced [14,15]. Therefore, there is an urgent need to develop a new method to measure the distribution of aerodynamic pressure on the surface of an aircraft, for further exploring the aerodynamic shape of the aircraft [14]. Recently, flexible electronic sensors have been developed rapidly, including three kinds, piezoelectricity, piezoresistance, and capacitance [16–24]. Among the various sensors developed, capacitive sensors have a high stability, high electrical sensitivity, low power consumption, and fast response time, while piezoelectric and resistive sensors are widely applied because of their simple device and implementation [25–27]. An ionic skin through an ionic hydrogel, developed by Suo [28,29], can measure the changes in strains from 1% to 500%, and pressure as low as 1 kPa, with a small drift over many cycles. In addition, an ionic liquid sensor using ionic hydrogel as a sensing medium, in order to achieve an ultra-high sensitivity and flexibility pressure measurement, was developed by Pan [30–32]. However, the preparation process of the hydrogels is very complex, expensive, and the phase transition of the hydrogel at a high temperature will cause sensor failure. A flexible microfluidic super-capacitive pressure sensor has been developed to measure the surface pressure in this paper. The sensor consists of a filter paper filled with ionic liquids, and coated with two indium tin oxide polyethylene terephthalate (ITO-PET) films on the top and bottom. Experiments are also conducted to study the influence of the thickness of the sensing film, sensing area, temperature, and humidity. 2. Sensing Principle The schematic of the proposed flexible microfluidic super-capacitive pressure sensor is shown in Figure 1. The sensor contains a filter paper filled with ionic liquid, and is coated with two indium tin oxide polyethylene terephthalate (ITO-PET) films on the top and bottom, respectively. The sensing principle of the proposed sensor is based on the change of the capacitance between the two ITO-PET films. In a real application, the sensor is mounted on a surface of the host structure. The change of capacitance resulting from the deformation of the top ITO-PET film under external pressure is analyzed below. When the external pressure is low, the top ITO-PET film does not contact the ionic liquid filter paper, as shown in Figure 1b. According to the classical thin-film bending theory, the change in capacitance of a circular sensing area can be described as follows [33,34]: \[ C = \varepsilon_0 \varepsilon_r \frac{A}{d} + \frac{3\varepsilon_0 \varepsilon_r A R^4 (1 - \nu^2)}{16 E h^3 d^2} P \] (1) where $ C $ is the capacitance of the sensor; $ P $ is the pressure applied on the top ITO-PET film; $ R $ is the radius of the sensing chamber; $ \varepsilon_0 $ and $ \varepsilon_r $ are the permittivity of vacuum and ionic liquid filter paper; $ d $ is the distance between the top ITO-PET film and the ionic liquid filter paper; $ A $ is the area of the sensing chamber; and $ E, h $ and $ \nu $ are Young’s modulus, the thickness of the ITO-PET film, and Poisson’s ratio, respectively. When the external pressure reaches a certain level, called the initial threshold, the top ITO-PET film makes ionic–electronic contact with the ionic liquid filter paper, as shown in Figure 1c. Notably, the ionic liquid filter paper, consisting of a substantial number of mobile cations, anions, and ionic liquid molecules, can form a unique super-capacitive layer in nano-scale, with exceptionally high unit-area capacitance, once in contact with the top ITO-PET film. This layer is known as the electrical double layer (EDL) [31]. As the external pressure goes up, the ionic liquid of the contact area has been compressed, and the contact area between the ionic liquid filter paper and the top ITO-PET film continues to increase, which leads to a further elevation of the EDL capacitance. According to the classical thin-film bending theory, the capacitance of a circular sensing area can be described as Equation (2), assuming an area radius, $ r $, located in the center of the top ITO-PET film hang in the air. \[ C = \frac{18R^2P^2(1-\nu^2)^2 - \sqrt{16Eh^2d}}{9C_0\pi R^2P^2(1-\nu^2)^2 - 8C_0\pi R^2\sqrt{16Eh^2d}} \] (2) where $ C_0 $ is the unit capacitance of the interfacial capacitance, and the meanings of the other symbols are the same as those in Equation (1). According to the Gouy–Chapman–Stern and Kornyshev models, the EDL can be treated as a capacitive sensor when no electrochemical reaction occurs at the interface of the ITO-PET film and ionic liquid filter paper. As shown in Figure 1d, the entire sensor can be regarded as a variable capacitor in series, with a resistive element from the ionic liquid filter paper and a fixed capacitor from the interface of the bottom ITO-PET film and ionic liquid filter paper [30,35,36]. ![Figure 1](image) Figure 1. Sensing principle of the flexible ionic liquid super-capacitive pressure sensor. (a) No external pressure applied on the sensor. (b) Low external pressure applied on the sensor. (c) High external pressure applied on the sensor. (d) Equivalent circuit model of the sensor. ### 3. Experimental Investigation #### 3.1. Materials and Apparatus Advantec filter papers (No. 1, Roshi Kaisha., Ltd., Tokyo, Japan) were employed in experiment. These filter papers have a thickness of 0.15 mm and a basic density of 90 g/m². Ionic liquid 1-butyl-3-methylimidazolium bis-(trifluoromethyl)-imide (Shanghai Chengjie Chemical Co. Ltd., Shanghai, China) was selected as the sensing material. Polyethylene terephthalate (PET) coated with a 100 nm thick layer of indium tin oxide (ITO, Mianyang Prochema Commercial Co., Mianyang, China) was used for the electrode layer. The bonding layer was made of double-sided adhesive type (VHB 4905, 3M). A WK6500B (Shenzhen Wenke Electronics Co., Ltd., Shenzhen, China) impedance analyzer was utilized for measuring the capacitance. A KD-II 10/100 N (Shenzhen Kaiqiangli Technology Co., Ltd., Shenzhen, China) mechanical testing apparatus was used for precisely applying the pressure load on the sensor. A constant temperature and humidity incubator (Shanghai Baixin Instrument and Equipment Factory, Shanghai, China) were used to control the testing temperature and humidity. #### 3.2. Sensor Design In order to achieve a reversible ionic liquid-ITO electrode contact, a surface modification technique has been adapted to enhance the ITO electrode surface hydrophobicity. A fluorinated separation layer of trimethoxysilane, with a proportion of 3% in IPA was spun at 3000 rpm for 40 s to coat the ITO electrode, and dried at atmospheric pressure in an oven at 80 °C for 1 h. Then, the double-sided adhesive tape was attached on the ITO substrate to form the designed sensing chamber. The filter paper was immersed in ionic liquid for 2 min and was then put on a napkin to absorb the excess ionic liquid. The chemical structure of the ionic liquid was shown in Figure 2a. After transferring the ionic liquid paper into the sensing chamber, the sensing chamber was then sealed with another ITO-PET film. For ease of use, conductive epoxy was used for making the wire connection. Figure 2b,c shows a schematic diagram and prototype of the flexible sensing device in a package of $15 \text{ mm} \times 15 \text{ mm} \times 5 \text{ mm}$. ![Figure 2](image) Figure 2. Flexible ionic liquid super-capacitive pressure sensor. (a) Chemical structure of ionic liquid. (b) Schematic diagram of the flexible sensor. (c) Actual fabricated flexible ionic super-capacitive pressure sensor. 4. Results and Discussion 4.1. Response of Capacitance with Driving Frequency The developed sensor used for testing was fixed on an acrylic plate. In order to perform the experiment in the lab, a squared rigid flat plate with the area of $25 \text{ mm}^2$ attached on the top ITO-PET membrane was used to convert a point force into a distributed force to simulate the distributed air pressure applied on the sensor. To characterize the sensor sensitivity, this point force was applied to the center of the flat plate. The pressure was calculated by dividing the force by the area of the membrane. The change of capacitance was recorded by the impedance analyzer when the pressure was applied on the sensor. Because the permittivity decreases with the decrease of the driving frequency, the response of the sensor varied with the frequency. Driving frequencies from 20 Hz to 1.5 KHz at 0.5 alternating current (AC) voltage were selected for the testing. Figure 3a shows the capacitance of the sensor as a function of the driving frequency at the pressure of 0 Pa and 10 KPa. It can be seen that the capacitance variation of the sensor decreases when the driving frequency increases, and it has maximum value at 20 Hz. Therefore, within the same capacitance variation range, different pressure sensing ranges can be realized by changing the driving frequency. Considering energy consumption, actual measurement situation, and, also, to avoid electrochemical reactions, a 20 Hz driving frequency at 0.5 AC voltage was chosen for the testing mentioned hereafter. 4.2. Relation between Pressure and Change of Capacitance Figure 3b illustrates the change of capacitance of the sensor with different pressure applied on the sensing membrane, giving the thickness of the sensing membrane at 50 μm and the sensing area at $10 \text{ mm} \times 10 \text{ mm}$. As the pressure was applied on the sensor, the capacitance of the sensor was measured by the impedance analyzer in real-time. Figure 3b shows the relationship between the change of capacitance and the actual pressure applied on the sensor. The slope rate of the curve was defined as the sensing sensitivity. It is clear that the change of capacitance depends on the pressure. Firstly, when the pressure is below 7 KPa, the top ITO-PET film does not make contact with the ionic liquid filter paper, and the capacitance increases according to the distance narrowing between the top ITO-PET film and the ionic liquid filter paper. The sensing sensitivity is 1.5 nF/KPa, as shown in Figure 3b. When the pressure is in the range of 7 KPa to 20 KPa, the sensing sensitivity reaches 108.2 nF/KPa. The reverse ion in the ionic liquid forms a double capacitance layer on the surface of the electrode, resulting in a sharp increase in the capacitance. When the pressure is continuously increased, the sensitivity decreases because of the reduced mechanical deformation of the ITO-PET film, where the small deformation limit has been exceeded. However, if the actual surface pressure of the aircraft may be over 50 KPa, the current sensor cannot meet the actual operating condition of the aircraft, and we should do some further research to improve the sensing range of the current sensor in the future work. The flexible of the sensor allows it to conform readily to a curved surface. We attached the flexible capacitive sensor on a circular tube with a 33 mm in radius to investigate the influence of bending to the pressure measurement of the sensor. As shown in Figure 3c, when the external pressure is applied on the sensor, the capacitance of the sensor increases rapidly. The sensing sensitivity is 110.2 nF/KPa, but the sensing range decreases to 11 kPa. That is because when the sensor was attached on the curved surface, the ionic liquid filter paper was bended and contacted the top ITO-PET electrode, which can be seen in Figure 3c. Figure 3. Characterization of the pressure sensing performance of the flexible ionic liquid super-capacitive pressure sensor. (a) The capacitance changes with driving frequency sweep from 20 Hz to 1.5 KHz at 0 KPa and 10 KPa, respectively. (b) Relative rate of change in capacitance of the sensor as a function of different pressure. The inset shows that the relative rate of change in capacitance of low pressure region A. (c) Relationship of the change in capacitance of the sensor attached on a circular tube and pressure applied. The inset shows the actual sensor attached on the circular tube. (d) The relationship of pressure and capacitance of the sensor cyclically compressed by 10 KPa. (e) The capacitance variation of the sensor under a square shaped pressure applied. A quasi-static cycling load with a maximum pressure of 10 KPa at frequency 0.05 Hz was applied on the sensor. The capacitance of the sensor and the pressure that was applied were recorded, as shown in Figure 3d. Both the capacitance and pressure curves are stable, and they match each other well. As described above, the pressure of 10 KPa is enough to make the ITO-PET film contact the ionic liquid filter paper. It is observed that once the pressure is applied on the top of the ITO-PET film, the film deforms and makes contacts with the ionic liquid filter paper to make the capacitance of the sensor increase immediately, and the capacitance returns back to the original value after unloading the pressure. As shown in Figure 3e, a square shaped pressure was applied on the sensor, which is attached on the circular tube, and the capacitance is stable and consistent with the square pressure applied on the sensor. The response and recovery times of 0.3 s and 0.4 s can be extracted from the upstroke response of the sensor readout signal. Overall, the sensor is able to respond well to the static and dynamic pressure applied on it. 4.3. Effect of the Thickness of the Sensing Membrane From the experimental result, it is clear that the sensitivity of the sensor is inversely proportional to the thickness of the sensing membrane. Figure 4a shows the relationship between the change of capacitance and the actual pressure on the sensor, and the thickness of the sensing membrane varying from 50 μm to 175 μm. With the thickness of the sensing membrane increasing from 50 μm to 175 μm, the sensitivity decreases from 1.5 nF/KPa to 1 nF/KPa at the low pressure below 7 KPa, as shown in Figure 4b; A, and significantly decreases from 108.2 nF/KPa to 18.5 nF/KPa at the pressure range of 7 KPa to 28 KPa. The detective pressure range is also influenced by the thickness of the sensing membrane. When the thickness of the sensing membrane varies from 50 μm to 175 μm, the maximum pressure being detected increases from 20 KPa to 28 KPa. According to the different sensing applications, different thickness of the sensing membrane shall be used. 4.4. Effect of Area of the Sensing Chamber Notably, the geometrical parameters of the sensing chamber also influence the sensor sensitivity and detective range. As shown in Figure 4c, three different areas of the sensing chambers have been characterized and compared. It is clear that the sensor sensitivity is directionally proportional to the area of the sensing chamber. The area of the sensing chamber increases from 10 mm × 10 mm to 20 mm × 20 mm, and the corresponding sensor sensitivity raises from 108.2 nF/KPa to 178.5 nF/KPa, but the detective range decreases from 20 KPa to 18 KPa. For the case of the 20 mm × 20 mm sensing area, the sensitivity is much higher than most of the existing capacitive sensors, as summarized in Table 1 [19,37–40]. Table 1. Comparison of the sensitivity of capacitive pressure sensors. \| Types \| Dielectric Layer \| Sensitivity \| Sensing Range \| \|------------------------\|------------------------\|---------------\|---------------\| \| Silicon-based \| Air [37] \| 3.47 fF/KPa \| 0–30 KPa \| \| Elastic material-based \| PDMS [38] \| 7.2 pF/KPa \| 0.5–2.5 KPa \| \| \| CNT/PDMS [39] \| 0.55 nF/KPa \| 0–0.03 KPa \| \| \| Pyramid PDMS [19] \| 18.6 fF/KPa \| 0–2 KPa \| \| Microfluidic-based \| Porous PDMS [40] \| 0.1 pF/KPa \| 0–0.02 KPa \| \| \| Hydrogel [29] \| 0.1 pF/kPa \| 0–40 KPa \| \| \| Nanofiber [30] \| 114 nF/KPa \| 0–1 KPa \| \| \| Air/ionic liquid filter paper [this work] \| 178.5 nF/kPa \| 7–18 KPa \| Figure 4. Influence of geometrical parameters on the sensor sensitivity. (a) Different thickness of the sensing membrane, 50 μm, 125 μm, and 175 μm. (b) The enlargement of the low pressure region A in Figure 4a. (c) Different areas of the sensing chamber, 10 mm × 10 mm, 15 mm × 15 mm, and 20 mm × 20 mm. 4.5. Effect of Temperature and Humidity Importantly, the actual service environment of the sensor is very complex, for example, environmental factors, such as humidity and temperature, are often varying in time. Because of the high boiling point, low vapor pressure, and non-flammability of the ionic liquid, the environmental temperature fluctuation only a poses minor influence on the interfacial capacitance. As shown in Figure 5a, the capacitances of the sensor were measured in the temperature range of 25 °C to 55 °C. It is clear that the capacitance is stable, with less than 2% variation from 25 °C to 50 °C. This is likely due to the stabilization of the physical and chemical properties as well as the ionization of the ionic liquid in the temperature range. When continuously increasing the temperature, the EDL capacitance rises dramatically because of the increase in the ionization of the ionic liquid with the temperature above 50 °C. It should be noted that the actual service environment of the aircraft is very complex, the surface temperature may be over 100 °C or even higher, and we should do further research to improve the temperature adaptability of the current sensor in the future work. Furthermore, the performance of the sensor at different humidity levels has been investigated. As shown in Figure 5b, the capacitance is very stable at different humidity levels ranging from 20% to 80%. This is because the ionic liquid does not react with water at low-voltage AC signal, and the ionization of the ionic liquid is not sensitive to the humidity. Figure 5. Effect of the environment factors. (a) Capacitance change with frequency at temperature range from 25 °C to 55 °C. (b) Capacitance follows the frequency at humidity range from 40% to 80%. 5. Conclusions A flexible super-capacitive sensor with a simple architecture and high sensitivity was developed. The experimental results show that the sensor responds well at both static and dynamic pressure, with a high sensitivity, good linearity, and repeatability. Compared to a traditional pressure sensor, this sensor provides a high sensitivity of up to 178.5 nF/KPa, and a good dynamic response for pressure measurement. Moreover, the temperature and humidity effect on the performance of the sensor were also investigated. The capacitance of the sensor with selected materials is stable from 25 °C to 50 °C, and not sensitive to humidity. Overall, the developed innovative sensor has significant potential for low cost and reliable surface pressure measurement, but there are still some issues that need to be further improved for the practical application. For example, the performance of the sensors should be further tested and verified in a real air pressure environment, the size of sensors should be made as small as possible to reduced influence of the bending, and the sensing range and temperature resistance of sensors should be further researched. Author Contributions: Conceptualization, X.Y. and Y.W.; Methodology, X.Y., Y.W. and X.Q.; Software, X.Y., Y.W. and X.Q.; Validation, X.Y., Y.W. and X.Q.; Experiments design and implementation, X.Y., Y.W. and X.Q.; Analysis of experiment results, X.Y., Y.W. and X.Q.; Writing-Original Draft Preparation, X.Y. and Y.W.; Writing-Review & Editing, X.Y., Y.W. and X.Q. 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THE WORLD FOOD PRIZE The 2003 World Food Prize Laureate Catherine Ann Bertini “The Most Significant Observance of United Nations World Food Day Anywhere Around the Globe” October 16 is UN World Food Day and, in Iowa, Dr. Norman E. Borlaug Recognition Day. On behalf of John Ruan, John Ruan III, and the Ruan family, it is my pleasure to welcome you to our World Food Prize Laureate Award Ceremony. With the support of Governor Tom Vilsack, the Iowa State Legislature, and our generous sponsors, we have endeavored to structure a Harvest Festival bringing attention to issues of food and agriculture and hunger and famine. We are greatly honored to have the participation of two distinguished international leaders on these subjects: The Honorable Ann Veneman, US Secretary of Agriculture; and His Excellency Wilberforce Kisamba-Mugerwa, Minister of Agriculture of Uganda. Included in our World Food Prize Celebration have been: • Events in more than 200 communities around the state celebrating Iowa’s humanitarian heritage and role in feeding the world; • The World Food Prize International Symposium, “Building Alliances to Defeat Hunger and Famine,” with a special emphasis on the role of the United Nations in implementing the Millennium Development Goals; • The World Food Prize Global Youth Institute with over 100 students and 100 teachers including students from Nigeria, Mexico, Brazil, the UN International School in New York and the Washington International School • A week-long dialogue on Building Alliances to Defeat Hunger and Famine, including the UN Hunger Task Force and The Alliance to End Hunger. And tonight we have the high point of our celebration, the presentation of the $250,000 World Food Prize to our 2003 Laureate, Catherine A. Bertini, Under Secretary General of the United Nations. Thank you for joining us. We hope you enjoy the evening. Ambassador Kenneth M. Quinn President The World Food Prize Foundation The World Food Prize Story The $250,000 World Food Prize, known as the “Nobel Prize for Food and Agriculture,” is the world’s foremost award recognizing breakthrough contributions to the quality, quantity or availability of food. The Prize recognizes contributions in any field involved in the world food supply – food and agricultural science and technology, manufacturing, marketing, nutrition, economics, political leadership and the social sciences. The World Food Prize emphasizes the importance of a nutritious and sustainable food supply for all people. By honoring those who have worked successfully toward this goal, The Prize calls attention to what has been done to improve the world food supply and to what must be accomplished in the future. The Laureate receives $250,000 and an original sculpture created by world renowned designer Saul Bass. The Prize Program The World Food Prize is administered by The World Food Prize Foundation located in Des Moines, Iowa. The Foundation is guided by a distinguished Council of Advisors in the establishment of policy and in the annual review of The Prize. Each year, more than 1,000 institutions and organizations around the world are invited to nominate Laureate candidates. The World Food Prize Secretariat reviews all nominations for appropriateness and completeness and forwards them to the Selection Committee, which selects the candidate deemed most worthy of the award according to the objectives of The Prize. The Selection Committee is composed of nine distinguished individuals who are knowledgeable about various aspects of nutrition and food production, processing and distribution, including research, policy development and business management. Members of the Selection Committee remain anonymous except for Dr. Norman E. Borlaug, the Committee’s Chairman. The Council of Advisors extends its sincere appreciation to the Selection Committee for their diligent and dedicated service. The World Food Prize Founders The Vision and Generosity Behind the Prize The World Food Prize has reached greater and greater heights of international stature each year. But none of this would have happened if it were not for the efforts of Nobel Peace Prize Laureate Dr. Norman E. Borlaug and businessman and philanthropist John Ruan – two long-time friends who have together made a lasting mark on the world. Dr. Borlaug and Mr. Ruan were born just a month apart in small towns in the State of Iowa. John Ruan spent his early years in Beacon, Iowa, and later attended Iowa State University. But when his father died, he left Iowa State and started a trucking business. That was the beginning of a trucking, banking, insurance and real estate enterprise of national proportions. As the Depression loomed in the United States, Norman Borlaug left his family’s farm near Cresco, Iowa, to enter the University of Minnesota. Degrees in forestry and plant pathology led the way to a distinguished career in which he revolutionized agriculture and eventually was awarded the Nobel Peace Prize for his role as “Father of the Green Revolution.” In 1986, Dr. Borlaug envisioned an award like the Nobel Prize to honor individuals from many disciplines who quietly and heroically confront the issue of food security in the world. Thus, The World Food Prize was created. But even after The World Food Prize was created, it was nearly lost in the early 1990’s when the original sponsor withdrew. It was then that John Ruan stepped forward to rescue The Prize. He pledged his energy and resources “to these real life heroes whose work not only touches the world but also touches the hearts of all mankind.” True to his convictions about the importance of food to world, John Ruan established The World Food Prize Foundation and personally endowed its operations for years to come. And since then, Laureates from around the world have been honored for their tremendous accomplishments, all thanks to Norman Borlaug’s vision and John Ruan’s generosity. In October of each year, the World Food Prize Youth Institute provides a three-day, all-expenses-paid educational opportunity and forum for high school students from Iowa and around the world. Our students interact with Nobel and World Food Prize Laureates and are exposed to an array of experts, facilities and organizations relating to food security. Student and faculty teams prepare discussion papers, which are presented by the students during a day-long seminar before a panel of World Food Prize Council of Advisors and Laureates – individuals who are acknowledged leaders in a broad range of food and agricultural disciplines. The Youth Institute is a prerequisite for Borlaug-Ruan International Internship application eligibility. The George Washington Carver Internship This program has been created to honor college students who have exhibited Carver-like dedication while conducting internships at The World Food Prize Foundation. The 2003 interns are: Victoria Brenton Iowa State University Emily Clark Iowa State University Omar Tesdell Iowa State University Tashia Welling University of Iowa Matthew West Davidson College Oksana Zagorodna Grand View College Governor Thomas J. Vilsack and 2003 George Washington Carver Interns Victoria Brenton, Omar Tesdell, Emily Clark and Oksana Zagorodna The 2003 Ahmanson Intern Award The Ahmanson Intern Award is named in honor of Roberta Ahmanson for her generous support of the Youth Institute and her dedication to increasing students’ awareness of the problem of global food insecurity. Adrian Richardson Creston High School Southwestern Community College, Creston, Iowa For excellence in fulfilling a World Food Prize Borlaug-Ruan International Internship at the Brazilian Corporation of Agricultural Research in Londrina, Brazil. Cathy Staloch Ottumwa High School University of Florida, Gainesville, Florida For exceptional performance in her role as a Borlaug-Ruan International Intern at the International Rice Research Institute in Manila, the Philippines. Each Summer, The Borlaug-Ruan International Internship Program sends High School students on eight-week, expenses-paid internships at acclaimed agricultural research centers in Malaysia, China, Brazil, Costa Rica, Trinidad, Ethiopia, Peru, Thailand, Mexico, India, Kenya, Indonesia, the Philippines and Egypt. After their return, the interns write papers about their “life-changing” experiences abroad. These papers are judged and two interns are selected to receive the Ahmanson Intern and John Chrystal Awards at the annual Laureate Ceremony. Catherine Ann Bertini United Nations Under Secretary General For Transforming the United Nations World Food Programme into the Largest and Most Responsive Humanitarian Relief Organization in the World In the 10 years she led the agency as its Executive Director, Ms. Bertini transformed the World Food Programme from primarily a development assistance organization into the largest and most responsive humanitarian relief organization in the world, delivering life-sustaining food aid to over 700 million people in more than 100 countries during her term. As a result of Ms. Bertini’s leadership, for the first time in history, the international community attained the capacity to confront and defeat large-scale famine anywhere around the globe. In a key innovation, Ms. Bertini pioneered the practice of channeling food aid through women, thus ensuring the most widespread and effective distribution of food in crisis situations. During the decade she led the organization, Ms. Bertini and the World Food Programme saved more people from starvation and death than any other organization in the world. The 2003 World Food Prize Laureate Story Responding to Crises Around the World During her tenure at WFP (1992-2002), Ms. Catherine Bertini was faced with seemingly insurmountable challenges in getting food aid to desperately hungry people in remote locations. Severe humanitarian crises such as Hurricane Mitch in Latin America, drought in the Horn of Africa, floods in Mozambique, acute hunger and severe malnutrition among refugees in Kosovo and one-third of the entire population of North Korea, and civil war in Afghanistan created extraordinary needs for emergency food relief. Over 50 million people, the majority women and children, faced imminent famine and death from these natural and man-made disasters alone. Yet, in every instance, Ms. Bertini and the 8,000 dedicated members of the World Food Programme staff were able to confront and halt incipient starvation and prevent large-scale famine from occurring. As a result of the changes she implemented, WFP has become known for its exceptional ability to provide assistance to the hungry, delivering food by whatever means necessary. At Ms. Bertini’s direction, WFP repaired the transportation infrastructure in the Beria Corridor in southern Africa, rebuilt the Georgia-Armenia-Azerbaijan railroad line, carried out the largest humanitarian airdrop in history in Sudan, and even delivered food to the hungry on the backs of elephants and mules when circumstance demanded. An “Unsung Hero” working a “Logistics Miracle” Former US President George Bush, a member of the World Food Prize Council of Advisors, praised Ms. Bertini for having worked a “logistics miracle,” in getting food to 16 million people in the drought ravaged Horn of Africa and later in the face of severe winter conditions to millions in Afghanistan. Britain’s then International Development Secretary, Clare Short, called Ms. Bertini and the World Food Programme the “Unsung Hero” of Afghanistan for efforts that saved nine million people on the brink of starvation in 2001. UN Secretary General Kofi Annan said of Ms. Bertini, “I asked her to lead the UN effort to prevent starvation in the Horn of Africa. She led so effectively that she became a household name among the leaders and the needy of the region.” Honduran President Ricardo Maduro, after WFP’s lifesaving efforts following Hurricane Mitch, said, “On behalf of the people of Honduras, I deliver a message of gratitude and recognition for your efforts in combating hunger and assisting the poor…” Empowering Women for Food Security and Ensuring Nutrition for Children Ms. Bertini, in a key insight, changed WFP delivery mechanisms to channel food aid through women to ensure widespread food distribution in emergency situations. “It is women who gather and prepare food and ensure that all members of the family are fed,” said Ms. Bertini. As a result of this innovative change, more than 60 percent of all WFP assistance is now delivered through women. A forceful advocate for women’s rights, Ms. Bertini and her courageous staff successfully resisted an edict from the then ruling Taliban in Afghanistan to close the World Food Programme bakeries she had established which were being run by Afghani women. Combating the scourge of childhood malnutrition has been another key emphasis for this year’s Laureate. Under Ms. Bertini’s leadership, 3.3 million North Korean children were rescued from severe malnutrition by a WFP feeding program. Subsequently, Ms. Bertini and the WFP joined in implementing the US sponsored global school feeding program, which in 2002 helped improve the health, livelihood and education of 16 million children in 64 countries. Addressing Homeland Hunger Before leading the World Food Programme, Under Secretary Bertini spent five years addressing critical issues in nutrition among the poorest Americans, particularly women and children. Ms. Bertini served in the Department of Health and Human Services (HHS) and later as Assistant Secretary of Agriculture, where she pioneered changes in the Special Supplemental Nutrition Program for Women, Infants and Children (WIC) which assisted one in every three babies born in the United States. As Assistant Secretary of Agriculture, Ms. Bertini successfully proposed modifying the law to allow states to use Electronic Benefit Transfer Systems for Food Stamp distribution. Using debit cards rather than coupons to distribute food stamps greatly reduced the administrative costs of the program by decreasing fraud, simplifying the distribution process and ensuring that benefits reached the persons for whom they were intended. Like her later work at WFP, this approach provided poor families, many of which were headed by women, much more control over the food for their families. Catherine Bertini grew up in Syracuse and Cortland, New York, and graduated from the State University of New York in Albany. A serious student of music, Ms. Bertini credits attendance at a summer camp for teen age Republicans as changing the direction of her life to public service. After graduation from college she worked with then Governor of New York, Nelson Rockefeller. Ms. Bertini is married to Tom Haskell, a professional photographer. They reside in their childhood hometown of Cortland, New York. The 2003 World Food Prize International Symposium “Defeating Hunger and Famine” October 16-17 Downtown Marriott Hotel Des Moines, Iowa, USA THURSDAY, OCTOBER 16 8:00 AM Welcome and Introduction to the Symposium Ambassador Kenneth Quinn, President, The World Food Prize Foundation Dr. Norman E. Borlaug, Nobel Peace Prize Laureate 8:15 – 8:45 Feeding the World: The View from Iowa The Honorable Tom Vilsack, Governor of Iowa 8:50 – 9:25 Building a Solution for Real Progress on Hunger in Africa Dr. Peter McPherson, Founding Co-Chair, Partnership to Cut Hunger and Poverty in Africa 9:30 – 10:15 The Human Development Report 2003 Dr. Sakiko Fukuda-Parr, Director, Human Development Office, UN Development Programme 10:20 – 10:50 Globalization and World Hunger: An Independent Monitoring of Progress Dr. Per Pinstrup-Andersen, 2001 World Food Prize Laureate 10:50– 11:50 The Millennium Declaration to End Hunger in America Barbara Wallace, Executive Director, RESULTS / RESULTS Educational Foundation Robert Forney, President, America’s Second Harvest David Beckmann, President, Bread for the World H. Eric Schockman, President, MAZON: A Jewish Response to Hunger 12:00 – 1:45 KEYNOTE LUNCHEON: The Millennium Development Compact Dr. Jeffrey Sachs Director, The U.N. Millennium Project 2:00 – 3:00 Global Health and Food Security: Imperatives for the Future Dr. Josh Ruxin on Global Health and Food Security Dr. Mushataque Chowdhury on Nutrition, Women, and Children Dr. Elliott Sclar on Hunger and the Urban Poor 3:00 – 3:30 What Developing Countries Need to Achieve Food Security The Honorable Andrew Natsios, Administrator, U.S. Agency for International Development 3:30 – 4:00 How to Reduce Poverty and Malnutrition through Science and Technology The Honorable Patty Judge, Iowa Secretary of Agriculture, Session Chair The Honorable Ann Veneman, U.S. Secretary of Agriculture FRIDAY, OCTOBER 17 KEYNOTE BREAKFAST Defeating Hunger and Famine: The View from Africa H.E. Wilberforce Kisamba-Mugerwa, Minister of Agriculture, Republic of Uganda Ms. Cade Fields-Gardner, HIV/AIDS Nutrition Advisor, World Initiative for Soy in Human Health (WISHH) Launching of “Perspectives in World Food and Agriculture: 2004” Published by Iowa State Press, Edited by Dr. Colin Scanes and Dr. John Miranowski 9:00 – 11:00 The Fight Against Hunger: Report from the Millennium Project Task Force on Hunger Dr. M.S. Swaminathan, 1987 World Food Prize Laureate, Session Chair Dr. Pedro Sanchez, 2002 World Food Prize Laureate, Overview Dr. Sara Scherr on Overarching Policy Reforms Dr. Christopher Dowswell on The Early Action Plan Dr. Kevin Cleaver on Communicating the Message to the Donor Community Mr. Richard Bearhs on Communicating the Message to the Public 11:00 – 12:00 Feeding the World in a Sustainable Environment Dr. Roberto Lenton on Water, Sanitation, and Food Security: Synergies and Trade-offs Dr. Jeffrey McNeely on Environmental Sustainability and Food Security Dr. Jeroen Bordewijk on The Food Industry Response to Sustainable Agriculture 12:00 - 12:10 Remarks by The Honorable Jo Ann Emerson, U.S. House of Representatives 12:15 – 2:00 WORLD FOOD PRIZE LAUREATE LUNCHEON The Honorable Catherine Bertini Under Secretary General for Management The United Nations 2:00 – 2:30 Results of the Alliance to End Hunger Poll 2:30 – 4:30 Presidential Candidates’ Forum Dr. Catherine Wotecki, Dean of the College of Agriculture, Iowa State University, Moderator “Perspectives in World Food And Agriculture” Featuring Presentations at the 2002 World Food Prize International Symposium, including: edited by Dr. Colin Scanes and John Miranowski of Iowa State University “Feeding a World of 10 Billion People: Our 21st Century Challenge.” by Dr. Norman E. Borlaug Hosting an Annual International Dialogue on Food, Hunger and Poverty During the week of October 12-18, The World Food Prize has been pleased to welcome over 800 representatives of governments, businesses, academic and research institutions and non-governmental organizations for what we hope has been a valuable opportunity to “Build Alliances to Defeat Hunger and Famine.” The Des Moines Public Library Building Celebrating its 100th Birthday on October 13, 2003 Just as the world’s economic leaders meet in Davos, Switzerland each year, The World Food Prize Foundation is dedicated to making Des Moines the World Food and Agriculture Capital each October, drawing participants from around the globe for the “Most Significant Observance of UN World Food Day Anywhere Around the Globe.” With a $5 Million pledge from the Ruan Family and a matching contribution from Polk County through the Vision Iowa Program and generous assistance from the Federal Government, the Des Moines Public Library Building will be transformed into a World Food Prize Hall of Laureates honoring the heroes of the struggle against hunger and serving as the convocation center for an International Dialogue each October. The World Food Prize Wishes to Thank the Following Sponsors for Their Generous Support: The Governor and The State Legislature of Iowa The John Ruan Trust The Iowa Department of Economic Development Ruan Transportation Management Systems Ahmanson Family Trust • Greater Des Moines Foundation Monsanto • Pioneer Hi-Bred International • Ruan Securities International Truck and Engine • Council for Biotechnology Information The Iowa Soybean Promotion Board • The Iowa Corn Promotion Board World Initiative for Soy in Human Health American Farm Bureau • Belin Law Firm • Des Moines Marriott • Essex Meadows Farm Bureau Life, Inc. • International Traders of Iowa • John Deere • Mid-America Group, Inc. Mid-American Energy • Pioneer Graphics • Principal Financial Group Foundation The Better Safer World Foundation • Reynolds and Reynolds, Inc. • Screenscape Studios Bankers Trust • Bauer Bilt Tires • Casey’s General Store • Central States Theatre Corporation Patty and Jim Cownie Foundation • Crawford and Co. • W.T. Dahl Federal Home Loan Bank • Gregory Aviation • Bill and Karen Hess G. David Hurd • Tom Hutchison • Hy-Vee • Iowa Export-Import Trading Company Iowa Motor Truck Association • Iowa Savings Bank • Sam Kalainov Hal Manders • Tom Mehl • Mercy Medical Center • Onthank Co. Storey Kenworthy • Townsend Engineering • Michael Trafton • Greg and Stacey Tucker Ventoux Capital • West Bank • Windsor Charitable Foundation THE WORLD FOOD PRIZE 666 Grand Avenue, Suite 1700 Des Moines, Iowa, USA 50309 Ph: 515-245-3783 Fax: 515-245-3785 email@example.com www.worldfoodprize.org
8th ReSPA Governing Board Meeting at Ministerial level: Albania hands over chairmanship to Bosnia and Herzegovina Tirana, 6 November 2017 – Ministers in charge of public administrations in the Western Balkan countries met in their capacity of members of the ReSPA Governing Board at Ministerial level for the 8th ReSPA Governing Board meeting. At the beginning of the meeting, Senida Mesi, Deputy Prime Minister of the Republic of Albania, highlighted Albania’s chairing of ReSPA in the previous year and said that “the presence of ministers from the Western Balkans at the meeting in Tirana shows readiness of each country to further collaborate with each other regarding strengthening of capacities for the implementation of Public Administration Reform, and the exchange of experiences with the main objective towards the integration in the European Union.” Bernard Brunet, representative of the European Commission DG NEAR, said that the European Commission is committed to ReSPA “not only as the institution itself, but also to the regional cooperation that ReSPA embodies.” “I see ReSPA’s future brighter than five years ago. It has a better financial position, clear vision and strong support of all the countries in the region,” Brunet said. During her address to the members of the ReSPA Governing Board, Director of ReSPA Ratka Sekulovic pointed out that “the Public Administration Reform (PAR) in the Western Balkans region is a very demanding task that requires significant resources and sincere political commitment.” “The new 2019-2024 ReSPA Strategy will enable us to better integrate and synergise our efforts in order to provide the best possible impact in the implementation of PAR Strategies in the region,” Sekulovic added. During the meeting, ReSPA Secretariat and experts presented on several important topics such as: Better Regulation efforts, Methodology for Costing of PAR Strategies, examples of good practice in e-recruitment for public service in Albania, and quality management in public administration. Members of the ReSPA Governing Board endorsed ReSPAs Annual Report, as well as the Recommendations for Improving Public Participation, and encouraged ReSPA to follow up, in cooperation with the Regional Cooperation Council (RCC), on their implementation by relevant institutions. ReSPA Governing Board also took note of the Highlights of ReSPA activities planned for 2018, and adopted the Annual envelope and ReSPA Budget for the next year. At the end of the meeting, Bosnia and Herzegovina formally accepted Chairing of ReSPA from Albania in a ceremony of handing over the ReSPA Flag. New Chair of ReSPA, Minister of Justice of Bosnia and Herzegovina Josip Grubesa, said that for him personally, taking over the Chairmanship of ReSPA “is a big challenge as well as responsibility.” “For Bosnia and Herzegovina, since we are taking over from the Republic of Albania who in the last year accomplished significant progress in the Public Administration Reform, it will mean firm determination to follow the example and use possibilities of cooperation with ReSPA to make improvements in the public sector,” Grubesa said. During the day, on the margins of the ReSPA Governing Board meeting, a number of bilateral ministerial meetings were held, through which regional cooperation is additionally strengthened. 10th ReSPA Annual Conference: Innovation in Public Administration – Navigating in Times of Change Budva, 12–13 October 2017 – The ReSPA Annual Conference gathered over 150 participants and 37 speakers from more than 50 different institutions of the Western Balkans, EU and worldwide to identify the best-case examples of innovative processes in Public Administration, and the challenges of their integration for the countries of the Western Balkans. ReSPA’s 2017 conference on “innovation’ and transformation” builds on last year’s 9th Annual Conference devoted to “optimisation¹ and incremental change”. In her opening speech, ReSPA Director Ratka Sekulovic said: “Over the past thirty years we have learnt that the public organizations that are most open to trying out new ideas and programmes, discover that their readiness to innovate makes them stronger and more efficient, regardless of which country or public they are serving. That is the reason why this conference opened the door to renowned institutions and speakers not only from the European Union and the Western Balkans, but also from across the globe. We have also understood that a silo orientation in public administration is not an answer but an obstacle to confronting old and new, local and global challenges.” --- 1 If optimisation is about improvement and incremental change, innovation is about transformation and more radical change. While, historically innovation has always been a characteristic of successful public administration, today it is faster and more profound than ever before. The economic crisis has increased the pressure for innovation in the public sector of many countries even more, and nearly all international development organisations are now engaged in propagating innovation. 2 The OECD defines innovation as „the implementation of a new or significantly improved product (good or service), or process, a new marketing method, or a new organisational method in business practices, workplace organisation or external relations”. It suggests a framework for public sector innovation with four components: (1) Generating and Sharing ideas, (2) Empowering the Workforce, (3) Navigating Rules and Processes, and (4) Reviewing Organisational Design. Hermann Spitz from the EU Delegation to Montenegro followed her lead and said: “Our societies are changing more rapidly than ever before. So, public administration cannot sit idle and watch. It has to take up the challenge and change by adapting more effective business models, and improve its service delivery for the benefit of the citizens. In this regard, the ReSPA Annual Conference can contribute to the debate by sharing experiences, lessons from the past, new tools and approaches.” “Changes were never easy in this part of the world. Managing them, it is probably even more difficult. And changes through embracing new ideas and innovations, that is the only way towards a higher level of openness and transparency of public institutions,” said Suzana Pribilovic, Minister of Public Administration of Montenegro. Josip Grubesa, Minister of Justice of Bosnia and Herzegovina underlined the importance of adequate human resources. “Modernisation and improvement of public administration is the priority for all of us. However, such progress cannot be achieved without new ideas; and the ideas are created by the people. Consequently, people are the most valuable resource of public administrations,” Minister Grubesa said. Participants’ Innovation Challenges The first day of the 10th ReSPA Annual Conference provided a platform and a framework for understanding and integrating innovation in public administration. Different views of young people and special client groups were articulated, the value of innovation in practice was critically examined, and various dimensions of innovation, such as the social, technological, organisational aspects of innovation, were actively discussed. Additionally, new innovation methods such as hackathons were taken into consideration for creative problem solving in the public sphere. Participants in the Conference also shared their views on major innovation challenges in public administration. During the second day of the Annual Conference, within the ReSPA Café, an open discussion on the structure, culture and personal change took place. A central question was how to promote innovation in public administration and how to address the needed cultural changes. Recognising, measuring and awarding innovation outcomes were explored in other conference sessions. The exchange on regional and international experiences with innovation award schemes gave the participants valuable insights in how to organise such a learning and sharing process in the future. Conference conclusions Storytelling has been highlighted as one of the most practical and efficient ways to examine the opportunities for building an organisational culture, no matter if the focus is on developing countries or not. Nonetheless, challenges and goals are the same: opening to the public needs and exploring even beyond that. During the ReSPA Café, the participants generated a lot of great ideas and inputs for the organisational change and transformation of governments. The enthusiasm of individuals has been underlined as one of the success factors and a driving force of the non-existing formula for innovation in the public sector. The presented innovation projects from the Western Balkans confirmed that there are Participants state: “This year, parents could use an electronic service that we introduced on the e-government portal: it concerns enrolment of children in elementary schools. This service reduces one go to school by scheduling appointments with psychologist (online), which in those moments means so much to them.” Mirjana Begovic, eGovernment and Information Security Directorate, Ministry of Public Administration, Montenegro “The profile of civil servant of today is changing. Common digital transformation is not giving any benefits if not followed by social innovation.” Rozalinda Stojova, Ministry of Information Society and Administration, Macedonia “Changing the mindset of public servants takes time and a lot of effort, especially from individuals in public administration. Now we are gradually widening the circle of people involved, so it is getting easier.” Milan Josimov, Ministry of public administration and local self-government, Serbia “The success of innovations in the public sector depends on the people, but you need a leader who thinks in that way. You know, we need leaders who say: ‘It is not important who makes the decision; what is important is that the best decision is taken.’ And we are convinced that the best decision is taken by everyone in the organisation. Not by the Numero Uno, and this is the case in a lot of organisations.” Frank van Massenhove, the chairman of the Belgian Federal Office of Social Affairs good case examples in the region - even though there is a lot of room for improvement, where ReSPA can provide further support. Conference participants have contentedly voted for the introduction of a Western Balkans Public Sector Award. Establishment of this award will be one of ReSPA’s long term objectives, again requiring an effort from all the stakeholders in the region, the EU and around the globe. The aim of the Public-Sector Award will be to support a continuous dialogue in the Western Balkans through an exchange of best practices and fostering of an organisational culture. The conclusion was also that using information and communication technologies through a hackathon could be an added value. This gives ReSPA space to exploit possibilities for organising a hackathon (ReSPAthon), or a similar event in the future. At the conference, ReSPA Director Ratka Sekulovic mentioned ResPA’s intent to establish a regional Quality Management Centre. Director Sekulovic emphasized that such an establishment can follow on all the ideas reflected during the conference, by using quality management tools which represent a holistic approach in addressing the above listed innovation subjects: strategic planning; strong administrative and political engagement; increasing cooperation with citizens and NGOs; social responsibility; client/citizen/stakeholder orientation, and the needed strong political buy-in. During the event, it became clear that ReSPA would need to put a stronger focus on quality in public service delivery, as well as on enhancing managerial accountability through better use of quality management systems. The results of ReSPA’s efforts in this domain will be reflected in its events in the upcoming year, including the next ReSPA Annual Conference. Final discussions at the conference have led to the conclusion that it is obvious that solutions of the past cannot be the same as for the future. Furthermore, the shifting focus should be on what is being done in Public Administration and how it can be done differently. As for public servants, a safe environment with appreciation and motivation at work must be a priority in changing the internal culture. This can only happen in a culture which allows experimentation, risk taking and potential failure; with a clear role of the leadership that needs to put the organisation in a strategic focus, to serve as an example of how to encourage different team setups, and to foster a new and safe culture in the organisation. Several definitions of innovation have been reflected on during the event, and one of them was: “New things that add value!” ReSPA Director participated at the SIGMA Ministerial Conference “Good Public Governance – Delivering for Citizens and Businesses” Paris, France, 13-14 December 2017 – “Public administration reform is a process which never stops,” said Jean-Eric Paquet, Deputy Secretary-General of the European Commission at the SIGMA Ministerial Conference. This conference gathered all of SIGMA’s partners at ministerial level for the first time in 25 years, with the aim to discuss good public governance and how it can help to deliver better outcomes and services for citizens and businesses. ReSPA Director Ratka Sekulovic used participation in the event to connect with attendees from different perspectives and views, exchange the ideas and opinions and pave the way for firmer collaborations of ReSPA and its counterparts based on shared values. Some of the topics discussed at the conference were transformation of public administrations to deliver for citizens in challenging times; importance of public governance for a long-term economic development; citizen engagement as part of governance reforms; importance of the rule of law for citizens and businesses; supporting structural economic reforms through good public governance; creating a competitive and business-friendly environment through better public services and developing a transparent, predictable and accountable approach in public governance to contribute to the rule of law in practice. Workshop on Structured Democratic Dialogue Nicosia, Cyprus, 6-7 December 2017 – The Cyprus Academy of Public Administration (CAPA) hosted ReSPA’s Workshop on Structured Democratic Dialogue, where a new strategic perspective of ReSPA has been discussed in a participatory manner. ReSPA Governing Board members at senior level and members of the ReSPA Secretariat took this opportunity to get a grasp of the CAPA’s experience and practical implementation of the Structured Democratic Dialogue methodology. This becomes even more important in light of the fact that CAPA is an extraverted organisation that has always kept up with the international trends in Public Administration, in order to adapt its assistance to the customers from the civil service and wider public-sector organisations. The interactive workshop on Structured Democratic Dialogue demonstrated how the related methodology can be applied in complex situations involving many stakeholders with diverse perspectives, in order to help better define a problem and choose the best solution while at the same time cultivating participants’ commitment to the implementation of decisions. This workshop was preceded by 33rd ReSPA Governing Board meeting at Senior Official level. The Governing Board discussed the internal affairs related to programme and operational issues. Among others, the Governing Board approved the Quarterly Report for the previous period; adopted the Resolution on the extension of Programme of Work 2016-2017 to 2018, and approved the 2018 Plan of Activities and 2018 Communication Action Plan. Moreover, the Governing Board agreed on further steps related to the In-Country Support Mechanism Utilization and involvement of the Governing Board members in ReSPA events. ReSPA’s participation in the Danube Governance Forum: Improving Governance Together Vienna, 4 December 2017 – The Danube Governance Forum was organised by the programme Capacity Building of the countries in the Western Balkans and the Republic of Moldova (BAC-ID), in cooperation with ReSPA and the Network of Associations of Local Government Authorities in South-East Europe (NALAS). The Forum was focused on: i) improving the capacity of public administration within the Danube Governance Hub; ii) enabling local governments to fulfil EU standards and deliver better services. The objective was to agree on the priorities in improving governance of the countries in the Region on their way to the European Union, while promoting the cooperation of the public sector – national and local institutions – with civil society, science and the business sector. The event gathered more than 100 participants for the final event of the current phase of the BACID programme. The participants represented national public administrations, local governments, civil societies, media and science from 16 different countries, as well as international organisations. Goran Pastrovic, Programme Manager was engaged in the Quality Management (QM) panels to present the work of ReSPA in this area. He has mentioned that according to ReSPA’s experience, primarily deriving from studies (regional baseline QM study and Feasibility study on the establishment of QM centre), QM may contribute to the PAR reform through transformation of organisational culture. Goran Pastrovic further elaborated that it can be realised by yielding the floor to those who know their institution best, who know where the bottlenecks are. How can QM Systems be used for finding solutions? – By initiating an open and structured dialogue in the QMS team internally and with the management. An open, structured and monitored dialogue with the employees (employee satisfaction surveys), stakeholders, veto players, clients, users and citizens (other types of surveys). The success factor lies in publishing of the results (where possible), communicating them (internally and/or externally), etc. Actually, QM can contribute in a simple way: by improving the institutional performance in all its aspects, in the long term, according to the mandate, vision, and mission. What are the success factors and next steps for the implementation of Quality Management tools in the Public Administration Reform? “The main success factor for implementing Quality Management is senior management commitment. They have to support it on a political level and to understand what its instruments are. The main conclusion of the conference regarding the next steps for implementing Quality Management in the Western Balkans is that they be made through the establishment of the Regional Quality Management Centre; and the role of ReSPA here could be very important,” said Thomas Prorok, Deputy Managing Director of the Austrian based KDZ Centre for Public Administration Research and the organiser of the Danube Governance Forum. Another two reputable speakers at the conference gave their views by responding to the same question. Marija Nikoloska from the Ministry of Information Society and Administration of Macedonia stated that the exchange of experiences in the Western Balkans region is one of key success factors for implementing Quality Management tools in Public Administration. Samra Ljucu from the Civil Service Agency of the Federation of Bosnia and Herzegovina explained that ReSPA could have a significant role in promoting Quality Management tools in her country and all over the Western Balkans region. The final outcome of the conference was an agreement on the success factors and proposed further steps to be implemented under the Danube Governance Hub (Vision and Mission) in the following fields: Open Government, Quality Management, Better Services for Citizens, Involving Civil Society and Businesses, Decentralization, Public-Private Partnership, Local Economy, EU Funding for Municipal Services. Regional Conference on Measuring Gender Equality in the Western Balkans ReSPA, 1 December 2017 – Achieving gender equality in the countries of the Western Balkans being a continuous challenge, issues and policies related to this aspect are inevitably gaining relevance in the pre-accession countries in this region. Gender equality is a new field of work for ReSPA, and its representatives set out to find partners in public administrations of ReSPA Members who could support a joint endeavour to make a more forceful regional cooperation in this field. Cooperation was initiated with the Department for Gender Equality of the Ministry for Human and Minority Rights of Montenegro, and their representatives partnered in the organisation of the Regional conference entitled „Measuring Gender Equality in the Western Balkans.” Partners in the conference were also the Coordination Body for Gender Equality of the Government of the Republic of Serbia, and the Social Inclusion and Poverty Reduction Unit of the Government of the Republic of Serbia. With an aim to influence development of gender equality policies in ReSPA Members, the conference brought together more than 50 public servants dealing with gender equality issues in relevant governmental institutions of the Western Balkans, experts from the region and the EU, representatives of non-governmental organisations active in this field, and representatives of international organizations (UNDP, EIGE, OSCE). The main themes were gender equality policies in the Western Balkans, and measurements with a focus on the Gender Equality Index and its application in policy making. Also, the participants were acquainted with the main findings of the comparative research on Gender Equality in Public Administration in the Western Balkans. One of the most interesting themes to the conference participants was EU’s Gender Equality Index as a composite indicator for measuring the concept of gender equality. Based on the EU policy framework, it also serves to monitor the progress of gender equality across the EU. Measuring progress of gender equality is an integral part of effective policy-making. Thus, the Gender Equality Index supports the development and implementation of evidence-based gender equality policies and legislation, and shows different outcomes of those policies for women and men. It is to be hoped that this mechanism will help to further raise the awareness of public servants in ReSPA Members of progress and challenges in the implementation of gender equality policies. ReSPA Secretariat and regional public administrations have provided inputs for the Study on Gender Equality in Public Administration in Western Balkans, a specific research project implemented by the European Commission DG NEAR during 2017. The Study is now being finalised, and its preliminary results were presented at the Conference. During 2018, ReSPA will continue exploring options to expand activities in domain of gender equality in public administration. Keynote speakers’ quotes “It is important to establish the Gender Equality Index as an important measuring instrument for further creation of gender equality policies.” Zana Filipovic, General Director a.i. of the Directorate for Relations with Religious Communities within the Ministry for Human and Minority Rights of Montenegro “What we want to do now is make a step further into building a system which will endorse gender equality as its core cross-cutting principle based on human-rights and anti-discrimination commitments.” Fiona McCluney, UN Resident Coordinator and UNDP Resident Representative to Montenegro “Republic of Serbia is the first country in the Western Balkans to have used Gender Equality Index as a tool for measuring gender equality. Representatives of the Social Inclusion and Poverty Reduction Unit (SIPRU), and the Coordination Body for Gender Equality of the Government of the Republic of Serbia are happy to share their findings and experiences with the other Western Balkans countries.” Branka Draskovic, Special Advisor to the Deputy Prime Minister and to the President of the Coordination Body for Gender Equality of the Republic of Serbia “We believe that the mechanism for measuring gender equality is very important. However, through fieldwork in local communities, we have realised that there was not enough awareness of the importance of using such mechanisms. It is upon all of us to point out that it is not just a female theme and that it is far from insignificant.” Gordana Stevanovic, Deputy Ombudsman at the Government of Serbia “EIGE’s principle of working with project beneficiaries is transparent and demand-driven: invitation for cooperation has to come from a country. Support to EU candidate and potential candidate countries lies in their gender equality endeavours, in line with EU gender equality policies.” Jolanta Reingarde, European Institute for Gender Equality (EIGE) “Sharing regional experiences is an excellent opportunity for all of us committed to gender equality. For the OSCE, gender equality is particularly important.” Lia Magnaguagno, Head of the Democratization Programme at the OSCE Mission to Montenegro Belgrade, 30 November – 1 December 2017 – 12th Meeting of the Working group on Ethics and Integrity contributed to sharing good practices in domain of detecting conflict of interest and integrity. Participants in the meeting were 30 members of the Ethics and Integrity Working group and Working Groups on Human Resource Management and Development (HRMD), Public Procurement (PP), and Administrative Procedures and Administrative Justice (APAJ), senior officials of the Western Balkans institutions responsible for preventing and combating corruption (heads/deputy heads of anti-corruption agencies, conflict of interest commissions, ministries of justice, etc). The meeting was also attended by a representative of the Transparency International Serbia. “My expectations from this meeting were to find out what were legal frameworks on this topic in the Western Balkans, what types of detecting conflict of interest had been established in the countries of our region, and what were the problems in the implementation of this system. The event met my expectations to a great extent, thanks to the organisers and their excellent preparation. The inputs from this event will be very useful for my future work, especially in terms of administrative disputes before my administrative court regarding access to free information and conflict of interest. I will also keep in touch with the colleagues from Montenegro and Macedonia,” Judge Jelena Tisma Jovanovic from the Administrative Court of the Republic of Serbia said. The draft textbook on Integrity Challenges in the Western Balkans was presented on the first day and commented by the members of the Working Groups. The textbook has been developed by the Norwegian Centre for Integrity in the Defence Sector (CIDS). At the meeting, it was agreed to develop training modules on integrity in different areas that the integrity relates to: Human Resource Management, Public Procurement, Conflict of Interest, Internal Financial Control, Access to Information of Public Interest, and Administrative procedures. Cooperation of CIDS and ReSPA will continue in regard to further work on the integrity related activities. A draft methodology for detecting hidden conflicts of interest was presented on the second day of the meeting, and comments/proposals obtained will be used for its finalisation. “I think all the experts’ explanations are very important for our daily work. To this regard, we really appreciate some examples related to the detection of hidden conflict of interest, due to the fact that all the countries in the region have adopted legal frameworks for prevention. Therefore, it is important to correct the way of implementation of the appropriate norms. In Albania actually, the law on free access to information is being implemented, and eProcurement will raise the transparency and will contribute to the impartiality of public officials,” Agathi Nano, Expert at the Section of Inspection, Government of the Republic of Albania commented. ReSPA participated in the Meeting of the South-East Europe 2020 (SEE 2020) Strategy’s Coordination Board Vienna, 30 November 2017 – Within its mandate, ReSPA ensures effective coordination of the implementation of the Dimension N – Effective Public Services of the Governance for Growth Pillar of the SEE2020 Strategy. At the meeting, the Coordination Board assessed the monitoring process of the Strategy implementation in 2017, the results presented in the Annual Report on Implementation, as well as the key findings of this year’s Balkan Barometer Survey. They also discussed the SEE 2020 Programming document 2018–2020, timelines for the next programme cycle, and roles and responsibilities of the stakeholders. ReSPA Programme Manager (Legal) Dusko Glodic presented the Strategy related activities that have been accomplished by ReSPA during 2017, in the areas of Better Regulation, Human Resources Management Policy and Quality Management. ReSPA representative underlined the importance of the newly established ReSPA Coordination Structure for the Governance for Growth Pillar of the SEE2020 Strategy. This meeting of regional organisations and structures involved in the implementation of the SEE2020 Strategy also aimed at exploring the potential for expanding cooperation with other regional organisations and structures. 7th Meeting of the Public Administration Reform (PAR) Network Ohrid, 29–30 November 2017 – Public Administration Reform (PAR) Network has an important role in coordination of ReSPA working groups and in provision of holistic approach to all ReSPA’s activities. Consequently, the key topics for the meeting were designed to put the focus on the Methodological Guide for Costing PAR Strategies, and the role of Public Internal Financial Control (PIFC). in enhancement of Managerial Accountability. These topics are especially important for public officials and servants responsible for PAR, especially in terms of development and application of action plans for the implementation of PAR strategies. Therefore, it has been agreed that ReSPA explore options for organising tailor made seminars on the implementation and utilisation of the tool, in cooperation with the EC, SIGMA and CEE. During the meeting, the Feasibility study on the establishment of a regional Quality Management centre in ReSPA was presented to the network members. ReSPAs Plan of activities for 2018 was also presented, including its purpose, logic of interventions, timetable, locations of various events; as well as the development of ReSPA Strategy 2019-2024 and the new EC grant 2019-2022. The important segment of the meeting was devoted to a traditional exchange of information on the most relevant activities of ReSPA working groups between 6th and 7th meetings of PAR Network. First Meeting of the ReSPA Coordination Structure for Governance for Growth Pillar of the South-East Europe 2020 Strategy Sarajevo, 23 November 2017 – ReSPA organised the first meeting of its Coordination Structure for Governance for Growth Pillar of the SEE 2020 Strategy in cooperation with the Regional Cooperation Council (RCC). This structure is composed of representatives of the already existing ReSPA Working Groups which activities are directly connected with the SEE2020 Strategy and its Effective Public Services dimension: the Working Group on Better Regulation, Working Group on Human Resources Management and Development, and the Working Group on Quality Management. At the meeting, members of the new Coordination Structure gained additional information about the role of Governing and Coordination Structures for SEE2020 Strategy, specifically about the Governance for Growth Pillar and its Dimensions and Activities. The Employment and Social Affairs Platform was presented as a particular project for the implementation of the SEE2020 Strategy; a model of regional flagship initiatives in the implementation of the SEE2020 Strategy was presented, too, as well as the monitoring cycle and the Balkan Barometer 2017, including integration of results of Balkan Barometer into SIGMA PAR assessments. Representatives of ReSPA introduced their plans regarding PAR and Governance for Growth, while RCC highlighted the interconnected areas of cooperation such as improvement in public participation quality though collaboration with the ReSPA Better Regulation Working Group. The Coordination Structure will ensure future cooperation between ReSPA and RCC, especially in programming and monitoring phases of the annual cycle of implementation of the SEE 2020 Strategy. ReSPA takes part in Cyber Security Drill for Europe and CIS Regions Chisinau, Moldova, 21–23 November 2017 – A three-day cyber drill – Joint ALERT (Applied Learning for Emergency Response Teams) for Europe and CIS Regions, was hosted by the Ministry of Economy and Infrastructure of Moldova. The event was organised by the Telecommunication Development Bureau (BDT) of the ITU in cooperation with the Regional Cooperation Council (RCC) within the framework of the ITU Regional Initiatives for Europe and for CIS. In his opening speech, Pavel Filip, Prime Minister of Moldova stressed the crucial importance of capability to deal with cyber threats and cyber security as they far exceed national boundaries. The conference gathered technical and management teams taking part in the drill, as well as over 120 experts in tech field of cyber security and management. The interactive communication was supplemented by simulation of hackers’ attacks highlighting the need of holistic approach and preparedness in crisis management. At the event, the representatives of ReSPA presented their work in the eGovernment area with special emphasis on practical experiences in Open Data and eParticipation in respect of cyber security. Representatives of ReSPA and RCC signed Memorandum of Understanding ReSPA, 10 November 2017 – ReSPA Director Ratka Sekulovic and Gazmend Turdju, Deputy Secretary General of the Regional Cooperation Council (RCC), have formalised the productive cooperation between the two organisations by signing a Memorandum of Understanding. ReSPA is RCC’s partner in implementing the Effective Public Services Dimension of the Governance for Growth Pillar of the South East Europe 2020 Strategy. In the framework of the MoU, ReSPA and RCC will continue cooperation to improve the capacities of the public sector for development and implementation of policies in line with the goals of the SEE 2020 Strategy. Ambassador of Kosovo* to Montenegro visited ReSPA ReSPA, 10 November 2017 – During his visit to ReSPA, Ambassador of Kosovo* to Montenegro H.E. Skender Durmishi emphasized the importance of this organisation for the Western Balkans region in relation to the process of public administration reform. He also expressed gratitude for ReSPA’s continuous support to the capacity building of civil servants in Kosovo. Ambassador Durmishi informed ReSPA Director Ratka Sekulovic that the Government of Kosovo had adopted the Initiative for Accession of Kosovo* to ReSPA in October 2017. It is expected that the Parliament will adopt the Law on Accession of Kosovo* to ReSPA by the end of the year. Director Sekulovic thanked the Ambassador for the visit, and stated that ReSPA would continue supporting the governments in the Western Balkans in developing better public administration, public services and overall governance systems for their citizens and businesses, and help them in preparations for the European Union membership. * This designation is without prejudice to positions on status, and is in line with UNSCR 1244 and ICJ Advisory opinion on the Kosovo Declaration of Independence ReSPA at the DISPA Meeting Tallinn, 14–16 November 2017 – ReSPA Director Ratka Sekulovic has taken part in the meeting of the DISPA (Directors of the Institutes and Schools for Public Administration) network. The meeting was devoted to bridging of gaps between training needs and design of programme activities using different ways and methodologies of development. The ReSPA Director used the opportunity to exchange experiences, good practices and lessons learned in the field of Public Administration with the directors and representatives of the Institutes and Schools of Public Administration, and to explore possibilities for cooperation between ReSPA and its counterparts in the wider region. ReSPA continuously facilitates improved cooperation among technical secretariats of National Investment Commissions ReSPA, 31 October 2017 – The 3rd Conference on regional co-operation among technical secretariats of the National Investment Commissions (NICs) of the ReSPA Members and Kosovo* was organised in order to 1) enable a follow up of the activities organised during 2015 and 2016; and to 2) provide a platform for exchanging experiences acquired during the previous period in relation to the functioning of NICs and its technical secretariats, the functioning of sector working groups, and preparation/revision and updating of the Single Project Pipeline. The cooperation among technical secretariats, promoted and supported by ReSPA since 2015, has become one of key ReSPAs instruments for strengthening the capacities of its Members for the use of IPA funds and obtaining support for infrastructure projects from the Western Balkans Investment Framework. During the event, the participants discussed the upgrade and revision of the Single project pipelines; they shared experiences and emphasized the importance of interinstitutional cooperation, coordination with the international finance institutions and functioning of sectoral working groups. They also provided recommendations on how ReSPA could further support their work. Meeting of representatives of the European Commission, OECD-SIGMA and ReSPA Brussels, 23 October 2017 – The meeting gathered the representatives of the European Commission’s DG NEAR (European Neighbourhood Policy and Enlargement Negotiations), DGBUDG (Directorate-General for Budget), OECD-SIGMA and ReSPA. The main themes discussed were Managerial Accountability, Quality Management and planned establishing of the Quality Management regional centre at ReSPA. The discussion was inspired by ReSPA’s Feasibility Study (April – September 2017) where establishment of the mentioned regional Quality Management centre has been proposed. Using a focus group as a qualitative research tool, this study aimed at identifying the needs and expectations from the ReSPA’s Quality of Public Administration and Services Working Group. On the other hand, the study launched a regional wide large-scale questionnaire identifying the state of play (detailed baseline), needs and expectations, and the potential role of ReSPA. The general conclusion of the meeting was that a holistic approach is required, and further consultations are expected to take place during all the phases foreseen in the establishment of the Quality Management centre at ReSPA. The implementation will be based on a custom-made approach to serve all interested beneficiaries. This will be done in close cooperation of ReSPA Governing structures with the European Commission and SIGMA, taking into account the expected Managerial Accountability Guidelines to be prepared by SIGMA and tentatively published in February 2018. Meeting of ReSPA National Coordinators ReSPA, 21–22 December 2017 – The main objective of this meeting was to highlight the role of National Coordinators in the implementation of the activities planned for 2018, and in monitoring of ReSPA’s activities. The ReSPA Secretariat used the opportunity to present the plans for development of its new 2019-2024 Strategy and the new EC grant Action document, and to share initial experiences with the online system of applications for participants in ReSPA’s activities. General conclusion was that the engagement of National Coordinators is significantly contributing to a better realisation of overall ReSPA’s activities. 32nd Governing Board meeting at Senior Official level ReSPA, 2–3 October 2017 – The Governing Board discussed internal affairs related to programme and operational issues. Among others, the GB approved the Report on ReSPA Operations and Implementation of the Programme of Work for the period 12 July – 30 September 2017 and adopted the decision on discharging the Director from her management and administrative responsibility for 2016. The Governing Board also supported the Strategic Planning Approach as proposed by ReSPA Secretariat, as well as the proposal on revitalisation of the ReSPA Centre of Government (CoG) network. Year-end interview with ReSPA Director Ratka Sekulovic Please give an overview of ReSPA’s successes and challenges in 2017 2017 was a successful and fruitful year for ReSPA. We have strongly positioned our organisation as the key regional endeavour in public administration reform (PAR) in the Western Balkans region. More than 50 successfully implemented regional events, 10 regional comparative studies and baseline analyses, over 1,500 participants from public administration institutions and over 200 regional and international experts involved in ReSPA activities, clearly show the importance of our mission. Although ReSPA Members share similar challenges in their reform processes, it is not an easy task for ReSPA to find approach, activities and initiatives that will fully satisfy each of them. The achievements in PAR need a longer time and, above all, sincere political commitment in ReSPA countries. • What are your thoughts on the opportunities and challenges for the upcoming year? ReSPA prepared a detailed Plan of Activities for 2018 that will follow the same objectives as for 2016-2017, and will be guided by three main principles: resources, prioritisation and continuity. The focus will be put on the promotion of recently prepared valuable ReSPA comparative regional studies and analyses in order to be useful and implementable in the field. Still, the awareness and commitment to the implementation of these recommendations will be challenging. However, the development of the new ReSPA Strategy for the 2019-2024 period will enable us to better integrate and synergise our efforts in order to provide the best possible impact in the implementation of PAR Strategies in the region. • What are the areas within ReSPA’s remit that have the greatest potential going forward? ReSPA organised its work in many areas relevant for PAR, and some working groups have existed for quite some time, over five years, while some of them have been established in the past two years in order to respond to the needs and to better integrate Public Finance Management with PAR. Public Internal Financial Control, Better Regulation, Support to better utilization of IPA funds, HRMD and Quality management might be the areas of particular interest of ReSPA Members. Definitely, these areas will be properly addressed in the new ReSPA Strategy. • How do you plan to develop the new ReSPA Strategy for the 2019–2024 period? Do you already see new strategic directions? The development of the new ReSPA Strategy will be done in a wider consultative process that will include all relevant stakeholders. However, the draft Action Document of the new EC Grant for the 2019-2022 period shows that the main Pillars of ReSPA work may be the following: Regional cooperation on PAR and European Integration, Support for the fulfilment of the recommendations from Action Plans for PAR and PAR Special Groups, and Quality Management tools that contribute to the managerial accountability in a wider context. • Your message to ReSPA’s partners, beneficiaries and stakeholders for 2018? In 2018, ReSPA will continue with activities of common interest for all Western Balkans countries, but also with providing specific support to each individual country and to peer-to-peer learning. We will focus much more on the recommendations from ReSPA research documents in order to measure the progress achieved at the regional level, but also in each ReSPA Member. Also, ReSPA will continue our productive cooperation with a number of partners in the region and beyond, in order to ensure synergies of our efforts in providing support to the public administrations in the region. I would like to use this opportunity to wish to all of our partners, beneficiaries and stakeholders a lot of success and prosperity in 2018! Regional School of Public Administration (ReSPA) is an intergovernmental organization for enhancing regional cooperation, promoting shared learning and supporting the development of public administration in the Western Balkans. It is financed by a European Commission Grant and administered with the subscriptions of its members. ReSPA’s purpose is to help governments in the region develop better public administration, public services and overall governance systems for their citizens and businesses, and prepare them for membership in the European Union. ReSPA Members are Albania, Bosnia and Herzegovina, Macedonia, Montenegro and Serbia, while public servants from Kosovo* participate in ReSPA activities funded by the European Commission. ReSPA’s main achievements in 2014–2017: Over 150 networking and capacity building activities (seminars, workshops, conferences, study visits, seasonal schools, trainings, meetings) involving over 2,500 public servants from the Western Balkans, and more than 300 international and regional experts; 15 regional comparative research projects with policy recommendations for Public Administration Reform related solutions. * This designation is without prejudice to positions on status, and is in line with UNSCR 1244 and ICJ Advisory opinion on the Kosovo Declaration of Independence.
Can We Listen to Anyone Other Than Ourselves? For two weeks this past July, 40 high school students from Israel, Chicago and the Palestinian territories gathered in Chicago for serious dialogue. Under the auspices of an organization called Hands of Peace, they learned from one another, and spent Friday evening July 18 at Solel. I delivered the following sermon: As you gather here this evening, your homeland is engulfed in war. Your families live in fear. A rocket or bomb could fall at any time. Yet here you are—talking with one another, building a community of true diversity. You are addressing, unpacking and learning about the differences that really matter. You are having the kind of dialogue Martin Buber envisioned when he wrote his classic book I and Thou: conversation driven by a willingness to be changed, to shift points of views, to open up to the truths of another. Does It Matter? Can it work? Can we listen to each other? Does what we are doing here matter to what is happening over there? Absolutely. We see how in this week’s Bible reading. It describes an extraordinary dialogue that changed history. The subject matter? The division of land. A man named Zelophehad, the Bible tells us, had five daughters. When he died, his land fell in an uncertain legal status. In biblical Judaism land only passed to sons. With no male heir the land would likely be given to a Levite or another family. Zelophehad’s daughters, however, did not intend to stay quiet. They felt cut out. Were they not part of the family? Did they not have any claim? So they spoke with Moses. They did not complain. They did not threaten to sue. They simply began a conversation. (Continued on page 15) Cantor Glikin’s Desk — What's in a Song I clearly remember the first time I attended a service in a synagogue. It was Yizkor on Yom Kippur and I was 13 years old. I was sitting in between my mother and my grandparents, none of whom had ever been to the synagogue before either. Despite the fact that they had never been, they knew that they had to be in a synagogue for Yizkor and this was our first opportunity to do so since our immigration to the United States from Ukraine on the 4th of July earlier that year. I felt completely lost and did not understand what was going on. The prayers were strange and unfamiliar. The Hebrew was entirely alien. The people seemed unfriendly and aloof. I wanted to leave. Unexpectedly, the cantor started to sing a familiar piece of music. I knew this song from the Children’s Jewish Musical Theater in which I had participated while still living in Ukraine. Everyone around me was singing and I started to sing along. Immediately, the discomfort I had felt earlier melted away and in its place surfaced feelings of connectedness and belonging. The previously ostentatious atmosphere now felt warm and heimische. The people around me no longer seemed as strangers, but as long-lost relatives. Hearing me sing, someone turned around and said: “Honey, you have a beautiful voice. You should sing in our choir!” Without knowing it, I had found my home and my roots. It would take years for me to fully realize the impact of that powerful moment. But even at that time, at age 13, I recognized that music served as a most potent connector. A familiar song gave me the feeling of belonging and became an entryway into what had previously seemed to be a completely foreign environment. It demonstrated to me that the synagogue was, in fact, a part of my culture also. Music is often referred to as “the universal language,” implying that it has the power to communicate across cultural barriers. In Judaism music is certainly a “universal” language, but it is also a “holy,” a “timeless,” and an “essential” language. Music has the power to connect us to ourselves, to each other, to God, to the past, and to the future. “Music can name the un-nameable and communicate the unknowable,” wrote Leonard Bernstein, highlighting what most of us know to be true on the visceral level. Music has the ability to crack open our souls and to touch our very essence. It manages to bypass the intellectual and to reach directly for the heart. In fact, music is the very language of the heart and the only way to fully express the power of our emotions. When the Israelites are freed from slavery, the only response that appropriately matches the joy of the moment is breaking into song. Music has always played an essential role in Judaism and we are fortunate to be the inheritors of an incredibly rich musical tradition, which has shaped our Jewish culture. Rabbi Abraham Joshua Heschel taught that Judaism is a religion of time. Our Jewish musical heritage contains its own special melody for each time, which helps us to sanctify it. There are different musical modes (nusach) for morning, afternoon, or evening prayer services, reflecting their unique purpose and mood. We feel differently on Shabbat than on Rosh Hashanah or Yom Kippur and our melodies reflect that, with special tunes and nusach for the various holidays, from Shabbat to High Holy Days to the Pilgrimage Festivals. Our sacred texts are chanted according to different cantillation systems. Depending on whether we are reading Torah on Shabbat or the High Holy Days, or Haftarah from the books of the Prophets, or Megillot, such as the Book of Esther, Ecclesiastes, or Eicha, the symbols used for cantillation are identical, but the melodies associated with the cantillation marks are different. When used appropriately, our melodies and musical prayer modes can serve as guides for our Jewish souls, bringing us to a deeper awareness of the present and helping us to tap into our shared collective memory. In fact, some of our melodies are so ancient that they are considered to be “miSinai” (from Sinai) and take us all the way back to the mythical cradle of our people. As philosopher of music Victor Zuckerkandl beautifully wrote: “Hearing a melody is hearing, having heard, and being about to hear, all at once. Every melody declares to us that the past can be there without being remembered, the future without being foreknown.” - Cantor Vicky Glikin Congratulations and a big thank you to Wayne Rhodes for making 100 bags to date to help welcome new Solel members! We have had 100 new families join in the last 4 years!!! View his quilting artwork in the synagogue lounge or at http://waynesquilts.blogspot.com/ Rosh Chodesh Elul Celebration for Women Tuesday, August 26 7:00 pm-9:00 pm Celebrate the beginning of the month of Elul! Rosh Chodesh is a celebration of ourselves, our uniqueness as women, and our relationship with the Divine. The month of Elul calls on us to reflect in preparation for the High Holidays. Join us as we make new friends, see familiar faces, and learn more about ourselves and each other through gentle yoga and meditation. In the spirit of tzedakkah, please bring non-perishable food donations for the Deerfield Food Pantry and Moraine Township Food Pantry. 7:00–7:20 pm – Social time – get to know the other women of Solel and nosh. 7:20–7:50 pm – Rosh Chodesh ritual led by Cantor Glikin. 7:50–9:00 pm – A gentle moving meditation led by Ellen Diamond and Lisa Fremont. Please wear comfortable, loose clothing. It will be possible to do the moving meditation while sitting for those who prefer. This Rosh Chodesh Celebration is hosted by Ellen Diamond and Lisa Fremont. Please RSVP to Solel’s office at firstname.lastname@example.org. Questions? Please be in touch with Cantor Vicky Glikin at email@example.com. We look forward to seeing you at this wonderful event for women! Save the date for the Women’s Seder on March 22! Future Rosh Chodesh Celebration Dates (all at 7–9 pm): October 23 December 21 February 18 May 18 David Brooks, the not-so-conservative columnist for the New York Times, annually writes about the books which have inspired him. The most recent edition of his selections, appearing in May of this year, prompted me to think about my own life of book reading – fiction and non-fiction – about Jews. (I also read books about baseball, China, Chicago, Israel, anything written by the late John Updike as well as the esteemed Thomas Hardy, plus a steady diet of biographies, memoirs, and fiction, classic as well as modern). I started to think about writing my column by creating a back-of-the envelope list. But soon I found it essential to commit the titles to a trusty, ever-present legal pad. Then I organized them chronologically not by their date of publication but instead by the year that I read them. And for most of the titles on my list, I retain a keen sense as to who prompted me to read them. This is Part I of a two-part column. My further thoughts about reading will appear later in 2014. So let us begin our journey. A beloved Hebrew school teacher, Rabbi Shimon Bobrofsky, introduced me to The Wise Men of Chelm, circa 1952. I was much taken with these tales and ultimately gathered from them a significant lesson: only the men of Chelm profess to know everything and that is why they are fools! Much later I discovered that Isaac Bashevis Singer was one of several prominent authors adapting the Chelm stories into their own writings. By the way, Chelm does exist – ironically a center for Torah study in centuries past – southeast of Lublin, Poland. A very fine edition is Singer’s Stories for Children (1984), which won a “best book” accolade from the New York Times, remains in print to this day. Helen Ebner, my dear mother of blessed memory, placed into my hands – circa the early 1960s – Good-bye Columbus by Philip Roth. Herself raised in and around Newark, New Jersey – the lodestar of much of Roth’s immense literary oeuvre – this book brought him fame. I relished it, proceeding over the years to read many of Roth’s subsequent books. Good-bye Columbus deals with the cultural geography of Newark and its surrounding metropolitan communities. I found that aspect of it enthralling. It also explored social and economic mobility among American Jews, something that has unquestionably shaped my own life. Parenthetically, last year I read Roth’s Nemesis, again set in Newark and environs, dealing with the post-World War II epidemic of polio. Though tortuous, one of the author’s hallmarks, I found it compelling. I especially appreciated the role of Jewish summer camp in the novel’s storyline. Nemesis also rekindled vivid memories of my late uncle Dave, a physician, who unceasingly cautioned family members about taking precautions to avoid the ravages of the epidemic. Somewhere in our house in Passaic, New Jersey I came upon Henry Roth’s Call it Sleep. Written and mostly ignored by the reading public during the 1930s – in part because the author wrote with a Marxist orientation – it was reissued in 1964 thanks to an expansive essay by Irving Howe. It is the searing and very dark story about Jewish immigrant life on the Lower Eastside at the beginning of the last century. I closely observed the author’s David Schearl, the young boy who found himself in the midst of a convulsive family life. I re-read Call it Sleep, whose author is not related to Philip Roth, about ten years ago. And to this very day I occasionally have unpleasant dreams – dark and foreboding – rooted in Call it Sleep. (Also on the shelf in Passaic was Betty Friedan’s The Feminist Mystique, which reveals something about my mother’s sensibilities.) Next – as an undergraduate early in the 1960s – I took it upon myself to read Saul Bellow’s Herzog. I have found myself thinking about it many times over. Moses E. Herzog is the protagonist, represents alter ego for the author. This book’s principal storyline is about a man who has divorced two wives – unmistakably a dominating motif of Bellow – as he enters his forties. Like Abraham Lincoln, Herzog wrote many long letters that he had the good judgment not to mail to their intended recipients. Tellingly, Adlai E. Stevenson makes a cameo appearance (Continued on page 13) Annual Solel BBQ & Food Drive Friday, August 22 5:00 pm - BBQ 6:30 pm - Shabbat service followed by oneg BBQ will be at Solel, outside if weather permits Cost: $25/ family $10/ individual adult Register by Monday, August 18 at www.solel.org or complete this form & return it to the synagogue office. Please bring canned food to donate to the West Deerfield Township Food Pantry: 1) protein (i.e.- tuna, beans, peanut butter) & 2) any type of canned or non-perishable food. Toilet paper, tissues, full size toiletries, and cleaning products are also needed. Thanks in advance for your donations! Name(s): ________________________________ Number of Adults: ___________ Number of Children: ___________ Number of Vegetarian Meals: _________________ Total Due: _______________________ Please accept my check in the amount of: _________ Please charge my: VISA * MasterCard * Discover Card CC #: ____________________________ Expiration Date: _______ On June 9th, Solel congregants welcomed the Envision Scholars and their families to our synagogue for an evening of celebration, moving speeches, and recognition. The dinner event served as an important inflection point for each of the scholars, simultaneously celebrating their graduation from Waukegan High School and the beginning of their college journey. Many of these students will be the first in their family to attend college. The evening festivities began with meaningful music and prayer led by Cantor Glikin and Rabbi Moffic. After dinner, one student, Kaream Williams, moved the group to tears by sharing his college essay, a startlingly honest and heart-wrenching account of his journey from pain to passion after the death of his mother and sister. The graduates were honored by a host of leaders, including Barb Cornew, District Director for Congressman Brad Schneider, Chuck Gutman, Executive Director and Founder of Envision Scholars, and Michael Ebner, President of Solel. Michael gave a gift to each student -- Sonia Sotomayor’s book entitled, My Beloved World. The evening concluded with a touching first-hand account about the rewards of being involved with Envision Scholars from congregant and volunteer tutor/mentor Ellen Gussin. Envision Scholars is a Waukegan-based organization founded by Chuck Gutman. The mission of Envision Scholars is to eliminate the barriers that stand between Waukegan-area high school students and their dream of attending college. Congregation Solel formed a partnership with Envision Scholars over two years ago. Today, there are over forty Solel volunteers working with Envision Scholars and the list is growing every week. Please join us and make a forever difference in the lives of Waukegan youth. To volunteer as a tutor, mentor, or make a tax-deductible donation to Envision Scholars, please contact Robin Shapiro at firstname.lastname@example.org. \| Envision Scholars \| College Attending This Fall \| \|------------------------\|------------------------------------------------------------------\| \| Francisco Aquino \| Western Illinois University \| \| Jor-El Arenas \| University of Illinois Springfield (honors program) \| \| Osvaldo Calzada \| Tufts University (Ellen Gussin, Solel mentor) \| \| Jessica Castillo \| Denison University (Gates Scholar) (Lynn Salit, Solel mentor) \| \| McKenzy Kelley \| Lake Forest College \| \| Enrique Lazcano \| Babson College \| \| Cynthia Padron \| Lake Forest College \| \| Krithika Sivaramakrishnan \| Wellesley College (Diane Gordon, Solel mentor) \| \| Logan Smith \| Kalamazoo College (Wayne Rhodes, Solel mentor) \| \| Anthony Strack \| Wesleyan University (Howe Scholar) (Meta Levin, Solel mentor) \| \| Margarita Uriostegui \| Denison University \| \| Kaream Williams \| Millikin University (Robin Shapiro, Solel mentor) \| Michael Ebner (President, Congregation Solel) at the Envision Scholars Graduation Dinner Ellen Gussin (Solel member and mentor) and Osvaldo Calzada (Envision Scholar, who will be attending Tufts University this fall.) Looking for a Place to Celebrate the High Holidays??? Join Congregation Solel’s 2014/5775 Family Services! Rosh Hashanah: Thursday, September 25 at 2:00 pm Yom Kippur: Saturday, October 4 at 2:00 pm Join us for lively, informal services for families with children. Guests are welcome and tickets are not required. Bring friends and family! Tashlich and Shabbat Shuvah: Friday, September 26 at 6:15 pm We will begin with the Tashlich ceremony at Congregation Solel, which will be followed by a Shabbat Shuvah service for the whole family. Bring your own shofar! Erev Sukkot Family Experience: Wednesday, October 8 at 6:00 pm Join us with family and friends on the first night of Sukkot for this engaging and song-filled family experience. If you like Pray ‘n Play, this is the service for you! Come celebrate, nosh, and have fun with your children and grandchildren! Simchat Torah: Friday, October 17 at 6:30 pm We will celebrate the completion of the reading of the Torah and the beginning of the new reading cycle. Join us for singing, dancing, and celebration! RSVP appreciated to email@example.com or (847) 433-3555. Helping Butterflies Jewish tradition teaches us to help the traveler. In keeping with this concept, Congregation Solel has a newly seeded butterfly garden that promises to provide nourishment to the Monarch butterfly as it pursues its annual migration from Mexico to Canada and then back. The garden is on the south side of the Temple where in a few years beautiful wildflowers will attract not only the Monarchs, but other butterflies and hummingbirds as well. The Monarch’s numbers have decreased due to decreased food supply (primarily milkweed). Herbicides kill milkweed, pesticides kill butterflies, while increased planting of corn has also crowded out milkweed. Solel’s Green Team realized that we, at Solel, have space to help and with Allan Litwack coordinating and the landscaper preparing the ground, a group of volunteers planted the seeds. These sowers were Andy Amend, Ellen Cohen, Cynthia Plouche, and Pam Zasky. As mentioned, the garden will not bloom for awhile; 3 years is expected. However, keep your eyes open, and watch the progress on the Clavey Road side where an open patch of fresh soil can be seen. Perhaps the butterflies and hummingbirds will appear before expected. - Harold Rafson Pray ‘n Play Saturday, September 6 10:30 am This isn’t your ordinary Tot Shabbat! Join other families with children 0-5 years of age for a fun, interactive “Gymboree-style” Shabbat program, featuring music, maracas, puppets, & parachutes. Followed by a complimentary bagel brunch and playtime. Older siblings are welcome to attend! Come, sing, play, make friends!! Saturday Mornings 10:30 am November 8 December 13 January 10 February 14 March 14 April 11 May 9 Solel to Participate in the B’nai Mitzvah Revolution We are excited to announce to our membership that Congregation Solel has begun its participation in the B’nai Mitzvah Revolution (BMR). BMR is an exciting and forward-looking initiative under the umbrella of the Union for Reform Judaism (URJ). We will engage in this process as part of a Chicago-based cohort of 11 congregations. As part of the BMR process, we will partner with congregations in our area and around the country in the important work of rethinking how Jewish children come of age in the modern world. We are starting from a place of strengths, believing that Solel already has in place a truly exemplary B’nai Mitzvah process for our students and families. At the same time, we want to take advantage of this amazing opportunity to think in new and creative ways with the support provided by the URJ, which includes a consultant dedicated to our congregation and a community of best practices consisting of synagogues in our area and around the country. The BMR process is headed by Cantor Glikin and includes participation by Rabbi Moffic, our Director of Education Geoff Prass, Vice President of Religious School Susan Kaden, and lay leaders Caryn Segall and Judy Tyson Plonsker. If you are interested in being a part of this process, please be in touch with Cantor Glikin at firstname.lastname@example.org. Shabbat Shalom! A Service for the Whole Family Friday, October 31 With its high energy and casual atmosphere Shabbat Shalom! is the perfect way for families and Solemites of all ages to celebrate Shabbat. Future Dates: November 28 January 30 February 27 March 27 April 24 May 29 5:30 pm – Pizza dinner 6:15 pm – Enjoy a warm and meaningful service led by Cantor Glikin and Rabbi Moffic, with participation by Solel’s Youth Choir “Rimonim” Shabbat. Friendship. Community. Family. Song. New Member Dr. Murray Levin to Speak on The Lown Institute Please join us on Sunday, September 7, 2014 at 10:30 am for a presentation by Dr. Murray Levin on The Lown Institute. The Lown Institute was founded by Dr. Bernard Lown, a world-renowned cardiologist who helped to develop the cardiac defibrillator used in all hospitals. He then joined with a Russian colleague to found the "International Physicians for the Prevention of Nuclear War" for which he and his colleague won the Nobel Peace Prize in 1985. Dr. Lown recently has been concerned (as are many) about the high cost of medical care in this country while many people (poor in both cities and rural America) have not received sufficient care. The Institute now is seeking ways of reducing the >30% of our health care money that is overspent by over testing, over-proceduring, and inappropriate over-use at the end of life, while trying to provide the "right care", including appropriate doctor/patient communications, for as many people as possible. We are pleased to welcome our speaker, Dr. Levin, a member of Congregation Solel and Professor Emeritus of Medicine at Northwestern University Feinberg School of Medicine. Dr. Levin was Chief of the Medical Service at the VA Lakeside, Chief of the Section of Nephrology/Hypertension at the Northwestern Medical Center including Northwestern Memorial Hospital, Chief of a Teaching Firm responsible for teaching over 1/3 of all house officers on the Medical Service at the Medical Center. He has been President of two Medical Societies and received many teaching awards. Dr. Levin received 100% positive ratings when the Faculty Foundation surveyed patients about their satisfaction with their physicians. In Dr. Levin's retirement, he has become active in the Lown Institute. Please don't miss this interesting and timely discussion! Mark your calendars now. - Nancy Goodman Contact Alice Kohn at email@example.com to arrange for the Solel college committee to send gift packages to college campuses across the United States during Jewish holidays and festivals! Hava Nashira! AN ENGAGING AND SPIRITED SERVICE FEATURING FRESH AND FAMILIAR MELODIES. JOIN US ON SEPTEMBER 5 AT 7:30 PM FOR AN EVENING OF SONG AND INSPIRATION, ACCOMPANIED BY SOLEL'S OWN INSTRUMENTALISTS AND SINGERS. It's Shabbat....Let's Sing! Future Dates: November 14 January 9 March 6 May 8 Talking About the Creative Arts Calling Solel artists, musicians, authors, actors/actresses, etc! As part of our congregation’s devotion to lifelong learning for 2014-2015, we wish to organize a Sunday morning program spotlighting the multitude of creative processes. What sparked you to pursue your muse? A parent? A teacher? A performance you experienced? A book that you read? We also would like to learn about how your talent has evolved and the inner satisfaction that you have realized over the years. To twist around an old Missouri saying, don’t keep your light under a bushel! I look forward to hearing from you very soon. - Nancy Goodman Vice president/Lifelong Learning Social Justice at Solel: Just Congregations and Lake County United Congregation Solel’s commitment to social justice is an integral part of who and what we are, which is why Solel is a member of two major social justice groups: Just Congregations and Lake County United (LCU). Just Congregations is a URJ congregation-based social justice and congregational organizing initiative. Lake County United is based on community organizing, but consists of faith based and not-for-profit organizations. We cannot be a Just Congregations member without our Lake County United membership. Community or congregational organizing means that any issues on which we focus are identified by interviewing and meeting with individual members. In the case of Solel, we hold personal, face-to-face meetings with congregation members. Once the Just Congregations team has identified issues of concern and interest, we hold group meetings (known as house meetings) to determine whether or not these could lend themselves to action at the local or regional levels and, especially, if there is a sufficient number of congregants willing to pursue them in greater depth. If so, we form an issue team to research and develop an action focus. LCU works on a similar model. The face-to-face meetings and initial group meetings are held within member organizations and the results brought to the LCU Steering Team. The team then coordinates a coalition of member organizations whose members have indicated a strong interest in the issue to further research it and identify a portion of this area of concern which we could tackle with some expectation of success. For instance, several years ago when Solel’s Just Congregations began working on the issue of aging in place, we asked LCU if any other congregations were interested in working on it. There were several and we organized an issue team, which studied one of the options – the Village concept – in depth for nearly a year. It provided not only more people power, but new ideas. Currently Just Congregations is focusing on education and is exploring interest in the gun violence issue. We have developed a relationship with Nuestro Center in Highwood, which provides community resources, referrals and resources for families in Highwood and Highland Park. We are researching their programs and partnerships in the hope of finding more opportunities for support in addition to publicizing volunteer opportunities for their after school tutoring. LCU is involved in several issues, including and especially barriers to access to healthcare in Lake County (in cooperation with the Lake County Health Department), affordable and accessible housing for people with handicaps, education (Waukegan to College was developed under LCU’s auspices and spun off a year ago), long term care for the indigent elderly and other issues. Both Just Congregations and Lake County United are non-partisan and are heavily based on developing relationships with people in the community who are affected by and can affect these issues. These include local, regional and state government officials, as well as other public, not-for-profit and private organizations. LCU also provides training for Congregation Solel, as well as for other member organizations. Nearly two summers ago an LCU trainer worked with a coalition of Just Congregation team members, Solel committee chairs and board members. Most recently, five Solel leaders attended a free LCU Congregational Development Training. As part of Congregation Solel’s LCU membership, we provide input to its work and support its efforts. They, in turn, will work with us and support our endeavors. Congregation Solel has a seat on the LCU Steering Team. There is, we have found, strength in numbers. For more information, please contact Meta Levin at (firstname.lastname@example.org) or Sharon Stein at (email@example.com). - Meta Levin and Sharon Stein Lunch & Learn with Rabbi Moffic Downtown Lunch & Learn August 6 Lunch & Learn at Solel August 5 & 26 at noon. Join Rabbi Evan Moffic for these special classes as he reflects on events of both Jewish and broader public interest. Health Care Survey Results Show Solel in Good Shape Compared to the rest of Lake County, Solelites are a pretty healthy bunch. On the whole, we are better educated, take better care of ourselves and eat better. That should come as no surprise. Still, according to a recent survey, jointly conducted by Lake County United (LCU), of which Congregation Solel is a member, and the Lake County Health Department, we are susceptible to many of the same health problems as anybody else. Of those Solelites who completed the survey last fall, the analysis found similar rates as the rest of Lake County of such complaints as asthma, high blood pressure, heart disease and high cholesterol. Our results also showed that our reported rate of cancer was somewhat higher than the rest of Lake County, as was arthritis. We had, however, significantly fewer cases of COPD, diabetes and depression. Few Solelites reported trouble accessing medical care, including and especially mental health care, but that is not the case in other parts of the county. The Lake County Health Department is zeroing in on that problem, identifying mental health care providers and their locations, including and especially whether or not they provide free or low cost help to those who cannot afford it. This is of no small significance when discussing mental health, which can be serious enough to interfere with the ability to earn a living. LCU is composed of faith-based and not-for-profit institutions whose representatives come together to work toward resolving community issues identified by the membership. We choose those that not only affect our membership, but attract interest among members who are willing to commit time and effort toward working on the problem. Solel’s membership and participation is part of its historic commitment to social justice and directly connected to its membership and participation in Just Congregations, the congregational organizing and social justice arm of the Reform Jewish movement. Several Lake County United member organizations brought the access to healthcare matter to LCU’s attention. To understand the issue, LCU formed a research team that partnered with the Lake County Health Department to design and distribute a survey last fall. The LC Health Department pre-tested the questions for bias and translated the survey into Spanish, so that it was available in Spanish and English. For LCU, the survey was the first step in identifying a portion of the broader access to health care problem in the hope of tackling it. We have narrowed our research to access to mental health and transportation needs of those who need any type of health/medical care. For more information, contact Meta L. Levin (firstname.lastname@example.org). - Meta Levin and Sharon Stein Join us for... Chocolate Shabbat! Friday, September 12 7:00 pm Wine and Cheese 7:30 pm Shabbat Service 8:30 pm Chocolate Oneg Cantor Vicky Glikin’s love of Jewish music started at an early age. While growing up in Kiev, Vicky joined a Children’s Jewish Musical Theater at age 11, and Jewish music and performance have been a part of her life ever since, following her to Skokie shortly thereafter, Northwestern University and currently Congregation Solel in Highland Park. Edwin Bederman, Vicky’s nominator and congregant, sang her praises: “Cantor Glikin has taught our congregation new ways to pray and to achieve spirituality through her personal dynamics and the beauty of her voice.” According to Bederman, Vicky worked as an equities analyst for a few years before realizing that her way to make a difference in the world was through service of the Jewish people. She quit her career to become a cantorial soloist and then became an official cantor through the Debbie Friedman School of Sacred Music HUC-JIR in 2007. Singing, however, is not Vicky’s only involvement in the Jewish community. She supports OSRUI, Northwestern Hillel and JUF’s Russian Jewish Division. Her Ukrainian roots are still very important to her too: this winter, she helped raise funds to ensure proper medical care for several of the Ukrainians injured during the revolution. Age: 35 Primary gig: Full-time Cantor at Congregation Solel in Highland Park and mother to Adam, Michelle, and Sam On the side: Engagement in the Russian-speaking Jewish community and spiritual support for unaffiliated families Relationship status: Happily married for almost 11 years to my high school sweetheart, Vlad Leybovich How do you give back? My family and I volunteer at PADS in Waukegan. I also volunteer at my kids’ elementary school, Kipling Elementary, in Deerfield. As a member and President of the RCC, I have been an active participant in fundraising efforts benefitting OSRUI Camp and other worthy Jewish initiatives. Additionally, I’m a supporter of numerous Jewish organizations, including JUF and Northwestern Hillel. This year, I was part of an initiative that helped to raise funds for the treatment in Israel of Ukrainians wounded during the revolution there. Describe yourself in 10 words or less: Passionate, hard-working, intelligent, empathetic, compassionate, adventurous, sincere, curious Celebrity doppelganger or Who would you play in a movie: Lea Michele or a young Barbara Streisand How do you Jew in Chicago? I’m the cantor at Congregation Solel and participate in various events organized by the Russian Jewish Division of the JUF. My volunteer work is also informed by my Jewish values and is an extension of them. Passions: My family, Judaism, yoga, reading, hiking, singing, music, traveling, creating meaningful worship experiences, helping people If time and money were limitless, I would: Work more with the unaffiliated families in the Chicago area, including members of the Russian-speaking Jewish community. I would also travel and spend more lazy afternoons with my kids. Chicago’s Jewish community in 10 years: Engaged, committed, inspired, unified, tackling issues that plague our beautiful city such as poverty, gun violence, inadequate education, unequal opportunity, etc. Me in 10 years: Engaged, committed, inspired, still loving doing what I do and feeling that I am making a real impact on people’s lives. Rabbi Evan Moffic received this recognition in 2012, making Congregation Solel the only synagogue to have both members of its clergy as recipients. if memory serves me accurately. I especially appreciated the literary artifices deployed by Saul Bellow, which have influenced me over many, many years. Another by-the-way involves my encountering Saul Bellow – circa 1980 – walking on the crowded main floor of Marshall Fields on State Street. I came face to face with him. As we passed one another I said “Hello Mr. Bellow.” In turn, he graced me with a broad smile – nothing more – as we each proceeded to our appointed destinations. Perhaps he sized me up as a literate shopper. (Much more recently I read The Dean’s December, which entails the rituals associated with burial and grief overlaying further angst involving Bellow’s multiple marriages.) I close by returning to another very recent David Brooks column (“The Art of Focus”). He writes: “The information universe tempts you with mildly pleasant but ultimately numbing diversions. The only way to stay fully alive is to dive down to your obsessions six fathoms deep. Down there it’s possible to make progress toward fulfilling your terrifying longing, which is the experience that produces the joy.” For me – and I suspect a goodly number of congregants – the joy David Brooks relishes entails a lifetime of obsession enveloped in reading and contemplating good books. - Michael Ebner email@example.com (847) 275-7441 And what Jewish books -- fiction or non-fiction -- are on your list of recommendations? If you email one or two titles to me, they will appear in a future edition of the Pathfinder. --- As the summer reaches its peak, and the evidence of abundance and beauty is three dimensional and technicolor, it is the easiest time to be in touch with nature, and with our inseparable connection to the earth. As Rabbi Moffic pointed out on our first Chicago Botanic Garden nature walk, the earth cannot be owned by humans, but we cannot endure and thrive if we do not “tend and till” it. With the joyfulness that being in nature brings to all, we can feel inspired to do some tending and tilling by lessening our footprint, taking less, and giving more care and appreciation. To our benefit we can walk more, and drive less, reduce, reuse, and then recycle, turn off the water whenever possible, and the same with lights, unplug in every way that feels good to each. These are not punishments or sacrifices, they are just doing good works to help repair the world. Enjoy the giving, and it will give back. The Solel Green Team plans to continue working to make these teachings more evident. There will be another nature walk as the season changes, and we intend to focus on those R’s of reducing, reusing and recycling. The butterfly garden has a lot of growth, but flowers aren’t expected yet. We would welcome and appreciate more congregants on our committee. To join our e-mail list or for more information, contact Andy Amend at firstname.lastname@example.org. --- Mazel Tov to Sydnie Smith on her Bat Mitzvah! Sydnie Smith, daughter of Caroline Shapiro and Barry Smith, will become a Bat Mitzvah on August 16, 2014. She will be entering eighth grade at Solomon Schechter Day School. Some of Sydnie’s favorite hobbies are dancing, biking, and travelling. For her Mitzvah Project Sydnie volunteered last month in Jerusalem serving food to the hungry at the organization Meir Panim and locally in Chicago at The Uptown Café. From her Mitzvah Project, Sydnie learned that you should never take food for granted. Sydnie’s Torah Portion is, Ekev from the Book of Deuteronomy. The most important thing Sydnie learned from her Torah portion is that you should always think before you act. The important thing Sydnie learned from her experience is that becoming a Bat Mitzvah means putting in time and effort. The greatest challenge she faced in preparing for her ceremony is learning to chant Torah and the Haftarah. Shabbat Shalom and Happy Independence Day! Since this is not an Episcopalian Church, I would guess that most of our ancestors missed the actual event and didn’t even hear about how we got past Ellis Island. Yet, in 1776 there were Jews in the Thirteen Colonies: approximately twenty-five hundred. At the time, there were 2.5 million people in the colonies. So we were a meager one-in-a-thousand. I doubt that you could find a minyan in New Hampshire or old Virginia, but there were congregations in New York, Rhode Island, Pennsylvania and South Carolina. What was it like to be a Jew in the Thirteen Colonies? In the words of either Maimonides or Larry David, it could have been worse. Our lives and property were protected by English law. An act of Parliament had guaranteed Jews the same legal status as Methodists. That was not quite an English compliment but--trust me--that was better than being a Roman Catholic. So, our situation was slightly snubbed but definitely not persecuted. The Cordozos of New York and the Gratzs of Philadelphia could lead prosperous, enjoyable lives, even if their kids weren’t welcome in the Ivy League. Compare that to Jewish life elsewhere in North America. That is easy--there was no Jewish life there. Spain forbid Jews in its colonies; it forbid anyone of Jewish descent! If you had one Jewish great-grandparent, your presence was a capital offense. Ferdinand and Isabella could not have met that standard. What about France’s colonies? In Canada, definitely NON. No matter how much you would have liked being the ancestor of William Shatner, the French government would not have permitted it. There were Jews in France--40,000 in the mid-18th century; but immigration to Canada was limited to Roman Catholics--and even they had to meet an exacting system of quotas. The aspiring emigrant had to fill a specific job awaiting him in Canada. If you were a baker, and Montreal did not need one...well, you could always lie and claim to be a trapper. It was easier getting into the Sorbonne than into Quebec. Louisiana was slightly more tolerant...or lazy. There were five Jewish families in New Orleans. Of course, their existence was against the law--but who ever enforces the law in New Orleans? So, you can see the Jews of the British Empire enjoyed an unequalled degree of security and liberty. What more could a Jew expect or dare want? Why would they risk the Crown’s guarantees for the lofty promises of the Declaration of Independence? Because those promises addressed an unexpressed longing and age-old fears. “We hold these truths to be self-evident, that all men are created equal, that that they are endowed by their Creator with certain unalienable Rights, that among these are Life, Liberty and the pursuit of Happiness…” Here was a commitment to freedom, and not just the gift of tolerance. The New World was no longer just a geographic term; it would be the fulfillment of our hopes. Our liberties were not the favor of a monarch or the concessions of a Parliament. Freedom was not even an English privilege. We all were entitled to those rights by birth, by our humanity. That idea was the American Revolution, and what we honor today. Shabbat Shalom. How History Changes The Bible does not record the details of their conversation. But we can imagine they had a very meaningful dialogue. The Jewish commentaries suggest the daughters were wise, faithful, patient and responsible. Moses probably resisted initially. The law is clear. Only males inherit property. And Moses is responsible for executing the law. Yet, ultimately, Moses alters the law. He rules that Zelophehad’s daughters can inherit the land. Moses changes his mind. He shifts his point of view. He experienced the power of dialogue, of meaningful conversation. He also experienced the power of hearing multiple voices. This openness reflects his love of his people and his ability to lead. As Paul Tillich once put it, “The first duty of love is to listen.” The daughters of Zelophehad took a bold step and made their case. History changed because Moses listened to their voices. Can we do the same? Can we truly love…and listen? Judging by what you are doing, we can. And we must. Our future depends on it. - Rabbi Evan Moffic "How I Prepare for the High Holidays" with Rabbi Moffic and Cantor Glikin Sunday, September 14, 10:00 am Did you know that preparation for the High Holidays begins a whole month before Rosh Hashanah? Join Rabbi Moffic and Cantor Glikin as they discuss how they prepare spiritually, physically, and emotionally for the High Holidays so as to get the most out of the holidays. Thank You For Your Contributions Cantor’s Discretionary Fund Harold and Linda Chizewer, in honor of their 50th anniversary Coleen and Marc Friedman, in honor of the birth of their first granddaughter, Celeste, to Joanna Friedman and Flavio Ambrogiani Larry and Susan Mason, in memory of Jerry G. Mason and in honor of Zoe Mason’s Bat Mitzvah Carol and Randall Miller, in memory of Walter Schloss Capital Campaign Ed and Judy Bederman, in honor of Harold and Linda Chizewer’s anniversary Dov Taylor Legacy Fund Harold and Linda Chizewer Education Fund Gary and Lynn Salit, in memory of Mae Wolfson Human Needs Lila Bondy, in memory of Gordon Denberg and Doris A. 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Ellen Diamond and Sherwin Waldman, in memory of Edwin Diamond and in honor of Hana Frisch’s Bat Mitzvah Michael Disharoon, in memory of Carol Kohn Joan and Warren Eagle, in memory of Carol Kohn Susan Fell, in memory of Deborah Fell Barbara and Seymour Ferdman, in memory of Carol Kohn Robina and Steven Fisher, in honor of the naming of Milani Rose Jean and Michael Freed, in memory of Carol Kohn Robbie and Jotty Friedland, in memory of Carol Kohn Coleen and Marc Friedman, in honor of the birth of their first granddaughter, Celeste, to Joanna Friedman and Flavio Ambrogiani Don and Gail Goldstein, in memory of Carol Kohn Alan and Carol Greene, in memory of Carol Kohn Louis Kahnweiler, in honor of his first great grandchild and in memory of Carol Kohn Priscilla Kersten, in memory of Carol Kohn Dennis and Barbara Kessler, in memory of Carol Kohn Carol and Mike Kohn, in memory of Doris A. Feingold Betsy and Scott Lassar, in memory of Carol Kohn Ronald B. Margolin, in memory of Carol Kohn Larry and Susan Mason, in memory of Jerry G. Mason and in honor of Zoe Mason’s Bat Mitzvah Jerry and Iris Pollan, in memory of Carol Kohn Wendy and Wayne Rhodes, in memory of Carol Kohn Susan Rifas, in memory of Carol Kohn Shelley Rochelle, in memory of Carol Kohn Gillian Rosenberg, in memory of Carol Kohn Edwin and Diana Ruthman, in memory of Carol Kohn Donald Schaumberger, in memory of Carol Kohn Julie and Bob Schlossberg, in memory of Carol Kohn Peggy Shapiro, in memory of Carol Kohn Charles and Sondra Sonneborn, in memory of Carol Kohn Elizabeth Steinberg, in memory of Carol Kohn Richard Swoiskin, in memory of Carol Kohn Brenda and Fred Turner, in memory of Renate Spiegel (Continued on page 17) Stock Transfers to Congregation Solel In order to make stock transfers from your accounts to Congregation Solel, the congregation works with First Mesirov Financial, Inc. Please note: This is a NEW location for gifting stocks to Congregation Solel: Mesirov Financial, Inc. 847-681-2502 Jennifer Kaufmann DTC # 0727 Account # 3318-5445 As always, your contributions to Congregation Solel are tax deductible to the extent allowed by law. If there are any questions, please call Allan Litwack, Executive Director, at (847) 433-3555, ext 225. Thank you for your continued support. Rabbi’s Discretionary Fund (continued) David and Mickey Unger, in memory of Hannah Cohen Donald and Barbara Weiss, in memory of Mitchel and Heather’s aufruf Bari Wolf, in memory of Carol Kohn Mark Zivin, in memory of Carol Kohn Tribute Fund Lawrence and Carol Adelman, in memory of Sylvia Appelman Durbin Richard and Andrea Amend, in memory of Edith and Nathan Amend Ed and Judy Bederman, in honor of Sally Abraham’s 75th birthday and in memory of Doris A. Feingold and Marianne Fell Rudman Dolores Borowitz, in memory of Julia Zuckerman Tabin Bruce and Lauren Kaden, in memory of Lester Kaden Natalie Caplin, in memory of William Earl Caplin David and Lois Eichengreen, in memory of Peggy Eichengreen Ottenheimer Karen and Eugene Finerman, in honor of Dahlia Cohen, Hana Frisch, and Zoe Mason Coleen and Marc Friedman, in memory of David Erdman and Pat Robinson Robert and Helene Gerstein, in memory of Doris A. Feingold Anita and Richard Gilford, in memory of Bill Samuels Carol and Peter Goldman, in memory of Harold Diamond James and Donna Gottlieb, in memory of Ruth Marks Ellen and Lee Gussin, in memory of Doris A. 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Feingold Laurence and Deborah Wilneff, in memory of Esther Wilneff Jerry and Jan Wolf, in memory of Fanny Wolf As of July 24, 2014 --- Mazel Tov to... Arleen and Bob Blatt, on their granddaughter, Ava Hailey Schenk’s Bat Mitzvah. Grace Stein, on the birth of her great granddaughter and to Bertram and Nancy Stein, on the birth of their granddaughter, to Shane Stein and Tina Cowen on Friday, July 18, 2014. --- Condolences to... Andrew Eichner and Rita Brief, on the passing of their mother, Norma Eichner. Don and Gail Goldstein, on the passing of their sister, Doris A. Feingold. Michael Kohn, founding member and past president, on the passing of his wife, Carol Kohn Daniel and Debbie Levenson, on the passing of their father, Samuel Levenson. Ellen and Jeffrey London, on the passing of their father, Peter Gershonav. Brenda and Fred Turner, on the passing of their mother, Renate Spiegel. --- Welcome to Our New Members! 1. Robert and Arleen Blatt 2. Richard and Judy Eichner 3. David and Susan Fireside 4. Murray and Joan Levin 5. Harold Rafson Help us feed families in need. Food Donations for the West Deerfield Township Food Pantry is at an all-time LOW. The number of families in need has DOUBLED. The number of single recipients (mostly seniors) has MORE THAN DOUBLED. We have less food and more need. Below is a list of the items needed: (Most important is the need for protein.) - Protein – Canned meat, tuna, stew, hash, baked beans, chili, peanut butter, etc. - Canned fruit – peaches, pears, fruit cocktails, applesauce. - Side dish mixes – rice, potatoes, pasta. - Fresh Fruits & Vegetables – including tomatoes - Paper products – toilet paper, paper towels, tissues, etc. - Cereal, juice, soup, laundry detergent small size, dish detergent, cleaning products, toothpaste and toothbrushes. Donations can be dropped off at Congregation Solel anytime the building is open and placed in the bins near the Religious School office. Congregation Solel • 1301 Clavey Road • Highland Park, IL 60035 P: (847) 433-3555 • email@example.com • www.solel.org \| Sun \| Mon \| Tue \| Wed \| Thu \| Fri \| Sat \| \|-----\|-----\|-----\|-----\|-----\|-----\|-----\| \| \| \| \| \| \| 1 \| 2 \| \| \| \| \| \| \| 6:30 pm Shabbat Evening Service \| 9:15 am Torah Study 10:35 am Morning Minyan \| \| 3 \| 4 \| 5 \| 6 \| 7 \| 8 \| 9 \| \| \| 7:30 pm Choir Rehearsal \| 12:00 pm Lunch & Learn at Solel \| 12:00 pm Downtown Lunch & Learn \| 7:30 pm Choir Rehearsal \| 6:30 pm Shabbat Evening Service & Membership Forum \| 9:15 am Torah Study 10:35 am Sydney Smith Bat Mitzvah 10:35 am Morning Minyan \| \| 10 \| 11 \| 12 \| 13 \| 14 \| 15 \| 16 \| \| \| 7:30 pm Choir Rehearsal \| 7:30 pm Last Congregations Meeting \| 7:30 pm Choir Rehearsal \| 6:30 pm Shabbat Evening Service \| 9:15 am Torah Study 10:35 am Morning Minyan \| 9:15 am Torah Study 10:35 am Morning Minyan \| \| 17 \| 18 \| 19 \| 20 \| 21 \| 22 \| 23 \| \| \| 7:30 pm Choir Rehearsal \| 7:00 pm Jewish War Veterans Meeting \| 7:30 pm Choir Rehearsal \| 5:00 pm Solel BBQ 6:30 pm Shabbat Evening Service \| 9:15 am Torah Study 10:35 am Morning Minyan \| 9:15 am Torah Study 10:35 am Morning Minyan \| \| 24 \| 25 \| 26 \| 27 \| 28 \| 29 \| 30 \| \| \| 7:30 pm Choir Rehearsal \| 7:30 pm Choir Rehearsal \| 7:30 pm Choir Rehearsal \| 6:30 pm Shabbat Evening Service \| 9:15 am Torah Study 10:35 am Morning Minyan \| 9:15 am Torah Study 10:35 am Morning Minyan \| Kindle Shabbat Candles at dinner or at the following times (CDT): - 1 ........................................... 7:52 pm - 8 ........................................... 7:44 pm - 15 ......................................... 7:34 pm - 22 ......................................... 7:24 pm - 29 ......................................... 7:13 pm Ezra Women’s Celebration 7:00 pm Last Congregations Shabbat Services Schedule Friday, August 1 Shabbat Evening Service .................................................6:30 pm D’varim, Deut. 1:1-3:22 Saturday, August 2 Torah Study .................................................................9:15 am Morning Minyan .......................................................10:35 am Friday, August 8 Shabbat Evening Service .................................................6:30 pm Va-et’chanan, Deut. 3:23-7:11 Saturday, August 9 Torah Study .................................................................9:15 am Morning Minyan .......................................................10:35 am Friday, August 15 Shabbat Evening Service .................................................6:30 pm Eikev, Deut. 7:12-11:25 Saturday, August 16 Torah Study .................................................................9:15 am Sydnie Smith Bat Mitzvah ...........................................10:30 am Morning Minyan .......................................................10:35 am Friday, August 22 Shabbat Evening Service .................................................6:30 pm Re’i’ah, Deut. 11:26-16:17 Saturday, August 23 Torah Study .................................................................9:15 am Morning Minyan .......................................................10:35 am Friday, August 29 Shabbat Evening Service .................................................6:30 pm Shof’tim, Deut. 16:18-21:9 Saturday, August 30 Torah Study .................................................................9:15 am Morning Minyan .......................................................10:35 am Updating Your Solel Calendar with Future Events in 2014 Friday, August 15, 6:30 pm: Worship Service and a Membership Forum (hear from Solel members what our congregation means to them) Friday, August 22, 5:00 pm: Solel’s Annual BBQ Friday, August 26, 7:30 pm: Women’s Rosh Chodesh Elul Celebration Friday, September 12, 7:30 pm: Chocolate Shabbat Sunday, September 14, 10:00 am: “How I Prepare for the High Holidays” with Rabbi Moffic and Cantor Glikin Want to inquire more deeply into a passage after the Shabbat service? Find the weekly parashot and commentaries at these links: Weekly D’var: http://uri.org/learning/torah/ or http://www.reformjudaism.org/ Many Paths. One Community We are a spiritual home that engages our members and community in prayer, learning, and the pursuit of social justice. We prize inclusiveness, innovation, and involvement in our programs, life cycle events, and leadership. Everyone who walks into our building should feel inspired, uplifted, and connected. Pathfinder 1301 Clavey Road • Highland Park, IL 60035 Phone: (847) 433-3555 • Fax: (847) 433-3573 Rabbi’s Study: (847) 433-3708 Religious School: (847) 433-3417 Email: firstname.lastname@example.org Website: www.solel.org Rabbi: Rabbi Evan Moffic (email@example.com) Cantor: Cantor Vicky Glikin (firstname.lastname@example.org) Executive Director: Allan Litwack (email@example.com) Director of Education: Geoffrey Prass (firstname.lastname@example.org) President: Michael Ebner (email@example.com) Rabbi Emeritus: Rabbi Don Taylor (firstname.lastname@example.org) Pathfinder Deadline for Submissions: The next Pathfinder will be published September 2014 Please submit material by email on or before August 15, 2014 in order for it to appear in the September Pathfinder.
Evaluating the Effects of an Early Literacy Intervention Authors: Pamela Jakiela (Center for Global Development, BREAD, IZA); Owen Ozier (World Bank Development Research Group, BREAD, IZA); Lia C. H. Fernald (University of California at Berkeley School of Public Health); Heather A. Knauer (University of Michigan School of Social Work) Date of latest draft: January 10, 2020 Keywords: human capital, dialogic reading, emergent literacy, child development, storybooks, mother tongue, bilingual, multilingual JEL codes: I25, O15 Study pre-registration: AEARCTR-0004425 (https://doi.org/10.1257/rct.4425-1.0) Abstract: We conduct a cluster-randomized evaluation of an early literacy intervention that provided Kenyan parents with illustrated children’s storybooks and modified dialogic reading training. Rural communities were randomly assigned to treatment or control. Within treatment communities, households were further randomized to receive children’s storybooks in either Luo (the mother tongue of all children in the sample) or English (a national language, and the primary language of instruction in grade 4 of primary school and beyond). We estimate the impacts of treatment on children’s vocabulary and literacy skills. Our design also allows us to document household responses to the intervention including behavioral responses by parents and older siblings and overall impacts on parental time investments in children. EMERGE Project Timeline 2014: Development of the intervention 2015: Pilot study (individually-randomized in 9 communities) 2016: Analysis of data from pilot study Construction of sample frame for present (cluster-randomized) study 2017: Child censuses in study communities Baseline data collection in 73 communities (June–December, 2017) 2018: Intervention delivered in 36 of 73 communities (February–March, 2018) 2019: Endline survey (July 2019–January 2020 or beyond) 2020: Data analysis 1 Introduction Almost half of all children in low- and middle-income countries are at risk of failing to meet their developmental potential, primarily because of a lack of nutrition and early childhood stimulation (Black et al. 2017, Grantham-McGregor et al. 2007). Disparities in human capital begin early in life, often growing larger over time (Paxson and Schady 2007, Galasso, Weber, and Fernald 2019, Reynolds et al. 2017). The lack of adequate investment in early childhood leads to worse school performance, lower human capital accumulation, and reduced productivity in adulthood — creating a poverty trap for both individuals and societies (Behrman et al. 2014; Hanushek and Woessman 2012). Early interventions can have lasting impacts, with potentially compounding effects over time (Carneiro and Heckman 2003, Almond and Currie 2011, Alderman et al. 2017). However, the best-known examples of successful early interventions in low- and middle-income countries (LMICs) are expensive (Gertler et al. 2014). In contrast, interventions that are feasible at scale often fail to reach the most vulnerable, or have short-run impacts that fade out as children age (Andrew et al. 2018; Attanasio et al. 2014; Dillon et al. 2017; Martinez, Naudeau, and Pereira 2012, 2017; Özler et al. 2018; Wolf et al. 2019). Thus, it is clear that early intervention is crucial, but there is limited evidence that low-cost, scaleable programs can generate lasting effects. Children’s books are a simple yet remarkable technology that wealthy parents take for granted. Across Sub-Saharan Africa, only 3 percent of children live in households that own at least three children’s books; in higher-income countries, nearly all children do (UNICEF 2017).\footnote{See Table 12 of UNICEF (2017) for country-level statistics on the fraction of children under five years old who have at least three children’s books: for example, 92 percent of children in Belarus have at least three books; that figure is 6 percent in Ghana, 3 percent in Mozambique, and only 1 percent in Rwanda.} Books nudge parents to engage with their children in the sort of back-and-forth conversations that are needed to spark self-sustaining growth in vocabulary, literacy, and other cognitive skills (Ninio 1983, Wasik and Hindman 2015). In the United States, distribution of children’s books to low-income families has been shown to improve child vocabulary (High et al. 2000; Mendelsohn et al. 2001; Weitzman et al. 2004). For LMICs, the World Bank has identified universal literacy among children as a key policy goal (World Bank 2019). Though many literacy programs exist in LMICs, they typically target school-age children — rather than younger children who are building vocabulary and other pre-literacy skills, but not yet learning to read (Dowd et al. 2013; Piper et al. 2018). In Africa in particular, many parents are unaware of the importance of reading with children who have not yet reached school age, and interactive conversations between adults and young children are sometimes discouraged (Lancy 2015; Weber, Fernald, and Diop 2017; Jukes et al. 2018). We are conducting a randomized trial examining the impacts of a low-cost parent education and storybook distribution program on young children in rural Kenya. Encouraging Multilingual Early Reading as the Groundwork for Education (EMERGE) is a cluster-randomized evaluation of a program that provides Kenyan parents with illustrated children’s storybooks and modified dialogic reading training. The core question is whether this program has impacts on children’s human capital — specifically, vocabulary and early literacy skills — one and a half years after the intervention took place. We test two variants of the intervention: in one, storybooks are printed in Luo (the local mother tongue), which might prove advantageous for young children (and caregivers) who only speak Luo; in the other variant, storybooks are printed in English, which might prove advantageous in terms of school readiness. Before launching the present cluster-randomized trial, we documented the causal impacts of the EMERGE intervention on book-sharing practices through an individually-randomized pilot study. In 2014, we collaborated with a Kenyan publisher and dialogic reading experts to develop storybooks and a parent education program appropriate for this context. In 2015, we tested four variants of the EMERGE (storybooks plus dialogic reading) intervention in a pilot trial in nine communities in the same vicinity as the present study. That trial, documented in Knauer et al. (2019a), establishes the intervention’s impacts on a five- to six-week timescale. Weeks after the intervention, nearly every intervention book was still in the (treatment) home that had received it; parents reported reading with their children at a much higher rate in treatment households than in control households; children in treated households knew the stories in the books; and treated children had richer vocabularies than their control group counterparts. These measures represent intermediate outcomes: they are the first steps in any reasonable theory of change linking the EMERGE intervention to improvements in children’s human capital. The 2015 trial tested four different treatment intensities (books alone, books and parent education, and books plus more intensive assistance for parents), informing the present study by identifying the variant of the EMERGE treatment that struck the best balance between cost and short-run impact.\footnote{Intervention costs were estimated at \$28.27 per household in Knauer et al. 2019a.} The present study measures the impacts of the EMERGE intervention approximately 18 months after treatment. In 2017, we conducted baseline surveys of 2,527 children aged 36 to 83 months in 2,013 rural households. We also surveyed each child’s primary caregiver and collected data on all the other children then living in the household. After conducting the baseline survey, we randomly assigned treatment (storybooks plus dialogic reading training) at the community level. Within each treatment community, we also randomized the language of the storybooks across treatment households: storybooks were either in English (one of Kenya’s national languages and the primary language of instruction in upper primary school) or Luo (the mother tongue of all children in our sample). Storybooks were produced for the EMERGE intervention and were identical in every respect except for the language that the story was printed in. Whenever pilot interventions are scaled up, implementation fidelity is a potential concern. In the present study, members of the research team oversaw the implementation of the intervention and were able to monitor content delivery to ensure treatment fidelity. In addition, we conducted a midline survey in a small sample of households, again roughly five to six weeks after the intervention, to confirm that treatment led to the expected changes in reading behaviors. As in the pilot study, nearly every book was still in the treated homes six weeks after the intervention; parents reported increased reading frequency; and children knew the stories. Our primary research question is whether the EMERGE intervention improved young children’s vocabulary and early literacy skills. Through a two-level nested randomization, we also compare the impacts of English-language storybooks and mother tongue (specifically, Luo-language) storybooks. Language is an important but often overlooked issue in Kenya and in many developing country contexts. In rural Kenya, as in many other countries, children grow up speaking one of many locally spoken languages before learning official national languages in school. The most suitable language in which to present any early intervention is not obvious \textit{ex ante}: books in a locally spoken language will be more readily familiar to children (if, for example, parents read the words printed in the books aloud), but availability of texts in an official national language may accelerate school readiness. To address this question, we randomize storybook language at the household level within treatment communities. This permits us to estimate treatment effects separately by the language of the children’s books. Ours is not the only study in economics to consider the importance of “mother tongue” language in early interventions, nor is it the only study of early literacy interventions in developing countries. For example, Kerwin and Thornton (2019) find that a mother-tongue literacy intervention in Uganda can have sizeable positive or negative effects, depending on details of outcome measurement and intervention intensity. In a similar vein, Lucas, McEwan, Ngware, and Oketch (2014) show that in Kenya and Uganda, the magnitude of the effect of literacy programs might depend on the language of instruction and the language of assessment. And while Piper et al. (2016, 2018) demonstrate a large effect of a mother-tongue intervention in Kenya, Chicoine (2019) offers a cautionary tale about the challenges of mother-tongue instruction in Ethiopia when such interventions may involve a change in alphabet.\footnote{The present study of course also contributes to the broader economics literature on the impacts and importance of early interventions (e.g., Almond and Currie 2011, Carneiro and Heckman 2003, Gertler, et al. 2014).} A critical feature of many early childhood interventions is that impacts on young children are mediated by changes in the behavior of older household members. Mothers, fathers, grandparents, and even siblings must be transformed into agents of change, so interventions can only work when these individuals change their parenting and caregiving practices. Though this design feature suggests that parent and sibling behaviors are critical mechanisms worth measuring, these pathways are rarely explored.\footnote{Recent work by Das, Dercos, Habyarimana, Krishnan, Muralidharan, and Sundararaman (2013) is an exception, showing that an optimizing household’s behavior can sometimes even counteract beneficial effects of interventions.} Moreover, limiting attention to impacts on young children may miss important benefits and costs of interventions: in a context where only half of mothers are literate, there may be positive spillovers on caregivers’ literacy. On the other hand, time devoted to better parenting may reduce the time available for household tasks and leisure. To explore these issues, we measure child stimulation practices, time use, and literacy among both mothers and older siblings at endline. In doing so, we aim to provide a fuller picture of how intra-household responses to our intervention are optimized, so that any resulting understanding of costs and benefits is more comprehensive. Registered reports and pre-analysis plans can be submitted at a range of project stages, conceivably as early as a grant proposal is funded. Early-stage reports must not only bear the burden of anticipating state-contingent plans in the face of an exponentially expanding series of choices down the as-yet-unseen decision tree (Olken 2015), but must also describe how future implementation risks are managed. Because we are submitting our pre-analysis plan at a late stage of a project — and after many years of piloting — these risks are less relevant. As discussed above, development of the EMERGE project has been ongoing for five years, during which time we have been able to gather a tremendous amount of data documenting the validity of our measurement instruments; the fidelity of the intervention as implemented in the present, larger-scale, cluster-randomized trial; and the short-term impacts of the intervention on intermediate outcomes, both in the early pilot study and in the present cluster-randomized trial (e.g., Knauer et al. 2019a,b). This places the present report in a strong position with respect to many standard concerns. There is no risk that this intervention doesn’t get implemented; no risk that it gets implemented differently than expected; and no risk that it doesn’t translate into the short-term intermediate outcomes upon which our theory of change depends. Those risks have already been addressed. However, the critical, policy-relevant research question — whether a low-cost program combining storybooks with parent education leads to increases in children’s human capital — still remains to be answered.\footnote{In relation to costing, note that we have access to detailed records of implementation costs associated with this intervention in both our previous pilot work and in the current larger-scale intervention. This information will be valuable in an examination of program cost-effectiveness, once we have estimated the program’s impacts.} To fully exploit the benefits offered by pre-analysis plans, we use this document to bind our hands in ways that increase the statistical power of our study, but would not be credible in the absence of a commitment technology. Specifically, we commit to the use of an explicit decision rule to determine which of two feasible specifications should be used in our endline analysis (in short, whether to include in our analysis a large sub-sample of children for whom no baseline data is available). We are not aware of an antecedent to its state-contingent nature. This innovation explores the potential value in reports such as this one: we maximize analytical possibilities, inasmuch as we can foresee them, while avoiding any p-hacking.\footnote{Leaver, Ozier, Serneels, and Zeitlin (2020) use blinded endline data to choose among specifications on the basis of anticipated standard errors; in contrast, via this registered report, we commit to a procedure that we will use with the actual endline data, but we do so without yet having done analysis of endline data, blinded or otherwise.} In Section 2, we describe the EMERGE intervention in detail, and summarize the results of a short-term pilot study conducted prior to initiating this cluster-randomized trial. In Section 3, we describe our sample, data collection, and treatment assignment procedures. Section 4 outlines our empirical strategy and hypotheses. Section 5 provides administrative details. 2 Research Design 2.1 Context Literacy is important as a foundation for education, and through education, as a foundation for growth and development (World Bank 2019). Yet in Kenya—though it is one of the best-educated countries in Sub-Saharan Africa—less than a third of third-grade students can read at the second-grade level (Piper 2010) and only 34 percent of pre-school children are “on track” in terms of language and numeracy development (Kenya National Bureau of Statistics, 2013). Our study takes place in rural areas of Kisumu County, a Luo-speaking region of western Kenya. Approximately 48 percent of the county’s population lives below the local poverty line, and only 13 percent of adults completed secondary school (Commission on Revenue Allocation 2011). With over four million native speakers, Luo is Kenya’s second-most-widely spoken language (Lewis et al. 2016). In rural areas of Kisumu County, 94 percent of the population speaks Luo as their mother tongue (as shown in data from the 2014 Demographic and Health Survey). High linguistic homogeneity made it feasible to implement a mother tongue storybook treatment without needing to translate both the books and the child assessments into multiple local languages. Kenya’s education policy stipulates that instruction should be given in the local mother tongue in the early years of primary school, but only 31 percent of young primary students in our study area are actually taught in Luo (Piper and Miksic 2011). Mother tongue instruction is ideal from the perspective of early learning (Ball 2010). It can also make it easier for parents to engage with their child’s educational materials — since almost half of Kenyan mothers cannot read English at a second-grade level (Uwezo 2015). However, Kenyan parents often oppose mother tongue instruction because they believe it puts children at a disadvantage relative to those who do their schooling in English or Swahili (Trudell 2007, Jones 2012). In our study area and elsewhere in rural Sub-Saharan Africa, many parents don’t appreciate the importance of reading to preschool-aged children — whether in mother tongue or the official language — and cultural norms may even discourage the kind of unstructured conversations that have been shown to spur language development in young children (LeVine et al. 2006; Lancy 2015; Weber, Fernald, and Diop 2017). Though literacy programs exist in many African countries (cf. Literacy Boost, Tusome, and PRIMR), most target children of primary school age, not during the pre-literacy period (Dowd et al., 2013; Piper et al., 2018; Piper et al., 2015). Very few young children even have access to age-appropriate reading materials at home: UNICEF’s Multiple Indicator Cluster Surveys (MICS) show that only 4.4 percent of children’s homes in this part of western Kenya had at least three children’s books (Kenya National Bureau of Statistics, 2013). Though MICS data do not record storybook language, most children’s storybooks available in Kenya are either in English or Swahili. Prior to our study, no Luo-language storybooks intended for preschool-aged children were available for sale anywhere in the Kisumu area. Existing evidence suggests that early literacy materials should be made available in children’s mother tongue. However, the absence of mother tongue storybooks from local bookstores combined with parents well-documented opposition to mother tongue instruction raised the possibility that households would prefer to receive early literacy materials in English or Swahili (Kenya’s national languages). A second issue was how to design a parent education program that changed parents attitudes about the importance — and appropriateness — of reading to young children, and engaging them in informal, unstructured conversations during reading and at other times. As we discuss below, we were able to address these issues through extensive piloting, developing an intervention appropriate for the local context that leads to demonstrated changes in parent-child book-sharing behaviors. 2.2 Development of the Intervention Our intervention combines two components: (i) locally-appropriate, illustrated children’s storybooks in either English or Luo and (ii) a modified dialogic reading training that provided parents with guidance on how to engage and stimulate their young children through book-sharing. The intervention was developed by members of the research team in consultation with local stakeholders and dialogic reading experts. We provide a concise overview of each of the two intervention components below. A more detailed description of the intervention development process is available in Knauer et al. (2019a). 2.2.1 Children’s Storybooks In 2014, we visited all of the major bookstores, markets, and grocery stores in the greater Kisumu area to assess the availability of children’s storybooks in English and Luo. At that time, no Luo-language books intended for preschool-aged children were available at any location — though a limited set of English-language early readers (and relatively expensive imported books) were available in urban bookshops. To assess the potential demand for mother tongue storybooks, we began by translating and printing freely available content from the African Storybook Project (https://www.africanstorybook.org/). We distributed these and other locally-appropriate children’s books to households in peri-urban Kisumu, then conducted semi-structured interviews and focus groups to understand parents’ views of different types of storybooks. Based on the feedback we received from parents, we partnered with Kenyan-owned Moran Publishers to adapt and translate six of their early readers (originally intended for primary school students). In our focus groups, many parents appreciated the detailed, colorful illustrations of African life depicted in the Moran books (see Figure 1). We adapted these books by modifying the English-language content to be appropriate for a parent reading together with younger children, and then produced parallel English and Luo editions. All storybooks contained embedded vocabulary words specific to the story (e.g. “umbrella”) and questions intended to help parents start conversations about the plot with their young children. 2.2.2 Dialogic Reading Shared reading is most effective when parents or teachers engage children in a dialogue — children build vocabulary skills more rapidly when they formulate their own questions about stories (Duursma, Augustyn and Zuckerman 2008). Dialogic reading is an approach to book-sharing that emphasizes children’s active engagement, offering parents (or teachers) practical tools to encourage children to articulate their own questions and ideas about a story (Whitehurst et al. 1988; Zevenbergen and Whitehurst 2003). Dialogic reading programs have been shown to improve children’s expressive vocabulary and emergent literacy skills in high-income countries (Mol et al., Most evaluations of dialogic reading programs in low- and middle-income countries have focused on classroom settings: for example, Oper, Ameer, and Aboud (2009); Elmonayer (2013); and Simsek and Erdogan (2015) find that classroom-based dialogic reading programs improved child vocabulary in Bangladesh, Egypt, and Turkey, respectively. In South Africa, a dialogic book-sharing intervention provided to mothers with children aged 14 to 18 months increased children’s sustained attention and vocabulary (Murray et al. 2016; Vally et al. 2016). To develop a modified dialogic reading training intervention appropriate to our context, child development specialists on the research team adapted materials from both the Oper, Ameer, and Aboud (2009) intervention in Bangladesh and the Vally et al. (2015) intervention in South Africa. The parent education program we developed presents the core elements of dialogic reading in a culturally-appropriate format that emphasizes the importance of engaging young children in book-centered conversations. The training materials specifically encourage caregivers with limited literacy: we emphasize the importance of engaging children through discussion of storybook content and illustrations — and the relative un-importance of reading the text word-for-word. 2.2.3 The EMERGE Intervention The EMERGE intervention is a bundled treatment that combines locally-appropriate storybooks with modified dialogic reading training (both adapted from existing content by the research team, as described above). To further refine our intervention, we conducted a small, short-term pilot study in 2015. The pilot compared a control group (i) to the combination of storybooks and training, (ii) to a lighter-touch intervention that provided only storybooks without dialogic reading training, and (iii) to two more intensive interventions that also included additional booster trainings and home visits (Knauer et al. 2019a).\footnote{The pilot study was randomized at the individual level in nine rural communities. Children were assessed six weeks after treatment, limiting the potential for spillovers. (Parents assigned to the control arm in the pilot were invited to a second parent training session two months after treatment, i.e. two weeks \textit{after} endline.) We found little evidence of control group contamination six weeks after treatment: only 13 percent of control households had any children’s storybooks at endline, as compared to 97 percent of households assigned to (any) treatment; and children in the control group answered an average of 0.5 of 10 storybook comprehension questions correctly, as compared to an average of 3.7 correct responses in the treatment groups. Nonetheless, to fully eliminate the possibility of contamination, the present study was cluster-randomized at the community level, as discussed below.} Variants of the EMERGE intervention that included both storybooks and training increased the frequency of parent-child book-sharing, improved the quality of book-sharing activities, and improved children’s knowledge of vocabulary words embedded in the storybooks (measured six weeks after treatment). Delivering storybooks without offering parents our modified dialogic reading training increased the frequency of shared reading, but did not impact the quality of reading engagement or children’s vocabulary. In the present study, households assigned to treatment were invited to attend a modified dialogic reading training that was held in the local primary school or another central meeting place within the community. Storybooks were distributed to caregivers at the conclusion of the training. 88 percent of households assigned to treatment sent at least one adult to participate in the training. Whenever possible, we delivered storybooks to the homes of those caregivers who did not participate in the training — so a total of 97 percent of households assigned to treatment received either storybooks and modified dialogic reading training or storybooks alone. In short, take-up of the intervention is extremely high. 2.3 Identification Strategy Our study is a cluster-randomized trial. Figure 2 summarizes the research design, a two-level nested randomization implemented in 73 rural communities in Nyando sub-county, Kenya. First, communities were randomly assigned to either the treatment group or the control group. Within treatment communities, caregivers were further randomized into two treatment arms: Luo-language storybooks or English-language storybooks. All caregivers who completed the baseline in treatment villages were invited to attend the modified dialogic reading training. Books were distributed after the training according to the caregiver-level randomization. Books were also distributed to the homes of caregivers who chose not to attend the training. Figure 2: Research Design Sample frame Communities assessed (n=88) Communities excluded (n=15) Too few eligible caregivers (n=6) Communities used in piloting (n=4) Hostility toward survey team (n=4) Majority did not speak Luo (n=1) Communities in sample (n=73) 2,013 caregivers 2,527 children Community-level randomization Randomize communities Control communities (n=37) 997 caregivers 1,260 children Treatment communities (n=36) 1,016 caregivers 1,267 children Caregiver-level randomization Randomize caregivers Luo books 508 caregivers 635 children English books 508 caregivers 632 children 3 Experimental Procedures and Data 3.1 Sample Our study area is a region of continuous settlement, and primary school catchment areas do not map to specific villages or other recognizable administrative units. After extensive pre-testing, we defined communities (for the purposes of our study) as the area within 750 meters of a primary school where parents were likely to send all of their children to that school; further from any school, one observes considerable variation in which (public) primary school children attend. To construct a community-level (i.e. school-level) sample frame, we combined data from the 2007 Kenyan School Mapping Project with administrative data on the primary school leaving exam, the Kenya Certificate of Primary Education, to create a list of all public, coeducational day (i.e. not boarding) primary schools in Kisumu County, Kenya. After excluding those schools that were located in (linguistically heterogeneous) urban areas, we confirmed the location and status of all the rural schools through site visits, dropping schools from the sample frame that were no longer operational or too close to one another to plausibly avoid contamination across treatment arms (using a distance threshold 1.5 kilometers). We also excluded larger primary schools (with graduating class sizes of 20 or above) because we anticipated measuring classroom-level outcomes at endline (and wished to examine contexts were it was plausible to treat entire cohorts). 88 schools in three rural constituencies met our eligibility criteria; these schools constituted our initial community-level sample frame. In 2017, we conducted censuses in each study community to construct a sample frame of children aged 36 to 83 months and their primary caregivers (typically mothers), mapping the location of all households within 750 meters of the primary school that met eligibility criteria (based on children’s ages). We attempted censuses in all 88 communities, however activities were stopped in four locations because of community hostility. One additional community (on the border between Kisumu and Nandi counties) was dropped from the sample because a large proportion of caregivers were native Nandi speakers. A further six communities were dropped from the sample after the census because the number of eligible caregivers (with children between the ages of 36 and 83 months) was too small (10 or fewer). This left a sample of 77 communities, four of which were used for pilot testing of our survey instruments and intervention protocols. 3.2 Baseline Data Collection Between June 8 and December 21, 2017, the EMERGE field team conducted baseline surveys of 2,013 caregivers and 2,527 children aged 36 to 83 months.\footnote{As we discuss further below, the political uncertainty surrounding Kenya’s presidential election necessitated a two-month pause in surveying between July 28 and October 2, 2017.} In communities with fewer than 44 households with eligible-age children, we invited all eligible caregivers to participate in the study. In larger communities, we randomly sampled 44 caregivers for inclusion in the sample — though all caregivers of eligible children were invited to attend the dialogic reading training and receive storybooks. When a caregiver had one or two eligible-age children in her care, we conducted a survey with each child. In 46 (of 2,013) cases where a caregiver had more than two eligible children, we randomly sampled two for inclusion in the sample. 3.3 Baseline Characteristics Baseline characteristics of the children in our sample are summarized in Table 1. The median household size is six. A typical household had an iron roof and a latrine within their compound at baseline, but did not have electricity, a cement floor, a bicycle, or a car. 86 percent of the children in the sample were cared for by their mother at baseline, and another 11 percent were looked after by their grandmother (typically because their mother was working full-time elsewhere; only 3 percent of children in the sample have a mother who was deceased at baseline). 50 percent of sample children have an illiterate primary caregiver. 95 percent of sample children have a mother whose native language is Luo. The median level of maternal education is eight years — i.e. complete primary school, but no secondary school. 50 percent of sample children are male. As expected, the median age is 60 months. The median height-for-age z-score was $-0.48$ at baseline, and 11 percent of children in the sample were stunted. 86 percent of children in the sample were enrolled in school at baseline. 3.4 Treatment Assignments 3.4.1 Community-Level Randomization The community-level randomization was stratified as follows. First, we divided communities into two groups: those that completed baseline surveys prior to Kenya’s presidential election (45 communities, surveyed in June and July of 2017) and those that completed baselines after the October re-run of the election (28 communities, surveyed in November and December of 2017).\footnote{The first presidential election took place on August 8, 2017. That election was subsequently annulled by Kenya’s Supreme Court on September 20. A new election was held on October 26. Because of security concerns during the period surrounding the election and the subsequent annulment, no baseline activities took place in August, September, or October.} Since election-related security concerns delayed some baseline surveys by several months, we stratified treatment assignments by baseline timing in order to reduce variation in delay between baseline and intervention. We further stratified communities by geography (the pre-election group was partitioned into northern and southern regions), community size, and school quality (as measured by the mean primary school leaving exam score in years prior to the intervention). Preliminary analysis of the baseline data suggested that stratification was not sufficient to guarantee balance on key outcomes of interest. After stratifying by baseline timing, geography, community size, and school quality (as described above), key covariates such as school enrollment, child age, whether a child’s mother was Luo, and the number of eligible children in the household were imbalanced (i.e. differences between treatment and control means were significant at the 10 percent level) up to 20 percent of the time in samples of 100 treatment assignments. We address this by using a re-randomization approach (Bruhn and McKenzie 2009, Athey and Imbens 2017). To assign communities to treatment and control groups, we generated one thousand stratified random assignments (using Stata 13.1), removing from consideration those that were imbalanced at the 10 percent level on any one of 12 key covariates (household size, mother’s education, whether the mother is the primary caregiver, primary caregiver literacy, child gender, child age, child height-for-age z-score, school enrollment, expressive vocabulary, receptive vocabulary in Luo, parental stimulation of young children, and school quality). Of the first thousand random assignments we generated, 204 community-level treatment assignments met these balance criteria; we randomly chose one from this set. Following this procedure to generate additional alternative treatment assignments will allow us to calculate randomization inference p-values anywhere that is desired as a robustness test. Since the space of eligible treatment assignments is quite large, and the re-randomization procedure does not constrain the space that severely, these p-values should be broadly comparable to those obtained through classical (asymptotic) inference; if anything, we expect the classical (asymptotic) inference to be conservative (Athey and Imbens 2017). Table 2 reports baseline summary statistics separately for children in treatment and control communities (omitting those characteristics where balance was enforced). The treatment and control groups are generally well-balanced, though (as expected) there are a few differences. Children in control communities are slightly less likely to have an iron roof (99 percent in treatment vs. 96 percent in control), though the difference is small in magnitude and our aggregate asset index is balanced across treatment arms.\footnote{The asset index is the first principal component of a broad set of indicators for home quality and ownership of durable goods and livestock, following the procedures outlined by Filmer and Pritchett (2001).} Children assigned to the control group were slightly more likely to have a Luo mother (94 percent in treatment vs. 96 percent in control), though again the difference is quite small in magnitude. Children assigned to treatment also perform slightly worse on the baseline math assessment, though pre-literacy skills (receptive vocabulary in English, familiarity with letters, and performance on familiar word reading tasks in English and Luo) and fine motor skills are similar in the treatment and control groups. ### 3.4.2 Caregiver-Level Randomization: Storybook Language Within treatment communities, caregivers were randomly assigned to receive either English or Luo storybooks. Randomization was stratified by community. Because some treatment communities were quite small, scope for further stratification was limited. Instead, we once again employed re-randomization. Caregiver assignments were checked for balance in terms of household size, household assets, distance to the school, whether the primary caregiver was the child’s father or grandmother, caregiver age, caregiver education, whether the caregiver was Luo, caregiver vocabulary in both Luo and English, caregiver numeracy, caregiver digit span, whether the child’s mother was alive, whether the child’s mother was Luo, the age of the child’s mother, whether the child’s preferred language was Luo, an index of preventive health investments (vaccinations, whether the child sleeps under a mosquito net, whether the child had been given vitamins or deworming medication in the last six months), receptive vocabulary in English, familiarity with letters, brief early literacy assessments using familiar words in English and Luo, fine motor skills, and a short math skills assessment. In spite of the large number of balancing variables, 296 of one thousand initial random treatment assignments satisfied our balance criteria, allowing us to first use traditional (asymptotic) p-values, but also laying the groundwork for calculation of randomization inference p-values as robustness checks in our analysis, analogously to the community-level randomization and as discussed by Athey and Imbens (2017).\footnote{Because of the large number of balancing variables, we omit the balance check table since balance is enforced for all variables of interest.} \subsubsection{Intervention Delivery} The baseline research team delivered the intervention to 36 randomly chosen communities in April and May of 2018. As discussed above, 88 percent of sample households that were assigned to treatment sent at least one adult household member to participate in training; we were able to deliver storybooks (without training) to the homes of a further 9 percent of treatment households. \subsubsection{Midline Data Collection} Several weeks after the intervention took place in 2018, we randomly sampled a small number of respondents for a follow-up survey to measure outcomes related to intervention fidelity (e.g. the presence of EMERGE storybooks in the home). We sampled half of the communities in two of the three geographic strata (22 communities), and within those, either sampled all households (for small-community strata) or a random half of households (for large-community strata). We then sampled one child to focus on per household (relevant when we had gathered baseline data on two children). Thus we sampled 394 caregivers and children, of whom we were able to conduct a midline survey for 379 (just over 96 percent). The purpose of the midline data collection is \textbf{not} to preempt the endline: we did not gather any vocabulary or literacy measures, our any of our other focal endline outcomes. The purpose of the midline was to document intervention mechanisms and fidelity in the cluster-randomized study, permitting a direct comparison to our previous small-scale pilot, as discussed below.\footnote{Two risks, well-known in relation to books, are relevant to discuss here: that books could be unhelpful if their difficulty level is inappropriate, or that they could go entirely unused if parents perceive the books as being} Midline impacts are shown in Table 3. Being assigned to treatment increased the probability of having any children’s books in the home by 88 percentage points, and increased the number of children’s books found in the home by 4.59 (the number of books distributed was five). Children in the treatment group correctly answered an average of 4.57 more comprehension questions about the stories than did children in the comparison group (who correctly guessed an average of 0.4 questions out of 11).\footnote{Sample story comprehension questions are shown in Appendix Figure A1.} Panel B of Table 3 shows that treatment increased the likelihood that someone read to a child in the past three days by 32 percentage points, comparable to the 22-26 percentage point increases that we observed in our pilot (see Knauer et al. 2019a, Table 2). Panel C of Table 3 shows midline impacts on reading behaviors. To measure this outcome, a survey team member observes the caregiver reading with a child, and codes the observed behaviors for twenty periods of 15 seconds each. As the table shows, we saw more interactive reading behaviors among caregivers assigned to the treatment group (almost all of whom received books and participated in training). We are thus confident not only that take-up was high (from administrative records), but also that intervention fidelity was good: midline impacts in the present study are comparable to those in our prior short-term study, in terms of books in the home; caregiver reports of reading; children’s familiarity with stories; and observed reading behaviors. ### 3.4.5 Endline Data Collection Adaptation of endline survey modules begin in early 2019. Since children had aged since the baseline survey and the endline survey also included older siblings, it was necessary to develop measures of vocabulary and early literacy appropriate for school-aged children. We also developed a new module measuring women’s time use and secondary activities that captures the amount of time caregivers spend engaging with their young children. The endline survey was launched on July 1, 2019. Data collection is expected to take approximately six months, concluding in early 2020. Survey teams are tracking 2,013 households containing 5,012 children aged 18 to 143 months at baseline: in addition to the 2,527 baseline children, the endline sample also includes 442 younger siblings (18 to 35 months at baseline) and so valuable that children might not be allowed to interact with them at all (Glewwe, Kremer, and Moulin 2009; Sabarwal, Evans, and Marschak, 2014). Both of these risks are mitigated in this context: the effects seen in our midline data (and pilot study data), discussed above, investigate and refute both of these possible concerns. 2,043 older siblings (84 to 143 months at baseline). 4 Empirical Analysis Our study is designed to answer two main research questions. First, does the combination of contextually-appropriate children’s storybooks and dialogic reading training for primary caregivers lead to improvements in vocabulary and literacy? Second, are mother tongue storybooks more (or less) effective than storybooks in the national language? 4.1 Statistical Methods To answer the first research question, we will estimate the OLS regression equation \[ Y_{ihv} = \alpha + \beta T_v + \gamma_s + X_{ihv} + \varepsilon_{ihv} \] (1) where $ Y_{ihv} $ is an outcome of interest (e.g. expressive vocabulary) for child $ i $ in household $ h $ in village (community) $ v $, $ T_v $ is a treatment dummy equal to one if village $ v $ is assigned to treatment (storybooks plus dialogic reading training), $ \gamma_s $ is a vector of fixed effects for randomization strata, and $ X_{ihv} $ is a vector of baseline covariates.$^{14}$ Whenever possible, $ X_{ihv} $ will include the baseline value of the outcome variable. Since treatment was randomly assigned at the community level, standard errors must be clustered at the community level. Given our randomized design, $ E[\hat{\beta}] $ is the average impact of being assigned to the EMERGE treatment, averaging over households receiving English books and Luo books. Equation 1 can also be used to estimate the impact of either the Luo-books or English-books treatment, as compared to the control group, by restricting the treatment sample to those randomly assigned to one of the two language sub-treatments (since assignment to treatment is randomized at both the community and the caregiver level). To answer the second research question, we will restrict attention to treatment villages to estimate the OLS regression equation \[ Y_{ihv} = \eta + \delta L_{ihv} + \lambda_v + X_{ihv} + \nu_{ihv} \] (2) $^{14}$The same specification can be used to examine caregiver-level outcomes — with the caveat that the $ i $ and $ h $ subscripts are redundant since only one primary caregiver is present in each household. where $L_{i,hu}$ is an indicator for (household-level) random assignment to the Luo-language storybooks treatment and $\lambda_v$ is a vector of village fixed effects. Again, we will include baseline values of the outcome variable whenever they are available. Since assignment to the Luo-language storybooks treatment occurred at the caregiver level, standard errors will be clustered by household when estimating Equation 2. We will construct confidence intervals using classical (asymptotic, frequentist) statistical methods. Our treatment assignment procedures involved re-randomization, but (as discussed above) we did not impose stringent constraints on the space of acceptable random assignments. As a result, randomization inference p-values should be comparable to or less conservative than those obtained from classical tests (Athey and Imbens 2017). Randomization inference p-values will be reported as a robustness check. 4.2 Defining the Endline Sample(s) Our sample includes 2,013 caregivers and 2,527 children aged 36 to 83 months old at baseline. These individuals were surveyed pre-treatment, so a broad set of set of (baseline) covariates is available for both the caregiver sample and the baseline child sample. Through our baseline survey, we also identified 2,043 older siblings aged 84 to 143 months (at baseline) who were living in study households (at baseline) and 442 younger siblings who were 18 to 35 months old (at baseline). Though older and younger siblings were not assessed at baseline, they may be impacted by treatment — for example, older siblings may particularly benefit if they are asked to read with their younger brothers and sisters. Our endline data collection allows us to estimate impacts of treatment on all children aged 18 to 143 months at baseline — but, because of the wide age range and differential availability of baseline data, it will not always make sense to pool the samples in our analysis. Thus, our endline analysis involves four distinct sub-samples: the caregiver (or household-level) sample ($N = 2,013$), the baseline child sample ($N = 2,527$), the older sibling sample ($N = 2,043$), and the younger sibling sample ($N = 442$). 4.3 Hypotheses 4.3.1 Primary Hypotheses Our primary research question is whether the EMERGE intervention improved children’s vocabulary and early literacy skills. Though we expect vocabulary and literacy to be positively correlated, we consider these two classes of outcomes separately, in turn. We note that while we generally plan to estimate effects on age-normalized outcomes, there are at least two ways we can provide policy-relevant and easily-comparable scales for those standardized effect sizes. One is to compare an effect to the association between that age-normalized outcome and socioeconomic measures: how much it changes with mother’s education, asset indices, et cetera. Another is to go back to raw (not age-normalized) scores, which we can benchmark against grade progression because we assess nearly all children in this study with a common set of instruments.\footnote{All baselined children are presented with the same set of assessments; some older and younger siblings face only an age-appropriate subset.} Hypothesis 1. The EMERGE treatment improved vocabulary outcomes among children in the baseline sample. We measure expressive and receptive vocabulary through direct child assessment. Receptive vocabulary refers to the ability to understand spoken words. Expressive vocabulary is the ability to produce appropriate words when required — for example, to name objects presented as images. Children begin developing receptive vocabulary before they begin to express themselves through speech (Fernald et al. 2017). We measure expressive vocabulary through a 57-item assessment developed and validated for the EMERGE study (Knauer et al. 2019b). It includes seven vocabulary words that were embedded in the intervention storybooks (“storybook expressive vocabulary”) as well as 50 other locally-appropriate stimuli (“non-storybook expressive vocabulary”). Sample expressive vocabulary stimuli are shown in Appendix Figure A2. To assess receptive vocabulary in English and Luo, we developed and validated new assessments by adapting items from the British Picture Vocabulary Scale (a variant of the Peabody Picture Vocabulary Test suited to British or Commonwealth English), and by creating new, similarly-structured items appropriate to the local context (Dunn and Dunn 1997; Dunn, Dunn, and Styles 2009; Knauer et al. 2019b). Our Luo and English receptive vocabulary assessments include 62 and 52 items, respectively. Sample receptive vocabulary stimuli are shown in Appendix Figure A3. Dialogic reading interventions have been shown to have larger impacts on expressive vocabulary than on receptive vocabulary (Mol et al., 2008). Relative to most of the high-income-country contexts where dialogic reading has been evaluated, our setting is unusual because children are developing vocabulary skills in both their mother tongue and English. Figure 3, which is excerpted from Knauer et al. (2019b), illustrates the evolution of word choice as children in our study area age (using responses to an abbreviated expressive vocabulary assessment in our pilot study). The number of correct responses clearly increases with age as children learn more words. Young children use very few English or Swahili words; they express themselves almost exclusively in their mother tongue. However, older children — most of whom are enrolled in pre-primary or primary school — express themselves in a mix of Luo and English (though they still use very few Swahili words). Thus, expressive vocabulary provides a holistic measure of word knowledge because children can respond in any language — whereas receptive vocabulary assessments typically only measure knowledge of a single stimulus language at a time (Knauer et al. 2019b). In multilingual settings, early literacy interventions can impact the trajectory of language development by nudging children to build skills in a particular language. Though existing evidence from monolingual contexts suggests that dialogic reading has larger impacts on expressive vocabulary than receptive vocabulary, our pilot study suggested that the EMERGE intervention may have had large impacts on receptive vocabulary in English. In Table 4, we report the estimated treatment effects of providing dialogic reading training and storybooks (including two in English) on expressive and receptive vocabulary (measured six-weeks after treatment in our pilot study). Treatment led to a 0.24 SD increase in knowledge of the vocabulary words embedded in the storybooks (p-value 0.036), and a 0.11 SD increase in an aggregate vocabulary index (p-value 0.096). Though confidence intervals are extremely wide in our ($N = 505$) pilot study sample, the point estimate suggests that the treatment effect on English receptive vocabulary may be quite large (0.15 SD, p-value 0.276, as shown in Table 4), and that impacts on non-storybook expressive vocabulary and receptive vocabulary in Luo may be considerable smaller. In the present study, we will test the hypothesis that the EMERGE treatment improved chilFigure 3: The Use of Luo and English by Age — Results from Knauer et al. (2019b) Notes: the figure is excerpted from Knauer et al. (2019b). It summarizes 505 children’s responses to a 23-item expressive vocabulary assessment broken down by language. In the assessment, a child is shown an image — for example, a frog — and asked “What is this?” A child can then respond in the language of their choice; their response is marked as correct as long as it is an acceptable word for “frog” in English, Luo, or Swahili. Children’s vocabulary by estimating Equation 1. We consider four vocabulary outcomes (storybook expressive, non-storybook expressive, Luo receptive, and English receptive vocabulary), each expressed as an age-normalized z-score; we also construct an aggregate vocabulary index following the procedures outlined by Kling, Liebman, and Katz (2007). We consider the aggregate index in isolation, but treat the set of four component outcome variables as a family by adjusting p-values following the Benjamini-Hochberg procedure outlined by Anderson (2008). When estimating the impacts of the EMERGE treatment on vocabulary, we restrict attention to the baseline child sample. There are two main reasons for doing this. First, baseline data on each of our four vocabulary outcomes is available for those children. As discussed further below, baseline and endline vocabulary measures were highly correlated in our pilot: the correlation between the baseline and endline vocabulary index was 0.796. Hence, including baseline values in our analysis should increase statistical power substantially — more so than increasing the number of observations per cluster. Second, both our expressive vocabulary assessments and our Luo-language receptive assessment show ceiling effects among older children. For expressive vocabulary, it is well-known that assessments based on picture naming are not suitable for older children (Fernald et al. 2017). Though receptive vocabulary instruments (e.g. the Peabody Picture Vocabulary Test) are intended for use with both children and adults, in practice it proved impossible to identify difficult Luo words that displayed attractive psychometric properties (for example, discrimination, as measured through item response theory).\footnote{In piloting, we asked one woman about Luo words that her 13-year-old granddaughter did not know, but that Luo-speaking adults would know. The grandmother reported that her granddaughter “already knew all the Luo words.” She went on to explain that there were many English words that her granddaughter hadn’t learned yet, but that a smart 13-year-old already knew all the Luo words in common use.} Ceiling effects limit one’s ability to detect the impacts of treatment, so we restrict attention to the sub-sample where we have the best chance of detecting treatment effects on vocabulary. In addition to controlling for baseline values of the outcome variable, all specifications will include controls for child gender, baseline height-for-age z-score, and child age in months. Hypothesis 2. The EMERGE treatment improved children’s early literacy skills. We measure early literacy skills using the English and Luo versions of the Early Grade Reading Assessment (EGRA). The EGRA measures four components of early literacy: knowledge of letter sounds, decoding, oral reading fluency, and reading comprehension (Dubeck and Gove 2015, RTI International 2015). We use existing (Kenya-specific) English and Luo versions of the EGRA with minimal adaptation, but we extend the test by including a letter recognition task adapted from the Malawi Developmental Assessment Test (Gladstone et al. 2010) as well as advanced reading passages adapted from Kenyan fifth-grade texts. Three of the four EGRA tasks (letter sounds, decoding, and fluency) are timed, yielding scores for both the number of correct responses and time to completion. We only assess advanced reading comprehension skills in children who complete the standard EGRA fluency and comprehension passages with minimal difficulty (no more than one incorrect response); reading comprehension scores are constructed by calculating the total number of correct responses across the easy and difficult passages. The early literacy index consequently contains 15 sub-components: letter recognition, knowledge of letter sounds (correct responses), time to complete letter sounds, non-word decoding (number correct), time to complete non-word decoding, oral reading fluency (words read correctly from passage), time to complete oral reading fluency, and reading comprehension — all but the first of which is measured separately in English and Luo. We convert each component of the early literacy index into an age-normalized z-score using non-parametric procedures (Fan 1993). We will estimate the mean effect of the EMERGE treatment on early literacy by estimating Equation 1. In addition, we will estimate the impact of treatment on each outcome within the family, adjusting for the total number of tests following Anderson (2008). We did not include a full early literacy module in our baseline survey. At baseline, we conducted direct assessments of children aged three to six years, most of whom had not yet begun learning to read. Our baseline survey included two brief measures of early literacy skills: the MDAT letter recognition task described above and a brief “familiar word reading” task wherein children were asked to read four simple words in English (bus, dog, cart, and sofa) and Luo (book, grass, mother, and cat — all of which are three or four letters in Luo). We did not measure early literacy in our short-term study either – again, because most children in our sample were too young for the EGRA. As a result, we have no way to predict the extent to which controlling for our brief pre-literacy skills assessment and other measures of early childhood development (for example, height-for-age z-score and expressive and receptive vocabulary at baseline) will explain the observed variance in literacy skills at endline. On the other hand, we observed only minimal ceiling effects when piloting our expanded EGRA with primary school children prior to endline — suggesting that the assessment is suitable for both our baseline child and older sibling samples. This suggests two approaches to estimating the impacts of the EMERGE treatment on literacy skills. One option is to restrict attention to the baseline child sample ($N = 2,527$), including controls for baseline familiarity with letters, familiar word reading, height-for-age z-score, expressive and receptive vocabulary, age, and gender. The alternative is to pool the baseline child and older sibling samples ($N = 2,527 + 2,043 = 4,570$) even though many baseline covariates (pre-literacy skills, et cetera) are not available for the older sibling sample. Thus, if we pool the two samples, we would control for every child’s age and gender, but only include other controls when available (including an indicator variable for whether the baseline child development controls are missing). The older sibling sample will have a higher residual variance, but may increase overall sample size sufficiently to improve precision. Given the available data, there is no way to know in advance which estimate will have the smaller standard error. Instead of committing to one of the two specifications in advance, we commit to an explicit decision rule. Once endline data are available, we will calculate the variance of the endline outcome and the intra-class correlation for both proposed samples and sets of control variables; we will then test Hypothesis 2 by estimating the specification with the smaller minimum detectable effect (calculated following the procedures in Section 4.5). In either case, we estimate impacts by estimating Equation 1.\footnote{We also realize that the formulas in Section 4.5 may not exactly capture the variance structure in the presence of dummies for strata and so forth, so as a supplementary analysis, we will show the analysis both ways, for those interested in whether the power calculation led us to make the right decision.} \subsection{Secondary Hypotheses} \subsubsection{Luo vs. English Storybooks} In a first set of secondary hypotheses, we test for differential impacts of Luo-language and English-language storybooks on vocabulary and literacy outcomes. First, we compare each sub-treatment to the control group (Hypotheses 3 to 6), and then we compare the Luo-storybooks and English-storybooks treatments to each other (Hypotheses 7 and 8). \textbf{Hypothesis 3.} \textit{Luo books improved vocabulary among children in the baseline sample.} \textbf{Hypothesis 4.} \textit{Luo books improved children’s early literacy skills.} \textbf{Hypothesis 5.} \textit{English books improved vocabulary among children in the baseline sample.} \textbf{Hypothesis 6.} \textit{English books improved children’s early literacy skills.} We will test Hypotheses 3, 4, 5, and 6 by estimating Equation 1. We follow the procedures outlined in Section 4.3.1 with respect to the selection of outcome variables, samples, and controls. However, when testing Hypotheses 3 and 4 (resp. Hypotheses 5 and 6), we restrict the sample to include only households assigned the control group and those assigned to the Luo-language storybooks (resp. English-language storybooks) treatment. Finally, we create two additional summary indices: early literacy in Luo and early literacy in English. Thus, we estimate the impact of each of two treatments (Luo storybooks and English storybooks) on each of four summary outcomes (vocabulary, overall literacy, literacy in Luo, and literacy in English). We adjust p-values for multiple testing following Anderson (2008). There is clearly some double-counting — since outcomes used to construct the Luo and English literacy indices will also be used to construct the overall literacy index — creating a mechanical positive correlation among indices. We do this because it is critical to understand both the overall impact of each treatment on early literacy skills and their differential impacts on literacy in the storybook languages vs. other languages. In our supplementary analysis, we will also estimate the impact of each treatment (Luo and English storybooks) on each of the 19 component outcome variables used to construct our aggregate indices, adjusting p-values to reflect the fact that we conduct 34 hypothesis tests. Hypothesis 7. Luo and English books have different impacts on vocabulary among children in the baseline sample. Hypothesis 8. Luo and English books have different impacts on children’s early literacy skills. We will test Hypotheses 7 and 8 by estimating Equation 2. Again, we will consider the range of outcomes and samples described in Section 4.3.1. We will estimate the impact of the Luo storybooks treatment (as compared to the English storybooks treatment rather than the control group) on vocabulary, overall literacy, literacy in Luo, and literacy in English (as above), adjusting for multiple testing (as above). In our supplementary analysis, we will also estimate the impact of the Luo books treatment on each of the 19 component outcome variables used to construct our aggregate indices, adjusting p-values accordingly. ### 4.4.2 Mechanisms A second set of secondary hypotheses tests a range of potential mechanisms that might explain any observed impact on child outcomes. Data collected from caregivers and children during our endline survey allows us to trace out an explicit causal chain: the EMERGE treatment increases the availability of age-appropriate reading materials in the home, causing parents and other family members to spend more time reading the EMERGE storybooks with their young children, which in turn leads to an increase in the overall level of stimulation young children experience. If we detect overall impacts in children’s human capital, tracing out the steps in the causal chain can help to explain the mechanisms underlying the observed results. If, on the other hand, we do not detect impacts on children’s vocabulary and literacy skills, our analysis of intermediate outcomes will offer policy lessons about the design of early childhood interventions. Our midline survey documented clear impacts of treatment on the availability of books in the home and the frequency of shared reading. If these impacts do not persist, it indicates that relatively light-touch interventions such as ours are not sufficient to generate sustained changes in reading behaviors. In other words, the lack of children’s books and information was not the binding constraint. However, if behavioral changes persist but do not translate into improvements in vocabulary and early literacy, it suggests that more intensive and costly early interventions may be required to generate durable improvements in the human capital of vulnerable children. Hypothesis 9. Treatment increases the number of children’s storybooks in the home. Our midline analysis showed that the EMERGE treatment increased the likelihood that a household owned any children’s storybooks by approximately 89 percent (p-value < 0.001), up from only 8 percent in the control group. However, if households do not value storybooks, they may be lost or destroyed over time. To test whether the EMERGE treatment increased the availability of children’s reading materials 18 months post-treatment, we will estimate Equation 1 using both the indicator for the presence of any children’s storybooks in the home and the number of children’s storybooks in the home as outcome variables. In these specifications, analysis is at the caregiver/household-level and the only control is the baseline value of the outcome variable.$^{18}$$^{19}$ Hypothesis 10. Treatment increases the frequency of shared reading. We hypothesize that the EMERGE intervention could improve children’s vocabulary and literacy because treatment increases the frequency with which older family members (either adults or older siblings) read with young children. Our endline survey provides several different measures of the frequency of shared reading: $^{18}$Additional control variables (e.g., mother’s education or household assets) might improve statistical power. However, given the relative magnitudes of the coefficients and standard errors in our midline analysis of 364 households, we do not anticipate statistical power issues for analysis of this or (most) other intermediate outcomes. $^{19}$Also note that the field team is taking photos of any children’s books found in homes at endline, so if desired, durability of the books could be assessed through a rubric for scoring the appearance of the books in the photos. 1. Caregivers were asked (directly) how often they read with each child over the past week. This provides ordinal measure of the frequency of caregiver-child book-sharing. 2. As part of an adapted version of the Family Care Indicators (FCI) questionnaire (Hamadani et al. 2010, Kariger et al. 2012), caregivers were asked whether anyone in the household read to or with each child in the three days prior to the survey. This generates seven indicators for family members who might have read with a child over the last three days (the child’s mother, father, grandmother, grandfather, older sister, older brother, or anyone else). 3. As part of a time diary module developed and validated for the present study, caregivers were asked about all of their activities on the weekday prior to the survey. For each activity that a respondent engaged in, they report whether or not they were with their children and what (if any) activities they engaged in with their children — providing an indicator of whether the caregiver read with young children on the focus day for the time use module. 4. As part of the caregiver survey, we ask caregivers about the activities of older siblings — including whether or not older children read (or looked at books) with younger children. 5. As part of the child survey, older siblings are asked about their activities — including whether or not they read with any of their younger siblings. Each of these measures has strengths and weaknesses. For example, direct questions about reading frequency may be subject to social desirability bias (since treatment-area respondents are aware that we are studying the storybook distribution program in which they participated). In contrast, older siblings’ responses are unlikely to be influenced by social desirability bias (particularly social desirability bias that affects treatment and control groups differentially), but children’s responses may be quite noisy. In our main analysis, we will construct an index of these five measures of reading frequency, following the procedures outlined by Kling, Liebman, and Katz (2007). In our supplementary analysis, we will estimate impacts on each of the outcomes, following Anderson (2008) to adjust for multiple hypothesis testing. We will also decompose the FCI measure of reading to the child into individual indicators: the indicator for whether the child’s mother read with them in the last three days, the analogous indicator for the child’s father, et cetera. We test Hypothesis 10 by estimating Equation 1 for each child in the baseline child and younger sibling samples. Though outcome variables were collected through the caregiver and older sibling surveys, caregiver and older sibling responses characterize reading behaviors with each young child in the household. We will include the following child-level controls: child age, child gender, baseline height-for-age z-score (when available), baseline reading frequency. Only the second of our five measures of shared reading were measured at baseline, and only for children in the baseline sample. For those children, we will construct a baseline reading frequency index using the using only the first two measures of shared reading practices. For children in the younger sibling sample, we will construct a household-level average of the baseline reading frequency index to substitute for the child-specific baseline data. Hypothesis 11. Treatment increases children’s familiarity with storybook content. Hypothesis 12. Treatment increases primary caregivers’ familiarity with storybook content. Hypothesis 13. Treatment increases older siblings’ familiarity with storybook content. Our endline child survey includes a series of comprehension questions that measure familiarity with storybook content by asking questions about illustrations taken from the stories. Figure A1 provides examples. Panel C of Figure A1, for example, is an illustration taken from the book The Lovely Duck; it shows two children looking through the grass at a duck building a nest. Though the duck and the nest are not shown, children (or adults) who have read the story will know the correct response. These questions measure the extent to which children and adults have used the storybooks enough to become familiar with their plots — a key step in the causal chain from book distribution to human capital impacts. In both our pilot study and our midline survey, we documented statistically significant and economically meaningful impacts of treatment on storybook comprehension among young children (in the baseline sample), demonstrating that children in treatment households use the EMERGE storybooks regularly in the first few months after treatment. At endline, we will measure impacts on both young children (in the baseline sample), older siblings, and caregivers by estimating Equation 1 for each sample. Hypothesis 14. Treatment increases the overall level of early childhood stimulation experienced by young children. Our adapted version of the Family Care Indicators (FCI) asks about ten different types of stimulating activities that adults and older siblings might engage in with young children: reading with them, telling them stories, singing to them, taking them places, playing with them, teaching them letters or numbers, counting with them, helping them learn new words (in either English or Luo), and helping them with homework. These can be used to create an overall index of stimulation experience by each young child, and they can be disaggregated to assess whether increases in shared reading are offset by declines in other types of stimulating activities. After each question in the FCI, we ask which household member engaged in the stimulating activity (mother, father, grandmother, grandfather, older sisters, older brothers, other adults, and/or other older children). This allows us to create indices of the amount of stimulation done by each (type of) household member — for example, the amount done by a child’s mother as opposed to alloparents. Our main analysis will estimate treatment effects on the overall amount of early childhood stimulation experienced by children in the baseline and younger siblings samples, controlling for child age and gender. We will estimate the overall impacts of the EMERGE treatment by estimating Equation 1. In our supplementary materials, we will also estimate the impact of treatment on the different types of stimulation experienced and on stimulation by each individual (type of) household member (mother, father, grandmother, grandfather, older sisters, older brothers, and other caregivers). All of these supplementary hypotheses will be treated as a family, with adjusted q-values calculated following Anderson (2008). Hypothesis 15. Treatment increases demand for additional children’s storybooks. As a final measure of the impact of the EMERGE treatment on families’ behaviors and attitudes related to book-sharing, we will estimate the impact of treatment on the demand for children’s storybooks. After completing the caregiver survey, each respondent is offered a gift: respondents are given a choice between two large bars of soap or a (new) children’s storybook. Our piloting (in non-study communities) suggests that households that have received storybooks in the past are approximately 30 percentage points more likely to choose additional books as their respondent gift. In our endline analysis, we will formally test this by estimating Equation 1 in the caregiver sample, controlling for baseline caregiver literacy, maternal education, and durable assets. We will treat Hypotheses 9 through 15 as a family, again correcting for multiple hypothesis tests following Anderson (2008). As discussed above, we will also estimate treatment effects on the likelihood that different family members have read with young children in the past three days (in supplementary analysis). Along with analysis of storybook comprehension among caregivers and older siblings, this will help us understand how households optimize their response to this literacy intervention. 4.4.3 Impacts on Older Siblings Our baseline data demonstrates that older sisters do more early childhood stimulation than anyone else in the household, yet their role in mediating the impacts of early childhood (“parenting”) interventions is typically ignored. Our endline data collection allows us to estimate the impacts of treatment on children aged 84 to 143 months (i.e. 7 to 11 years) at baseline. As discussed above, these children may benefit from the increased availability of early reading materials in the home, particularly if they engage in shared reading with younger siblings. On the other hand, emphasizing the importance of early childhood stimulation to parents may cause them to shift attention toward preschoolers — and away from school-aged children. Older children might also be asked to do more early childhood stimulation themselves, or to assist (more) with other household chores to free up parental time for shared reading and early childhood stimulation. We consider the following outcomes: 1. Literacy in English, measured using the expanded EGRA (described above) 2. Literacy in Luo, also measured using the expanded EGRA (described above) 3. Receptive vocabulary in English, measured using the adapted British Picture Vocabulary Scale (described above) 4. School attendance the weekday prior to the survey 5. An indicator for whether the sibling reports reading with any younger siblings on the weekday prior to the survey 6. An indicator for whether the sibling reports reading on their own on the weekday prior to the survey 7. An indicator for whether the sibling did any homework on the weekday prior to the survey 8. An indicator for whether the sibling received any help with homework on the weekday prior to the survey 9. A chore index that tallies the number of different chores the older sibling did on the weekday prior to the survey We treat these outcomes as a family, estimating impacts on each outcome and adjusting for multiple hypothesis testing following Anderson (2008). We assess the impacts of treatment on older siblings by estimating Equation 1 in the older sibling sample. We control for child age and gender, as well as the number of older and young male and female siblings in the household at baseline. Baseline values of the outcome variables are not available for the older sibling sample, so we cannot include them as controls. Since sisters play a much larger role in looking after young children than brothers (Lancy 2015), we estimate heterogeneous treatment effects on older girls versus older boys for all outcomes in this family (in addition to pooled impacts on older siblings). 4.4.4 Impacts on Primary Caregivers In a final set of secondary hypotheses, we estimate the impacts of treatment on primary caregivers’ literacy and time use. We estimate impacts of treatment on caregiver literacy in English and in Luo, and on time spent: (a) with young children; (b) stimulating young children; (c) on social leisure; (d) on non-social leisure and rest; (e) on home production, (f) on domestic work and household chores, and (g) on income-generating activities. All time use outcomes are measured through an open-interval time diary that was developed and validated for the EMERGE project. We estimate treatment effects via Equation 1 controlling for whether the primary caregiver is the children’s mother, caregiver literacy (at baseline), and a household asset index. 4.5 Power Calculations As a preable to (and overview of) the calculations below, there are a few central features of this study worth pointing out. In preparing these calculations, we are able to draw not only on the full baseline data from the present study, but also on data from our pilot study (Knauer et al. 2019), which used measures analogous or identical to those we use in this study. These two sources of information provide the statistical parameters needed for our power calculations. This is a cluster-randomized trial; statistical power (equivalently, the minimum detectable effect) depends not only on sample size, but also on the number and size of clusters, the intra-class correlation of the outcomes, and the predictive power of baseline data. For most child outcomes, intra-class correlations are relatively small after conditioning on baseline values of the outcome variable, which are available for our primary child-level outcomes of interest. In many cases, we anticipate having power to detect 0.1-standard-deviation effects.\footnote{A recent review found that interventions which, like ours, aim to train caregivers on responsive behaviors, typically had relatively large effects, somewhat allaying power concerns in general (Prado, et al. 2019).} We discuss in more detail below. Two other issues are typically considered when calculating statistical power: compliance (take-up) and attrition. As discussed in the previous sections, nearly every caregiver assigned to treatment received the intervention or some part of the intervention (specifically, the storybooks). Six weeks after treatment, storybooks were still present in respondents’ homes and children in the treatment group had learned the stories while, unsurprisingly, those in the comparison group had not. Because of this, we do not consider compliance or take-up to be a concern here. In terms of the magnitude of attrition, our team is following households with young children in a rural area, approximately 1.5 years after baseline; we have extensive contact information that allows us to track respondents through extended family, even if they move. We therefore expect attrition from household moves to be very low. We now provide two points of reference on attrition in this context. First, in a neighboring area of rural Kenya, teams from Innovations for Poverty Action (with which we are working on the present study) followed respondents ten years after initially enrolling them in a study, and were able to find and survey over 82 percent of them (Baird et al. 2016); given that our follow-up period is less than two years as opposed to ten, we expect to be able to locate a much higher fraction of baseline households. Second, for a sample of young women on the outskirts of Nairobi, a team hired and managed by some of the authors of the present study (again, in partnership with Innovations for Poverty Action) was able to track and survey over 92 percent of respondents after a year and a half (Brudevold-Newman et al. 2017). The EMERGE sample is substantially less mobile than that one, so we again expect the situation to allow us to do better. In light of these benchmarks, we think it is reasonable to anticipate that we will be able to follow up at least 90 percent of our respondents. Moreover, individual-level attrition in a cluster-randomized study is not very problematic. In particular, the reduction in sample size causes the most severe adjustments to minimum detectable effects (MDE) when the intra-cluster correlation is zero; but this is also the condition under which we have the most power to begin with. In our setting, when intra-cluster correlation is zero, 10 percent attrition only increases MDEs by about 5.4 percent; when it is non-zero, MDEs only increase by about 1.4 percent. We explain the underlying formulas in Section 4.5.5, but for the remainder of this section, we focus on the full sample, as these adjustments are small. ### 4.5.1 Characterizing the Power Calculation Formula The Minimum Detectable Effect (MDE) in a cluster-randomized trial is given by: \[ \text{MDE} = \left( t_{1-\kappa} + t_{\alpha/2} \right) \sqrt{\frac{1}{P(1-P)}} \sqrt{\frac{\sigma^2}{N}} \sqrt{1 + (n_{groupsize} - 1)\rho}. \] (3) The MDE expresses the statistical power of a test in standard deviations of the outcome variable. In what follows, we normalize $\sigma = 1$ and express the MDE in $\sigma$ units. Any power calculation of this sort involves the sum of two values of the T (or Z) distribution, which we use to obtain an approximation of $t_{1-\kappa} + t_{\alpha/2}$. The first component is the critical value at which a test rejects — this is a function of test size, and we usually consider a two-sided test of size $\alpha = 0.05$. The second component is the value of the T (or Z) distribution at which the mass to the left of that point in the distribution equals the desired power (typically $\kappa = 0.8$). When $\alpha = 0.05$ and $\kappa = 0.8$, the result is approximately 2.8.\footnote{One could use the t-distributed variant with 1000 degrees of freedom (a figure just under the number of caregivers in the treatment arms): $t_{1000,0.975} + t_{1000,0.8} = \text{invttail}(1000,0,0.025) + \text{invttail}(1000,0,2) = 2.80431\ldots$. Alternatively, for analysis where treatment varies at the community level rather than within-community, the t-distributed variant with 71 degrees of freedom (the number of clusters less two degrees of freedom) may be more appropriate: $t_{71,0.975} + t_{71,0.8} = \text{invttail}(71,0,0.025) + \text{invttail}(71,0,2) = 2.84065\ldots$. These differ only in the second decimal place, so any attrition at endline may do more to change the power calculations than switching among these variants of the power calculation formula.} We re-write the formula for the MDE as follows: \[ \text{MDE} \approx 2.8 \left( \sqrt{\frac{1}{P(1-P)}} \sqrt{\frac{1}{N}} \sqrt{1 + (n_{groupsize} - 1)\rho} \right). \] (4) $N$ and $P$ will vary across hypotheses, depending on the estimation sample being used and the test being conducted. Our study is cluster-randomized at the community level with 73 clusters, so $n_{groupsize} = N/73$. Since storybook language was randomized at the caregiver rather than the community level, analysis comparing the impacts of the English and Luo storybook treatments can be clustered at the household rather than the community level. In any cluster-randomized study, power depends on the intra-cluster correlation, $\rho$, which varies across outcomes and samples. Power increases when we are able to control for a baseline value of an outcome variable — to the extent that the baseline value predicts the endline value, absorbing unexplained variance. Other baseline covariates — for example, child age, gender, and height-for-age z-score — may also predict endline outcomes and increase power. Specifically, for an outcome variable, $Y$, and a vector of baseline covariates, $X$, we can write the MDE as: $$\text{MDE} \approx 2.8 \left( \sqrt{\frac{1}{P(1-P)}} \sqrt{\frac{1}{N}} \sqrt{1 + (n_{groupsize} - 1)\tilde{\rho}} \right) \tilde{\sigma} \quad (5)$$ where $\tilde{\sigma} < 1$ is the standard deviation of the residual of $Y$ after regressing it on $X$ and $\tilde{\rho}$ is the intra-class correlation of the residuals. We would typically expect $\tilde{\rho} < \rho$, but this might not always be the case.\footnote{An obvious situation when we would expect $\tilde{\rho}$ to be greater than $\rho$ is when an unobserved cluster-randomized treatment explains most of the change in the outcome variable over time.} We obtain estimates of $\rho$ from our baseline data whenever possible. For variables that were not measured at baseline, we rely on proxy variables from our baseline survey, the short-term evaluation of the EMERGE intervention, or other studies. When considering outcomes where baseline data are available, we estimate $\tilde{\rho}$ and $\tilde{\sigma}$ using baseline and endline data from the short-term study whenever possible. Estimates of $\tilde{\rho}$ and $\tilde{\sigma}$ allow us to calculate an adjusted MDE accounting for covariates. We walk through the calculation of these quantities for our primary hypotheses, then summarize assumptions and MDEs for other outcomes in Table 5. ### 4.5.2 Primary Hypotheses Hypothesis 1. Hypothesis 1 is that the EMERGE treatment improved vocabulary outcomes of children in the baseline sample. For this test, $N = 2,527$, and approximately half of the sample was assigned to treatment ($P = 0.5$). We can thus re-write the MDE as: \[ MDE_1 \approx \left( t_{1-\kappa} + t_{\alpha/2} \right) \cdot \sqrt{\frac{1}{P(1-P)}} \sqrt{\frac{1}{N}} \sqrt{1 + (n_{groupsize} - 1)\rho} \] \[ \approx \left( 2.8 \cdot \sqrt{\frac{1}{(1/2)(1/2)}} \cdot \sqrt{\frac{1}{2527}} \sqrt{1 + \left( \frac{2527}{73} - 1 \right) \rho} \right) \] (6) Our index of vocabulary skills averages four outcome variables: storybook-specific expressive vocabulary, (non-storybook) expressive vocabulary, receptive vocabulary in Luo, and Receptive vocabulary in English. We are also interested in estimating treatment effects on each of these outcomes independently. Baseline values of all four outcomes are available for all children in the baseline sample. This allows us to use the intra-class correlation (at baseline) to approximate $\rho$, and it means that we can use baseline values to increase that statistical power of our analysis. First, consider storybook-specific expressive vocabulary, which had the highest baseline intra-class correlation ($\rho \approx 0.076$).\footnote{Throughout, we calculate intra-class correlations using data from children aged four to six at baseline — to approximate the endline age distribution as closely as possible.} In the absence of baseline data, our research design yields an MDE of 0.213 SD — which we can confirm using the sampsi command in Stata: \begin{verbatim} sampsi 0 0.213, power(0.8) alpha(0.05) ratio(1) sd(1) samplclus, numclus(73) rho(0.076) \end{verbatim} Next, we use baseline and endline data from the short-term study to estimate the serial correlation for this specific outcome. As expected, regressing age-normalized storybook expressive vocabulary on a constant generates residuals with a standard deviation of approximately 1. Adding baseline values of the outcome variable to the regression reduces the standard deviation of the residuals to approximately 0.77, indicating a $\tilde{\sigma}$ of approximately 0.77. This alone would decrease the MDE to approximately 0.163 — as we can confirm in Stata: \begin{verbatim} sampsi 0 0.163, power(0.8) alpha(0.05) ratio(1) sd(0.77) samplclus, numclus(73) rho(0.076) \end{verbatim} However, including baseline values of the outcome variable also reduces the intra-class correlation to 0.026 (in the short-term pilot evaluation) — suggesting an adjusted MDE of 0.119. In the first five rows of Table 5, we replicate these calculations for our other three vocabulary measures and our aggregate vocabulary index. Without baseline covariates, MDEs vary with the intra-class correlation (because the size of the sample, the proportion treated, and other aspects of the research design are held constant). The unadjusted MDE is lowest (at 0.140) for Luo receptive vocabulary because it has the lowest intra-class correlation in our baseline data. However, data from the pilot study demonstrates that the intra-class correlation is always substantially lower after conditioning on baseline values of the outcome variable, and our covariate-adjusted MDEs range from 0.084 to 0.119. We observe the lowest covariate-adjusted MDE for our aggregate vocabulary index. Importantly, the aggregation process also reduces the overall level of noise in this outcome, so the ability to detect a 0.084 SD impact on vocabulary represents a high degree of power to detect small impacts on child vocabulary. Hypothesis 2. Our second primary hypothesis is that the EMERGE treatment improved children’s literacy skills. As discussed above, we do not have baseline values of the outcome variable, though we have measures of performance on a (relatively brief) familiar word reading task for children in the baseline sample. The question is whether we increase power by including the older sibling sample — for whom baseline measures of height-for-age and familiar word reading are not available. If the baseline covariates are sufficiently predictive, the increase in precision resulting form the larger sample could be offset by the increase in unexplained variance. In Table 5, we report the unadjusted MDE for both samples. As expected, the unadjusted MDE is lower (at 0.165) for the larger sample. However, the relatively high intra-class correlation in baseline familiar word reading skills ($\rho = 0.046$) means that including the older siblings has only a modest impact on the MDE (since the increase in sample size does not increase the number of clusters). Thus, if baseline covariates do a good job or predicting EGRA scores at endline, the restricted baseline sample could easily yield a smaller MDE. ### 4.5.3 Secondary Hypotheses Hypotheses 3, 4, 5, and 6 test the impacts of the Luo-language and English-language storybooks treatments relative to the control group. Since storybook language was randomly assigned within the treatment group, such analysis generates unbiased estimates of treatment effects. However, the treatment clusters are only half as large as the control clusters. We therefor begin our discussion of our secondary hypotheses by deriving the slightly-different MDE formula when cluster size differs between study arms. We then summarize the MDEs for our secondary hypotheses. Uneven Clusters. Here we discuss power when treatment and comparison groups have differently-sized clusters, as a simple extension to the usual formula. First, recall that the minimum detectable effect is of the form \[ \text{MDE} = (t_{1-\alpha} + t_{\alpha/2}) \widehat{SE}, \] as shown previously in Equation 3. The question is how to calculate $ \widehat{SE} $. This is the standard error from a difference between two means. Recall that there may be intra-cluster correlation. That is, underlying each residual error term $ \tilde{y}_i $, we have $ \tilde{y}_i = \epsilon_i + \eta_g $, where: $ \epsilon_i $ are iid with variance $ \sigma_\epsilon^2 $; $ \eta_g $ are iid across groups but identical within groups, with variance $ \sigma_\eta^2 $; thus the variance of $ \tilde{y}_i $ equals $ \sigma^2 = \sigma_\epsilon^2 + \sigma_\eta^2 $. The intra-cluster correlation, $ \rho $, equals $ \sigma_\eta^2 / (\sigma_\eta^2 + \sigma_\epsilon^2) $ (equivalently, $ \sigma_\eta^2 / \sigma^2 $). Then it is straightforward to calculate the variance of a group mean for a subsample of size $ s_1 $ with groups of size $ g_1 $ and intra-cluster correlation $ \rho $: \[ \text{Var} \left( \frac{1}{s_1} \sum_{s_1} \tilde{y}_i \right) = \frac{1}{s_1^2} \text{Var} \left( \sum_{s_1} (\epsilon_i + \eta_g) \right) = \frac{1}{s_1^2} \left( s_1 \sigma_\epsilon^2 + g_1^2 \cdot \frac{s_1}{g_1} \sigma_\eta^2 \right) = \frac{1}{s_1} \left( \sigma_\epsilon^2 + g_1 \sigma_\eta^2 \right). \] The right term follows from the facts that (a) for groups of $ n_g $ observations, the $ \eta_g $ terms are identical, so the variance of the sum of $ \eta_g $ is the square of the number of summed terms times the underlying variance, and (b) that for a subsample of size $ s_1 $, the number of such groups is $ s_1 / g_1 $. Simplifying the above expression (and using the definition of $ \rho $), we find: \[ \frac{1}{s_1} \left( \sigma_\epsilon^2 + g_1 \sigma_\eta^2 \right) = \frac{1}{s_1} \left( (\sigma_\epsilon^2 + \sigma_\eta^2) + (g_1 - 1)\sigma_\eta^2 \right) = \frac{1}{s_1} \sigma^2 (1 + (g_1 - 1)\rho). \] The standard error we want will be the square root of the variance of a difference between two means. Those means involve mutually exclusive groups of potentially different size. Thus: \[ \widehat{SE} = \sigma \cdot \sqrt{\frac{1}{s_1} (1 + (g_1 - 1)\rho) + \frac{1}{s_2} (1 + (g_2 - 1)\rho)}. \] When $ s_1 = Pn $, $ s_2 = (1 - P)n $, and $ g_1 = g_2 = n_{groupsize} $, it is readily seen that this simplifies to the well-known formula shown earlier (in Equation 3 and elsewhere). But the formula in Equation 9 governs the more general case, a relevant instance of which we now describe. Luo vs. English Storybooks When testing Hypotheses 3, 4, 5, and 6, we compare the mean from half the treatment group to that from the entire comparison group. Following Equation 9 above, we have $ s_1 \approx 635 $, $ g_1 \approx 635/36 \approx 17.7 $, $ s_2 = 1260 $, and $ g_2 = 1260/37 \approx 34.054 $. We discuss power in the case of our aggregate vocabulary index ($ \rho \approx 0.060 $). In the absence of baseline data, our research design yields an MDE of approximately 0.208. Adding baseline values of the outcome variable to the regression reduces the standard deviation of the residuals to approximately 0.77; this alone would decrease the MDE to approximately 0.126. However, including baseline values of the outcome variable also reduces the intra-class correlation to approximately 0.015 (in the pilot evaluation sample) — suggesting an adjusted MDE of 0.095. As discussed above, we consider two approaches to estimating treatment effects on literacy — either restricting attention to the baseline sample or pooling the baseline and older sibling samples. As expected, the larger sample yields the smaller MDE in the absence of baseline data. Without baseline data, we get an MDE of 0.159 by pooling the two samples; we may be able to lower the MDE by including our baseline measures of child development and literacy. Hypotheses 7 and 8 compare the impacts of the Luo-language and English-language storybooks.$^{25}$ Since storybook language was randomized at the household level, we cluster accordingly and include community fixed effects in our analysis. Baseline and pilot data indicate that the within-household intra-class correlation is typically quite high for vocabulary and literacy outcomes, but this has limited impacts on power since the number of observations per cluster is very small (e.g. 1.25 children per household in the baseline sample). Thus, unadjusted MDEs are in the 0.145–0.165 range, and the covariate-adjusted MDE indicates that we are powered to detect vocabulary impacts as small as 0.096 standard deviations. $^{24}$There are 635 children assigned to receive Luo language books, and 632 children assigned to receive English language books. $^{25}$Since Hypotheses 5 and 6 replicate Hypotheses 3 and 4 for the English (rather than Luo) books treatment, we do not discuss the power calculations in detail — they are identical to those described above except for tiny differences in sample size. Mechanisms. Hypotheses 9 through 15 consider a range of mechanisms: impacts of treatment on the presence of books in the home, on the frequency of shared-reading, on familiarity with storybook content, and on the demand for storybooks. Most of these outcomes were not measured at baseline. However, as Table 3 demonstrates, we anticipate large treatment effects since these are, in effect, process outcomes. For example, our midline survey found a treatment effect of 8.7 SDs on the number of storybooks in the home — relative to an estimated MDE of 0.150. At midline, we found a treatment effect of 6.5 SDs on our measures of familiarity with storybook content — relative to an unadjusted MDE of 0.269. Thus, we are well-powered to detect likely impacts on intermediate outcomes, even without variance-reducing baseline data. Impacts on Caregivers and Siblings. We consider a range of secondary hypotheses testing impacts of treatment on older household members. For most of these outcomes (caregiver literacy being a notable exception), we do not have baseline values of the outcome variables of interest. Consequently, we do not walk through these secondary hypotheses in great detail. In Table 5, we summarize the range of MDEs that we can expect across a plausible space of intra-class correlations given our sample sizes and research design. We are generally well-powered to detect moderate impacts in the 0.1–0.25 SD range. 4.5.4 Heterogeneous Effects In our pilot study, we found that treatment effects were generally larger for the children of illiterate caregivers (Knauer et al. 2019a). To see whether this pattern replicates, we will test for treatment effect heterogeneity by (baseline) caregiver literacy, but only for our primary hypotheses. As discussed above, we also report gender-disaggregated analysis of impacts on older siblings (in addition to pooled analysis). Finally, we will present exploratory analysis disaggregating treatment effects on vocabulary and literacy by child age. In all cases, we will adjust p-values for multiple hypothesis testing following Anderson (2008). 4.5.5 Adjustment for Attrition When adjusting for attrition, straightforward reasoning holds that if attrition is not differential, minimum detectable effects will be adjusted by the inverse of the square root of the follow-up rate.\footnote{Differential attrition raises the question of approaches to bounding. Because we anticipate very low attrition overall, we do not discuss differential attrition here.} That is, if 90 percent of respondents are found, the sample size shrinks by a factor of 0.9, causing the minimum detectable effect (MDE) to rise by a factor of $1/\sqrt{0.9} \approx 1.054$, about a five percent increase in MDE. This is true when the intra-cluster correlation of the outcome ($\rho$) is zero, which is of course also the condition under which the MDE is smallest (the power is highest) to begin with. However, when $\rho \neq 0$, the adjustment for attrition is slightly different, because while the sample size does change, the “design effect” or “moulton factor” changes in a countervailing way. This, in turn, is because we anticipate attrition not to occur at the cluster level, but at the individual level: entire clusters are unlikely to be lost to follow-up, but hard-to-find individuals within those clusters may attrit. Thus, the number of clusters is constant, but the number of observations per cluster falls. Let the number of clusters be $G = N/n_{groupsize}$. Then, because we can express $n_{groupsize}$ as $N/G$, we can build on Equation 5: $$\frac{MDE_{attrition}}{MDE_{full}} \propto \sqrt{\frac{N_{full}}{N_{attrition}}} \sqrt{\frac{(1 + ((N_{attrition}/G) - 1)\rho}{(1 + ((N_{full}/G) - 1)\rho}}.$$ In a typical power scenario for the present study, we have $N_{full} = 2527$, and $G = 73$. Suppose $N_{attrition}/N_{full} = 0.9$ (ninety percent follow-up, ten percent attrition). In some cases, we have $\rho = 0$, in which case the formula for adjusting the MDE in Equation 10 reduces to only the left term (since the radical on the right equals one), yielding $\sqrt{N_{full}/N_{attrition}} = \sqrt{1/0.9} \approx 1.054$, as discussed above. However, we also expect cases in which intra-cluster correlation is nonzero, such as $\rho = 0.076$. In this case, the radical on the right of Equation 10 substantially counteracts the radical on the left, yielding $1.054 \cdot 0.962 \approx 1.014$. Intuitively, when $\rho \neq 0$, as group size grows very large, additional observations within the group no longer affect the standard error. Thus, even ten percent individual-level attrition may only change our MDE by one percent. 5 Administrative Information 5.1 Funding This research project is supported by Echidna Giving, and by the World Bank via: the Strategic Impact Evaluation Fund; the Early Learning Partnership; and the Research Support Budget. 5.2 Institutional Review Board Necessary approvals are in place. This study has been reviewed and approved by three entities: by the University of California at Berkeley’s Committee for the Protection of Human Subjects (under Protocol ID 2014-09-6699); in Kenya, by the Maseno University Ethics Review Committee (under Proposal Reference Number MSU/DRPC/MUERC/00118/14); and finally, by the Innovations for Poverty Action Institutional Review Board (under Protocol Number 2620). 5.3 Declaration of Interest The authors state that they have no competing conflicts. 5.4 Acknowledgements We are grateful to Andrew Brudevold-Newman, William Blackmon, Rohit Chhabra, Mathilda Chweya, Emily Cook-Lundgren, Julian Duggan, Sheyda Esnaashari, Gerald Jona Ipapa Etarukot, Patricia Gitonga, Jessica Jomo, Saahil Karpe, Laura Kincaide, and Elyse Thulin for research assistance. We are particularly grateful to Patricia Kariger and Frances Aboud for their collaboration with us on the earlier papers that make the present study possible. 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Table 1: Summary Statistics on Baseline EMERGE Sample \| \| Obs. \| Mean \| S.D. \| Median \| Min. \| Max. \| \|--------------------------\|------\|--------\|-------\|--------\|------\|------\| \| Panel A: Household Characteristics \| \| \| \| \| \| \| \| Household size \| 2527 \| 5.88 \| 1.91 \| 6 \| 2 \| 17 \| \| Distance to primary school (in meters) \| 2527 \| 437.30 \| 168.31\| 453.78 \| 16.45 \| 983.16 \| \| Has cement floor \| 2527 \| 0.16 \| 0.36 \| 0 \| 0 \| 1 \| \| Has iron roof \| 2527 \| 0.97 \| 0.16 \| 1 \| 0 \| 1 \| \| Has latrine or toilet \| 2527 \| 0.77 \| 0.42 \| 1 \| 0 \| 1 \| \| Has solar power \| 2527 \| 0.44 \| 0.50 \| 0 \| 0 \| 1 \| \| Connected to power grid \| 2527 \| 0.08 \| 0.28 \| 0 \| 0 \| 1 \| \| Owns a bicycle \| 2527 \| 0.37 \| 0.48 \| 0 \| 0 \| 1 \| \| Owns a car \| 2527 \| 0.02 \| 0.15 \| 0 \| 0 \| 1 \| \| Panel B: Caregiver Characteristics \| \| \| \| \| \| \| \| Caregiver is child’s mother \| 2527 \| 0.86 \| 0.35 \| 1 \| 0 \| 1 \| \| Caregiver is child’s father \| 2527 \| 0.01 \| 0.09 \| 0 \| 0 \| 1 \| \| Caregiver is child’s grandmother \| 2527 \| 0.11 \| 0.31 \| 0 \| 0 \| 1 \| \| Caregiver illiterate \| 2518 \| 0.50 \| 0.50 \| 1 \| 0 \| 1 \| \| Panel C: Maternal Characteristics \| \| \| \| \| \| \| \| Child’s mother is alive \| 2527 \| 0.97 \| 0.16 \| 1 \| 0 \| 1 \| \| Mother’s age \| 2460 \| 30.67 \| 6.98 \| 30 \| 16 \| 60 \| \| Mother is Luo \| 2527 \| 0.95 \| 0.22 \| 1 \| 0 \| 1 \| \| Mother’s education in years \| 2527 \| 7.73 \| 2.40 \| 8 \| 0 \| 13 \| \| Panel D: Child Characteristics \| \| \| \| \| \| \| \| Child is male \| 2527 \| 0.50 \| 0.50 \| 1 \| 0 \| 1 \| \| Child age (in months) \| 2527 \| 59.26 \| 13.66 \| 60 \| 36 \| 83 \| \| Height-for-age z-score \| 2481 \| -0.42 \| 1.38 \| -0.48 \| -5.81 \| 5.99 \| \| Child is enrolled in school \| 2527 \| 0.86 \| 0.35 \| 1 \| 0 \| 1 \| \| Expressive vocabulary (out of 31) \| 2527 \| 9.48 \| 4.84 \| 9 \| 0 \| 26 \| \| Receptive vocabulary in Luo (out of 27) \| 2527 \| 10.10 \| 5.69 \| 10 \| 0 \| 26 \| \| Receptive vocabulary in English (out of 34) \| 2527 \| 6.62 \| 3.98 \| 6 \| 0 \| 21 \| \| Familiarity with letters (out of 9) \| 2527 \| 2.91 \| 3.17 \| 2 \| 0 \| 9 \| \| Familiar word reading in Luo (out of 4) \| 2527 \| 0.23 \| 0.83 \| 0 \| 0 \| 4 \| \| Familiar word reading in English (out of 4) \| 2527 \| 0.25 \| 0.82 \| 0 \| 0 \| 4 \| \| Math skills (out of 6) \| 2527 \| 2.13 \| 1.89 \| 2 \| 0 \| 6 \| \| Fine motor index (out of 6) \| 2527 \| 4.50 \| 1.64 \| 5 \| 0 \| 6 \| \| Panel E: Home Literacy Environment and Parental Investments \| \| \| \| \| \| \| \| Family Care Indicators score (out of 18) \| 2527 \| 9.00 \| 3.31 \| 9 \| 1 \| 18 \| \| Number of health investments (out of 8) \| 2527 \| 6.13 \| 1.03 \| 6 \| 0 \| 8 \| Sample includes data on 2,013 caregivers and 2,527 children aged 36 to 83 months. Table 2: Baseline Characteristics by Treatment Status: Community-Level Randomization \| \| TREATMENT \| \| CONTROL \| \| DIFFERENCE \| \| \|--------------------------------\|-----------\|----------\|---------\|----------\|------------\|----------\| \| \| MEAN \| S.D. \| MEAN \| S.D. \| DIFF. \| S.E. \| \| Distance to primary school (in meters) \| 429.53 \| 170.35 \| 445.12 \| 165.93 \| -13.30 \| 10.30 \| \| Has cement floor \| 0.16 \| 0.37 \| 0.15 \| 0.36 \| 0.01 \| 0.02 \| \| Has iron roof \| 0.99 \| 0.12 \| 0.96 \| 0.19 \| 0.03 \| 0.01 \| \| Has latrine or toilet \| 0.76 \| 0.42 \| 0.77 \| 0.42 \| -0.00 \| 0.03 \| \| Has solar power \| 0.42 \| 0.49 \| 0.45 \| 0.50 \| -0.02 \| 0.03 \| \| Connected to power grid \| 0.10 \| 0.30 \| 0.07 \| 0.25 \| 0.02 \| 0.02 \| \| Owns a bicycle \| 0.36 \| 0.48 \| 0.39 \| 0.49 \| -0.03 \| 0.03 \| \| Owns a car \| 0.02 \| 0.15 \| 0.02 \| 0.14 \| 0.00 \| 0.01 \| \| Household asset index \| -0.01 \| 2.07 \| -0.01 \| 2.01 \| -0.01 \| 0.10 \| \| Caregiver is child’s father \| 0.01 \| 0.09 \| 0.01 \| 0.09 \| -0.00 \| 0.00 \| \| Caregiver is child’s grandmother \| 0.11 \| 0.31 \| 0.11 \| 0.31 \| -0.00 \| 0.02 \| \| Child’s mother is alive \| 0.97 \| 0.16 \| 0.98 \| 0.15 \| -0.00 \| 0.01 \| \| Mother’s age \| 30.85 \| 7.04 \| 30.53 \| 6.91 \| 0.37 \| 0.31 \| \| Mother is Luo \| 0.94 \| 0.24 \| 0.96 \| 0.20 \| -0.02 \| 0.01 \| \| Receptive vocabulary in English (out of 34) \| 6.57 \| 3.90 \| 6.68 \| 4.06 \| -0.14 \| 0.18 \| \| Familiarity with letters (out of 9) \| 2.88 \| 3.13 \| 2.94 \| 3.21 \| -0.07 \| 0.15 \| \| Familiar word reading in Luo (out of 4) \| 0.20 \| 0.80 \| 0.25 \| 0.86 \| -0.04 \| 0.03 \| \| Familiar word reading in English (out of 4) \| 0.23 \| 0.80 \| 0.26 \| 0.84 \| -0.03 \| 0.04 \| \| Math skills (out of 6) \| 2.05 \| 1.87 \| 2.21 \| 1.91 \| -0.17 \| 0.08 \| \| Fine motor index (out of 6) \| 4.49 \| 1.63 \| 4.52 \| 1.64 \| -0.03 \| 0.06 \| \| Number of health investments (out of 8) \| 6.11 \| 1.04 \| 6.16 \| 1.01 \| -0.05 \| 0.05 \| Standard deviations in brackets. The DIFFERENCE column lists the OLS coefficient on the indicator for random assignment to the treatment group from a regression of the covariate on treatment controlling for stratum fixed effects, clustering at the community level; robust standard errors are reported in parentheses. Statistical significance: , , and indicate significance at the 1, 5, and 10 percent levels, respectively. Table 3: Midline (2018) Impacts of EMERGE Intervention \| Outcome \| Control Mean \| Coef. \| S.E. \| P-Val. \| 95% CI \| \|------------------------------------------------------------------------\|--------------\|---------\|---------\|--------\|-----------------\| \| Panel A: Books and Comprehension (N=379) \| \| \| \| \| \| \| Any storybooks in home \| 0.078 \| 0.884 \| 0.019 \| 0.000 \| [0.844, 0.924] \| \| Number of storybooks in home \| 0.140 \| 4.588 \| 0.101 \| 0.000 \| [4.379, 4.798] \| \| Correct comprehension answers (out of 11) \| 0.404 \| 4.566 \| 0.247 \| 0.000 \| [4.052, 5.080] \| \| Panel B: Reading Behaviors(N=482) \| \| \| \| \| \| \| Someone read with child (past 3 days) \| 0.429 \| 0.321 \| 0.040 \| 0.000 \| [0.238, 0.405] \| \| Caregiver ever read with child \| 0.409 \| 0.493 \| 0.033 \| 0.000 \| [0.425, 0.561] \| \| Mother read with child (past week) \| 0.283 \| 0.364 \| 0.043 \| 0.000 \| [0.274, 0.454] \| \| Father read with child (past week) \| 0.113 \| 0.052 \| 0.033 \| 0.138 \| [-0.018, 0.121] \| \| Sister read with child (past week) \| 0.192 \| 0.109 \| 0.039 \| 0.010 \| [0.029, 0.190] \| \| Brother read with child (past week) \| 0.171 \| -0.040 \| 0.038 \| 0.306 \| [-0.120, 0.039] \| \| Grandmother read with child (past week) \| 0.017 \| 0.056 \| 0.015 \| 0.002 \| [0.024, 0.088] \| \| Grandfather read with child (past week) \| 0.004 \| -0.002 \| 0.004 \| 0.648 \| [-0.011, 0.007] \| \| Panel C: Observing Caregiver Read with Child (N=364) \| \| \| \| \| \| \| Periods with any interactive activity (out of 20) \| 13.905 \| 1.451 \| 0.284 \| 0.000 \| [0.859, 2.042] \| \| Periods with asking child questions (out of 20) \| 11.503 \| 1.657 \| 0.428 \| 0.001 \| [0.766, 2.548] \| \| Periods with expanding (out of 20) \| 0.860 \| 0.590 \| 0.277 \| 0.045 \| [0.014, 1.165] \| \| Periods with asking child to expand (out of 20) \| 4.955 \| 2.820 \| 0.614 \| 0.000 \| [1.543, 4.098] \| \| Periods with answering questions (out of 20) \| 0.140 \| 0.091 \| 0.048 \| 0.071 \| [-0.009, 0.191] \| Survey conducted for 379 children, each with a distinct caregiver. For most questions asked of caregivers (about up to two children in the home), 482 observations are available. For observation of the caregiver reading with a child, 364 observations are available. All specifications include stratum and age fixed effects. Standard errors clustered at the level of the community. Table 4: Impacts of EMERGE Intervention in Individually-Randomized Pilot Study (2015) \| Outcome \| Coef. \| S.E. \| P-Val. \| 95% CI \| \|--------------------------------\|-------\|--------\|--------\|-----------------\| \| Storybook Expressive \| 0.240 \| 0.113 \| 0.036 \| [0.016, 0.463] \| \| Non-Storybook Expressive \| 0.041 \| 0.107 \| 0.703 \| [-0.171, 0.253] \| \| Luo Receptive Vocabulary \| 0.022 \| 0.139 \| 0.869 \| [-0.242, 0.286] \| \| English Receptive Vocabulary \| 0.147 \| 0.135 \| 0.276 \| [-0.119, 0.413] \| \| Vocabulary Index \| 0.113 \| 0.067 \| 0.096 \| [-0.020, 0.246] \| Table 5: Minimum Detectable Effects with and without Baseline Data \| $H_0$ \| Outcome \| N \| BL data? \| Unadjusted \| Covariate-Adjusted \| \|-------\|----------------------------------------------\|-----\|----------\|------------\|--------------------\| \| \| \| \| \| $\rho$ \| MDE \| $\hat{\sigma}$ \| $\hat{\rho}$ \| MDE \| \| 1$^a$ \| Storybook Expressive \| 2,527 \| Yes \| 0.076 \| 0.213 \| 0.770 \| 0.026 \| 0.119 \| \| 1$^a$ \| Non-Storybook Expressive \| 2,527 \| Yes \| 0.050 \| 0.185 \| 0.656 \| 0.010 \| 0.086 \| \| 1$^a$ \| Luo Receptive \| 2,527 \| Yes \| 0.016 \| 0.140 \| 0.774 \| 0 \| 0.087 \| \| 1$^a$ \| English Receptive \| 2,527 \| Yes \| 0.026 \| 0.155 \| 0.888 \| 0.005 \| 0.108 \| \| 1 \| Vocabulary Index \| 2,527 \| Yes \| 0.060 \| 0.196 \| 0.606 \| 0.015 \| 0.084 \| \| 2$^a$$^b$ \| Literacy Index (BL only) \| 2,527 \| No \| 0.046 \| 0.180 \| f \| \| \| \| 2$^b$$^b$ \| Literacy Index (BL+OS) \| 4,570 \| No \| 0.046 \| 0.165 \| f \| \| \| \| 3$^c$ \| Vocabulary Index \| 1,895 \| Yes \| 0.060 \| 0.208 \| 0.606 \| 0.015 \| 0.095 \| \| 4$^a$$^b$$^c$ \| Literacy Index (BL only) \| 1,895 \| No \| 0.046 \| 0.193 \| f \| \| \| \| 4$^b$$^b$$^c$ \| Literacy Index (BL+OS) \| 3,427 \| No \| 0.046 \| 0.159 \| f \| \| \| \| 7$^d$ \| Vocabulary Index \| 1,267 \| Yes \| 0.478 \| 0.166 \| 0.606 \| 0.026 \| 0.096 \| \| 8$^a$$^b$$^d$ \| Literacy Index (BL only) \| 1,267 \| No \| 0.430 \| 0.165 \| f \| \| \| \| 8$^b$$^b$$^d$ \| Literacy Index (BL+OS) \| 3,424 \| No \| 0.430 \| 0.145 \| f \| \| \| \| 9 \| Storybooks in home \| 2,013 \| No \| 0.017 \| 0.150 \| g \| \| \| \| 10 \| Reading Frequency \| 2,970 \| Yes$^e$ \| 0.034 \| 0.157 \| f \| \| \| \| 11 \| Child Book Familiarity \| 2,970 \| No \| 0.144 \| 0.269 \| g \| \| \| \| 12 \| Caregiver Book Familiarity \| 2,013 \| No \| 0.144 \| 0.274 \| g \| \| \| \| 13 \| Sibling Book Familiarity \| 2,043 \| No \| 0.144 \| 0.274 \| g \| \| \| \| 14 \| Child Stimulation \| 2,970 \| Yes \| 0.094 \| 0.223 \| 0.824 \| 0.010 \| 0.100 \| \| 15 \| Demand for Storybooks \| 2,013 \| No \| 0.017 \| 0.150 \| g \| \| \| \| – \| Impacts on Older Siblings \| 2,043 \| No \| $\rho \in [0, 0.1] \Rightarrow MDE \in [0.125, 0.239]$ \| \| \| \| \| – \| Impacts on Caregivers \| 2,013 \| No \| $\rho \in [0, 0.05] \Rightarrow MDE \in [0.124, 0.190]$ \| \| \| \| $a$ We report power calculations for the individual components of the Vocabulary Index for illustrative purposes. $^b$ In Section 4.3.1 we outline the two potential estimation approaches for testing Hypothesis 2, and the rule that will be used to choose between them once endline outcome data is available. $^c$ Sample restricted to control group plus households randomly assigned to the Luo books treatment; note that Hypotheses 5, 6a, and 6b would involve sample sizes, sample structures, and power calculations nearly identical to those of Hypotheses 3, 4a, and 4b, but for language (Luo or English). $^d$ Sample restricted to treatment group to test hypotheses comparing Luo storybooks to English storybooks; clustering at household rather than community level is appropriate because language is randomized at the household level within each community. $^e$ As discussed in Section 4.4.2, we collected baseline data on only one of the five outcomes included in the reading frequency index. $^f$ For some outcomes (including the Literacy Index and the measures of Reading Frequency, we have some data at baseline that should be predictive: for example, letter and familiar word recognition, and a subset of reading frequency measures. However, this is not a baseline measure of the exact outcome, and we do not have a good way to extrapolate how much $\sigma$ or $\rho$ will change with these baseline variables included as controls. We expect some improvement from the unadjusted measure, but we include this not as a flag of some uncertainty about additional power. $^g$ For other measures (Book Familiarity, Storybooks in home, Demand for Storybooks), we are less confident that any baseline variable will substantially improve power. A Appendix: Sample Images from Child Assessments Figure A1: Sample Storybook Comprehension Questions Panel A. What 3 things did Caro forget at home today? Panel B. What is Meg holding? Panel C. What do you think Meg and Ben are looking at? Figure A2: Sample Expressive Vocabulary Stimuli \| Hammer \| Frog \| \|--------\|------\| \| Candle \| Zebra\| \| Book \| Brain\| Figure A3: Sample Receptive Vocabulary Stimuli \| (1) \| (2) \| \|-----\|-----\| \| ![Image](image1.png) \| ![Image](image2.png) \| \| (3) \| (4) \| \|-----\|-----\| \| ![Image](image3.png) \| ![Image](image4.png) \| \| (1) \| (2) \| \|-----\|-----\| \| ![Image](image5.png) \| ![Image](image6.png) \| \| (3) \| (4) \| \|-----\|-----\| \| ![Image](image7.png) \| ![Image](image8.png) \|
ACFIS: a web server for fragment-based drug discovery Ge-Fei Hao\textsuperscript{1,†}, Wen Jiang\textsuperscript{1,†}, Yuan-Nong Ye\textsuperscript{2}, Feng-Xu Wu\textsuperscript{1}, Xiao-Lei Zhu\textsuperscript{1}, Feng-Biao Guo\textsuperscript{2,} and Guang-Fu Yang\textsuperscript{1,3,} \textsuperscript{1}Key Laboratory of Pesticide & Chemical Biology, Ministry of Education, College of Chemistry, Central China Normal University, Wuhan 430079, PR.China, \textsuperscript{2}Center of Bioinformatics and Key Laboratory for NeuroInformation of the Ministry of Education, University of Electronic Science and Technology of China, Chengdu 610054, P.R. China and \textsuperscript{3}Collaborative Innovation Center of Chemical Science and Engineering, Tianjing 300072, P.R.China Received January 31, 2016; Revised April 20, 2016; Accepted April 28, 2016 ABSTRACT In order to foster innovation and improve the effectiveness of drug discovery, there is a considerable interest in exploring unknown ‘chemical space’ to identify new bioactive compounds with novel and diverse scaffolds. Hence, fragment-based drug discovery (FBDD) was developed rapidly due to its advanced expansive search for ‘chemical space’, which can lead to a higher hit rate and ligand efficiency (LE). However, computational screening of fragments is always hampered by the promiscuous binding model. In this study, we developed a new web server Auto Core Fragment \textit{in silico} Screening (ACFIS). It includes three computational modules, PARA\_GEN, CORE\_GEN and CAND\_GEN. ACFIS can generate core fragment structure from the active molecule using fragment deconstruction analysis and perform \textit{in silico} screening by growing fragments to the junction of core fragment structure. An integrated energy calculation rapidly identifies which fragments fit the binding site of a protein. We constructed a simple interface to enable users to view top-ranking molecules in 2D and the binding mode in 3D for further experimental exploration. This makes the ACFIS a highly valuable tool for drug discovery. The ACFIS web server is free and open to all users at http://chemyang.ccnu.edu.cn/ccb/server/ACFIS/. INTRODUCTION It is widely recognized that drug discovery is a time-consuming, expensive and complex process. The search for new drugs is mainly plagued by the rising cost and low success rate in Research and Development (R\&D) (1). The goal of drug lead discovery is to identify candidate molecule with improved biological potency and physiochemical properties. However, the number of compounds needed to be synthesized to deliver one new lead is continuously rising in recent years (2). Both quality and quantity of hit classes available to medicinal chemists are primary drives for discovering best-in-class leads, which makes hit identification a crucial step to reduce attrition and therefore improve the overall R\&D productivity (3). Thus, how to improve the efficiency and reduce the time required for successful hit identification will contribute greatly to drug discovery. Over the past decade, high-throughput screening (HTS) of corporate compound decks has become the major paradigm for hit discovery in big pharma. Up to a few million compounds can be screened against the target of interest. But challenges facing traditional HTS technologies include low hit rates and hit molecule with low synthetic feasibility and nondrug-like properties are often identified. Compared with HTS, fragment-based drug design (FBDD) has some significant advantages (4). First, FBDD identifies ligand using ligand efficiency (LE) rather than potency alone to judge the relative order of molecules with different sizes, which offers more efficient and fruitful optimization campaigns. Second, FBDD only requires screening a small number of fragments to reach a more expansive chemical space, which leads to a much broader range of activity. Hence, the hit rate of FBDD is typically much higher than that observed with HTS (5). However, the specialized and expensive instruments, such as NMR spectroscopy, X-ray diffraction, surface plasmon resonance or mass spectrometry are always required to detect fragment binding due to the relative weak affinity (6,7). In addition, a large amount of purified proteins (> 10 mg) and high concentrations of fragment molecules are always essential to achieve this task, which are very difficult to achieve in most cases (8,9). \textsuperscript{†}To whom correspondence should be addressed. Tel: +86 27 67867800; Fax: +86 27 67867141; Email: firstname.lastname@example.org Correspondence may also be addressed to Feng-Biao Guo. Email: email@example.com These authors contributed equally to the work as first authors. © The Author(s) 2016. Published by Oxford University Press on behalf of Nucleic Acids Research. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by-nc/4.0/), which permits non-commercial re-use, distribution, and reproduction in any medium, provided the original work is properly cited. For commercial re-use, please contact firstname.lastname@example.org Hence, various computational methods have been developed to perform FBDD (10–12). Molecule docking has been used as a potentially attractive way to prioritize small fragments from the much larger commercially available data set (11). Nevertheless, the problem of fitting small fragments targeting sub-pockets within the active site of the target protein is different from fitting a larger ‘druglike’ molecule. The binding mode of a fragment is relatively more difficult to be predicted by docking due to the smaller size. Meanwhile, scoring functions optimized according to drug-like molecules may be less accurate for predicting fragment affinities, which makes fragment docking problematic and triggers critical discussions (11). Furthermore, commercial softwares like LUDI (13), GLIDE (14), etc. are proved to be powerful enough to place fragments into the correct pocket of the active site. In addition, there is more and more free softwares dedicated to de novo drug design compared to other cheminformatic tools. For example, LigBuilder was developed for structure-based de novo drug design and optimization (15), and S4MPLEx was developed as a conformational sampling tool for in silico FBDD (16). However, most of these tools are not web server facility, which makes them not easily practicable for non computational scientists. Only a minority of the web servers are dedicated to in silico drug discovery such as (17): MTIOpenScreen ([http://bioserv.rpbs.univ-paris-diderot.fr/services/MTIOpenScreen/](http://bioserv.rpbs.univ-paris-diderot.fr/services/MTIOpenScreen/)) (18), e-LEA3D ([http://bioinfo.ipmc.cnrs.fr/lea.html](http://bioinfo.ipmc.cnrs.fr/lea.html)) (19), iScreen ([http://iScreen.cmu.edu.tw/](http://iScreen.cmu.edu.tw/)) (20), VSDocker ([http://www.bio.nnow.ru/projects/vsdocker2/](http://www.bio.nnow.ru/projects/vsdocker2/)) (21), however, they perform virtual screening of molecular libraries rather than fragments using docking algorithm. This prompts us to develop a web server to perform FBDD. Herein, we present Auto Core Fragment in silico Screening (ACFIS), the first web server to perform computer-aided fragment-based drug discovery. It can generate core fragment structure based on the primary active molecule and perform automated fragment linking and virtual screening. The computation is based on the pharmacophore-linked fragment virtual screening (PFVS) method (22). Several libraries containing fragments extracted from known bioactive compounds are provided for screening. The core fragment generation tool uses fragment deconstruction analysis to evaluate the contribution of each fragment of the primary active molecule to the binding affinity. Another tool assists the user in the linking of new fragments to the selected core fragment and in the evaluating of the contribution to the binding potency. Thus, ACFIS enables researcher to perform computer-aided fragment-based drug discovery on traditional or more challenging protein targets. MATERIALS AND METHODS Fragment library Fragment library design is crucial for the effectiveness of fragment-based virtual screening. The virtual library can be designed as a set of compounds consisting of building blocks for synthetic feasibility, a set of structures obtained by decomposition of larger molecules, or a set of commercially available molecules. The Rule of Three (Ro3) is acknowledged as the best definition of a fragment, i.e. a low molecular weight (MW) $\leq 300$ Da, a reduced lipophilicity index clog$P \leq 3$, a number of hydrogen bond donors and acceptors $\leq 3$, low flexibility represented by a number of rotatable bonds $\leq 3$ and a polar surface area (PSA) $\leq 60$ Å$^2$ (23,24). The decomposition approach was used to design combinatorial fragment libraries by the deconstruction of known bioactive compounds (FDA approved drug and commercial pesticide molecules). Decomposition and Identification of Molecules (DAIM) program was used to perform decomposition of small molecules (25). The fragment size is controlled by the number of bond breakages. The breaking rules are based on retrosynthetic analysis. The fragment library derived from decomposition was filtered by Ro3. In addition to certain physicochemical property filters, the aspect of availability is also important and should be checked individually. However, the fragments from decomposition should already feature certain synthetic accessibility. Depending on the application, two fragment libraries (drug and pesticide fragment database) are supplied and will be continuously improved to expand its diversity. Fragment deconstruction analysis The FBDD approach can create novel lead compounds and allow the exploration of a larger chemical space. It either grows functional fragments from the starting fragment or pieces several fragments together into novel scaffold, which are generally defined as growing or linking algorithms. Growing algorithms start from a core fragment placed in the binding site and other fragments which are linked to improve activity. Linking algorithms, on the other hand, involve docking of functional fragments to each sub-pockets followed by linking adjacent fragments together. The ACFIS web server creates new molecules based on growing algorithm. First, the core fragment structure is determined. Then, automatic fragment linking is performed to improve the binding affinity. Hence, how to select a core fragment structure is a major challenge. Studies of drugs entering the market show that known drugs, clinical candidates and bioactive compounds represent very attractive and valuable starting point for new lead compound discovery (26). Therefore, selecting core fragment structures from the known bioactive compounds seems to be an effective strategy. The fragment deconstruction analysis is performed with a three-step computational protocol shown in Supplementary Figure S1: A three-step minimization procedure was performed on the binding conformation of protein–ligand complex. (i) First, movement was allowed only for the ligand molecule with a harmonic constraints (100 kcal/mol·Å$^2$) applied to the complex. Second, the mainchain atoms of the protein were fixed and other atoms were allowed to move. Finally, all atoms were minimized with no restraint to a convergence of 0.01 kcal/(mol·Å). (ii) Ligand structure binding in the pocket is deconstructed into fragments according to the retrosynthetic analysis by using DAIM software. Single bond is broken and hydrogen is used to link with heavy atom to make the total charge value of each ‘piece’ integer. In addition, everything will be reparameterized including the partial charges according to new generated protein-fragment structure. (iii) The binding free energy ($\Delta G$) is calculated as previously described by the combination of the MM.PBSA method (27) for the enthalpy and an empirical method for the entropy (see details in the Supplementary Material) (28) for each protein–fragment structure. The computational procedure used to evaluate the binding free energy includes binding energy, solvation entropy and conformational entropy (Equation 1), which is the same as that described in our previous publication (29). $$\frac{\Delta G_{bind}}{\Delta E_{bind}} = \frac{\Delta E_{bind} - T \Delta S_{solv} - T \Delta S_{conf}}{T \Delta S_{bind} + w(\Delta N_{rot})} = \tag{1}$$ The ranking of fragments is sorted according to LE defined as $\Delta G$ divided by the heavy atom count (HAC), $LE = -\Delta G_{cal}/\text{HAC}$. The core fragment is derived from the reassembly of the adjacent fragments based on the binding contribution. Hence, the obtained core fragment structure has a highly conserved binding conformation and efficient contribution to the entire binding affinity. Last, junction on the core fragment is determined according to the surrounding space (volume $\geq 50$ Å$^3$). *Auto core fragment in silico* screening New fragment is linked to the junction of core fragment structure placed in the binding site using a modified version of AutoGrow (30). The orientation of growing fragment was optimized with minimum steric clashes (overlap volume $\leq 4$ Å$^3$) to the surrounding residues. Because the PFVS method reasonably relies on the resemblance assumption that the structural perturbations associated with fragment changing are relatively small, which would only lead to local changes of the protein structure and would not significantly change the backbone structure of protein. This procedure preserves the binding conformation of the core fragment. The energy minimization of each new ligand is achieved in four steps using the Sander module of Amber program (31). First, the fragment is minimized with the core fragment and the protein fixed. Then, the ligand is minimized with the protein fixed. Subsequently, the backbone atoms of the protein are fixed and other atoms are relaxed. The final minimization is performed with both the ligand and protein relaxed. In each step, the energy minimization is executed by using the steepest descent method for the first 2000 cycles and the conjugated gradient method for the subsequent 3000 cycles with a convergence criterion of 0.1 kcal mol$^{-1}$ Å$^{-1}$. Finally, the MD simulation is performed using the generalized Born continuum solvent model to further relax the conformation of the growing fragment. The last snapshot of the MD simulation was minimized to a convergence criterion of 0.1 kcal mol$^{-1}$ Å$^{-1}$ and used for $\Delta G$ calculation. Finally, hit candidates were selected according to the $\Delta G$ value. WEB SERVER Web server configuration ACFIS contains three computational modules. PARA_GEN is a tool to generate parameters for ACFIS, CORE_GEN is a tool to derive core fragment structure from a bioactive molecule, and CAND_GEN is a tool to link fragments to the core fragment structure and generate candidates. The inputs of all modules are easy to prepare and some items are optional to meet the purpose of individual projects. Output structure files and related data can be downloaded. Figure 1 shows how PARA_GEN, CORE_GEN and CAND_GEN work together to make online FBDD possible. In order to make this server more user friendly, these modules are connected in the ‘primary mode’. After the submission of a complex pdb file, the server will generate several cores and select the top-ranked core fragment to perform fragment virtual screening automatically. To avoid the bugs of the uploaded pdb file, an initial file checking module is also developed in ‘primary mode’. The three modules can also be independently used in the ‘Advanced Mode’. ACFIS server runs on a dedicated Linux machine at the Supercomputer Cluster. The web application uses PHP (version 5.0), HTML and Java script to serve web pages. Related messages and results of each task are stored in a database implemented using MySQL (version 14.12). The web server runs on the apache HTTP server version 2.0.51, and the JSmol interactive molecular viewer applet ([http://www.jmol.org/](http://www.jmol.org/)) is used for structure visualization. Chrome and Firefox are recommended explorers for our server. Screen with resolution higher than 1440 × 900 are needed for the web pages. For PARA_GEN, ‘your job’ will start to run after you submit your job with a runtime of seconds to minutes based on the size of your molecule and the charge method. CORE_GEN will also manage your job immediately and finish in a few hours. CAND_GEN is a lengthy step depending on the size of the protein. Some tasks may take a few days. A job management system based on PHP and MYSQL has been developed to manage all the submitted jobs in this server. PARA_GEN: a parameter generation tool Input. In the front-page, the user is invited to upload a structure file of a protein cofactor in mol2 or pdb format. If there is no cofactor, this module can be skipped. A guideline at the bottom of the page explains how to use PARA_GEN to set exact parameters for a selected ligand. Hydrogen atoms should be correctly assigned, which can be done with most visualization software like AutoDock Tools, CHIMERA and PYMOL. Total formal charge should be correctly assigned, which is an essential parameter for the calculation of atomic charge. If the total formal charge is uncertain, it can be assigned automatically. Then a charge method from AM1-BCC, Muliken and Gasteiger options can be selected. And finally, an email address may be submitted to receive the final result files. Server workflow. Once a valid structure file of cofactor is uploaded, PARA_GEN program starts to run (Figure 2). First, your uploaded pdb file will be converted into mol2 file by using openbabel2.3.1 (32). Then, the total formal charge will be calculated, if it is not already specified. Parameter files for AMBER force field are then prepared by AMBER_TOOLS. Output. Result of PARA_GEN contains all the parameter files of AMBER force field required by MD simulation and a log file recording the calculation process, which will be available after your job successfully finished. If the uploaded structure file is invalid, the job will be terminated and an ‘error’ will be reported on the web page. Moreover, it is also linked with CORE_GEN and CAND_GEN module in the result page to start the following computation directly. CORE_GEN: a core fragment generation tool Input. A protein–ligand complex in pdb format is required as an input of CORE_GEN. This can be obtained from RCSB protein data bank (http://www.rcsb.org/pdb/home/home.do) or acquired from docking calculation. Additionally, the name of ligand in the complex structure file should be referred. Parameters for the cofactor will be required, if it is in the complex structure. At last, a password should be assigned to make your job confidential and an email notice is optional. Server workflow. After the initial data validation, CORE_GEN started to run with a three-step computational protocol (Figure 2): (i) The minimization procedure was performed for the complex structure. (ii) Ligand structure was deconstructed into fragments by using DAIM program. (iii) The $\Delta G$ was calculated for each protein-fragment complexes. The ranking of fragments is sorted according to LE. Comparison based on LE rather than potency alone could be useful in deciding the potential of fragments. Output. The users are guided to the result page after they submit the job successfully. Messages about all submitted jobs are printed in this page. Once the job is completed, results of CORE_GEN are presented to the user via a web page by a click on the ID of the job (the user is invited to insert a password if it was assigned before). The summary table shows the information related to each generated core fragment structure (results shown in Supplementary Figure S2 in the Supplementary Material). Due to the importance of physicochemical properties for fragment selection, a link to mol-inspiration prediction server (http://www.molinspiration.com/) is created. The 3D structure of each protein-core fragment complex is shown with JSmol by a click on the structure, which can also be downloaded by clicking on the link. The junction of the core fragment structure is marked with a hydrogen atom shown as a ball in the 3D view mode. In addition, CORE_GEN is also linked with CAND_GEN module in the result page to start the following computation directly. CAND_GEN: a hit generation tool Input. The fragments in the library will be linked to the junction of the core fragment structure by CAND\_GEN module. Parameters for cofactor will be required, if it is in the complex structure. The time of MD simulation for each ligand is selected between a minimum of 5 ps and maximum of 20 ps. The number of reported hits should be selected from the list. In addition, the binding free energy calculation method MM.PBSA or MM.GBSA is chosen to sort the order of the hit candidates. At last, a password should be assigned to make the job confidential and submission of an email address is arbitrary. Server workflow. The workflow of CAND\_GEN is in three steps (Figure 2): (i) A minimization procedure is performed. (ii) A short time MD simulation is performed on each minimized structure. (iii) The last snapshot from MD simulation is minimized to perform $\Delta G$ calculation. Output. The running status of all jobs will be shown in the job management system (results shown in Supplementary Figure S2 in the Supplementary Material). Once the job is completed, a click on the ID of the job will lead the user to a web page that contains a summary table showing the binding free energy of hit candidates. Physicochemical properties reported by mol-inspiration prediction server will also guide the process of hit candidates selection. The 3D structure of the final protein–ligand complex can also be viewed through JSmol. They can also be downloaded for further analysis. Performance of ACFIS We assessed the performance of ACFIS on several classes of important therapeutic protein targets and 78 crystal structures of target–ligand complexes were taken from the PDBbind database (http://www.pdbbind-cn.org/) (33). This data set has been widely used previously for benchmark. In addition several classes of important pesticide protein targets have also been used for accuracy validation, which include 26 protein–ligand complexes. The total validation data set is 104 including 49 positive and 55 negative samples. The composition of the validation data set are listed in Supplementary Table S1. The ability of ACFIS to discriminate high binding affinity compounds (positive sample) from low binding affinity compounds (negative sample) in the validation data set has been assessed. Interestingly, ACFIS identified the right binding for 41 out of the 49 positive samples assessed. For 42 out of the 55 negative samples assessed, they are not among the top generated hits. In addition, ACFIS also showed very good performance on binding pose prediction (see Supplementary Table S1): the correct binding poses (RMSD < 1.5Å compared with the crystal structure) were obtained for 77 out of the 84 crystal available ligands (91.7%). The detailed results of validation are summarized in Supplementary Tables S2–S4 and Supplementary Figures S3–S5. As shown in Supplementary Table S4, the sensitivity, specificity and precision of ACFIS is 83.7%, 76.4% and 75.9%. It also shows in Supplementary Figure S5 that the AUCs (Area under operation character curve) is 82.2%. Hence, it is concluded, our server could accurately predict fragment binding. We retain a high sensitivity (83.7%) but a lower specificity (76.4%) because the number of non-binding fragment is large that even a low error rate of negative samples may cause many false positive predictions. Taking cytochrome $ bc_1 $ complex inhibitor as an example, the parameters of cofactor heme were generated by PARA.GEN, the crystal complex structure of WF3-bound $ bc_1 $ (PDB code: 3TGU) was downloaded to perform CORE.GEN calculation. As shown in Figure 3, the top three core fragments were generated (P1, P2 and P3) with $ \Delta G_{\text{cal}} $ of $-8.72, -17.79 $ and $-16.88 $ kcal/mol. Obviously, the calculations systematically overestimated the absolute values of the binding affinities. However, the calculated $ \Delta G_{\text{bind}} $ values can still qualitatively reflect the relative order of the binding affinities of these core fragments. The error induced by the molecular size can be eliminated by using LE rather than potency. As shown in Figure 3, the LE of P1 (LE = 2.33) is relatively higher than the other two fragments P2 (LE = 1.90) and P3 (LE = 1.90). However, comprehensively considered with $ \Delta G_{\text{bind}} $, LE and new fragment growing spaces, P2 was selected as a core fragment to perform CAND.GEN calculation. In addition, a sulfur atom was set as the linker between the core fragment and the new fragment for synthetic feasibility (Figure 3). Finally, the top five new hit candidates selected according to the binding free energy sorting were shown in Figure 3 with the original ligand scaffold (Ligand26) included. It needs to be emphasized that the synthesis of the candidate (Ligand220), the inhibitory kinetics with cytochrome $ bc_1 $ complex ($ K_i = 31.10 $ nM), and the co-crystal structure study have been completed (34), which further validated the predicted results of ACFIS. CONCLUSIONS The discovery of new hit molecules remains a crucial step for drug and agrochemical discovery. We presented ACFIS, a computer-aided FBDD web server, to provide solutions for fragment virtual screening and to assist scientists in the new hits identification. It is differentiated from other web services in which ligand screening was presented in docking based manner. In the future, we will perform a continual update of the fragment library of ACFIS to offer broader and more diverse selection of databases to start a fragment-based drug discovery task. SUPPLEMENTARY DATA** Supplementary Data are available at NAR Online. ACKNOWLEDGEMENTS We would like to thank Prof. Amedeo Caflisch for the permission to use DAIM program on our server and the developers of open source softwares (Jsmol, OpenBabel, et al.). This research was supported by the Special Fund for Agro-scientific Research in the Public Interest (No. 201203022) and the National Natural science Foundation of China (No. 21332004 and 31470068). FUNDING Special Fund for Agro-scientific Research in the Public Interest [No. 201203022]; National Natural science Foundation of China [21332004 and 31470068]. Funding for open access charge: Special Fund for Agro-scientific Research in the Public Interest [No. 201203022]; National Natural science Foundation of China [No. 21332004 and 31470068]. 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De-Risking Renewable Energy Investments in Developing Countries: A Multilateral Guarantee Mechanism David Matthäus\textsuperscript{1,2,} and Michael Mehling\textsuperscript{2} \textsuperscript{1} Technical University of Munich, Arcisstraße 21, 80335 Munich, Germany \textsuperscript{2} Massachusetts Institute of Technology, Center for Energy and Environmental Policy Research, 77 Massachusetts Ave., Cambridge, MA 02139, United States Corresponding author: David Matthäus, firstname.lastname@example.org Abstract Mitigation of global warming requires substantial investment in electricity generation from renewable sources. A large share of new generation capacity is required in regions with adverse financing conditions. We propose a guarantee mechanism at global level to reduce risk premia of renewable energy investments by means of risk pooling and increased market efficiency. Policy makers could establish this mechanism by scaling up risk guarantees of multilateral development banks and other financial institutions, positioning the mechanism as tool for development cooperation. We estimate the net present value of overall savings in remuneration at US$$_{2018}$$ 1.5 trillion globally for investments until 2030 with the largest relative savings (between 20.5% and 22% of originally expected remuneration) in Sub-Saharan Africa and the Maghreb. The savings outweigh the estimated average yearly operating cost. By lowering the cost of decarbonization in high risk countries, the proposed mechanism offers policy makers a tool to make current global mitigation pledges more achievable and enables the global community to pursue more ambitious climate action. Averting the most serious impacts of climate change will require concerted action at unprecedented scale. Current efforts pledged in the Paris Agreement are inadequate to achieve the 2 °C temperature stabilization objective, much less the more ambitious 1.5 °C objective [Rogelj et al., 2016, IPCC, 2018]. Consequently, climate projections increasingly feature temperature or carbon overshoot scenarios [Geden and Löschel, 2017, Comyn-Platt et al., 2018, Asayama et al., 2019] and rely on negative emission technologies such as bioenergy with carbon capture and storage [Obersteiner et al., 2018, Yan, 2018, Renforth, 2019]. However, these technologies are still untested at scale and, hence, pose uncertain technological and economic challenges [e.g., Fuss et al., 2014, Smith et al., 2016, Rogelj et al., 2018]. Instead of betting on uncertain technological progress, governments can focus on a rapid expansion of carbon neutral electricity supply using existing renewable energy technologies. In this article, we therefore focus on electricity generated from renewable sources such as wind and solar power. If other sectors—such as transportation and industry—decarbonize through partial or full electrification, the necessity of rapid expansion scenarios [e.g., Jacobson et al., 2017, 2018, Ram et al., 2019] with 80% (100%) carbon free electricity by 2030 (2050) increases. These aggressive expansion scenarios require substantial investment in all parts of the world, amounting to about US$2018 60 to 120 trillion between 2015 and 2050 in developed economies, but also in developing countries with adverse financing conditions [Jacobson et al., 2017, IEA, 2018]. A large share of required investments depends on the financing conditions, which exhibit a large regional disparity for renewable energy projects [Schyska and Kies, 2020]. Recent studies confirmed a major impact of financing conditions such as investors’ risk premia on the cost of electricity, particularly for renewable energy investments, [e.g., Schmidt, 2014, Egli et al., 2018, Steffen, 2018] and analyzed relevant drivers of risk [e.g., Schmidt et al., 2019, Polzin et al., 2019]. One of the main risks for investors is that of default on (governmental) power-purchase agreements or failure to disburse feed-in tariffs [Polzin et al., 2019]. In this article, we explore how this major investment barrier can be addressed with a guarantee mechanism for remuneration of electricity generation from renewable energy projects. A guarantee mechanism for renewable energy payments can reduce the cost of decarbonization in the electricity sector of high risk countries by pooling risk from different countries and increasing market efficiency. By lowering the cost of decarbonization in high risk countries, the proposed mechanism offers policy makers a tool to make current mitigation pledges more achievable, enable the global community to attenuate serious economic consequences of climate change [e.g., Hanewinkel et al., 2013, Hsiang et al., 2017] and support sustainable recovery efforts in the wake of the COVID-19 crisis, which foresee large investments in clean energy technologies [IEA, 2020]. Investment guarantees for renewable energy are not a new idea. Our contribution to the literature consists in describing how a guarantee mechanism for remuneration contracts of renewable energy projects could be operationalized at the global level, and in quantifying the potential savings it could yield in an aggressive expansion scenario—assuming that all contracts for remuneration are provided via auctions for support of electricity generation from renewable sources. We find that the net present value of savings in a 10-year scenario amounts to US$$_{2018}$$ 1.5 trillion with the largest absolute savings in Central and South America, India and neighboring countries, as well as South and East Europe, followed by Sub-Saharan Africa and Southeast Asia. The largest relative savings (between 20.5% and 22% of originally expected remuneration) can be attained on the African continent in Sub-Saharan Africa and the Maghreb, respectively. Expressed in terms of levelized cost of electricity (LCOE), reductions of up to 31 US$$_{2018}$/MWh can be delivered in some regions. The guarantee facility could be financed by a multilateral alliance of donor countries and by a participation fee collected from investors that is based on the amount of generated electricity. We estimate that funding requirements amount to a yearly average of US$$_{2018}$$ 29 billion until 2055$^1$, which is in the range of current public finance for renewable energy investments. Our study builds on a policy mechanism conceptualized and proposed for the European Union [Temperton, 2016, Agora Energiewende, 2018, New-Climate Institute, 2019] and describes the introduction of such a mechanism at the global level. We endogenize capacity expansion, investor interaction, and financing conditions, among others, in our simulations of renewable energy support policies. This allows us to assess resulting remuneration in the prevalent setting of auctions for support of electricity generation from renewable sources [IRENA, 2019]. For our renewable energy expansion scenario, we draw on a high-resolution analysis of a global electricity system relying on 100% renewable energy sources that was published earlier in this journal [Jacobson et al., 2017]. By lowering the cost of capital for renewable energy investments and inducing at least partial convergence across countries, a multilateral guarantee mechanism would help mitigate one of the main critiques leveled against such scenarios – insufficient reflection of the heterogeneity of real-world cost of capital [Egli et al., 2019]– while increasing overall economic efficiency. The remainder of this paper is organized as follows. In Section 2, we discuss relevance, mandate, and structure of a guarantee mechanism at the global level. In Section 3, we provide an overview of our simulation model, which we detail in the methods. We present our results in Section 4. Section 5 concludes and provides policy implications. $^1$We consider renewable energy investments between 2020 and 2030 with a guaranteed remuneration period of 25 years. Therefore, we provide cost figures until 2055. 2 A Multilateral Guarantee Mechanism for Renewable Energy Several converging trends are prompting countries around the world to scale up their investments in renewable energy. With rapidly falling technology costs, renewable energy sources offer an increasingly competitive alternative to traditional sources for countries looking to meet energy demand, expanding electricity access, and reducing their reliance on imported fuels. Under the Paris Agreement, these same countries have committed to deep decarbonization by the second half of the century. This commitment is being implemented in a growing number of national and subnational jurisdictions through renewable energy deployment targets and support policies, aiming to drive investment in clean energy technologies and infrastructure [e.g., IRENA, 2015, 2017]. Compared to conventional energy sources, whose costs are primarily determined by the cost of fuels, renewable energy technologies tend to be significantly more capital intensive, with a high initial capital expenditure [e.g., Hirth and Steckel, 2016, Egli et al., 2018]. This capital intensity comprises the (upfront) investment cost—including the technology as such, but also land, construction, and project development costs—as well as financing costs. Given the decline in technology costs as well as operational improvements in construction and project development, financing costs have become the primary cost determinant for renewable sources [Waissbein et al., 2013]. This sensitivity in financing costs dramatically affects the competitiveness of renewable energy technologies, and alters the marginal abatement cost of reducing greenhouse gas emissions [Schmidt, 2014]. Financing costs for renewable energy investments depend on a number of factors, such as the cost of debt, the required return on equity, the debt to equity ratio, the period for which debt and equity need to be committed, and fees paid for acquiring the required capital [Klessmann et al., 2013]. The risk of an investment directly affects the cost of capital, since it causes lenders to raise the cost of debt through higher interest rates, and equity investors to raise the cost of equity through higher return expectations [Markowitz, 1952]. Some sources of public finance—such as sovereign and multilateral lenders—are often less sensitive to risk, but the massive scale of investment needed to decarbonize the global energy system cannot be met with public funds alone [Masson-Delmotte et al., 2018]. In recent years, public funds have played a growing role in stabilizing renewable energy investment volumes over time [Mazzucato and Semieniuk, 2018], underscoring the importance of public intervention to unlock private capital and mobilize the required levels of private investment. Investment decisions in the private sector are based on the risk-return profile of investment opportunities [Markowitz, 1952]. Policy makers can thus lower financing cost by lowering the associated risks [Polzin et al., 2019]. This is particularly relevant for developing countries, where much of the future energy sector investment will be needed, but informational, technical, regulatory, administrative, political, and financial barriers contribute to a higher perception of risk. Project developers in such countries therefore often struggle to access financing, and—where available—can only secure it at substantially higher cost than in developed countries [Waissbein et al., 2013]. Risk in renewable energy investments can take multiple forms, including technology or resource risk, grid and transmission link risk, currency, liquidity and refinancing risk, political and regulatory risk, as well as counterparty risk [IRENA, 2016]. For policy makers, this offers multiple levers to lower renewable energy financing costs and cost of greenhouse gas abatement by de-risking such investments [Schmidt, 2014]. An effective way to de-risk renewable energy projects in the electricity sector is to address one of the major risks perceived by investors: the default of the power off-taker [Polzin et al., 2019]. To this end, policy makers can transfer some or all of the resulting negative financial impact to a (multilateral) guarantee mechanism [Waissbein et al., 2013]. Studies have shown that guarantees reduce risk for investors and, thus, accelerate the deployment of and investment in renewable energy [Polzin et al., 2019]. Guarantees are usually issued by public entities such as governments and international finance institutions, and allow a limited amount of public funds to leverage multiples in private capital. In the context of renewable energy investments, for instance, public entities could backstop risks associated with renewable energy projects, and ensure that the investors receive the guaranteed remuneration for electricity generated by the project in the event a covered risk materializes. In return, investors pay a participation fee that helps defray some or all of the operating and maintenance costs of the guarantee. Guarantee mechanisms thus contribute to a more efficient market for risk by offering a risk pooling, thereby creating a benefit for all market actors [Zweifel and Eisen, 2012]. Overall, a guarantee mechanism helps to overcome market frictions, enabling renewable energy projects that were previously infeasible economically. The disparity of risk perception is already large when considering the European Union. In 2016, Temperton [2016] outlined a conceptual proposal and roadmap for a guarantee facility to insure remuneration of renewable electricity projects in the European Union—the Renewable Energy Cost Reduction Facility (RE-CRF). The study proposes a voluntary contractual mechanism to help lower the cost of capital for renewable energy investments across Europe. Participating Member States would enter into a contract with a creditworthy institution at the European level, i.e., the RE-CRF, which in turn would (under certain conditions) provide investors with a guarantee for remuneration promised by the Member State. I.e., eligible investors continue to receive remuneration for their protected projects from the RE-CRF if the corresponding Member State defaults to pay the remuneration. The RE-CRF would be financed from three sources. First, Member States would provide a share of the financing needed to set up the facility and it would be primarily financed from the European Union budget. Second, participating investors would be charged a fee of 1 €/MWh to cover the operating expenses of the facility and contribute to its maintenance. Third, beneficiary Member States would commit to (later on) repaying any payments made to investors under the facility in case the guarantee is drawn. Agora Energiewende [2018] has estimated that such a RE-CRF could lower the economic dead-weight cost of achieving the 2030 renewable electricity deployment target by approximately € 34 billion (approx. US$ 38 billion), making the market for risk more efficient, comparable to an insurance company. Given the even greater heterogeneity of country risk profiles and financing costs beyond Europe, a similar guarantee mechanism deployed at the global level could yield significantly larger savings. We estimate these potential savings in the remainder of this paper (Sections 3, 4, and 5). The institutional setup of a guarantee mechanism at a global level would necessarily differ. Whereas the proposed European RE-CRF could draw on existing governance and budgetary structures of the European Union, an international guarantee mechanism would require multilateral cooperation to establish suitable institutional and policy frameworks. It would not have to start from scratch, however. With its aim to improve availability of renewable energy finance and thereby accelerate access to sustainable electricity, an international guarantee facility could fall within the institutional mandate of existing organizations, in particular multilateral finance institutions such as the World Bank Group and regional development banks. Such institutions already provide guarantees at smaller scales, for instance through the Multilateral Investment Guarantee Agency. Only about 4%—or equivalently US$ 1.8 billion—of overall US$ 43.1 billion in climate finance issued by multilateral development banks in 2018 was allocated to guarantees [Inter-American Development Bank, 2019]. Increasing these guarantees has been described as “relatively simple in terms of policy and execution”, as it would only require scaling up existing capabilities and adopting limited policy changes [Bielenberg et al., 2016]. Still, the mobilization of funds to operationalize an international guarantee mechanism for investments in electricity from renewable sources would not be trivial.\footnote{A suitable governance framework would require the buy-in of participating countries. But even if a gradual introduction with an initial coalition of a limited number of like-minded countries is more feasible, the ability of the guarantee mechanism to mobilize greater investment flows would likely attract growing participation over time.} A significant share of the required funds would come from the participation fee paid by investors, which we propose to set at US$$_{2018}$$ 1 for each MWh covered under the mechanism. This still leaves a capitalization gap, however, which we discuss further below. Determining the capital requirement of a guarantee mechanism requires an assessment of the likelihood and frequency of the guarantee being drawn due to default of renewable electricity remuneration arrangements in participating jurisdictions. In this article, we merely provide a first heuristic estimate. Given the central role of governments in ensuring the remuneration of renewable electricity projects—either because they are themselves the power off-takers, or because they are liable for enforcing support policies such as feed-in tariffs—sovereign default rates can serve as an initial proxy of default risk.\footnote{We acknowledge that sovereign default rates are a lower bound to default risk as governments might prioritize other liabilities over renewable electricity} remuneration. Yet, sovereign default rates can serve as a baseline and are frequently used to determine default risk in renewable electricity projects as it is a key driver of the credit worthiness of a project [Micale et al., 2013]. According to Standard & Poor’s 2018 Global Rating, the sovereign local currency average default rate across all rated countries between 1993 to 2018, based on the number of issuers defaulting on sovereign debt, was 0.58\% in one year and 6.80\% cumulatively over 15 years [Witte et al., 2019]. Additionally, a recent evaluation of sovereign debt restructurings over the last two centuries has shown that full repudiation is rare, with a median recovery rate after default in excess of 50\% [Meyer et al., 2019]. In the scenario we assume in this paper of full power sector decarbonization by 2050, even a conservative assumption (accounting for lemon markets, among others) that 1.5% of remuneration arrangements in any given year will experience default suggests a maximum amount of US$$_{2018}$$ 3.3 billion is at risk in the first year, growing to a maximum of US$$_{2018}$$ 40 billion at risk by 2030.$^4$ As mentioned earlier, the vast majority of this funding requirement would be offset by the participation fee of US$$_{2018}$$ 1 for each MWh covered under the mechanism: Fees add up to US$$_{2018}$$ 3.2 billion in the first year and US$$_{2018}$$ 39 billion by 2030. The remaining gap could be funded by a coalition of multilateral and regional development banks as well as individual donor countries. The required amount is not outright unrealistic when compared to current annual flows of public investment in renewable energies of US$ 54 billion [Buchner et al., 2019]. Furthermore, existing guarantee mechanisms$^5$ already dedicated to securing renewable energy investments could be counted towards this amount. In all cases, the savings we estimate below from lower financing costs under a guarantee mechanism fully outweigh the funding requirements. To further attenuate funding requirements of donor countries in the long run, the opportunity of countries to participate in the guarantee mechanism could be made contingent on an indemnity agreement. Similar to the European RE-CRF, countries would formally pledge to reimburse any guarantees drawn from the mechanism in the event of default. Depending on its institutional mandate, the mechanism itself could seek recovery when countries renge on their pledge. Delayed reimbursement could be sub- $^4$These figures are calculated assuming that all countries included in our model (see Table 1) participate in the guarantee mechanism. Also, we assume a project lifetime of 25 years and consider investments between 2020 and 2030. Accordingly, the amount at risk grows from 2020 until 2030 with an increasing number of projects, stays on its maximum between 2030 and 2040, and declines from 2040 until 2055 due to projects rotating out of the guarantee mechanism. $^5$These may include risk guarantees of development finance institutions or export credit agencies, guarantees by national or subnational government agencies, and central bank or state-level bank guarantees, among others [Micale et al., 2013]. Figure 1: Structural arrangements, dependencies, relationships, and responsibilities of a potential guarantee mechanism. Country-level stakeholders are depicted in blue, international agencies in orange, and project level stakeholders in grey. ject to penalty interest to dissuade defaulting countries from holding back repayment. Countries in default that altogether refuse to honor their reimbursement pledge would lose access to the guarantee mechanism, creating a strong incentive to play by the rules. In some cases, holding the defaulting countries liable for recovery may not be equitable, however, especially in the case of low-income countries already faced with budgetary and other socioeconomic constraints, or in the event of external systemic shocks such as a financial crisis. Because investments in renewable energy projects also generate profits that accrue at least in part to high-income countries, moreover, such leniency would not be purely altruistic. Alternative recovery models could rely on a higher participation fee by investors, which will typically originate from high-income countries, or creation of a hardship fund by donors to indemnify defaulting countries on a case-by-case basis. The substantial funds held in reserve for the contingency of a default could also be reinvested in readily marketable, low-risk securities to generate interest that can help cover such contingencies or be used to build human and technical capacity in countries so as to enable their participation in the guarantee mechanism. Overall, thus, the multilateral guarantee mechanism would bear structural similarities to the RE-CRF proposed for a European context, including the reliance on participation fees and on a public source of funding to fill the capitalization gap. It would also have to reflect vastly different national circumstances at the global level, however, which would potentially necessitate a different recovery mechanism as well as other modifications from the European context. Existing entities such as the Green Climate Fund have shown that the establishment and governance of multilateral institutions is a complex and highly political exercise. In any event, the creation of a multilateral guarantee mechanism would necessarily be preceded by extensive negotiations to secure consensus across parties and to make the outcome mutually acceptable. The broad parameters of we have outlined here are but a tentative first effort to envision how such an entity could be designed. In Figure 1, we visualize the structure of this potential design and the relationships of actors involved in operationalizing it, summarizing the discussion of the previous paragraphs. With funding in the magnitude of current international flows of finance into renewable energies, donor countries could establish a guarantee facility, pooling the risk of default and providing a more efficient market for renewable electricity projects around the world. In the future, such guarantee mechanism could transform into a lending or grant-making facility once a certain penetration of renewable electricity has been achieved globally, relying on the—by then established—structure. In the following section, we describe essentials of our model framework which we use to simulate savings initiated by the guarantee mechanism. We substantiate the model in Section 5. 3 Model Framework We combine an aggressive scenario of renewable capacity expansion and a framework of auctions for renewable electricity support to estimate the financial impact of the guarantee mechanism for remuneration contracts of renewable electricity projects. Starting from the roadmap for capacity expansion, we model auctions for support of electricity generated from renewable sources in 14 key countries in a setting with and without a guarantee mechanism. As discussed in the previous section, the introduction of a guarantee mechanism reduces investor risk premia. This reduction is reflected in the financing cost, which in turn affects bidding behavior in auctions for renewable electricity support. We assume an expansion pathway proposed by Jacobson et al. [2017, 2018]. It leads to a fully renewable energy system by 2050, meaning that all electricity generation is renewable, and other areas such as transportation and residential heating have been electrified. The pathway proposed by Jacobson et al. [2018] and his previous work have been discussed controversially in the literature [e.g., Clack et al., 2017]. It assumes a comparably aggressive expansion to 100% renewable electricity with a very high penetration of renewables. With the projected investment of US$$_{2015}$$ 124.7 trillion until 2050 (i.e., US$$_{2015}$$ 3.5 trillion per year), it lies slightly above the model average of about US$$_{2015}$$ 3.2 trillion reported by McCollum et al. [2018]. But, other 1.5 °C pathways discussed in McCollum et al. [2018] estimate capital expenditures similar to or above Jacobson [cf., Fujimori et al., 2014, Kriegler et al., 2017, Luderer et al., 2013]. [Jacobson et al., 2018] proposes a total production capacity of 52 TW with a global final energy demand of 373 EJ per year in 2050, which is on the lower end of comparable projections [cf., Grubler et al., 2018]. We extract from Jacobson et al. [2017] capacity additions of 139 countries until 2020, 2025, and 2030 from Jacobson et al. [2018] and interpolate capacity additions for single years. Roadmaps for 100% renewable energy supply increasingly rely on auctions for renewable electricity support and over 90 governments have shifted their current support mechanism to auctions [e.g., Ram et al., 2019, IRENA, 2019]. Therefore, we assume that the capacity additions will be entirely managed with this support instrument$^6$ and we calculate remuneration accordingly. For our model, we assume one auction per country and year - this is an abstraction from reality, where multiple auctions (typically about 4) are held per country. By adjusting bidder numbers per auction, our results are robust to this simplification. We follow Matthäus et al. [2019] in their approach and weave real options theory into the bidding behavior of participants. Contradicting conventional wisdom and modelling, bidders do not bid under the assumption of certain delivery of the project. Instead, they perceive the project as a real option, similar to a financial put option. This means, they acquire the right, but not the obligation to develop a renewable energy project and bear the option of non-realization in mind. This lowers demanded support levels $^6$A staggering amount of 97.5 GW of renewable capacity was auctioned from 2017 to 2018, equaling about 20% of worldwide capacity additions in solar and wind during the same period [IRENA, 2019, IEA, 2019]. With more and more countries shifting their policy framework to auctions, this share will further increase in the future [IRENA, 2019]. We cluster countries into regions with comparable economic outlooks and macroeconomic data. For each cluster, we select a representative country. \| Continents \| Regions \| Code \| Representative \| Code \| \|-----------------------------\|--------------------------------\|------\|----------------\|------\| \| Africa \| Maghreb \| MAG \| Egypt \| EGY \| \| \| South Africa \| ZAF \| South Africa \| ZAF \| \| \| Sub-Saharan Africa \| SSA \| Nigeria \| NGA \| \| Asia \| China and Neighbors \| CHN \| China \| CHN \| \| \| Central and North Asia \| CNA \| Russia \| RUS \| \| \| Middle East and Arabia \| MEA \| Qatar \| QAT \| \| \| India and Neighbors \| IND \| India \| IND \| \| \| Southeast Asia \| SEA \| Indonesia \| IDN \| \| Australia \| Australia and New Zealand \| ANZ \| Australia \| AUS \| \| Central and South America \| Central and South America \| CSA \| Brazil \| BRA \| \| Europe \| Central and North Europe \| CNE \| Germany \| GER \| \| \| South and East Europe \| SEE \| Italy \| ITA \| \| North America \| North America \| NAM \| USA \| USA \| \| North/South America \| Chile and Mexico \| CME \| Chile \| CHL \| Table 1: Regional Clustering of Simulation Study drastically. We adapt the empirically validated model to 14 model countries (see Table 1). Based on these country-level results, we estimate a corridor of savings on a regional and worldwide level. Even though the guarantee mechanism would not address major political or inflation-related risks, it would cover the possibility of default on power purchase agreements or feed-in tariffs, as discussed previously. A reliable power purchase agreement or tariff scheme profoundly affects the risk assessment performed by project developers. Their risk calculation after utilizing their real option to build is reflected in their cost of debt (CoD) and cost of equity (CoE) [Waissbein et al., 2013, Schmidt, 2014], which are pooled in the weighted average cost of capital (WACC).\footnote{Note that investors use the WACC to calculate project risk under the assumption of realization, i.e. after resolving the uncertainty of the real option. Therefore, WACC and} The WACC has a substantial impact on the financing costs of renewable energy projects [Egli et al., 2018, Schmidt et al., 2019] and consequently influences bids in renewable electricity support auctions. We assume WACC on a country-level, and use financial data provided by Damodaran [2019] to identify the respective CoD and CoE. We then run our simulation for two scenarios—with and without a guarantee mechanism—and reduce the CoD and CoE to reflect the lower risk of default in the former scenario. Drawing on the study by Agora Energiewende [2018], we assume a participation fee of 1 US$$_{2018}$/MWh to benefit from the guarantee mechanism. With the capacity expansion, auction framework, and risk premium as given parameters, we simulate outcomes of auctions for renewable electricity support. We conduct a Monte Carlo simulation with 100 samples for each country, technology, and year to account for idiosyncratic sampling bias in our computational model. Simulations are performed with MATLAB R2019a. Below, we use average values from the Monte Carlo sample, and discount support payments to 2020 to permit comparison between countries. 4 Reduction in Financing Cost: Global Results The proposed guarantee mechanism could yield substantial benefits for large parts of the world, see Figure 2. Based on our simulation of 14 regions (CNA, CSA, IND, MAG, SEA, SEE, SSA, ZAF, CME) amounts to US$$_{2018} 1,547 billion in 2020 (including participation fee). This figure is equivalent to 7.2% of the cumulative GDP$_{2018}$ of these regions, according to World Bank Data$^8$ and falls somewhere between the GDP$_{2018}$ of Australia and the Republic of Korea. For two regions (CHN, MEA), the expected par- $^8$https://data.worldbank.org, Indicator NY.GDP.MKTP.CD ticipation cost outweighs the expected savings, while the remaining three regions (AUS, CNE, NAM) do not profit from a guarantee mechanism due to high existing trust levels of investors. Our findings remain valid in the event of rising or declining general interest rates. We leverage an effect of added country risk, which is independent of the base rate (see Section 5). We present results per region in Table 2. SEE realizes the largest absolute savings (about US$$_{2018}$$ 500 billion), which results from a comparably large expansion of capacities and a substantial reduction in capital costs. The largest relative savings (between 20.5% and 22% of originally expected remuneration) can be attained on the African continent in SSA and MAG, respectively. This substantial gain stems from high reductions in cost of capital of about 6 and 7 percentage points, respectively. When measuring savings in terms of GDP, SSA and MAG profit most. The savings amount to 16.2% and 14.6% of their GDP in 2018, respectively. In CSA, the comparably large share of capital costs in the LCOE allows for a pronounced effect of the guarantee mechanism, with an expected reduction in LCOE of 26 US$$_{2018}$/MWh. Changes in LCOE illustrate the effect of a guarantee mechanism in regions which do not profit from a guarantee mechanism. In CHN and MEA, the net effect in terms of LCOE reduction is 0 US$$_{2018}$/MWh. In other words, the participation fee of 1 US$$_{2018}$/MWh outweighs the savings. AUS, CNE, and NAM would suffer from the participation fee without experiencing a reduction in risk premia. This increases the LCOE by 1 US$$_{2018}$/MWh. Thus countries from AUS, CNE, and NAM would not participate as host countries, but still be involved as donor countries in the mechanism. Factoring in our more aggressive renewable electricity expansion scenario, these results are comparable in magnitude to findings of Agora Energiewende [2018]. The authors propose a reduction of financing cost of approximately US$$_{2018}$$ 40 billion (€ 34 billion) in the European Union, and of US$$_{2018}$$ 12 billion (€ 10 billion) in the Southeast European Member States. Their scenarios are based on the European Union policy objective Figure 2: Net present values of savings induced by a guarantee mechanism, including participation fee of 1 US$$_{2018}$/MWh. We report savings in contracts issued between 2020 and 2030 in US$$_{2018}$$ billion. Nine regions profit substantially (CNA, CSA, IND, MAG, SEA, SEE, SSA, ZAF, CME), while for the remaining five regions (AUS, CHN, CNE, MEA, NAM) participation cost outweighs the reduction of risk premia or no risk reduction takes place due to initial high trust of investors. We report absolute savings in billion US$$_{2018}$$, relative savings in percentage of initial expected remuneration and in percentage of the GDP$_{2018}$ of the region, and savings in LCOE in US$$_{2018}$/MWh. All numbers include participation fees. \| \| Wind \| Solar \| Total \| Wind \| Solar \| Total \| Total \| Wind \| Solar \| Total \| \|-------\|-------\|-------\|-------\|-------\|-------\|-------\|-------\|------\|-------\|-------\| \| AUS \| -2.3 \| -4.8 \| -7.1 \| -1.4 \| -1.7 \| -1.6 \| -0.4 \| -1 \| -1 \| -1 \| \| CHN \| -8.4 \| 6.3 \| -2.1 \| -0.7 \| 0.2 \| -0.1 \| 0.0 \| 0 \| 0 \| 0 \| \| CME \| 9.5 \| 13.5 \| 23.0 \| 3.9 \| 3.4 \| 3.6 \| 1.5 \| 7 \| 2 \| 3 \| \| CNA \| 33.4 \| 26.8 \| 60.2 \| 9.6 \| 12.0 \| 10.6 \| 3.1 \| 3 \| 5 \| 4 \| \| CNE \| -20.1 \| -29.6 \| -49.7 \| -1.6 \| -1.2 \| -1.4 \| -0.3 \| -1 \| -1 \| -1 \| \| CSA \| 135.6 \| 132.1 \| 267.7 \| 14.1 \| 14.3 \| 14.2 \| 8.5 \| 53 \| 17 \| 26 \| \| IND \| 100.2 \| 167.8 \| 268.0 \| 8.8 \| 9.8 \| 9.4 \| 8.5 \| 7 \| 7 \| 7 \| \| MAG \| 30.5 \| 44.5 \| 74.9 \| 21.4 \| 22.4 \| 22.0 \| 14.6 \| 39 \| 27 \| 31 \| \| MEA \| -6.5 \| -4.5 \| -11.0 \| -2.0 \| -0.9 \| -1.3 \| -0.4 \| 0 \| 0 \| 0 \| \| NAM \| -31.5 \| -39.7 \| -71.2 \| -1.6 \| -1.6 \| -1.6 \| -0.3 \| -1 \| -1 \| -1 \| \| SEA \| 34.8 \| 120.4 \| 155.2 \| 10.4 \| 10.1 \| 10.2 \| 4.8 \| 29 \| 8 \| 9 \| \| SEE \| 207.6 \| 299.6 \| 507.2 \| 12.2 \| 14.4 \| 13.4 \| 7.6 \| 11 \| 16 \| 13 \| \| SSA \| 63.1 \| 104.3 \| 167.4 \| 19.9 \| 20.9 \| 20.5 \| 16.2 \| 32 \| 22 \| 25 \| \| ZAF \| 12.8 \| 10.8 \| 23.6 \| 9.9 \| 10.7 \| 10.2 \| 6.4 \| 8 \| 6 \| 7 \| Table 2: Simulation Results for Savings in Remuneration on Regional Level for 2030, which aims for a share of at least 32% of renewable energy (across all energy sources), while our scenario aims for a share of 80% of renewable electricity by 2030, in line with ambitious decarbonization targets. Also, our definition of SEE includes Belarus, Turkey, and Ukraine, which are not members of the EU, but account for a considerable share of overall capacity expansion in the region. 5 Conclusion and Policy Implications Different pathways exist to achieve the goal of carbon neutrality—pledged by the international community under the Paris Agreement and increasingly also contained in binding national and subnational legislation. Regardless of the path that is ultimately taken, substantial amounts of investment in renewable energy will be required. Financing conditions and de-risking of investment projects play a critical role for the achievement of carbon neutrality. Governments have the opportunity to lower some of the economic dead-weight cost of mitigating climate change through coordinated introduction of a guarantee mechanism at the global level. While a global guarantee mechanism has the potential to reduce large amounts of dead-weight cost and thereby speed up the pace of decarbonization, its roll-out on a global level will prove a political challenge. If successfully implemented, a guarantee mechanism at the global level can unlock remarkable savings in the investment necessary to fight climate change. We have quantified the net present value of potential savings for renewable electricity support as exceeding US$2018 1 trillion, distributed across the globe (cf. Figure 2). A guarantee facility can render these savings possible by pooling individual project risk and country-level risk, creating a more efficient market for projects involving electricity generation from renewable sources. So far, multilateral cooperation on climate finance has proven to be perennially difficult. Yet there is precedent for collaboration between the main multilateral development banks. Given existing international flows of public funds into renewable energy, the average yearly funding requirements of US$$_{2018}$$ 29 billion until 2055 are not outright unrealistic. In future extensions of this line of work, it would be insightful to internalize the cost of participation and funding in a game theoretical bargaining approach. This could yield valuable insights for donor countries regarding the concrete funding requirements. While the savings would most likely shift based on bargaining outcomes, the acceptance of a comparable mechanism is likely to rise. With the mechanism stepping in for considerable risks, the perception of its fairness is essential for its successful introduction and sustained operation. Policy makers should further introduce a modest participation fee for project developers for multiple reasons. Such a fee can, first, help cover operation and maintenance expenses of the guarantee mechanism, and also offset a significant share of the mechanism’s capitalization requirement. Second, it and the partial or full indemnification of the guarantee mechanism by host countries might help to reduce moral hazard of participants in the mechanism. A future extension of our study could evaluate such moral hazard consideration on the project- and country-level, and also practical and equity implications of alternative recovery options in the event of default. Importantly, the transition to a decarbonized electricity system at the pace and scale assumed in this article will depend on the concurrent adoption of numerous other policies and measures, for instance to create an enabling regulatory context (e.g. streamlined permitting and siting rules) and secure adequate investment in transmission, distribution and storage infrastructure. The multilateral guarantee mechanism described in this article would thus be no panacea, and instead need to be part of a broad portfolio of efforts at the international, national, and local level to advance the energy transition. Still, policy makers should be aware that the estimated savings from a guarantee facility can greatly outweigh its costs, offering a powerful way of leveraging limited public funds to scale up private renewable energy investment and close the substantial gap in climate finance. Cost savings can, for instance, free up resources for adequate investments in transmission and distribution infrastructure, which form an essential condition for the uptake of a growing share of renewable resources. Acting against climate change is ultimately inevitable. Still, the many and uncertain promises of technological advancement complicate the development of a clear path forward for all countries. Almost all possible roadmaps are linked to investment and thereby to the financial markets. Our policy proposal offers a relatively simple, but effective and scalable instrument to promote decarbonization efforts at the global level. Methods We calculate the effects of a guarantee mechanism on remuneration in three steps. First, we define worldwide capacity expansion pathways for solar and photovoltaics. Second, we model multi-unit procurement auctions for renewable electricity support for 14 representative countries. Third, we calculate the cost of debt (CoD) and cost of equity (CoE) with and without a guarantee mechanism and feed the resulting weighted average cost of capital (WACC) into the simulation. Note that developers use the WACC to account for risk after construction, i.e. after resolving the uncertainty modelled by the real option in our auction model. The approach, data sources and assumptions for each step are specified below. Capacity Expansion Pathway In the first step, we use data from Jacobson et al. [2018]. Their capacity expansion pathways for 100% renewable electricity supply by 2050 cover 139 countries. We take the capacity additions until 2020, 2025, and 2030 for wind onshore and solar photovoltaics, including rooftop photovoltaics and allocate equal shares of capacities to each year between 2020 and 2030. Multi-unit Procurement Auction In the second step, we compute demanded feed-in tariffs for the capacities using the model for multi-unit renewable electricity support auctions developed in Matthäus et al. [2019]. We present a brief version of the auction model here and refer the reader to their work for details on mathematical proofs and extended discussions. We consider $N$ risk-neutral bidders who are ex-ante uncertain about the number of competing bidders. In an auction, the government procures $K \in \mathbb{N}$ megawatt of renewable generation capacity. Each bidder $i \in \{1, \ldots, N\}$ can offer and develop several projects $h \in \{1, \ldots, H^i\}$. The capacity of a project is a multiple of a minimum increment of $k$ kilowatt. Bidders submit a bid for each project, consisting of the capacity and the required feed-in tariff per MWh of electricity from that project. We model the cost of a project using the levelized cost of electricity (LCOE). This measure incorporates the entire cost of electricity production, taking into account development, production, interest payments, and insurance, as well as the lifetime of the project, cf. Equation (9). If a project receives its LCOE for each MWh produced, it breaks exactly even [Islegen and Reichelstein, 2011]. Due to uncertainty about future labour cost and material cost, among other factors, the future evolution of LCOE is uncertain at the time of bidding. Accordingly, we model the LCOE of project $h$ of firm $i$ as stochastic process $(L_t^{ih})_{t \geq 0}$. To ensure analytic tractability, we follow the literature on real options [e.g., Merton, 1977, McDonald and Siegel, 1986, Dixit and Pindyck, 1994] and use a geometric Brownian motion $$dL_t^{ih} = \mu^{ih}L_t^{ih}dt + \sigma^iL_t^{ih}dB_t^{ih}, \tag{1}$$ where $\mu^{ih}$ is the drift, $\sigma^i$ is the volatility, and $(dB_t^{ih})_{t \geq 0}$ are the increments of a standard Brownian motion with an arbitrary correlation structure. Prior to bidding at $t = 0$, each bidder privately observes two signals: the current LCOE $L_0^{ih}$ for each of its projects $h$, and its volatility $\sigma^i$. We assume that $L_0^{ih}$ and $\sigma^i$ are i.i.d. continuous random variables in line with classic auction theory [e.g., Riley and Samuelson, 1981, Myerson, 1981]. In the following, we omit indices $i$ and $h$ from processes and parameters where no confusion can arise to improve readability. We assume a competitive environment of projects in which there is an $\epsilon > 0$ such that the joint density $f_{L_0,\sigma}(x)$ is bounded below by $\epsilon$, i.e., $f_{L_0,\sigma}(x) \geq \epsilon$ for all $x$ in the support. This ensures that each bidder has competitors with similar LCOE and volatility if participation is large enough. Bidders submit their bids $b^{ih}$ for each project based on their signals about their own projects and their expectations about their competitors’ projects. The auctioneer evaluates all bids and chooses winning projects, i.e. the lowest bids. We assume that bidders are remunerated according to uniform pricing: all projects receive the marginal bid $p$ for one unit of electricity generated. The permission to build renewable electricity capacity for the specified feed-in tariff stays valid until time $t = T$. Bidders who do not develop their capacity within this grace period lose the permits they win in the auction. To stimulate high realization rates, auctioneers typically charge penalties for non-realization of projects [e.g., del Río and Linares, 2014, Kreiss et al., 2017]. The penalty is usually implemented as a non interest-bearing deposit posted to the auctioneer prior to the auction and refunded in case of timely completion. To make penalties comparable to the LCOE, we scale the deposit to a payment $P$ per unit of energy. We populate our model with two types of bidders: naïve bidders who determine their valuation according to net present cost (NPC) and bidders who determine their valuation according to (real) option based cost (OBC). NPC bidders fail to recognize the flexibility of non-realization embedded in the auctioned contracts, while OBC bidders factor it in. Existing literature provides evidence for the existence of both bidder types [e.g., Paddock et al., 1988, Quigg, 1993, Graham and Harvey, 2001, Moel and Tufano, 2002, Cunningham, 2006, Bulan et al., 2009, Denison et al., 2012, Wang et al., 2012, Kellogg, 2014, Holst et al., 2016, Ihli et al., 2018] and Matthäus et al. [2019] investigates the matter empirically for the case of renewable electricity support auctions in the United Kingdom and Germany. The empirical approach elicits a share of 35% NPC bidders in the German auction for off-shore wind support, which we employ in the present model as well. We use a risk neutral approach to determine project valuations for both bidders. Following standard theory [Black and Scholes, 1973, Duffie, 2010], we define a constant risk-free interest rate $r$ and a risk-free version of the LCOE process $$dL_t^* = rL_t^dt + \sigma L_t^dB_t^, \quad (2)$$ where $(dB_t^)_{t \leq 0}$ are the increments of the Brownian motion under the equivalent martingale measure $Q$. The discounted process $e^{-rt}L_t^$ is a martingale under $Q$. Hence, $E_0^(e^{-rt}L_t) = L_0$, with $E_0^$ the expectation at time $t = 0$ under $Q$. Consequently, NPC bidders are indifferent when to develop a project. To simplify a comparison with OBC bidders, we assume that for NPC bidders the awarded contract is equivalent to a standard forward contract with maturity at $T$ and risk-free price $E_0^[L_T] = e^{rT}L_0$. Accordingly, the expected net present value per MWh for an NPC bidder equals the discounted difference between the tariff $p$ the bidder receives and the expected LCOE at time $T$, i.e., $$\text{NPV}(L_0, p) = e^{-rT}(p - e^{rT}L_0). \quad (3)$$ OBC bidders are interested in the value $W_{bh}$ of the European put option with maturity $t = T$ and payout profile per unit capacity $$\max(p - L_T, -P). \quad (4)$$ In contrast to standard put options, the payout can be negative and is bounded below by $-P$, reflecting the penalty for non-realization. Using standard arguments for risk neutral valuation, the option value is given by \[ W^{ih}(L_0^{ih}, \sigma^i, p, P) = -L_0^{ih} \Phi(z) + e^{-rT} \left( (p + P) \Phi \left( z + \sigma^i \sqrt{T} \right) - P \right), \] \[ z := -\frac{\ln \frac{L_0^{ih}}{p+P} + \left( r + \frac{\sigma^i}{2} \right) T}{\sigma^i \sqrt{T}}, \] (5) where $\Phi$ is the cumulative distribution distribution function of a standard normal distribution. Bidders determine their bids based on their valuation. Following arguments from asymptotic auction theory [Swinkels, 2001, Cripps and Swinkels, 2006], we can assume that bidders bid truthfully, i.e. bid their reservation price. For NPC bidders, this is \[ 0 = E_0^[NPV(L_0^{ih}, p)] = e^{-rT} (p - E_0^[L_T^{ih}]) = e^{-rT} \left( p - e^{rT} L_0^{ih} \right), \] (6) which yields a reservation price of \[ NPC(L_0^{ih}) := e^{rT} L_0^{ih}. \] (7) For OBC bidders, the unique option based cost $OBC(L_0^{ih}, \sigma^i, P)$ is implicitly defined by \[ W^{ih}(L_0^{ih}, \sigma^i, OBC(L_0^{ih}, \sigma^i, P), P) = 0. \] (8) We simulate bids for renewable electricity support auctions in 14 countries representing 14 regions (cf. Table 1) for 11 years between 2020 and 2030. To employ the model, we require data on the regulatory framework $(K, T, P)$, data on the surrounding economic environment $(r)$, and data concerning bidders $(N, \sigma, L_i)$. We use auctioned capacity $K$ from Jacobson et al. [2017] as previously described, assume a maturity of 4.5 years and a penalty of 15,000 US$$_{2018}$/MW. for offshore wind and 50,000 US$2018/MW for solar photovoltaics, based on the German legislation [Deutscher Bundestag, 2014]. The penalty translates to cost $P$ of 0.2–1.3 US$2018/MWh and 1.6–4.8 US$2018/MWh, respectively, depending on capacity factors and risk-free rates of the regions in our model, assuming the life time of a plant equals 25 years. For risk-free rates, we use the average yield of 10-year government bonds in 2018 for the respective representative country of each region. To elicit $N$, we take the average participation of past auctions in Germany and find that about 150 bidders participate per 1000 MW auctioned, each bidder offering between 1 and 3 projects with equal probability. Volatilities range between 0% and 15% according to Kost et al. [2018], for which we assume a symmetric triangular distribution. To incorporate variability in the quality of the construction site, we use the approach of Heck et al. [2016], who sample LCOE for different technologies by treating the inputs of the LCOE calculation as random variables. The basic LCOE formula of Heck et al. [2016], given in (9) comprises an annual payment $A$, associated with initial capital expenditure, fixed operation and maintenance cost $O&M_F$, a capacity factor $C_f$ of the plant, and variable operation and maintenance cost $O&M_V$: $$LCOE = \frac{A + O&M_F}{8760 \cdot C_f} + O&M_V.$$ (9) The formula for the annualized payment $A$ is given in (10) and depends on the WACC $w$, the capital expenditure of the cost $C_c$, and the number of payments $n$, assumed to be the lifetime in years of the plant: $$A = C_c \left[ w + \frac{w}{(w+1)^n - 1} \right].$$ (10) Further, Heck et al. [2016] propose probability distribution and ranges of support for different technologies in the United States. We adapt their setting for our representative countries. For $O&M_F$, $O&M_V$, and $C_c$ we determine the base cost case relying on [Heck et al., 2016, Kost et al., 2018] and use a capital scalar proposed by Morris et al. [2019] to scale it to regional level. The capital scalar accounts for region-specific cost of labour and capital, among others. We source capacity factors from Jacobson et al. [2017] and scale the values to the support for probability distributions based on Heck et al. [2016], Matthäus et al. [2019]. We discuss our approach to calculate the WACC $w$ below. We include a list of parameters used in the simulation in the online appendix, cf. Tables 3 and 4. Risk Reduction and Effect on Cost of Debt and Cost of Equity In the third step, we vary the WACC $w$ for a case without and with guarantee mechanism to reflect a change in investment risk after resolving the uncertainty modelled by the real option. Varying $w$ affects LCOE via Equation (10) and thereby changes bids via equations (7) and (8). The WACC is defined as $$\text{WACC} = \text{CoD} \frac{D}{D+E} + \text{CoE} \frac{E}{D+E}, \tag{11}$$ with CoD the cost of debt, CoE the cost of equity, and $E$ and $D$ the amount of equity and debt, respectively. For our simulation, we use a debt share of 80% for all technologies and countries according to industry standard [Egli et al., 2018]. To construct country-level CoD and CoE, we start from the risk free rates $r$ based on the yield of 10-year government bonds and add a default risk spread (DS) or an equity risk premium (ERP), respectively [Damodaran, 2019]. This yields $$\text{CoD} = r + \text{DS}, \text{ and} \tag{12}$$ $$\text{CoE} = r + \text{ERP}. \tag{13}$$ Estimated CoD and CoE are very close to industry data, where the latter is available. 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Correspondence: Correspondence and requests for materials should be addressed to David Matthäus (email@example.com). Online Appendix This table presents the input parameters used for simulating bids in the auctions for offshore wind in 14 representative countries. We report capacities annually auctioned from 2020, 2025 and from 2026-2030. Following Heck et al. Heck et al. (2016), we use a truncated normal distribution for CAPEX and capacity factor, and use a triangular distribution for O&M\textsubscript{f}. We report range, mean, and standard deviation (SD) for capital expenditures (CAPEX) and capacity factor, and range and mean for fixed operation and maintenance cost (O&M\textsubscript{f}). We report the constant values used for variable operation and maintenance cost (O&M\textsubscript{v}), risk-free rate ($r$), cost of equity (CoE), cost of debt (CoD), default risk spread (DR). All $s$ are in US$eas. \| Capacity [MW] \| CAPEX [$/kW] \| O&M\textsubscript{f} [$/kW] \| Capacity factors [%] \| WACC components [%] \| \|--------------\|-------------\|-----------------\|---------------------\|---------------------\| \| \| 2020 \| 2025 \| Range \| Mean \| SD \| Range \| Mean \| SD \| r \| CoD \| CoE \| DR \| \| -2025 \| -2030 \| \| \| \| \| \| \| \| \| \| \| \| \| QAT \| 20 \| 24 \| 475-633 \| 554 \| 111 \| 6.5-25.9\| 16.2 \| 0.002 \| 33-48 \| 40 \| 8 \| 4.2 \| 6.9 \| 10.8 \| 0.7 \| \| AUS \| 3619 \| 4433 \| 1740-2321 \| 2030 \| 406 \| 23.8-95.1\| 59.4 \| 0.008 \| 26-37 \| 32 \| 6 \| 2.6 \| 4.7 \| 12.2 \| 0 \| \| BRA \| 17925 \| 21510 \| 1568-2090 \| 1829 \| 366 \| 21.4-85.7\| 53.5 \| 0.007 \| 12-17 \| 14 \| 3 \| 10.6 \| 15.9 \| 20.7 \| 3.4 \| \| CHL \| 835 \| 1003 \| 1568-2090 \| 1829 \| 366 \| 21.4-85.7\| 53.5 \| 0.007 \| 12-17 \| 14 \| 3 \| 4.6 \| 7.4 \| 11.6 \| 0.8 \| \| CHN \| 95901 \| 115081 \| 475-633 \| 554 \| 111 \| 6.5-25.9\| 16.2 \| 0.002 \| 32-47 \| 40 \| 8 \| 3.7 \| 6.4 \| 10.6 \| 0.8 \| \| GER \| 5933 \| 7120 \| 2042-2723 \| 2383 \| 477 \| 27.9-111.6\| 69.7 \| 0.009 \| 29-41 \| 35 \| 7 \| 0.5 \| 2.5 \| 6.4 \| 0 \| \| ITA \| 4673 \| 5607 \| 2042-2723 \| 2383 \| 477 \| 27.9-111.6\| 69.7 \| 0.009 \| 30-43 \| 36 \| 7 \| 2.6 \| 7.1 \| 11.6 \| 2.5 \| \| IND \| 43112 \| 51734 \| 1156-1515 \| 1326 \| 265 \| 15.5-82.1\| 38.8 \| 0.005 \| 31-44 \| 37 \| 8 \| 7.7 \| 11.9 \| 16.3 \| 2.2 \| \| NGA \| 1862 \| 2234 \| 834-1112 \| 973 \| 195 \| 11.4-45.6\| 28.5 \| 0.004 \| 25-36 \| 31 \| 6 \| 14.2 \| 22.4 \| 27.8 \| 6.2 \| \| RUS \| 23172 \| 27806 \| 475-633 \| 554 \| 111 \| 6.5-25.9\| 16.2 \| 0.002 \| 33-47 \| 40 \| 8 \| 7.9 \| 12.7 \| 17.3 \| 2.8 \| \| IDN \| 9319 \| 11183 \| 1251-1608 \| 1460 \| 292 \| 17.1-68.4\| 42.7 \| 0.006 \| 09-13 \| 11 \| 2 \| 7.4 \| 11.6 \| 16.0 \| 2.2 \| \| EGY \| 38285 \| 4606 \| 834-1112 \| 973 \| 195 \| 11.4-45.6\| 28.5 \| 0.004 \| 25-36 \| 31 \| 6 \| 16.4 \| 25.8 \| 31.4 \| 7.3 \| \| USA \| 40651 \| 55981 \| 1582-2110 \| 1846 \| 369 \| 21.6-86.4\| 54.0 \| 0.007 \| 28-40 \| 34 \| 7 \| 2.9 \| 4.9 \| 8.9 \| 0 \| \| ZAF \| 7244 \| 8693 \| 834-1112 \| 973 \| 195 \| 11.4-45.6\| 28.5 \| 0.004 \| 25-36 \| 31 \| 6 \| 8.7 \| 13.2 \| 17.7 \| 2.5 \| Table 3: Input Parameters for Simulating Bids in Offshore Wind Auctions in 14 Regions Worldwide This table presents the input parameters used for simulating bids in the auctions for solar photovoltaics in 14 representative countries. We report capacities annually auctioned from 2020–2030 and from 2026–2030. Following Heck et al., Heck et al. [2016], we use a truncated normal distribution for CAPEX, capacity factor, and O&M$_{r}$. We report range, mean, and standard deviations (SD) for capital expenditures (CAPEX), fixed operation and maintenance cost (O&M$_{f}$) and capacity factor. We report the constant values used for risk-free rate ($r$), cost of equity (CoE), cost of debt (CoD), default risk spread (DR). All $ are in US$2018. \| Capacity [MW] \| CAPEX [$/AW] \| O&M$_{f}$ [$/kW]$ \| Capacity factor [%] \| WACC components [%] \| \|--------------\|-------------\|------------------\|---------------------\|---------------------\| \| \| 2020 \| 2026 \| Range \| Mean \| SD \| Range \| Mean \| SD \| r \| CoD \| CoE \| DR \| \| –2025 \| \| \| \| \| \| \| \| \| \| \| \| \| \| QAT \| 6815 \| 8178 \| 229-305 \| 267 \| 53 \| 2.7-12.9 \| 7.8 \| 2.5 \| 15-22 \| 19 \| 3 \| 4.2 \| 6.9 \| 10.8 \| 0.7 \| \| AUS \| 12871 \| 15446 \| 839-1118 \| 979 \| 196 \| 9.9-14.73\| 28.6 \| 9.3 \| 15-22 \| 18 \| 3 \| 2.7 \| 4.7 \| 9.2 \| 0.0 \| \| BRA \| 34587 \| 41504 \| 756-1007 \| 882 \| 176 \| 8.9-12.6 \| 25.7 \| 8.4 \| 15-22 \| 18 \| 3 \| 10.6 \| 15.9 \| 20.7 \| 3.4 \| \| CHL \| 42380 \| 40465 \| 756-1007 \| 882 \| 176 \| 8.9-12.6 \| 25.7 \| 8.4 \| 15-22 \| 18 \| 3 \| 4.6 \| 7.4 \| 11.6 \| 0.8 \| \| CHN \| 4004165 \| 4805568 \| 229-305 \| 267 \| 53 \| 2.7-12.9 \| 7.8 \| 2.5 \| 14-20 \| 17 \| 3 \| 3.7 \| 6.4 \| 10.6 \| 0.8 \| \| GER \| 33040 \| 39648 \| 984-1312 \| 1148 \| 230 \| 11.6-55.5\| 33.5 \| 11.0 \| 11-15 \| 13 \| 2 \| 0.5 \| 2.5 \| 6.4 \| 0.0 \| \| ITA \| 18732 \| 22478 \| 984-1312 \| 1148 \| 230 \| 11.6-55.5\| 33.5 \| 11.0 \| 11-15 \| 13 \| 2 \| 2.6 \| 7.1 \| 11.6 \| 2.5 \| \| IND \| 136104 \| 163325 \| 548-730 \| 639 \| 128 \| 6.5-30.9 \| 18.7 \| 6.1 \| 15-21 \| 18 \| 3 \| 7.7 \| 11.9 \| 16.3 \| 2.2 \| \| NGA \| 34783 \| 41740 \| 402-536 \| 469 \| 94 \| 4.7-22.6 \| 13.7 \| 4.5 \| 14-20 \| 17 \| 3 \| 14.2 \| 22.4 \| 27.8 \| 6.2 \| \| RUS \| 28829 \| 34595 \| 229-305 \| 267 \| 53 \| 2.7-12.9 \| 7.8 \| 2.5 \| 11-16 \| 13 \| 2 \| 7.9 \| 12.7 \| 17.3 \| 2.8 \| \| IDN \| 32586 \| 39103 \| 633-804 \| 704 \| 141 \| 7.1-31.0 \| 20.5 \| 6.7 \| 14-20 \| 17 \| 3 \| 7.4 \| 11.6 \| 16.0 \| 2.2 \| \| EGY \| 15779 \| 183866 \| 402-536 \| 469 \| 94 \| 4.7-22.6 \| 13.7 \| 4.5 \| 14-20 \| 17 \| 3 \| 16.4 \| 25.8 \| 31.4 \| 7.3 \| \| USA \| 132388 \| 158866 \| 763-1017 \| 800 \| 178 \| 9.0-43.0 \| 26.0 \| 8.5 \| 13-18 \| 15 \| 2 \| 2.9 \| 4.9 \| 8.9 \| 0.0 \| \| ZAF \| 13088 \| 15706 \| 402-536 \| 469 \| 94 \| 4.7-22.6 \| 13.7 \| 4.5 \| 14-20 \| 17 \| 3 \| 8.7 \| 13.2 \| 17.7 \| 2.5 \| Table 4: Input Parameters for Simulating Bids in Solar Photovoltaics Auctions in 14 Regions Worldwide Figure 3: Money at risk, income from participation fees and respective difference plotted per year. Note that we report values until 2055 since the assets constructed in 2030 are assumed to have 25 years lifetime. Figure 4: NPV of remuneration cost for all assets constructed in the respective year. Savings per year are sufficient to cover operating cost.
Tampa International Airport Board Approves Next Part of Massive Expansion Aviation authority board members voted in favor of a $132.4 million amendment to the authority's 2017 fiscal year budget, which would set funds aside to begin the demolition of the red side parking garage and start development of a retail and office space area near the airport's new rental car facility, which is currently under construction. The $543 million phase two of the Tampa International Airport's master plan includes adding express curbside drop-off for passengers without checked bags and the commercial development of 17 acres of airport property. The majority of the project will be funded through the 2018 fiscal year budget. The airport hopes to issue bonds next year as well as use passenger facility fee collections and Florida Department of Transportation grants to finance the project. "We've been aggressively paying down our debt over the last years to afford this project," said Joe Lopano, the airport's chief executive officer. "In the last two months we've been focused on public outreach with the goal to be transparent as we consider phase two of the master plan." Read the Full Story Here: Tampa International Airport board approves next part of massive expansion Times TAMPA — The Hillsborough County Aviation Authority voted Thursday morning to move forward with the first steps of phase two of the... Alfonso Denson, A.A.E., Honored With AAAE Distinguished Service Award Alexandria, VA – Alfonso Denson, A.A.E., President and CEO of the Birmingham Airport Authority, received the American Association of Airport Executives’ Distinguished Service Award, which is presented to airport executives in honor of an exemplary career and contributions to the airport industry. “Al is an invaluable colleague who has tirelessly served the nation’s aviation community in a number of important roles, including widely-respected airport director and active AAAE member,” said AAAE Chair Carl Newman, A.A.E., CEO of the Jackson Municipal Airport Authority. “In addition to nearly two decades as a successful airport director, Al has been so passionate about airports that he has undertaken a large number of volunteer positions, resulting in invaluable improvements throughout our industry.” The Distinguished Service Award is one of AAAE’s highest levels of recognition. Men and women receive the award as a mark of accomplishments in their professional and personal lives. Respected leaders of their own communities, these men and women also contribute to other aviation organizations, serve AAAE and its chapters and participate in civic and community affairs. Distinguished Service Award winners exemplify the best in airport management by continually bringing credit to the profession and the aviation community. All DSA winners are Accredited Airport Executives (A.A.E.) and exemplify the standards accreditation seeks to inspire. Denson received the award at a ceremony held at Birmingham-Shuttlesworth International Airport. Denson has been active in many aspects of AAAE over the years, including service on the Board of Directors, the Policy Review Committee, the Airport Legislative Alliance Committee and the Board of Directors of the Southeast Chapter of AAAE. During his distinguished career, Denson has been honored with numerous awards, including the FAA Airport Minority Advisory Council National Award of Excellence and the Airport Minority Advisory Council Hall of Fame Award. Denson has also been an active leader in a number of community organizations, including as Chair of the UNCF Birmingham Campaign, Chairman of the Sickle Cell Foundation’s annual fundraising event and a member of the Executive Committee of United Way of Central Alabama. Since 2000, Denson has served as President and CEO of the Birmingham Airport Authority. Prior to that, he was Deputy Director and Director of Administration for the Airport Authority. Denson also served as Properties and Business Manager for the City of Birmingham prior to the creation of the Airport Authority. CONGRATULATIONS! To Dr. Alvester T. Coleman, AAE President Southeast Chapter - American Association of Airport Executives 2017 - 2018 MEM is a proud supporter of SEC-AAAE! Visit flymemphis.com for our latest news! @flymemphis The Lee County Port Authority welcomes you to Knoxville, Tennessee for the SEC-AAAE Annual Conference www.flylcpa.com Proud Sponsor of the 2017 SEC-AAAEE Annual Conference SAVANNAH™ HILTON HEAD INTERNATIONAL flySAV.com After a four-year slide, South Florida trade prospects improving Miami Herald WorldCity brought together the directors of PortMiami, Port Everglades and Miami International Airport to discuss trade at its annual World Trade … Boom! Supersonic Passenger Jet Coming by 2020 Live Science … in an all-business-class configuration, is targeted for tests in 2020 and certification from the Federal Aviation Administration by 2023, ATW… Lakeland's newest hangar filled with firefighting bubbles News Chief Airport Manager Gene Conrad said NOAA will begin moving in May 22. He said the rapid construction schedule — “five months, four days, … SC: Officials Hope for Money for Anderson Regional Airport Terminal AviationPros.com Members of the airport’s advisory committee poke fun at the terminal’s tiny conference room near the center of the building calling it a “fishbowl” that … Michael Baker International Partners with Hartsfield-Jackson Atlanta International Airport to Solve … IT Business Net As the busiest airport in the world for the past 18 years, ATL is also one of the … Watkins, aviation program manager in Michael Baker’s Norcross, Ga, office. … The Michael Baker team is in the process of documenting the airport’s … TSA Warns: 'No Community Immune' from Jihadi Truck Attacks LifeZette A new report from the Transportation Security Administration (TSA) warns that truck owners and truck rental companies must be vigilant and guard … Aviation Debate Heats Up as Carriers Pan 'Dysfunctional' FAA Bloomberg Airlines for America accused the Federal Aviation Administration of overstating its progress in modernizing the current flight-monitoring system and … FL: Okaloosa Establishes Airport Advisory Board AviationPros.com The board’s goals include providing recommendations to the county’s airports director concerning operational issues, and the coordination of the … CLT Airport’s Dual AA Ratings from Moody’s and Fitch Amongst Highest in the Nation AviationPros.com Fitch Ratings upgraded the credit rating of the City’s General Airport … the highest rated airports in the nation,” said Aviation Director Brent Cagle. Sparked by Amazon, cargo business growing at Tampa International Airport Tampabay.com (blog) To supply those warehouses with merchandise, Amazon is shipping goods to Tampa International Airport daily aboard a Boeing 767 cargo freighter … Every airport has a story. Let us help tell yours. Signature Flight Support is a proud sponsor of the Southeast Chapter of AAAE. Glamorous facilities. The industry’s most advanced safety and service programs. Plus the global power of over 200 locations worldwide. When your airport chooses Signature Flight Support for your FBO, your customers listen. signatureflight.com It’s your Signature.™ 'Uber of private jets' sets up in Fargo thanks to business-friendly government, helpful local FAA office INFORUM Director of Operations Bob Klumb said the local Federal Aviation Administration office also made a good impression. Local officials were "proactive" ... St. Pete-Clearwater International Airport expansion progresses (Renderings) Tampa Bay Business Journal An additional security checkpoint lane has already been completed for Checkpoint A. The third lane and the introduction of TSA PreCheck has ... County To Consider Funding Airport Repairs Greenville Sun The funds would be taken out of $50,000 that was restricted last year toward the hiring of an airport manager. When that job was not filled, the money ... TN: Airport Opens New Window to City AviationPros.com "I've spent at least five minutes with [T.O. Cragwall, Lebanon Airport ... Lebanon airport manager Heather Bay said the terminal is one step in ... Drones Are Getting Their Own Air Traffic Control With No Need For Humans Jalopnik The National Aeronautics and Space Administration (NASA) has been working with the Federal Aviation Administration (FAA) and corporations to ... Southwest GA Regional Airport runway to get resurfaced WALB-TV The main runway at the Southwest Georgia Regional Airport will be getting re-surfaced. (Source: WALB). Albany Aviation Commission officials said ... FAA Awards Florida Tech Aviation Maintenance Shop With Agency's Highest Honor SpaceCoastDaily.com The Federal Aviation Administration has recognized F.I.T. Aviation LLC's maintenance shop and aviation maintenance technicians with the William ... Race to Prevent Airline Terror Turns to Laptops, Thin Bombs Bloomberg Homeland Security Secretary John Kelly is meeting with European ... the U.S. Transportation Security Administration who is now a security consultant. Investing in Tech to Tackle an Awful Annoyance: Lost Luggage New York Times An unclaimed bag at the Charlotte Douglas Airport in North Carolina. ... Airline and airport management say this increases security, since each bag is ... Delta to Begin Testing Facial-Recognition Technology This Summer Condé Nast Traveler ... and a joint project with the Transportation Security Administration that brought automated screening lanes to HartsfieldBIG CITY LITTLE ATTITUDE Visit the big town that treats everyone like a local. Discover a sophisticated mix of culture and cuisine served up with genuine Southern hospitality. Knoxville will surprise you. visitknoxville TENNESSEE visitknoxville.com Driven to help our aviation clients achieve the highest value possible for the infrastructure they build and manage. CMT Crawford, Murphy & Tilly Engineers and Consultants www.cmtengr.com Since 1978, Alliance has provided quality passenger-focused airport planning and design at 96 airports (21 in the SEC). We are industry leaders developing environments that are functional, attractive and sustainable, support revenue, embody appropriate sense of place and promote the airport’s vision. In Today’s Business Environment Every Cent Counts - Airline & Tenant Negotiations - Airport Legal Issues - Benefit Cost Analysis - Capital Improvement Program Development - Concessions Planning - Expert Testimony - Feasibility Studies - General Aviation & FBO’s - Financial & Management Consulting - Leases and Contracts - Passenger Facility Charge Applications - Rates & Charges Analysis - Request for Proposals - Strategic Planning Planning Environmental Engineering Construction Administration Program Management Business & Financial Planning Responsibly Improving The World We Live In Exceptional planning & design expertise Airside/Landside/Facilities Mike DeVoy 317.780.7232 email@example.com Paul Puckli 703.625.4889 firstname.lastname@example.org chacompanies.com The Southeast Chapter of the American Association of Airport Executives Proudly Congratulates Scott A. Brockman, AAE Chairman of the American Association of Airport Executives 2017-2018 2018 CONFERENCE: MAY 6-8 WE’VE GOT SPACE FOR YOU IN HUNTSVILLE, ALABAMA SEC AAAE CONFERENCE 2018 HUNTSVILLE ENTER TO WIN A FAMILY 4-PACK TO SPACE CAMP! AT THE U.S. SPACE & ROCKET CENTER HUNTSVILLE, ALABAMA - Space Camp Experience for Four - Accommodations at Four Points by Sheraton STOP BY OUR BOOTH TO REGISTER AND TO SNAG A BAG OF ASTRONAUT ICE CREAM WWW.HUNTSVILLE2018.COM No purchase necessary. Purchase will not increase chance of winning. Void where prohibited by law. Open to SEC AAAE members only. Must be at least 25 years of age to enter. Promotion begins April 23 and ends at 5:00 PM on April 24, 2017. Expires May 31, 2018. THE CONNICO WAY COST ESTIMATING → SCHEDULING PROGRAM AND PROJECT MANAGEMENT Constructability Reviews Contract Compliance DBE Plans Independent Fee Reviews Document Control Wage Rate Monitoring Connico is a DBEWBE certified in 45 states and Puerto Rico www.connico.com 615.758.7474 A special thank you to TYS for hosting this years’ SEC-AAAE 2017 Conference JBT: “Single Source Convenience” • Gate Equipment • Ground Support Equipment • Maintenance / Baggage Systems • Apron Management Technologies and Software Systems www.jbtaerotech.com +1 407 851 3377 - Orlando, FL U.S.A. +44 208 587 0666 - United Kingdom +1 801 627 6600 - Ogden, Utah U.S.A. +852 3966 1360 - Hong Kong +355 16 3301 2000 - Brazil +65 6542 9255 - Singapore +34 91 877 5889 - Madrid, Spain A full service firm with over 100 years of experience! Allen & Hoshall www.allenhoshall.com Memphis TN • Nashville TN • Chattanooga TN • Knoxville TN • Tupelo MS • Jackson MS • Fort Collins CO CONGRATULATIONS Airport Professional of the Year Lew Bleiweis, A.A.E. Executive Director, Asheville Regional Airport - Served as the Director of Properties for the Louisville Regional Airport Authority, Louisville, KY - Served as the President of the SEC - AAAE in 2007 - 2008. - Recently completed a term as chair of the ACI-North America U.S. Policy Board and is now a board member of the ACI World Governing Board. - Is an Accredited Airport Executive (A.A.E) by the American Association of Airport Executives. - Involved in the State level and is part of a consortium of airport directors who are working to unify the airport’s legislative advocacy in partnership with the North Carolina Airports Association. - Lew “is a dedicated airport professional who has devoted his entire career to the airport industry. Through his accomplishments and daily example, he continuously promotes the airport industry in order to sustain its strength and enhance its future.” Tina Kinsey, AAE, Director of Marketing, PR & Air Service Development, Asheville Regional Airport Commercial Airport Project of the Year Airfield Charlotte - Douglas International Airport Rehabilitate Taxiway C Commercial Airport Project of the Year Architectural Charleston International Airport Terminal Redevelopment and Improvement Program (TRIP) Lee County Port Authority - Page Field FMY RaceTrac Gas Station & Convenience Store Corporate Member of the Year Mark Manning Kimley-Horn & Associates Mark has been practicing airfield design for 33 years. He has worked on 22 taxiway projects, 18 full runway reconstruction projects (14 of which were air carrier), and 10 terminal and/or cargo apron projects. Experience also encompasses design of hangars, fueling systems, heliports, an ARFF facility, and electrical vaults, as well as pavement management and analysis. Mark is a former program manager at Memphis International overseeing a $211 million program that included a new runway and taxiway system, road relocations, creek relocations, runway and taxiway overpass structures, a new electrical vault, and expansion of two other electrical vaults. Mark has coordinated and managed numerous large, complex multiphase projects that required uninterrupted airport operations. Charlotte Douglas International Airport is an integrated transportation center; a multimodal hub connecting air, rail and truck to create economic opportunities - the Gateway to the Carolinas. Asheville Regional Airport passenger traffic keeps climbing WSOC Charlotte The Asheville Citizen-Times reports that airport spokeswoman Tina Kinsey said Tuesday that the number of people flying via ... Greenbrier Valley Airport reboots restaurant project Beckley Register-Herald The airport manager is already getting a jump on the restaurant's decor, persuading the authority to agree to his selection of reclaimed barn wood oak ... Blue Grass Airport changes parking designations, prices Lexington Herald Leader Parking options are changing at Blue Grass Airport starting Monday, with long-term parking moving into the former economy parking lot behind the ... Americans no longer have to register non-commercial drones with the FAA Recode The court ruled that the FAA’s drone registration rules, which have been in place since 2015, were in violation of a law passed by Congress in 2012. Record number of passengers at Tampa International Airport WWSB ABC 7 Nearly 4 million passengers flew in and out of Tampa International Airport during the months of March and April. That's a new record for the airport, ... Chattanooga Metropolitan (CHA) Airport Regulations Lyft Help Lyft is available at Chattanooga Metropolitan (CHA) Airport. As long as you follow a few simple ground rules, you're in the clear for both pickups and ... Birmingham-Shuttlesworth Airport terminal awarded LEED Gold certification AL.com The certification, from the U.S. Green Building Council, honors the environmentally responsible design, construction and operation of high ... Punta Gorda Airport Pumps $353.2 Million Into SW Florida Economy Alliance for Aviation Across America Punta Gorda Airport has more than cheap flights. It's a proven player in Southwest Florida's economy, pumping more than $353 million into the area ... Passenger numbers soar at Savannah airport as officials target Florida market Savannah Morning News Greg Kelly, airport executive director, attributed the continued passenger growth to the addition of flight options from seven airlines — In the Know: RSW airport cleared for takeoffs Naples Daily News It's up to the Federal Aviation Administration to determine when another runway will be needed to prevent flight delays at RSW. The additional runway ... The information contained in this newsletter is for general information purposes only. 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Linked headlines for the Southeast Chapter—AAAE Journal provided by Google News at www.news.google.com unless otherwise noted. Contact Us: Where are we next? AAAE National Airports Conference (NAC) October 1-3, 2017 Las Vegas, NV Robert C. Brammer Executive Secretary 8712 Caspiana Lane North Charleston, SC 29420 (843) 425-3878 email@example.com www.secaaae.org The Work Hard, Play Hard Chapter of AAAE!
HIV in the Russian Federation: mortality, prevalence, risk factors, and current understanding of sexual transmission Zlatko Nikoloski\textsuperscript{a}, Elizabeth J. King\textsuperscript{b} and Elias Mossialos\textsuperscript{a} See related paper on page 697 Background: Although HIV infection in the Russian Federation was historically concentrated among marginalized populations (people who inject drugs, sex workers, MSM, and the prison population), recent evidence suggests that it has become a more generalized epidemic. The objective of our research was to explore how these trends in HIV prevalence and HIV-related mortality compare across Russia. Methods: We calculated HIV-associated mortality for both male and female individuals in each region (oblast) of the Russian Federation using data from the Russian Fertility and Mortality Database (RusFMD). Using current data on HIV prevalence, we computed the correlation between HIV prevalence and HIV-associated mortality. We also used oblast-level data to examine the associations between HIV prevalence and the risk factors most commonly associated with HIV infection. Results: Over the past 20 years, the Russian Federation has experienced a rapid increase in HIV-associated mortality in both male and female individuals. Our findings revealed significant heterogeneity, with higher rates of HIV-associated mortality reported in oblasts in the Siberian and Ural Federal Districts. There is a strong correlation (0.8) between HIV-associated mortality and virus prevalence. These findings confirm that there are regional disparities in access and adherence to antiretroviral therapy (ART), as indicated by the low correlation (−0.4) between virus prevalence and access to ART coverage. The results from our modeling analysis revealed that, in addition to the factors most commonly associated with this disease (e.g. intravenous drug use), knowledge about sexual transmission of HIV in the general population has a broad impact on its prevalence at the oblast level. Conclusion: Interventions that reduce HIV prevalence, for example, opioid substitution therapy and needle-sharing programs for people who inject drugs, as well as the increased availability of educational and preventive programs may halt the spread of HIV across the Russian Federation. Similarly, increased access to treatment could help in reducing HIV-related mortality. Copyright © 2022 The Author(s). Published by Wolters Kluwer Health, Inc. AIDS 2023, 37:637–645 Keywords: HIV prevalence, oblast, risk factors, Russia Introduction Between 2010 and 2019, the number of people with HIV (PWH) in Eastern Europe and Central Asia (EECA) nearly doubled, from an estimated 0.8 to 1.7 million individuals. The prevalence of HIV in this region also rose from 0.4 to 0.9% during this time interval [1]. Intravenous drug use is the predominant mode of HIV transmission in EECA. The European Center for Disease Prevention and Control [2] reported that 23% of the new HIV infections... in 2018 were in persons who inject drugs (PWID). Historically, the prevalence of HIV has also been high among other marginalized groups, including sex workers, MSM, and members of the prison population [2]. The HIV epidemic in the Russian Federation leads this pattern, and it is one of the most affected countries in EECA. Approximately 31,000 HIV cases were registered in Russia in the year 2000; by contrast, 900,000 documented cases of HIV infection were reported in 2015 [3]. Although PWID and members of other marginalized communities have traditionally represented those most at risk, heterosexual transmission of HIV has increased in recent years. According to the Russian Federal AIDS Center [4], more than half of the new HIV infections reported in 2018 resulted from unsafe heterosexual contact. This phenomenon has led to the expansion of the epidemic from marginalized communities to the general population. Studies performed to date mainly focused on regions and cities in which the HIV epidemic has been particularly acute, including Kemerovo, Sverdlovsk, St. Petersburg, and Krasnoyarsk [5–7]. Although the problems associated with HIV infection have received some attention at the national level, there is only limited knowledge of its impact from a sub-national (oblast) perspective. The available scientific literature on HIV infection at the oblast level in Russia primarily addresses three main topics. The first set of these studies focused on HIV variants identified in oblasts that have been particularly affected by the epidemic. The overall conclusion from these studies is that different HIV variants are circulating in the various population groups in the Russian Federation [e.g. persons who inject drugs (PWID)] [8] as well as across the regions in the Russian Federation (e.g. Siberia [9] and Central Russia [10,11]). The second set of studies focused on risk factors associated with HIV infection among several key populations. For example, Eritsyn et al. [12] analyzed correlates of HIV infection among PWID in eight cities in the Russian Federation and identified the emergence and ultimately the predominance of commercial (as opposed to homemade) heroin as the main factor associated with disease prevalence. By contrast, intravenous use of home-produced drugs was identified as the main factor behind the rise in new HIV infections in Togliatti City in Samara Oblast [13]. Furthermore, Kozlov et al. [14] reported that the frequency of psychostimulant use was a predictor of seroconversion in St. Petersburg and the wider Leningradskaya Oblast. Finally, the results of a study of heterosexual transmission revealed that the number of sexual partners and the frequency of unprotected sex were the most significant risk factors associated with the prevalence of HIV infection among heterosexual nondrug users in the four oblasts under study [15]. The final set of studies focused on barriers to the use of antiretroviral therapy (ART) by those already diagnosed, which contributes to the rising HIV-associated mortality rates in the Russian Federation. The results of one study conducted in St. Petersburg reported that treatment adherence was comparatively low and exacerbated by frequent use of alcohol and psychostimulants; this ultimately led to little or no suppression of HIV replication and thus detectable viral loads [16]. Results from another study carried out in St. Petersburg revealed that social stigma was a significant barrier among female sex workers that limited the use of both preventive and therapeutic modalities. HIV-positive sex workers were also more likely to experience discrimination in healthcare settings [17]. None of these earlier publications included a systematic and up-to-date cross-oblast study of HIV prevalence and associated risk factors or HIV-associated mortality. Thus, the objective of our study is to compare HIV-related mortality, HIV prevalence, and associated factors at the oblast level across Russia. This objective was realized by addressing the following research aims: to estimate the HIV-associated mortality both nationally and in all Russian oblasts; to determine the prevalence of HIV-associated mortality at the oblast level and examine the link between HIV-associated mortality and prevalence; and to explore the risk factors associated with HIV prevalence at the sub-national level. Methods Datasets The analysis for our study was based on data obtained from four independent sources. First, data from the Russian Fertility and Mortality database (RusFMD) of the Centre for Demographic Research at the New Economic School (CDR NES) were used to estimate HIV-associated mortality in individual oblasts [18]. The dataset follows a unique coding system that is closely aligned with the International Statistical Classification of Diseases and Related Health Problems, 10th Revision (ICD-10) codes. To estimate HIV-associated mortality at the oblast level, we identified individuals with HIV-related diagnoses (ICD-10 codes B20–B24). The RusFMD also contains mid-year population estimates that were used to calculate fertility and mortality rates. We have performed disaggregated analyses based on ‘male’ and ‘female’ designations, as these were the only classifications provided in the Russian dataset. Given the current realities in the Russian Federation, it would be difficult if not impossible to collect survey information using ‘nonbinary’ as a sex designation. The RusFMD is the only available and comprehensive dataset on mortality in Russia. Second, data on HIV prevalence were also obtained from reports from the Russian Federal AIDS Center that are presented as cases per 100,000 persons [4]. Additionally, 2018 data on HIV prevalence covering the total adult population of Russia were obtained from the information bulletin number 44 titled ‘HIV Infection’ [4]. Data on access to ART was provided by an NGO-led project on HIV indicators in the Russian Federation [19]. The results summarized the proportion of people with HIV (PWH) in each oblast who have access to ART. Third, we utilized data that address knowledge, attitude, and practices (KAPs) related to HIV infection. This information was collected from a survey entitled ‘Выборочное наблюдение поведенческих факторов, влияющих на состояние здоровья населения’ (Selective observation of behavioural factors affecting the health status of the population) that was conducted in 2018 by Rosstat. Fifteen thousand respondents were surveyed across the Russian Federation to collect representative results at the oblast level [20]. The survey respondents included persons aged 15 years or older who answered questions regarding the state of health, nutrition, social well being, marital status, physical education, and sports as well as habits that are considered harmful. One of the modules in the survey addressed knowledge and attitudes regarding HIV. The survey followed a stratified sampling to facilitate representative sampling at both national and subnational levels with a 99% response rate. This dataset was obtained via direct correspondence with Rosstat authorities. The data were summarized by oblast and used to generate a statistical analysis of the correlates of HIV prevalence. The nonresponse rate to the KAP queries was only 2%, which should have little-to-no impact on the overall validity of our results. The dataset was shared with our research teams via a CD-ROM that was received in December 2021 and is available on request. Fourth, findings from the Rosstat repository of regional data were used to identify additional variables in a statistical model of correlates of HIV prevalence in the Russian Federation [21]. The variables cover topics that include the level of economic development and the availability of healthcare infrastructure. We used these resources for our study for several specific reasons. First, our study is an exploration of HIV-associated mortality, disease prevalence, and related factors. To accomplish this goal, we needed to rely on data from different sources to create a unified dataset. Second and more importantly, these resources included representative variables at the oblast level. This permitted us to draw robust links between HIV-associated mortality and disease prevalence (predicated on access to ART) and HIV prevalence and critical related factors. Statistical analyses Calculation of HIV-associated mortality To estimate the age-standardized mortality rate associated with HIV, we used data on deaths listed by specific condition from the RusFMD at the CDR NES. This database contains information on the population categorized by age group that was used for age standardization. We also used population standardization factors from the European Standard Population Scale [22]. The causes of death are classified based on ICD-10 codes [23]. The age-standardized HIV-associated mortality rates by oblast and year were calculated using the following equation: \[ \text{HIVM} = \frac{\sum_x \left( \frac{d_x}{p_x} P_x \right)}{\sum_x P_x} \] where HIVM is the HIV-associated mortality; $ d_x $ is the number of deaths in age group $ x $ by number or condition; $ p_x $ is the population of age group $ x $; and $ P_x $ is the proportion of the population in age group $ x $ relative to the overall standard population. Age-standardized mortality rates were calculated for the entire country as well as on the oblast level for the years 2000 and 2018. Correlation between HIV-associated mortality and prevalence In addition to our calculation of HIV-associated mortality, we also computed a correlation coefficient for the relationship between age-standardized HIV mortality and HIV prevalence (both for the year 2018) at the oblast level. Analysis of correlates of HIV prevalence We used the data on HIV prevalence per 100,000 persons described above as a dependent variable in an ordinary least squares (OLS) model to capture the main correlates of HIV prevalence. As this was designed as an exploratory and descriptive study, we used HIV prevalence as a dependent variable in our model. We used several sets of independent variables to perform this analysis. First, we included three variables associated with KAPs that focus specifically on HIV from the survey of health-related behavioral factors described above. The available data were summarized by oblast, and the following variables were derived: knowledge about the virus, including the basis for its transmission (using a proxy variable that was based on whether the respondent knew that condom use could reduce the risk of virus transmission); misconceptions and rumors (using a proxy variable that was based on whether the respondent thought that HIV could be transmitted by sharing food utensils with a virus carrier); and practices (using a proxy variable that was based on whether the respondent knew where to obtain an HIV test). The dataset did not include any questions that addressed respondent knowledge or beliefs regarding HIV transmission through fomites that are likely to encounter blood (e.g. toothbrushes and floss). Thus, this information was not included in the analysis. Of note, these questions were directed toward respondents who reported that they were aware of the existence of HIV, which included 97.5% of all respondents to the survey. Data on the prevalence of drug use was represented by the number of patients with drug addiction who were registered at medical and preventive organizations per 100,000 persons [24]. We acknowledge the need to include HIV-related information for other critical populations (e.g. MSM, sex workers, and the prison population); however, there are no reliable data addressing this issue at either the national or subnational level in Russia. Although current guidance from the WHO suggests that MSM represent approximately 1% of the adult population in Russia [25], the use of this estimate would require oblast-specific data on the total adult population. To the best of our knowledge, this information was not collected by Rosstat. Thus, we did not include this estimate in our analysis. Finally, the following variables from Rosstat’s regional data repository were also used to generate the model, including the level of economic development [represented by the gross regional product (GRP) per capita in real terms), real GRP per capita growth, the density of the population, the fraction of the population living in cities, the overall poverty rate, and the female-to-male population ratio. We also included data that addressed healthcare infrastructure. These findings were represented by three variables, including the number of doctors, nurses, and hospital beds, each per 10,000 people. All of the aforementioned variables capture data at the oblast level for 2018. The additional variables are particularly useful as they all represent findings at the oblast level. To the best of our knowledge, there are no data on access to primary prevention (e.g. clean needles, health education, condoms). Thus, these variables were not considered in the modeling exercise. A detailed list of the variables is included in the Appendix, http://links.lww.com/QAD/C729. For our analysis, we used the OLS method to perform a regression analysis of the log$_{10}$ of HIV prevalence against the log$_{10}$ value of each of the independent variables, given that we aim to describe the link between HIV prevalence and its determinants. As our findings are presented as independent variables with various measurement units, including some that are quite dispersed (e.g. gross regional income per capita), we generated the natural logarithm of all variables and used a log–log modeling approach, as per established practice. The log transformation provides us with the desired linearity, which is one of the preconditions for performing an OLS regression analysis. This also permits us to generate a straightforward interpretation of the parameter coefficients. All analyses were performed using Stata 14 (StataCorp LLC, College Station, Texas, USA). Results HIV-associated mortality in the entire Russian Federation in the years 2000 and 2018 is presented in Table 1. Our analysis revealed that the HIV-associated mortality rate for male individuals increased from 0.2 per 100,000 in 2000 to 18.5 per 100,000 in 2018. HIV-associated mortality among female HIV patients followed a similar upward trend during this period, increasing from 0.0 per 100,000 in 2000 to 8.7 per 100,000 in 2018. The distribution of HIV-associated mortality at the oblast level in 2018 is shown in the two heat maps presented in Fig. 1. As shown, disproportionately high levels of HIV-associated mortality among female individuals (panel a) and male individuals (panel b) were concentrated in a few oblasts in the Siberian Federal district. Rates of HIV-associated mortality among male individuals are particularly high in regions that include Kemerovo (88.9 per 100,000), Irkutskaya Oblast (56.6 per 100,000), and Novosibirskaya Oblast (53.46 per 100,000). HIV-associated mortality among male individuals is also acutely high (50.3 per 100,000) in the Sverdlovskaya Oblast in the Ural Federal District. By contrast, rates of HIV-associated mortality among male individuals were notably low in Tuva (0.5 per 100,000), Belgorod (1.3 per 100,000), and Yakutia (1.5 per 100,000). HIV-associated mortality among female individuals followed nearly the same pattern, with notably high rates in regions that include Kemerovo, Irkutsk, and Sverdlovsk. The findings presented in Fig. 2 document HIV prevalence (per 100,000) by oblast in 2018. One of the most important findings from Fig. 2 is that the regional patterns of HIV prevalence closely match those for HIV-associated mortality as noted above. The four regions with the highest HIV prevalence were Chelyabinsk (3034.5 per 100,000), Irkutsk (1997.45 per 100,000), Kemerovo (1890.09 per 100,000), and Sverdlovsk (1804.3 per 100,000). By contrast, the prevalence of HIV was notably low in Tuva (55.2 per 100,000), Dagestan (84.2 per 100,000), and Kalmykia (93.4 per 100,000). The parallels observed between rates of HIV-associated mortality and disease prevalence were confirmed by correlation analysis. Our findings revealed that the correlation coefficients determined for HIV-associated mortality rates and prevalence for male individuals were 0.83 and 0.84 for female individuals. Figure A1 in the Supplementary materials (http://links.lww.com/QAD/C729) summarizes the prevalence (in percentage) of ART usage among PWH. As shown, individuals living in the European part of Russia have... Fig. 1. Russian Federation: HIV mortality by oblast in 2018, female (panel a) and male (panel b). Source: Russian Fertility and Mortality database (RusFMD) and author’s calculations. substantially greater access to ART. This does not match well with the prevalence of HIV in the Russian Federation, as previously discussed. This finding was confirmed by the low correlation between the prevalence of HIV and access to ART (correlation coefficient of $-0.45$). These findings may also explain the high correlation between HIV prevalence and mortality at the oblast level. The results of the OLS analysis of correlates of HIV prevalence are presented in Table 2. Our results feature a high positive association between the level of regional development (i.e. GRP per capita) and HIV prevalence (coefficient 0.52, 95% CI 0.03–1.01). Our results also document a positive and statistically significant association between our proxy variables used to document the prevalence of both drug use and HIV infection (coefficient 0.39, 95% CI = 0.06–0.73). Finally, our results also reveal a statistically significant inverse association between awareness of the sexual transmission of HIV and disease prevalence (coefficient $-1.49$, 95% CI = $-3.27$ to 0.29). The results of $F$-tests reveal the strong joint significance of the independent variables (Table 2). Finally, given the cross-sectional nature of the sample, we caution against drawing temporal links between HIV prevalence and previous prominent transmission modes (e.g. IDU). Discussion To the best of our knowledge, this is the first study to provide a comprehensive analysis of HIV prevalence, HIV-associated mortality, and the connections between HIV prevalence, the dominant risk factors, and knowledge about sexual transmission at the subnational level in the Russian Federation. Our findings revealed that rates of HIV-associated mortality are higher in male individuals than female individuals and are currently concentrated primarily within a few regions of Siberia and the Ural Federal district. Our results also revealed a strong correlation between HIV-associated mortality and virus prevalence. Our analysis of risk factors and other correlates suggest that awareness of safer sex practices was associated with a reduced prevalence of HIV. In addition, and consistent with existing evidence, we found that higher rates of intravenous drug use at the oblast level were associated with a higher prevalence of HIV. Our findings confirm the rapid rise in HIV-associated mortality with a greater impact on male individuals than female individuals. This finding is consistent with recent evidence reported in the Lancet Global Burden of Disease (GBD) series, which also identified a significant rise in Table 2. Results of ordinary least squares regression analysis of correlates of HIV prevalence in log$_{10}$ (per 100,000). \| Variable \| log$_{10}$ HIV prevalence and 95% confidence interval \| \|--------------------------------------------------------------------------\|--------------------------------------------------------\| \| Percentage reporting that they are aware that condoms are effective in reducing the risk of HIV (log) \| $-1.49^$ ($-3.27$ to $0.29$) \| \| Percentage reporting that they know where to obtain a test for HIV (log) \| $0.54$ ($-0.77$ to $1.86$) \| \| Percentage reporting that they believe that HIV can be transmitted by sharing food and drinks (log) \| $0.34$ ($-0.69$ to $1.37$) \| \| Gross regional product (GRP) per capita, (log) \| $0.52^{}$ ($0.03$–$1.01$) \| \| Total patients with drug addiction, per 100,000 people (log) \| $0.39^{}$ ($0.06$–$0.73$) \| \| Intercept \| $-46.92^{}$ ($-85.08$ to $-8.76$) \| \| Number of observations \| $81$ \| \| $F$ test \| $P$ value = 0.0001 \| \| $R^2$ \| $0.36$ \| The full table also includes the following information: GRP per capita growth, population density (per square km), the fraction of the population living in an urban setting, doctors per 10,000 persons, nurses per 10,000 persons, hospital beds per 10,000 persons, female to male ratio, and poverty rate (all in log form; Appendix Table A3, http://links.lww.com/QAD/C729); $p$ less than 0.05, and $p$ less than 0.10. The values reported above are parameter estimates based on the results of regression analyses. All models were estimated with robust standard errors (SE). The tables also report the 95% confidence intervals. Sources: Rosstat, Federal AIDS Center, and authors’ estimates. HIV-associated mortality in Russia [26]. Interestingly, the results of the GBD study do not suggest that the observed increases in HIV-associated mortality correlated directly with economic upheaval, as is typical for many other causes of mortality [26]. Moreover, the national level HIV rates are higher than the equivalent indicators for countries in the wider Eastern European region that have consistently had higher HIV-related mortality rates compared with Western European countries [2]. We also determined that HIV-associated mortality is higher in regions with higher HIV prevalence, a finding that is consistent with the relatively low levels of ART use among HIV-positive individuals in Russia, as shown in the Results section of the article [19]. Previous evidence has shown that HIV-infected individuals who have access to HAART, generally, have greater chances of survival when compared with their counterparts without access to this drug regimen [27,28]. Nonetheless, the use of ART in the Russian Federation remains low. Available national-level data suggest that only $\sim$45% of those diagnosed with HIV in 2018 received ART; this fraction represented only 35% of the estimated number of PWH in the Russian Federation [29]. Several factors should be kept in mind when considering the comparatively low levels of ART coverage in Russia: social stigma [29], barriers that include the ‘labyrinthine bureaucracy’ that currently governs access to ART, ‘system verticalization’ [30], and price [31]. However, while the price of ART has been a problem in the past, several recent positive developments have been introduced to address this issue. Over the past 10 years, the fraction of antivirals produced domestically in Russia increased from 9.5 to 46.5%, thereby reducing the price of first-line antiretrovirals by $\sim$10-fold [31]. The results of our modeling exercise suggest that there is a strong link between the prevalence of intravenous drug use and HIV infection at the oblast level. Previous studies documented the high incidence of HIV infection in oblasts bordering Kazakhstan and those located in proximity to the principal overland heroin and opioid trafficking routes from Afghanistan, which remains among the world’s largest producers of illicit opioids [7]. There are several reasons why the use of intravenous drugs persists as one of the main modes of HIV transmission in the Russian Federation. First and foremost, Russia has no programs involving opioid substitution therapy [7] while access to needle and syringe exchange programs decreased abruptly after Russia disengaged from the Global Fund [32]. However, even before this event, access to syringes and needles was frequently limited because pharmacies were unable to maintain adequate stocks and/or presented negative attitudes towards PWID [33]. The results of our modelling, which document the correlation between HIV prevalence and HIV-associated mortality, highlight the nontrivial potential benefit of introducing and scaling up these interventions. Cepeda et al. [32] suggested that extending opioid substitution therapy and needle-sharing programs to 50% of PWID, providing access to ART for those in need, and initiating efforts designed to integrate drug and HIV treatment services would result in a 53 and 76% reduction within 10 years in the number of new infections in Omsk and Ekaterinburg, respectively, which are two cities with severe HIV epidemics associated with intravenous drug use. Furthermore, our results revealed that having some knowledge of how HIV is transmitted is inversely associated with HIV prevalence at the sub-national level. This is an important finding, which suggests that prevention and counseling programs designed to improve client awareness can be used to reduce the risk of HIV infection [34]. However, Russia lags behind the global effort to develop HIV prevention policies, which is a systemic problem that unfortunately reflects the overall clinical orientation of the Russian healthcare system [35]. Russia also has no government-funded condom distribution programs. Thus, while condoms are easily accessible, anecdotal evidence suggests that they are used infrequently. Condom use has been repeatedly discouraged by organizations that promote ‘faithfulness’ and ‘traditional values’ [29]. Moreover, given the current focus on traditional family values and the increasing influence of the Russian Orthodox Church, there is very little opportunity to provide human sexual education, engage in discussions of sexuality, or promote condom use [29]. The actions of the Russian Orthodox Church in its role as a moral entrepreneur and ‘norm-protagonist’ against sexual minorities have been well documented [36]. The situation faced by victims of human trafficking is particularly dire. These individuals are for the most part undocumented; necessary outreach and resources for these individuals are minimal to nonexistent [37]. Our study has some limitations. First, HIV prevalence may be underreported, given the difficulties in arriving at precise estimates of HIV prevalence in countries with a concentrated epidemic. This may have resulted in a significant downward bias to our findings, both those reflected by the descriptive statistics as well as in the modeling analysis. Second, the available mortality data document only the primary cause of death. These deaths may not all be specifically HIV-related, even those recorded for PWH. Given the high rate of co-infection with both HIV and TB in the Russian Federation, this problem may also introduce bias in the estimates provided. Third, our modeling is based on OLS analysis and thus establishes association, rather than causation. Finally, the $R^2$ value resulting from the OLS analysis is $\sim 0.4$; this finding suggests that other factors, apart from those captured in the model, might also explain the variation in the rate of HIV prevalence among oblasts in the Russian Federation. More data, particularly on other marginalized communities (e.g., MSM, sex workers) should be collected at the national level in order to create a more complete picture. Given the current social and religious realities in Russia, the fraction of the population represented by sexual minorities and other high-risk/marginalized communities is difficult to determine. Likewise, our population data at the oblast level includes all persons and was not limited to adults. Thus, we did not include calculations based on the WHO-recommended estimate of the size of the MSM population. Finally, the data used in our analysis were from KAP respondents and those reported by the authorities (for the control variables). Thus, the standard caveats regarding survey recall bias are also applicable in this case. Nonetheless, our study is a comprehensive effort to compile oblast-level data from various sources in order to analyze oblast-level patterns of both prevalence and mortality because of HIV and their associated factors. In conclusion, our findings suggest the need for several new policy changes. First, any efforts made to reduce the prevalence of HIV are likely to have a direct impact on HIV-associated mortality. This may be achieved by increasing the availability of needle-sharing programs and the introduction of opioid substitution therapy for PWID. Although the legalization of opioid agonist treatments and needle exchange programs might be a useful first step toward controlling the HIV epidemic, caution must be exercised. These efforts should not be misconstrued as justifying a ‘war on drugs’ focused on police action and not the healthcare needs of IDUs and other PWH. If anything, actions of this nature would result in further marginalization, thereby reducing the efficacy of the outreach programs. Second, given that our findings also suggest the importance of knowledge regarding HIV transmission, prevention programs that focus on the benefits of safer sex practices might be scaled up and targeted to both the general population as well as those identified as high risk for infection. Some of these programs might be administered cost-effectively by nongovernmental agencies via social contracting [38]. The social and political transformations underway in Russia will most likely present serious challenges in addressing the HIV epidemic. However, the global goals of ending HIV-related mortality and eliminating new HIV infections must remain under focus. Acknowledgements We would like to thank Raminta Stuikyte for her helpful comments and suggestions. Ethical clearance: this study is a secondary analysis based on data available in the public domain. 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OKLAHOMA CITY Innovation District and Capitol Environs Land Use and Strategic Development Plan December 2019 OKLAHOMA CITY Innovation District and Capitol Environs Land Use and Strategic Development Plan 1. THE LAND USE PLAN 2. THE INNOVATION DISTRICT STRATEGIC DEVELOPMENT PLAN 3. THE CAPITOL ENVIRONS STRATEGIC DEVELOPMENT PLAN How to Use this Document This document includes the following three sections: 1. The Land Use Plan This section defines the land use and corridor priorities for the entire 1400-acre study area. It establishes the roadmap for future development that will happen organically, spurred by the success of the Innovation District. The plan expands on the long-range land use, transportation and open space policy guidance of the City’s Comprehensive Plan, planokc, as they relate to the urban design of the study area, while ensuring that the design of new development is compatible and complementary to the existing context. 2. The Strategic Development Plan for the Innovation District This document provides specific recommendations to guide the growth and development of the Oklahoma City Innovation District, which will be a major catalytic investment within the study area. 3. The Strategic Development Plan for the Capitol Environs This document provides specific recommendations to guide the growth and development of the Capitol environs—which presents an opportunity to cluster existing state facilities and maximize the use of state-owned land, while building new iconic office buildings, pedestrian-friendly retail spaces and tourism destinations that celebrate the seat of the state government. # Table of Contents 01. Introduction .................................................................................................................. 9 02. Land Use Plan ............................................................................................................. 25 03. Strategic Development Plan for the Innovation District ......................................... 73 04. Strategic Development Plan for the Capitol Environs .............................................. 149 01. Introduction Contents Background ................................................................. 10 The Brookings Study .................................................. 12 The Charge of the Team ............................................. 13 The Study Area ......................................................... 14 The Planning Process ............................................... 16 Community Engagement .......................................... 18 What We Heard ....................................................... 19 Background The past 100 years have seen rapid change and building momentum for the City of Oklahoma City, punctuated by great successes and significant hard times. In the past 50 years, local leadership has built a tremendous center of patient care and research just northeast of downtown. This part of Oklahoma City has been home to health care facilities since 1900 when OU College of Medicine was founded there, joined by the original University Hospital in 1919. Other institutions followed but it wasn’t until the mid-1960s that a plan was developed to create the campus we know today. The goal at the time was to secure the state’s ability to care for its citizens with both the facilities and the professionals necessary. This academic health center continued to grow steadily but there was little to no commercialization of the research done there until a few strategic moves were made in the late 1980s and early 1990s. These decades brought commercialization and job growth. The Presbyterian Health Foundation built the Research Park at the same time two state questions paved the way for commercialization of university technology and for creation of i2E, an organization that has been essential to innovation growth. A 2001 report found that there were just over 12,000 full time workers in the Health Center. Today there are 18,000. This 50 percent increase in just 18 years is indicative of the growth potential—and a real motivator for continued strategic investment. A subsequent 2005 plan developed by Battelle, a leading global research and development organization that specializes in science and technology, set a path for the industry’s continued growth. These actions brought some of the country’s brightest minds for both research and patient care. During this same time period, there was more than a billion dollars of investment in new research and patient care facilities. Oklahoma City’s profile within the industry had never been higher, with new discoveries, new companies, ever-higher research funding and strong liquidity events. Despite all of the success in the region, city leaders knew that they were only scratching the surface of the potential. They also realized that the area had become a somewhat self-contained, mostly daytime campus where people drove in, worked or went to the doctor or visited a patient and then left. The campus wasn’t integrated with the neighborhoods that surrounded it—and in fact, many decisions made in the past had the opposite effect, creating barriers between the health center and the neighborhood. Local leaders became very interested in the work the Brookings Institution was doing around innovation districts and their study of how to create a stronger innovation culture in the district. Brookings had been teaming with Project for Public Spaces to dig deep into communities to study the potential for innovation districts, and the critical role placemaking would play in their growth. In their visits to Oklahoma City, Brookings and PPS found the potential they were looking for—the powerful combination of a city that knows how to work a plan and make something happen, and a collision of economic sectors that didn’t exist in any other market. 1965 Medical Center Campus Expanded 1970s Oklahoma City Urban Renewal Authority Demolished Structures throughout the Medical Center and Adjacent Neighborhoods 1985 PHF Research Park Development 2019 18,000 Employees The Brookings Study In the spring of 2015, several major Oklahoma City institutions came together to study the potential of transforming the suburban style campus of the Oklahoma Health Center and Research Park into a center of innovation—often referred to as an Innovation District—where innovation and entrepreneurship can flourish, where interaction can happen and ideas can develop, and where people can congregate, collaborate and network in order to share ideas, leading to new companies, inventions and breakthroughs in technology. The study, “Positioned for Growth: Advancing the Oklahoma City Innovation District,” identified a series of strengths and assets that make Oklahoma City a standout place for the cultivation of innovation activities. The study made strategic recommendations on how the district could become an economic development driver, including bringing jobs and amenities to the underserved neighborhoods adjacent to the district. The first step in implementing the recommendations of the study was to create a land use and strategic development plan for the district that would provide recommendations on how to utilize the land, the existing and future buildings, public spaces, and physical connections in order to weave these assets together and transform them into a greater economic engine than they could ever be on their own. In 2017, the Brookings Institution and Project for Public Spaces released a report that provides recommendations for establishing a vibrant and inclusive Innovation District. "The goal is not simply to build new buildings but to create greater density and collaboration between geographically distant but strategically aligned institutions." POSITIONED FOR GROWTH: ADVANCING THE OKLAHOMA CITY INNOVATION DISTRICT, APRIL 2017 The Charge of the Team In the fall of 2017, many of the same institutions that collaborated on the Brookings study initiated a search for a world-class consultant team to assist in developing a visionary, yet implementable plan for the Innovation District and Capitol Environis. After a highly competitive search, the partner institutions engaged the global design firm of Perkins and Will and its consultants. This team of architects, urban designers, campus planners, research and technology park experts, real estate market strategists, transportation and mobility planners, and infrastructure engineers provided the key partners to assist the institutions and community stakeholders in taking the project to the next level. At the outset of the project it was clear that Oklahoma City needed this project to be thoughtful, meaningful and comprehensive, going far beyond a Land Use and Strategic Development Plan report. The Perkins and Will team believed the project should involve a highly engaging process that would assist Oklahoma City in realizing a vision for a district concept born of a comprehensive and collaborative effort among key community leaders and a wide range of stakeholders. The outcomes of this plan would shape a series of projects allowing for an incremental and achievable implementation approach that should align with target industry sectors, prioritize infrastructure investment, establish an economic strategy, leverage public-private partnerships, and embody the vision framed in the prior study. The design of the district should include meaningful placemaking, while leveraging existing assets and weaving connections to the community in an open and inclusive manner to provide opportunity for all. The product of this planning process is a comprehensive and holistic planning document that will chart a course to realize the true asset of this district as a robust and thriving economic hub for Oklahoma City and the greater region. The implementation of the Land Use and Strategic Development Plan presents an opportunity to stitch together the community fabric, creating a vibrant, active district that benefits the neighborhood through improving connections to job opportunities, open spaces, services and amenities. The Study Area The land use plan specifically focuses on the area east of I-235 in order to provide a vision for growth that matches the vibrancy of the recent investments west of the highway such as Automobile Alley and improve connections to the neighborhoods to the east. Much of this area falls within the Capitol-Medical Center Improvement and Zoning Commission (CMCIZC), so the state recognized an opportunity to ensure that the entire area was planned comprehensively. Innovation District Bounded roughly by Robinson Avenue to the west, Lottie Avenue to the east, NE 4th Street to the south, and NE 13th Street to the north, the emerging Oklahoma City Innovation District is a 1.3-square-mile area encompassing both the Oklahoma Health Center and the vibrant commercial corridor of Automobile Alley. It is the geographic area where the Health Sciences Center, OU Medical School and other health-related institutions are located, along with private companies doing research and development. Legend: - Innovation District - Capitol Medical Center Improvement and Zoning District - State Capitol Environs - The Study Area - Open Space Capitol-Medical Center Improvement and Zoning District Over 70% of the study area is governed by the rules and regulations of the Capitol-Medical Center Improvement and Zoning Commission (CMCIZC). A unique fixture of Oklahoma state government, the CMCIZC is an 11-member body created to develop and maintain a comprehensive land use plan for the orderly development of the district within and surrounding the State Capitol Complex and the Oklahoma Health Center. The commission oversees the physical development to maximize its potential and allow the district the opportunity to grow with optimum benefit to the state, property owners and residents of the district. The commission directly supervises approximately 950 acres and 20 miles of roadway within district boundaries on behalf of the state. In addition to government and health center complexes, the district includes historic preservation, single and multi-family residential, office, commercial/retail and industrial uses. The CMCIZC boundary falls completely within the study area and this document can be used as a tool to guide future planning and zoning code updates or guidance for design review committees, if desired. Oklahoma State Capitol Environs The Capitol environs is also a vital asset to the growth and vitality of this 1400-acre study area. Located just north of the Innovation District, the Capitol complex/environs consists of the Capitol building, surrounding government buildings, tree-lined streets and boulevards. The area includes State Capitol Park, the Oklahoma History Center, the Oklahoma Judicial Center and the Oklahoma Governor’s Mansion. Underutilized areas present a major opportunity to cluster existing state facilities and maximize the use of state-owned land while building new iconic office buildings, pedestrian-friendly retail spaces and tourism destinations that celebrate Oklahoma state government. Neighborhood Context There are several existing and historic neighborhoods in and near the 1400-acre study area. The Brookings study points out that the growing number of employment opportunities within the study area have not brought similar economic prosperity to neighboring residents. Poverty rates in the surrounding neighborhoods are persistently above 45 percent. Moreover, median household incomes are below $25,000, compared to over $50,000 for the region as a whole. Unemployment levels hover above 15 percent, nearly three times the metro rate. These disparities are exacerbated by a difficult history of redevelopment and urban renewal in the area. In efforts undertaken by the Oklahoma City Urban Renewal Authority in the 1970s, significant portions of African American communities were razed and replaced with what is now much of the Health Center (and later, I-235). The legacy of these actions—both physically and socially—are still felt today. As noted previously, the surrounding neighborhoods are physically disconnected from the area, with large blocks, vast parking lots and closed-off private structures having replaced the former human-scale, walkable street grid. To the south of the Health Center, a once vibrant commercial corridor along 4th Street was demolished and remains largely underutilized today. Residents have limited access to basic amenities such as grocery stores and open space. The Planning Process Throughout this 18-month process, the project team undertook a detailed process of assessment, visioning and analysis to identify the best strategy for creating a center of economic and innovation energy. Nearly 500 stakeholders provided input. At each phase, the project team engaged business people, community leaders, city stakeholders and neighborhood representatives through a series of interviews, small groups and committee meetings. There was specific engagement of the residential community, particularly the neighborhoods adjacent to the Innovation District. The project team held interactive input sessions in November 2018, January 2019 and a booth at the June 2019 oNE OKC event. These sessions provided an opportunity for participants to discuss their ideas, express concerns and share what they find most valuable about their neighborhoods. In addition to the input sessions, a brief 10-minute survey allowed participants to provide additional feedback. Project Deliverables 1. Assessment / - Immersing the team into the project and setting priorities. - Workshop 1: Set the Vision and Explore Opportunities - Project Kickoff Meetings - Deliverable 1: Data Gathering 2. Vision / - Analyzing the site and generating plan alternatives. - Workshop 2: Discuss Alternatives & Set Direction - Design Team Charrette - Deliverable 2: Analysis & Concepts 3 Master Plan / EXPLORING BIG IDEAS AND CREATING THE CONCEPT MASTER PLAN. 4 Documentation / FINALIZING THE MASTER PLAN AND PRODUCING FINAL DOCUMENTATION. COMMUNITY ENGAGEMENT INPUT SESSION INPUT SESSION WORKSHOP 3 REVIEW PREFERRED CONCEPT & SET FINAL DIRECTION DELIVERABLE 3 MASTER PLAN DEVELOPMENT WORKSHOP 4 PRESENT THE FINAL MASTER PLAN DELIVERABLE 4 FINAL REPORT Community Engagement 7 COMMUNITY OUTREACH OPPORTUNITIES Held multiple community input events at Page Woodson and a local church, a booth at the oNE OKC event, online and paper surveys 60+ INTERVIEWS Research • Clinical • Academic Real Estate • Economic Development Policy • Government Community • Neighborhood 453 COMMUNITY MEMBERS PROVIDED INPUT 15 GROUP MEETINGS Steering Committee Advisory Committee Community Facilitators Committee Capitol Complex Focus Group Education • Workforce Focus Group Community Assets Participants were asked to identify physical, social and historical assets in the study area by placing a numbered dot on the asset and writing the name and significance of the asset on a corresponding post-it note. Through this community engagement process, participants expressed the importance of preserving the Jewel Theatre, the Henrietta B. Foster Center, historic homes, Booker T. Washington Park and the State Capitol building. Participants also mentioned places important to black history in Oklahoma City such as Page Woodson school building, the Brockway Center, the Fifth Street Baptist Church and many other historically significant churches and schools. Based on this feedback, the project team recommends preservation strategies to ensure that neighborhood revitalization efforts are woven into the fabric of the existing community. 1. Washington Park 2. The Jewel Theater 3. St. Johns Missionary Baptist Church 4. Henrietta B. Foster Center 5. Page Woodson 6. Brockway Community Center 7. Commercial Area in Lincoln Terrace 8. Harn Homestead 9. The Walcourt Building Community Connections Participants were given dots and a list of suggested programs and were asked to identify missing amenities in the study area. They shared a desire for more amenities and programs such as youth sports, community gardens, farmers markets, kids’ facilities, art galleries, museums, and activation in existing parks such as Booker T. Washington Park and in underutilized parcels throughout the study area. In addition to new amenities and programs, survey participants would like to see expanded childcare for students and employees and safer sidewalks and bicycle facilities. The project team recommends enhancing existing parks like Stiles Circle Park, Booker T. Washington Park and State Capitol Park, while providing short term activation strategies for vacant and underutilized lots and strategies for new private development to incorporate additional community benefits. - Amphitheater - Indoor Community Event Space - Art Galleries and Museums - Kids Facilities - Community gardens and farmer’s markets - Outdoor Events and Markets - Food trucks - Sports Facilities Physical Connections Participants were asked to use colored tape and numbered dots to identify physical connections like roads, bike lanes and sidewalks that need improvement. They expressed a desire to see more sidewalks, bicycle lanes, better lighting and public transit in the district—particularly along 4th Street, 10th Street, 13th Street and Lincoln Avenue. Survey participants ranked accessibility and transportation improvements as the most valuable outcome of this long-term land use and strategic development plan. The project team recommends filling in the gaps to the sidewalk and bicycle networks in the study area. - Safer Crossings - Safer Underpass - Safer Overpass - Street Reconstruction - Sidewalk Repair - Improved Lighting - Public Transit - planokc Major Arterial - planokc Minor Arterial - planokc Connector - Walking/Biking Revitalization and Redevelopment Participants were asked to identify development opportunities within the study area. Stakeholders reviewed descriptions of three development categories (preserve, transition and redevelop) and placed corresponding sticky dots on places within the study area they felt were appropriate for each category. Participants would like to see 4th Street restored to the vibrant retail street it once was and residential neighborhoods preserved and protected from rising property values and other impacts of gentrification. Survey results show that restaurants, housing and retail stores were desired in the study area. Based on this feedback, the project team recommends locating higher intensity uses closer to I-235 and downtown and using a transitional land use category that includes a range of middle-density building types in between high intensity redevelopment and residential areas in order to buffer residential areas from higher intensity development. Survey Feedback The project team conducted surveys at all of the input sessions as well as online. Survey topics included: - Relationship to study area - Most valuable outcome of the study - Most needed amenities - Housing priorities - Transportation behavior - Transportation improvements - Impactful initiatives - Access to job opportunities - Programming and public events - Community Assets - Additional comments and suggestions Participants expressed a desire for improved job opportunities, housing options and the availability of new services and amenities. They also shared concerns about gentrification, rising land values and fears of displacement. FEEDBACK FROM COMMUNITY ENGAGEMENT 356 SURVEY RESPONSES 46% RESIDENTS IN OR NEAR (WITHIN 1 MILE OF) THE STUDY AREA Survey participants felt the most valuable outcomes of the long-term land use and strategic development plan would be: 1. Make it easier to get around and access amenities 2. Improve housing options 3. Bring life and vibrancy to the district through placemaking efforts 4. Offer new services and amenities 5. Improve job opportunities for residents in and near the study area 02. Land Use Plan Contents Land Use Plan Overview .......................................................... 27 Land Use Framework ............................................................ 28 Preservation of Existing Assets ............................................. 42 Open Space and Placemaking ............................................... 44 Transportation Framework ................................................... 49 Land Use Plan Overview The purpose of the land use plan is to provide strategies for a vibrant, active district that benefits the community by celebrating existing assets, enhancing connectivity, providing new amenities and ensuring that the design of new development is compatible and complementary to the existing buildings. The strategies will ensure that already established communities, such as the surrounding and historically underrepresented neighborhoods, are included in the new vitality emerging in the area. Each section contains a summary of feedback collected from stakeholders who participated in the public engagement process followed by specific recommendations for growth and redevelopment. Specifically, this plan can guide the following: - Planning and zoning code updates or guidance for a design review committee, if desired. - The utilization of Tax Increment Financing (TIF) incentives to encourage development that is consistent with the Land Use Plan. - Prioritization of future bicycle and pedestrian improvements and other potential capital improvement projects that could be funded by general obligation (G.O.) bonds, federal grants, sales tax or other sources. Building on planokc and the Downtown Development Framework Oklahoma City’s Comprehensive Plan, planokc was adopted in 2015. It provides long-range policy direction for land use, transportation, economic development, housing, public services, and natural and cultural resources. It outlines the city’s vision and priorities, and describes where, how, and in some cases, when development should occur. Planokc recommends the creation of small area plans for neighborhoods and districts throughout the community. This document provides further definition of the land use and corridor priorities defined in planokc as they relate specifically to the urban design of the 1400-acre study area. Planokc recommends Land Use Typology Areas (LUTAs) oriented around a spectrum of development intensities—from undeveloped Open Space, to the high intensity of Downtown. The Downtown Development Framework (DDF) is a tool developed by the City of Oklahoma City to guide land use, urban design, transportation and infrastructure for downtown to coordinate public and private investment. This Land Use Plan is modeled after the framework established in the DDF and customizes the recommendations to the study area. Development Typologies The following development typology descriptions provide a vision for how the study area might develop over time. The descriptions provide future guidance to the City of Oklahoma City and the CMCIZC, as the city and the state embark on future development code updates and implementation projects. The typologies are modeled after the City of Oklahoma City’s DDF but customized to the study area context. Like the DDF, this is not a regulatory document and does not include additional requirements or standards for development beyond what is regulated in the municipal code. - High Intensity Mixed-Use - Commercial Corridor - General Urban - Neighborhood - Special Destination: Historic - Open Space Transect Diagram The Development Typologies diagram and descriptions establish a vision for the study area that focuses on the type, height and scale of future buildings within various areas. Like the transect diagram below illustrates, the development typologies are meant to scale in height and intensity in order to ensure compatibility with existing development and lower density uses. The following pages provide descriptions, photos and design considerations for each development type. General Urban Neighborhood Commercial Corridor High Intensity Mixed-Use Neighborhood Neighborhood areas should be the lowest density, with primarily historic and existing single-family detached homes and “house scale” multifamily such as duplexes and fourplexes. Existing neighborhoods could be identified with opportunities to infill. Parcels are typically deep with narrow street frontages. Setbacks and front yards vary. This development type should have the lowest pedestrian and vehicular activity due to its predominance of less intense residential uses and limited amount of office, retail and dining. Neighborhood areas should maintain existing and historic residential character. Block Sizes: Maintain existing residential block sizes. Existing block sizes vary greatly but the standard is roughly 300 to 630 feet. Avoid subdivisions that consolidate small blocks into larger blocks or disrupt existing street patterns. Avoid cutting off through-streets. Seek opportunities to align new streets with existing adjacent streets. Avoid creating new cul-de-sacs. Lot Widths: Use existing lot dimensions where feasible. Typical existing lot dimensions are roughly 50 feet wide by 140 feet deep. Avoid creating disproportionately wide lots. Building Setbacks: Match setbacks of existing houses within the block face. If the block face does not have a prevailing setback, conform with adjacent blocks or neighborhoods. Existing setbacks vary block to block but are typically between 20-30 feet. Sidewalks: Provide a main sidewalk (one for each unit) that leads directly from the front porch to the public sidewalk (or street curb where no sidewalk exists). Sidewalk should be added where it does not exist. Sidewalk width should be a minimum of 5 feet, or 6 feet where it touches the curb. Sidewalks can have alternate secondary paths to connect to driveways, but the driveway should not be the primary pedestrian access point. Parking: Garages should be located on the lot as not to be the dominant physical feature. Garages can be located to the side or the rear of the primary facade of the house (rear is preferred). Primary facades of front-facing garages should be at least 15 feet behind the primary facade of the house. Rear garages can be attached or detached. Access the garages via mid-block alleys, where feasible. In locations where mid-block alleys are possible, avoid driveways connecting to the front/primary street. Driveways should be no more than 10 feet in width for the entire length that extends beyond the primary front facade of the house. Driveways can widen to up to 18 feet in width at a point that is behind the line of the primary house facade. Shared driveways or alleys between lots are encouraged where feasible. General Urban The General Urban areas should be made up primarily of horizontally mixed residential and commercial uses in a variety of building forms. Single-unit and multi-unit residential uses should be integrated with low-scale commercial buildings. Commercial uses should occur in a variety of building forms that may contain a mixture of uses within the same structure. Residential uses should be primarily located along local residential streets. Commercial uses should be primarily located along mixed-use arterial and connector streets but may be located at or between intersections of local neighborhood streets. These areas have many existing residential uses but may be considered for increased intensity over time due to its location along Lincoln Boulevard, 4th Street and 8th Street. The General Urban category is located between High-Intensity Mixed-Use and Neighborhood and provides a range of middle-density building types in order to transition between higher and lower intensity development. General Urban is a transitional land use category that includes a range of building types in between high intensity redevelopment and residential areas in order to buffer residential areas from higher intensity development. Block Sizes: Consists of regular shaped blocks surrounded by an orthogonal street grid. Orthogonal streets provide a regular pattern of pedestrian and vehicular connections through this context and there is a consistent presence of alleys. Include detached sidewalks, tree lawns, street and surface parking, and landscaping in the front setback. Lot Widths/Building Forms: Include many different building forms. Residential forms can range from single-family houses, to duplexes, garden courts, townhouses and apartments. Commercial forms can range from commercial storefronts on primary streets to drive-through services, gas stations and general office buildings. Building Setbacks: Match front and side setbacks to adjacent structures to create a consistent street wall. Locate structures at the sidewalk along primary streets to create continuity of frontage. Sidewalks: Consider pedestrian access in site planning, including building size and placement, circulation and open space design. Provide adequate walkways without obstructions to pedestrian movement (such as curbs and steps), but separated from traffic. Parking: Other than for existing residential, locate parking behind buildings or on the side. Provide bicycle parking facilities at all new development that occurs on any street intersection. Parking areas abutting properties used or designated residential should be separated by a landscape buffer a minimum of 10 feet wide. In addition to landscaping, consider perimeter earth berms to reduce the visual impact of surface parking lots. Provide at least one drive aisle large enough to accommodate emergency vehicle access and maneuverability. Lighting should be used to provide illumination for the security and safety of on-site areas such as parking, loading/unloading, pedestrian pathways and working areas. Light fixtures should be located facing away from adjacent sites (particularly residential parcels) so that the light does not spill over onto abutting properties. Parking and building light fixtures should be cut-off luminaries that have less than 90-degree cut-off so that the light is not emitted horizontally or upward. Commercial Corridor Commercial Corridor areas should include a mix of historic buildings and new construction and have a general density ranging from 1 to 5 stories, but development of higher buildings may occur. These should be “main street” environments outside of core downtown areas that offer centrally located retail and dining destinations for both visitors and residents. Ground floors should be primarily used for retail, dining, entertainment or service businesses with residential, office or hospitality use on the upper floors. The type does not necessarily represent the only areas of retail, dining and entertainment concentration within the area. Commercial Corridors should be vibrant areas that offer centrally located retail and dining destinations for both visitors and residents. Block Sizes: Consists of regular shaped blocks surrounded by an orthogonal street grid. Orthogonal streets provide a regular pattern of pedestrian and vehicular connections through this context with a consistent presence of alleys. Include detached sidewalks, tree lawns, street and surface parking, and landscaping in the front setback. Lot Widths/Building Forms: Avoid monotonous facades for developments with frontages of 100 feet or more. This can be achieved by breaking up the building mass and roofline by incorporating variety, articulation, vertical elements, color and material changes to add interest. Orient buildings toward the primary nearby street. Avoid deep setbacks behind large expanses of parking areas or vacant land. Building Setbacks: Match front and side setbacks to adjacent structures to create a consistent street wall. Locate structures at the sidewalk along primary streets to create continuity of frontage. Sidewalks: Consider pedestrian access in site planning, including building size and placement, circulation and open space design. Provide adequate walkways without obstructions to pedestrian movement (such as curbs and steps), but separated from traffic. Parking: Locate parking behind buildings or on the side. Provide bicycle parking facilities at all new development that occurs on any street intersection. Parking areas abutting properties used or designated residential should be separated by a landscape buffer a minimum of 10 feet wide. In addition to landscaping, consider perimeter earth berms to reduce the visual impact of surface parking lots. Provide at least one drive aisle large enough to accommodate emergency vehicle access and maneuverability. Lighting should be used to provide illumination for the security and safety of on-site areas such as parking, loading/unloading, pedestrian pathways and working areas. Light fixtures should be located facing away from adjacent sites (particularly residential parcels) so that the light does not spill over onto abutting properties. Parking and building light fixtures should be cut-off luminaries that have less than 90-degree cut-off so that the light is not emitted horizontally or upward. High-Intensity Mixed-Use High-Intensity Mixed-Use is recommended as the most dense type in the study area. It is the area closest to downtown and provides an opportunity to expand development eastward over the highway—bringing more jobs and amenities across I-235. High-Intensity Mixed-Use areas should consist of employment zones, high-density urban neighborhoods, office and hotel towers, midrise buildings, clinical, research and development, and academic uses. Density should be created through consistent urban massing and scale as opposed to height, which can range from three to more than 10 stories, and sometimes much taller. Most buildings should be vertically mixed with office, housing or hotel uses on the upper floors and commercial space on the ground floor. Housing typologies might include townhomes, flats and apartments typically 12 to 50 dwelling units/acre or more with integrated commercial storefronts. The OK Health Center primarily consists of office and hospital uses but the density is similar in intensity to High Density Mixed-Use and currently allows mixed-use facilities. High Intensity Mixed-Use is intended to encourage walkable neighborhood centers and corridors conducive to transit, with a vibrant mix of uses. Block Sizes: The High-Intensity Mixed-Use area should consist of regular shaped blocks surrounded by an orthogonal street grid. Orthogonal streets provide a regular pattern of pedestrian and vehicular connections through this context and there is a consistent presence of alleys. Block sizes and shapes include detached sidewalks, tree lawns, street and surface parking, and landscaping in the front setback. Lot/Building Forms: Buildings should incorporate architectural features along sidewalks and other primary public rights-of-way that add visual interest and provide visual cues for pedestrians and cyclists relating to access and use. This should be accomplished at the ground floor through façade transparency, public entries, awnings, lighting and signage. Building Setbacks: Align building frontage along the sidewalk edge. The uniform alignment of building fronts along a block helps to define a street wall that provides a sense of enclosure and a comfortable scale for pedestrians. Locate public areas such as lobbies, reception, retail and dining along building walls that face the street, alley or pedestrian cut-through so that they are highly visible and accessible. Sidewalks: Connect all new sidewalks to the existing sidewalks. Provide continuous sidewalks along both sides of all vehicular rights-of-way. Separate sidewalks from vehicular traffic by a planted area, which should be located a minimum of 5 feet from the street curb edge. Parking: Locate vehicle access where conflicts with pedestrian circulation will be minimized. Encourage the use of existing on-street parking and parking structures rather than surface parking lots. When unavoidable, locate on-site parking where it will not constrain pedestrian activity; for example, to the rear or interior of the property. Special Destination - State Capitol Area The Special Destination - State Capitol area consists of the State Capitol building, surrounding government buildings, tree-lined streets and boulevards. The area also includes the State Capitol Park, the Oklahoma History Center, the Oklahoma Judicial Center and the Oklahoma Governor’s Mansion. Underutilized areas such as surface parking lots present a major opportunity to cluster existing state facilities and maximize the use of state-owned land, while building new iconic office buildings, pedestrian-friendly retail spaces and tourism destinations that celebrate Oklahoma’s state government. The Special Destination zone must respect the monumental stature of the existing buildings while creating new iconic office buildings. Block Sizes: The block sizes in the State Capitol area are larger than the surrounding neighborhood because the state government buildings typically require a larger footprint and considerably more parking than the adjacent residential uses. To encourage walkability, pedestrian connections such as alleys and pedestrian paths should be provided at least every 500 feet. Lot Widths/Building Forms: Many of the existing buildings within the Capitol area are historic or of a prominent in scale to reflect their civic significance. New buildings should be contextually responsive and respectful of existing historic state government structures, but not attempt to replicate the architecture. While considering the architectural context of existing buildings, this can be achieved by breaking up the building mass and roofline, and incorporating variety, articulation, vertical elements, color and material changes to add interest. Buildings should be oriented toward the primary nearby street, and new facility design should be scaled to address the pedestrian experience. The new buildings should be contextual, yet visually distinctive from the historic architecture so that new and old elements can be distinguished from one another. Building Setbacks: New buildings should front onto primary streets such as Lincoln Boulevard and 23rd Street. They should respect the existing architecture by integrating with the curve frontages to help this area better address the adjacent parcels and draw people into the spaces within the Capitol grounds. Sidewalks: Pedestrian orientation must be considered in site planning, including building size and placement, circulation and open space design. Provide adequate walkways without obstructions to pedestrian movement (such as curbs and steps), but separated from traffic. A small amount of surface parking could remain within the core of these blocks but would be shielded from view by the buildings. Parking garages separated from the historic core of the Capitol environs but within walking distance, should be connected to the core with safe and comfortable pedestrian passages. Parking: Locate vehicle access where conflicts with pedestrian circulation will be minimized. Encourage the use of existing on-street parking and parking structures rather than surface parking lots. When unavoidable, locate on-site parking where it will not constrain pedestrian activity; for example, to the rear or interior of the property. Building Frontage Types The Building Frontage generally refers to the approach a particular development typology takes to the street as defined by the Downtown Development Framework (DDF) which identifies three types of building frontage. Applying the framework established in the DDF to the study area, the graphic to the right indicates the applicable building frontage for each street. Refer to Section 4-1 Building Frontage Guidelines in the DDF to review the specific design guidance. The building frontage types are as follows: • Commercial Frontage is mainly associated with storefront areas. These frontages are proposed to have maximum amount of commercial and pedestrian activity possible through various design principles for increasing access and visual connectivity to activities. • Mixed-Use Frontage is generally assigned to areas with various activities in the district with the intent of creating connectivity and cohesion between different uses. • Landscape Frontage is the general category for urban frontages covering a variety of uses with an emphasis on a landscaped “buffer” setback between the building and property line. Building Frontage Types Like the building typologies, the building frontage type can indicate a step down in intensity. The area east of I-235 is significantly less dense than downtown and development should step down in intensity towards the residential neighborhoods to the east. The project team recommends Mixed-Use Frontage for high intensity land uses and Commercial Frontage for properties along key commercial corridors and activity nodes. Landscape Frontage should be used for the remaining portions of the study area. - Commercial Frontage - Mixed-Use Frontage - Landscaped Frontage Preservation of Existing Assets Across the country, “placekeeping” has become a popular term to accompany placemaking to ensure that neighborhood revitalization efforts are woven into the fabric of the existing community. Placekeeping is the active care and maintenance of a place and its social fabric by the people who live and work there. It is not just preserving buildings but keeping the cultural memories associated with the area alive, while supporting the ability for members of the community to maintain their way of life as they choose. The following is a list of potential strategies that citizens, government staff and elected officials can consider to protect the unique and irreplaceable memories and physical structures that tell the story of the area. The once vibrant 4th Street should be restored with low-rise commercial retail buildings to bring back the retail corridor that once stood. Redevelop Historic Assets Along 4th Street There are several vacant historical assets, such as the Henrietta B. Foster Center and the Jewel Theatre, that were once part of a vibrant stretch along 4th Street that included restaurants, barbershops, doctor’s offices, a grocery store and hotels. The property owners of these parcels should work together to restore the existing assets and redevelop vacant properties with low-rise commercial buildings to bring back the vibrant commercial corridor that once stood. With the upcoming construction of the new Douglass Park Recreation Center, the Henrietta B. Foster Center should continue to be a place of importance with a new mission to support current and aspiring local businesses to bring prosperity and redevelopment. Spearhead Community-Led Preservation Projects Strong, well-organized, local action is the key to successful preservation efforts. Encourage community members who have the experience, skills and contacts to organize their own preservation projects. Work with community leaders to set a direction for projects. Lay out a specific, strategic plan that establishes what will be done with the historic property, how it will be done and who will help. Host “Story Circles” to Capture Memories of Place Story circles can help capture the memories of the places in the study area that are no longer standing. Through partnerships with community centers and libraries, story circles can explore the shared recollections of the study area and culminate with a written document. This program gives elders an opportunity to find their stories, develop a voice, hear the stories of the group and reflect on commonalities and differences. The recent event, “Lecture 1: Stories from our Elders: NE Oklahoma City Storytelling Project”, hosted by Blackspace Oklahoma is an example of this effort to capture and share the history of the area. Develop a Cultural Trail A cultural trail could tell the story of the historical assets in the study area to tourists and visitors. This can be as simple as developing a self-guided tour of the area with a map and pamphlet available at the Oklahoma Historical Society, the Department of Tourism, the Capitol and other tourist destinations in the study area. Emphasis could be placed on highlighting the places important to Civil Rights and African American history. Conduct a Detailed Assessment of Existing Assets During the public engagement process, participants identified several historically and culturally significant places that should be preserved and celebrated in the study area. In order to ensure a more complete inventory of assets, area partners should continue working with the community to identify assets in partnership with the Oklahoma Historical Society and the City of Oklahoma City Historic Preservation Office. Open Space and Placemaking The project team overlaid community input with applicable recommendations in the 2013 Oklahoma City Parks Master Plan. According to the 2013 Oklahoma City Parks Master Plan, many local parks are located within the study area. Stakeholders expressed a desire to see more amenities and programs in existing parks and underutilized parcels throughout the study area. The strategic direction of the plan focuses on maintaining and improving physical assets of existing parks and developing new facilities in existing parks to meet community needs. The Parks Master Plan recommends connecting 4th Street and Booker T. Washington Park into the city’s trail system. Building on this direction, the project team focused on enhancing existing parks like Stiles Park, Booker T. Washington Park and Capitol Plaza, while providing short term activation strategies for vacant and underutilized lots. Booker T. Washington Park Booker T. Washington Park is envisioned to become a center of neighborhood activity that anchors the restored commercial corridor envisioned for 4th Street. The 2013 Oklahoma City Parks Master Plan recommends that future trails connect Booker T. Washington Park to the Katy Trail and the City’s trail system. Existing Booker T. Washington Park Proposed Booker T. Washington Park Envisioned with New and Improved Amenities Master Plan Designed by Oklahoma City’s Parks & Recreation Innovation Plaza Innovation Plaza is a reinterpretation of Stiles Circle Park that creates a new public plaza, which acts as a link between the Innovation District’s existing uses and new proposed uses. Its flexible design allows for outdoor dining, programmed activation and community events with the Beacon of Hope remaining as the plaza’s centerpiece. Additional public realm improvements include enhanced pavements, green infrastructure, street tree plantings, a variety of seating options and landscaped garden areas. Proposed Plan of Innovation Plaza Existing Stiles Circle Park Proposed Innovation Plaza Encouraging Outdoor Dining & Community Events Proposed Capitol Commons The existing lands around the Capitol are proposed to be converted into the Capitol Commons. This area should be enhanced as a formal landscape design that frames the Capitol and creates a variety of outdoor landscape rooms. Within these landscape rooms are various public realm amenities, such as public gardens, tree plantings and public art. Parking should be removed from the Capitol’s most prominent areas and replaced by public open space, with new shared structured parking located at the Capitol area’s edges. The design also improves circulation around the Capitol and the overall vehicular and pedestrian experience. Existing Capitol Environ Proposed Plan of Capitol Commons Proposed Capitol Environ with an Enhanced Public Realm—the Capitol Commons Placemaking Considerations Temporary Activation of Vacant Property Vacant storefronts and underutilized lots can be used to temporarily promote the work of local artists, musicians, chefs or creative businesses as well as improve perception and the experience by minimizing the visual impacts of vacancy. In primarily residential areas, a community program like Adopt-a-Lot in Baltimore could encourage neighbors to temporarily transform vacant lots into community gardens or temporary parks. In Baltimore, residents can apply for permits for temporary structures such as tool sheds or gazebos and the city provides assistance and advice on planting, fertilizing and overall garden planning. Incorporate Community Amenities into New Private Development As certain places in the study area redevelop into higher intensity uses, developers should be encouraged to incorporate community amenities such as publicly accessible open space, murals, public art, restaurants, grocery, creative workspace and cultural art venues. Public spaces come in all shapes and sizes, from large ceremonial lawns to funky pocket parks on busy urban streets. Context is critical in designing the public spaces for the district and creating the right programming for these spaces can make them come alive. The diagram above suggests some design elements to consider when designing new public spaces. Open Space Programming Recurring and diverse programming in existing and newly created open spaces can bring activity and experiences that serve a broad range of potential visitors. Well-programmed open spaces can be used for diverse events (e.g. musical performances, food festivals), activities (e.g. sports leagues, exercise classes, reading areas, rotating food vendors), and programs (e.g. environmental education, volunteer opportunities) that attract activity throughout the day and all seasons. Transportation Framework The following recommendations incorporate community engagement feedback and refine the transportation priorities defined in planokc as they relate specifically to the study area. Enhanced Highway Crossings Today, I-235 functions as a significant barrier that separates the study area from downtown and Automobile Alley. The existing crossings are auto-oriented and unsafe or unpleasant for pedestrian and cyclists. Each underpass or overpass connection should get basic upgrades to add better sidewalks and streetscapes. Special attention should be paid to 10th Street crossing over I-235 as an opportunity to connect to the Innovation District. There are several ways to reduce the negative impact of this significant barrier, such as: • Increasing the size of the sidewalks for pedestrians and adding bike lanes can make it safer for people walking and biking. • Place buildings as close to the edge of the highway as possible to make the walk across the bridge look and feel shorter. • Add amenities such as shade trees and seating to make the walk more comfortable. Add art, sculpture or interesting pavement and furnishings to provide visual interest along the walk. Proposed expansion of 10th Street bridge. A Network of Complete Streets Complete Streets is a transportation policy and design approach that requires streets to be planned, designed, operated and maintained to enable safe, convenient and comfortable travel and access for users of all ages and abilities regardless of their mode of transportation. The project team proposes a robust network of Complete Streets, each with its own character and function. The streets range from high activity primary streets to lower activity local access streets. Each street should be designed to provide for the safe and comfortable use of all modes of transportation, regardless of varying street design, overall width of right-of-way and the amount of right-of-way devoted to different elements (travel lanes, sidewalk, etc.). The proposed street types were developed from community engagement feedback and the planokc recommendations. Higher activity streets are intended to carry the highest vehicle traffic, and therefore are the most continuous and uninterrupted streets within the development. Where these streets meet a site boundary, they are intended to continue into the development on adjacent land. Lower activity streets provide more internal access, have a lower priority to continue into adjacent property and may be interrupted by other site elements or development. All but the highest activity streets are intended to have low to moderate design speeds. The street sections on the following pages represent the typical proposed layout for each of these street types and indicate the key elements of each. High-Intensity Major Arterial Design Characteristics • Moderate traffic speeds and moderate to high volumes • Four 11’ travel ways • Left-turn lane/median • Pedestrian crossing islands • Protected bike lane: Locate bicycle facilities to the curbside where a buffer and the parking lane will add protection from moving vehicle traffic • On-street parking Recommendations • Locate bicycle facilities to the curbside where a buffer and the parking lane will add protection from moving vehicle traffic • Add pedestrian crossing islands to shorten crossing distances High-Intensity Minor Arterial Design Characteristics • Moderate traffic speeds and volumes • Two 11’ travel ways • Left-turn lane/median • Curb extensions • Buffered or protected bike lane • On-street parking • Amenity zone Recommendations • Locate bicycle facilities to the curbside where a buffer and the parking lane will add protection from moving vehicle traffic • Add curb extensions to shorten crossing distances and calm the speeds of right-turning vehicles High-Intensity Connector Design Characteristics • Low-to-moderate traffic speeds and volumes • Two 10’ travel ways • Buffered bike lane • Flex space (as described below) Recommendations • Designate the right-of-way space between the travel lanes and the curb as “flex” space that can be programmed with semi-permanent, interchangeable infrastructure according to context and/or need. Flex space should always include a buffered bike lane, but the remaining space could include: • Activated uses such as extra seating, interactive art/activities, or parklets/platform or spaces to linger • Bicycle parking • Transit loading platforms placement of the lane within the space • Additional bicycle facility space • Motor-vehicle parking • The location of the bike lane depends on the use of the remaining flex space. • Activated uses or bike parking should be located adjacent to the curb, and the bike lane should be located adjacent to the activated use or bike parking, with a buffer between the bike lane and the travel lane. • Motor vehicle parking and transit loading shall be located adjacent to the travel lane, and the bike lane shall be located adjacent to the curb. A buffer is required between bike lanes and motor vehicle parking. Medium-Intensity Connector Design Characteristics • Low-to-moderate traffic speeds and volumes • Two 10’ travel ways • Buffered bike lane • “Flex” space Recommendations • Locate bicycle facilities on the curbside where a buffer and the parking lane will add protection from moving vehicle traffic Neighborhood Design Characteristics • Low traffic speeds and volumes • 16’-18’ travel way (2 lanes, no centerline) • Sharrows (bicycle routes with signage indicating that automobiles share the travel lane with cyclists) where appropriate • On-street parking • Curb extensions Recommendations • Leave travel lanes unstriped • Locate sharrows centrally in the travel lane Pedestrian Connections Just like the roadway network, the pedestrian network deserves the same level of availability. Gaps to be addressed can include missing sidewalks, as well as sidewalks with poor connectivity, including: - Sidewalks on one side only on major roads with limited crossing opportunities - Sidewalks that shift from one side of the street to the other too frequently or sporadically Gaps also include potentially problematic intersections that currently do not feature any crossing facilities. These crossing facilities are proposed on roads that connect to important assets on site and receive high foot traffic. On the graphic to the right, sidewalk gaps are delineated in blue lines and potentially problematic intersections that currently do not feature any crossing facilities (such as crosswalks and push-to-walk buttons) are delineated in dots. Key Bicycle Connections Bicycle access to the study area should be provided with a strategic network of connections. These key connections should be designed to reflect both the land-use context of the corridor as well as the purpose of the connection from a mobility perspective. To provide a strategic bicycle network, the bicycle facility recommendations in the bikewalkokc plan should be completed. The facilities recommended fall into three tiers: - Tier 1 – Protected bike lane preferred, separated multiuse trail if necessary - Tier 2 – Protected bike lane if possible, conventional bike lane minimum - Tier 3 – Conventional bike lane minimum, bicycle route (sharrows) minimum In addition to the bikewalkokc connections, a selection of key bicycle connections along additional corridors is recommended, including: - Protected connections on Lincoln Boulevard, 23rd Street, 8th Street, Stonewall Avenue and Walnut Avenue/21st Street - Signed or sharrow-marked routes on Lindsay Avenue and on Phillips Avenue between 23rd Street and 18th Street Pedestrian Zone Types The Pedestrian Zone generally refers to the area between the property line and curb. The Downtown Development Framework identifies five different types of pedestrian zones. Applying the framework established in the DDF to the study area, the graphic to the right indicates the applicable pedestrian zone for each street. Refer to Section 3-3 Pedestrian Zone in the DDF to review the specific design guidance. The following are the Pedestrian Zone types: • Storefront zone focuses on enhancing the spaces abutting commercial areas and are designed to carry the highest levels of pedestrian traffic and amenities. • Boulevard zones are along streets with high vehicular traffic and as such prioritize pedestrian safety and comfort. • High Intensity zones abut high density developments focusing on effective movement and comfort. • General Urban zones are the standard pedestrian zone used to accommodate medium to high pedestrian traffic. • Neighborhood zones are generally assigned to areas along smaller scale residential units with low to medium pedestrian traffic and have a residential feel. Street Parking Priority Types The DDF assigns two priorities of on-street parking to various segments of the streets. The primary parking designation is assigned to segments with high priority of on-street parking. This prioritization will maximize the supply of parking to the greatest extent possible through creation and retention of spaces. Secondary parking priority is assigned to areas where parking is a priority, but where other components of the transportation network such as bicycle or transit infrastructure may take precedence. Applying the framework established in the DDF to the study area, the graphic to the right indicates the applicable parking priority for each street. Within the study area, primary parking priority is designated to areas with presence of commercial uses and mixed-use developments in order to maximize access to these active spaces. Secondary parking priority is given to all streets within neighborhoods for creating the opportunity to improve multi-modal access for the residents within the area. Transit Integration: Short-Term The sections that follow detail short-term alternatives for providing transit access to the key trip generators in the study area. The short-term alternatives focus primarily on internal circulation between key trip generators, with extension options to provide service to the downtown Embark Transit Center and/or the residential neighborhoods to the east of the study area. The exception is an alternative that utilizes the existing bus transit network as-is. Short-term alternatives include the following: - Short Term Transit Alternative A: Existing Bus Service - Short Term Transit Alternative B: OK Health Center Circulator Extension - Short Term Transit Alternative C: All-Area Circulator - Short Term Transit Alternative D: On-Demand Service Embark operates existing bus service in the study area. The Streetcar currently operates in the Central Business District east of I-235. Short-Term Transit Alternative A: Existing Bus Service Existing Embark services could be used to provide transit access to the study area in the short term, as there are several routes that make stops at or near one or more key trip generators. However, only one route (Route 24 Norman) provides direct service to all the key trip generators in the Innovation District area and Capitol area and is also the only route that currently provides direct access to the core of the Innovation District. Route 24 also runs only one trip per day per direction that makes stops in the study area. As a short-term solution, work with Embark to increase the frequency of Route 24 to increase the availability of transit options in the study area. Embark Bus Routes - 002 - Coltrane - 003 - N Kelley - 018 - Lincoln - 022 - Martin Luther King - 023 - 23rd Crosstown - 023N - 23 Crossrown Night - 024 - Norman (proposed increase in frequency) OKC Streetcar Routes - D Line (Mon - Thu) - B Line (Fri - Sat) Short-Term Transit Alternative B: OK Health Center Circulator Extension The primary route of this alternative is an expansion of the existing Health Center shuttle route into the Innovation District area. This alternative provides service to the key trip generators within the Innovation District but does not serve the Capitol environs. There are two further extensions of the route that can operate full-time or at strategic intervals as necessary (e.g. during a.m. and p.m. peaks, midday hours, etc.), or on an on-demand basis, if feasible: - Transit Center Extension This extension would provide the key transfer necessary for potential users to access the area via transit. The extension would ideally operate during a.m. and p.m. peak hours or be incorporated into the full service as demand dictates. - Community Extension Provides a key link between the study area and the residential neighborhood to the east. This neighborhood is currently disconnected from the study area by the barrier created by the parking lots along Lottie Avenue between 8th Streets and 13th Streets, as well as the lack of transit options available to the neighborhood. Short-Term Transit Alternative C: All-Area Circulator The primary route of this alternative provides service to the key trip generators in the Innovation District and Capitol Environs. This route closely resembles Embark bus Route 24 to Norman (which runs only one trip per day per direction that makes stops in the study area). There are two further extensions of the route that can be run full time, or at strategic intervals as necessary (e.g. during AM and PM peaks, during midday hours, etc.), or on an on-demand basis, if feasible: - Transit Center Extension This extension would provide the key transfer necessary for potential users to access the area via transit. The extension would ideally operate during AM and PM peak hours or be incorporated into the full service as demand dictates. - Community Extension Provides a key link between the study area and the residential neighborhood to the east. This neighborhood is currently disconnected from the study area by the barrier created by the parking lots along Lottie Avenue between 8th Street and 13th Street, as well as the lack of transit options available to the neighborhood. Short-Term Transit Alternative D: On-Demand Service On-demand service has its roots in traditional paratransit service (sometimes referred to as dial-a-ride or demand-response) and taxi service and refers to mobility services that allow a user to schedule a ride at the time of their desired trip, usually using a smartphone app, rather than by making a reservation for a ride several hours or days in advance. Unlike typical fixed-route bus or shuttle services, an on-demand service does not operate on a predetermined schedule and allows users to indicate where they want to be picked up and dropped off rather than adhering to a specific route alignment and set of stops. This provides users with more flexibility for passengers, and in areas with similar land use and demographic characteristics as the less-dense areas of the Innovation District, may be a more effective way to provide convenient transportation for short trips. On-demand service may be provided as individual or shared rides, and may be provided by: • A public operator (such as Embark) • Private operators including taxis and ride-hail companies such as Uber or Lyft • Privately run shuttle services Bicycle Parking: Dedicating curbspace for bicycle parking and on-demand vehicle services improves safety, expands choice, and reduces parking demand. App-based on-demand services allow users to hail rides and track vehicles with a smartphone. These services can potentially support a variety of objectives, including (but not limited to): replacing bus service, providing services outside of fixed-route transit operating hours, connecting to mass transit or demand generators, and serving community amenities. They can operate under a variety of service models such as: - Zone-based Model: In a zone-based model, on-demand connections would be provided within a defined service area. The service area could be the whole study area or multiple subdistricts (e.g. a Capitol environs, Innovation District, etc.) - Hub-based Model: A hub-based model provides trips to and from specific locations or areas. For example, on-demand connections could be made to the centers of the Innovation District (Stiles Circle), Health Center (Phillips Avenue/Young Boulevard), or Capitol environs (NE 21st Street/Lincoln Boulevard). - Corridor-based Model: In a corridor-based model, on-demand rides are provided along corridors not served by transit or outside of fixed-route transit operating hours to fill gaps in service. Potential corridors for this model include 8th Street, 10th Street, Stonewall Avenue, Phillips Avenue and Stiles Avenue. These could potentially advance transit and connections to Automobile Alley and the Central Business District. - Hybrid Model: A hybrid model is like a zone-based model but can be adjusted to include specific destinations outside of the zone. If the zone-based model, for example, provided connections between any two points within the Innovation District, the hybrid model would allow those connections, plus connections to other important destinations outside the zone (e.g. a neighborhood hub east of the study area). Establishing a framework for on-demand services can lay the foundation for future advanced transit options such as autonomous mobility. Shared Parking The High-Intensity Mixed-Use and Commercial Corridor areas present an opportunity to implement a shared-parking approach that will reduce the parking supply needed and thereby reduce the number of vehicle trips and vehicle capacity needed. Shared parking is the concept of using the same parking spaces for two or more different land uses at different times, as peak parking demand hours often differ among land uses, even in the same adjacent developments. A shared parking approach is built upon two foundational parking demand principles - Staggered Peaks and Internal Capture. Staggered Peaks Demand for parking varies by use throughout the hours of a day and days of a week. Office space generates parking demand during traditional weekday business hours. Parking for residential housing is often highest overnight as many residents use their cars during the day. Parking demand generated by restaurants is highest during meal times and into the evening. When parking is shared between multiple uses, the aggregated parking demand by time of day is less than the total if programmed separately for each use. Internal Capture A single parking space that is used for one use at a single time may also serve another use at the same time simply by virtue of the ability to walk to a second destination after parking at the first destination. As illustrated in the figure to the right, an individual may park in an off-street facility, stop by a store for breakfast, attend class in the morning, walk to work after class and pick up clothing at a dry cleaner in a mixed-use building before leaving the area. This eliminates demand for one parking space each at the store, the class, the employer and the dry cleaner. Mixed-use areas naturally promote this type of shared parking which eliminates the need for many redundant parking spaces. Example of Internal Capture: Since most of the spaces are within walking distance of one another, mixed-use areas usually have shared parking facilities. Transportation Demand Management To effectively reduce the number of personal vehicles accessing the Innovation District, the parking strategy must be developed in tandem with a Transportation Demand Management (TDM) strategy. TDM consists of transportation or land use related intervention measures that optimize the available transportation network services and infrastructure by encouraging the use of more space-efficient travel modes, or avoiding vehicular trips altogether. Typically, TDM strategies are more cost-effective than the capital investments and resulting maintenance associated with increased roadway for parking capacity. Following is a range of possible district-level appropriate TDM strategies that could be considered using both transportation and land use approaches. The specific elements and implementation of a TDM strategy would ultimately depend upon the development projects in the district. Car-light Planning Strategically plan and arrange land uses and developments to maximize internal capture. - Limit the number of parking spaces to match the complete network of access options. - Encourage carpooling and multi-modal travel to activity areas and parks. - Establish a car sharing program. - Provide circulator shuttle that connects to primary activity centers and transit options. - Implement micromobility (e.g. bike and scooter) sharing programs. - Provide secure bike parking throughout the district. - Provide centralized locker locations for personal package deliveries. - Allocate front-door curbside space for ride-hailing pickups and dropoffs. Parking Management Manage parking in a manner that ensures efficient use of parking facilities and reduces the need to build more parking than recommended. - Share parking between complementary uses. - Prioritize curbside parking management for higher-value uses such as service vehicles, deliveries, customers, quick errands, and people with special needs. - Eliminate parking minimums. - Provide remote parking facilities off-site or in the outer areas. - Charge users and/or providers directly and strategically for using parking facilities. - Use charging techniques to make pricing more convenient and cost effective. - Provide financial incentives to shift mode, such as transit subsidies. - Unbundle the cost of parking from rent, or sell access to parking facilities separately from building space. - Change tax policies to support parking management and mobility goals. - Provide ample, quality, situationally appropriate bicycle storage and changing facilities. - Insure that parking regulation enforcement is efficient, considerate, and fair. Right-of-Way Allocation Maximize the amount of right-of-way space devoted to non-motorized modes and transit, and minimize or eliminate dedicated single occupancy vehicle (SOV) travel lanes and parking spaces in the right-of-way where possible. Traffic and Access Management Manage traffic and access in a way that starts by letting people walk within the district, reduces traffic speeds and improves the experience of non-SOV modes. - Incorporate vehicle use restrictions - Provide traffic calming measures - Reduce traffic speed - Utilize car-free planning (the reduction of motorized spaces and conversion of parking lots to public spaces) - Prioritize pedestrian and bicycle-oriented design Strategic Roadway Connectivity Maximize the density of connections, and the directness of links, with short links, frequent intersections, and minimal dead-ends. Also, enhance connectivity for preferred modes by providing more frequent connections and ensuring connection opportunities through areas that are otherwise closed to SOV’s. Pricing, Investment and Reinvestment Reduce fees for higher priority modes and increase prices for lower-priority modes. Provide more funding for higher priority modes. - Analyze and reallocate parking pricing - Incentivize ride-hailing pool - Utilize commuter financial incentives including discounted transit passes and bike/scooter-share memberships - Utilize traffic mitigation incentives such as transit subsidies to shift predominant mode - Incorporate district-wide mobility funding that develops comprehensive programs with mutually reinforcing services, so all employees, residents and visitors have access to all modes Long-Term Transit Alternative: OKC Streetcar Extensions The long-term alternative provides options to extend streetcar service into the study area to access key trip generators. The lines identified could also be served by autonomous shuttle or Bus Rapid Transit. There are two Oklahoma City Streetcar extension options that could serve the key trip generators of the study area as development fills in: - Innovation District extension along 8th Street, Stonewall Avenue, 13th Street and Lincoln Boulevard. - Capitol Complex extension along 23rd Street. This extension would serve two—and potentially serve all three—of the planokc Transit Oriented Development Zones planned for 23rd Street. Proposed Extension of Streetcar \| Proposed \| Existing \| \|-------------------\|---------------------------\| \| Innovation District Extension \| OKC Streetcar Downtown Loop \| \| Capitol Complex Extension \| OKC Streetcar Bricktown Loop \| Proposed Streetcar Extensions 23RD ST BROADWAY AVE 13TH ST 10TH ST 8TH ST 4TH ST LOTTIE AVE LINCOLN BLVD 235 40 0 0.25 0.75 Miles 03. Strategic Development Plan for the Innovation District Contents Plan Overview ................................................................. 75 Place Analysis ................................................................. 78 Place Recommendations .................................................. 88 Market Analysis ............................................................... 118 Market Demand ............................................................... 119 Market Recommendations .............................................. 120 Inclusive Growth Strategies ........................................... 128 Economic Impact ............................................................ 132 Culture Analysis ............................................................. 136 Culture Recommendations ............................................. 142 Plan Overview The previous section establishes a land use framework for the entire 1400-acre study area, while this section lays out specific recommendations to guide the growth and development of the Innovation District, which will be a major catalytic investment within the study area. An innovation district is many things. It is an ecosystem with a culture of innovation, a physical place designed to encourage collaboration and an economic engine that will bring new businesses, new jobs and meaningful opportunities for upward mobility for existing residents. Fostering and supporting each of these components is critical to the success of the innovation district. The Strategic Development Plan for the Innovation District is organized by the three components—place, economy and culture—depicted below. Each section presents analysis and key findings followed by recommendations with suggested actions steps. These recommendations should guide the parties responsible for implementation through defining programs, setting priorities, allocating finances and assessing achievements. The Oklahoma City Innovation District organization serves as the unifying initiative around innovation growth for the region. It will serve as the curator and convener to facilitate and cultivate the innovation ecosystem. PLACE Qualities of the physical environment, buildings, streets and open spaces, that attract and promote economic and cultural vitality. ECONOMY Market demand and innovation outcomes that drive inclusive growth, job creation and revenue generation. CULTURE The dynamic interaction and innovative ecosystem that cultivates entrepreneurial activities and networking assets, such as knowledge and creativity. ROLE OF THE OKLAHOMA CITY INNOVATION DISTRICT ORGANIZATION ENCOURAGE INVESTMENT within the district by attracting mixed-use development as well as RECRUITMENT AND RETENTION OF BUSINESSES. Promote EDUCATION, SKILLS TRAINING, WORKFORCE DEVELOPMENT and ENTREPRENEURSHIP within the Innovation District. Facilitate RELATIONSHIPS WITH THE RESIDENTS OF THE NEIGHBORHOODS in and around the Innovation District. Develop and offer INNOVATION RELATED PROGRAMMING, symposiums, conferences and similar forums in diverse economic and technology sectors. FOSTER INTERACTION, COLLABORATION AND PARTNERSHIP among participants in the district and specifically CULTIVATE START-UP BUSINESSES AND THE ARTS. Establish PLACEMAKING within the Innovation District to create attractive and collaborative common areas and parks for public use while also improving access to and within the district. The Place INNOVATION DISTRICT AS A PHYSICAL PLACE. QUALITIES OF THE PHYSICAL ENVIRONMENT, BUILDINGS, STREETS AND OPEN SPACES, THAT ATTRACT AND PROMOTE ECONOMIC AND CULTURAL VITALITY. Place Analysis The modern economy is one built around knowledge and talent, which is increasingly flocking to places that provide amenities, activities and a generally high quality of life. Oklahoma City has a track record of creating and investing in bold plans like this, and even more impressive, the ability to bring them to fruition. As a framework for the project team’s analysis, it identified a series of targets the physical place should address. It should be a place for... 1. Convergence, synergies and connections 2. Technology, health, energy and other related growth around job creation and talent attraction 3. Inclusivity, a key underpinning of the entire planning and design process 4. Sensitivity and respect to context and surroundings, including a recognition of history and legacy 5. A bold visionary strategy that is also realistic and implementable A PLACE FOR CONVERGENCE One that fosters synergistic connections and builds on existing strengths. INCLUSIVE COMMUNITY One that maximizes positive impacts to the region, city and surrounding neighborhoods. SENSITIVE + RESPECTFUL Ensure the plan is sensitive and respectful of context. ACHIEVABLE STRATEGY Create a plan that lays out an achievable strategy for implementation. ATTRACTION + GROWTH Promote attraction and growth around technology and health. Convergence Analysis More and more companies are choosing to locate close to other firms, research labs and universities so that they can share ideas and collaborate on research opportunities. Districts must go further than clustering innovation assets, successful districts are often amenity-rich neighborhoods that are walkable, bikeable and connected by transit and technology.$^1$ The physical design of these places commonly contain five elements: 1. They are dense with people at all times of day. 2. They provide access to services and amenities within a five to ten minute walk. 3. They encourage random collisions between researchers and entrepreneurs. 4. They embrace creativity which inspires new ideas and possibilities. 5. They foster diversity of people, building uses, and industries. The following pages describe each of the elements above in more detail, compare the study area against benchmarks and identify new opportunities to investigate. $^1$ Katz, Bruce, and Julie Wagner. “The rise of Innovation Districts: A new geography of innovation in America.” Washington: Brookings Institution (2014). Benchmarks While no two communities are alike, the lessons learned in one place can be instructive in another. In particular, the form and configuration of a community’s built environment can promote (or undermine) its efforts to enhance economic vitality and innovation. The project team identified six benchmark Innovation Districts in the categories of local peers, national peers and national targets that could be studied to compare and learn from for the Oklahoma City Innovation District. Sample Areas Innovation Districts come in all shapes and sizes. In order to compare districts to one another, the project team identified 1/2 mile and 1/4 mile sample areas within the Oklahoma City Innovation District and the benchmark communities so that all the data can be compared evenly. Density Density measures the concentration of people in a place. Face-to-face interactions between individuals with high human capital facilitate spillovers and the growth of knowledge. Innovations occur when these individuals make new combinations of knowledge with insights observed or learned through knowledge spillovers. These interactions are so important that people are willing to pay higher rents in order to be close to one another and thus benefit from learned knowledge and increased productivity. Especially important is the presence of people all days of the week and all times of day—during the daytime (employees, students and visitors); in the evenings (residents, employees and students who stick around after work or class and hotel guests); and on the weekends (residents, tourists and neighbors from surrounding communities). Density in the Innovation District is created by not only promoting additional development but also attracting people from surrounding areas with great spaces and programs. The close proximity of buildings in the district allows people to walk between them, and the right-sizing of public spaces, small enough to concentrate people but big enough that they are not overcrowded, is important in ensuring the district feels full and buzzing with activity but still comfortable. Daytime and Nighttime Populations of Peer Innovation Districts \| District \| Total Residents \| Population / Acre \| Daytime Population \| Nighttime Population \| \|-------------------\|-----------------\|-------------------\|--------------------\|----------------------\| \| OK Health Center \| 16,636 \| 33 \| 15,586 \| 1,930 \| \| Capital City \| 38,921 \| 77 \| 38,352 \| 1,739 \| \| Cortex \| 34,643 \| 69 \| 30,128 \| 6,293 \| \| Kendall Square \| 51,377 \| 102 \| 47,708 \| 7,198 \| \| University City \| 67,516 \| 134 \| 64,950 \| 10,066 \| \| South Lake \| 53,954 \| 107 \| 42,598 \| 20,291 \| Density Opportunities Remove regulatory and perceptual barriers to increase density Identify targeted growth clusters Focus on social distance in physical planning Access Access measures the accessibility of services and amenities. Accessibility is not about moving cars and other vehicles to and through the site, rather accessibility is about getting people to amenities within the district. The Innovation District should not prohibit the automobile, but should de-emphasize it, and focus instead on multimodal, public transit, and pedestrian facilities. Specific attention should be paid to the crossings of I-235, providing convenient connections between the innovation assets on the east side of the highway to the activity and amenities of Automobile Alley, Deep Deuce and Downtown. Additionally, access to the Innovation District should be easy for existing residents and those of neighboring communities with comfortable trails, sidewalks and bicycle lanes that provide a safe and pleasant route to the district’s events, amenities and jobs. Access Levels of Peer Innovation Districts. \| District \| Location \| Connectivity Scores \| Amenities \| Open Space Acres \| \|-------------------\|------------------------\|--------------------\|-----------\|-----------------\| \| OK Health Center \| Oklahoma City, OK \| 53, 30, 50 \| F&B: 5 \| 1.39 \| \| Capital City \| Austin, TX \| 55, 71, 89 \| F&B: 22 \| 46.34 \| \| Cortex \| St. Louis, MO \| 66, 45, 61 \| F&B: 28 \| 2.80 \| \| Kendall Square \| Cambridge, MA \| 88, 92, 96 \| F&B: 69 \| 31.20 \| \| University City \| Philadelphia, PA \| 99, 100, 99 \| F&B: 133 \| 4.99 \| \| South Lake \| Seattle, WA \| 96, 87, 83 \| F&B: 81 \| 18.41 \| ACCESS OPPORTUNITIES Increase Connectivity CLUSTERS - Improve pedestrian connectivity - Activate gathering spaces - Provide small green spaces - Increase density of amenities BIG BLOCKS - Identify opportunities for reconnecting the street grid - Improving the connections across the highway NEIGHBORHOOD GRID - Improve pedestrian connectivity - Increase neighborhood oriented amenities - Align transit opportunities with needs Collision Collision measures the opportunities for people to have chance interactions with one another and with the innovation activity going on in the district. Exchanges between people happen most often in public spaces and those “third places” where people spend their time that are neither home nor work, such as gyms and coffee shops. To encourage these interactions, there must be proximity between innovation assets and amenities, meaning short distances and routes that are pleasant, safe and interesting. Connections between visitors and the innovation activities can happen through permeable buildings, such as interactive lobby spaces that invite people into a small portion of a laboratory building, transparent ground floors with windows that give passersby the ability to see what is going on inside the buildings or dedicated display spaces that showcase innovation work to the public. Collision Opportunities of Peer Innovation Districts. \| OK HEALTH CENTER \| CAPITAL CITY \| CORTEX \| KENDALL SQUARE \| UNIVERSITY CITY \| SOUTH LAKE \| \|------------------\|--------------\|--------\|----------------\|-----------------\|------------\| \| OKLAHOMA CITY, OK \| AUSTIN, TX \| ST. LOUIS, MO \| CAMBRIDGE, MA \| PHILADELPHIA, PA \| SEATTLE, WA \| Many of the buildings in the OK Health Center area have glass windows on the upper stories but they offer little public view and access from the street. The Dell Medical School’s large glass windows allow people walking along the street to see what is happening inside the building. The new space in the Cortex Innovation Community will feature a creative destination restaurant and coffee bar, together with free, drop-in workspace and event and meeting space for entrepreneurs. Kendall Square has transparent facades, narrow walkable streets, pocket parks, and a plethora of coffee shops. University City doesn’t have many transparent facades, but the walkable streets and abundance of food vendors connect the students and researchers to the city. Many of the research and lab buildings in South Lake Union are transparent and can be viewed from the interior and exterior. --- COLLISION OPPORTUNITIES Identify catalytic and future opportunities between the innovation anchors Improve priority connections Increase density of collaboration amenities Activate existing gathering spaces Incorporate facade treatment/building permeability Diversity Diversity measures the variety of both uses and people. A good diversity of uses—including a range of housing options, office uses, research and laboratory space, retail, commercial, and food and beverage establishments—creates a complete community that provides for the daily needs of its occupants within a short distance, preferably a quarter- to half-mile. Complete communities are more accessible, more inclusive and more sustainable than areas that are primarily made up of a single use. Involving a mix of people in the district—of different races, backgrounds and education levels—creates a stronger community and ensures that the benefits of an Innovation District are felt across all populations. This requires the place to feel public and welcoming to everyone, through its design, programming and accessibility. Diversity of Uses Among Peer Innovation Districts \| District \| Diversity Index Building Uses \| \|---------------------------\|------------------------------\| \| OK Health Center \| 79 \| \| Capital City \| 43 \| \| Cortex \| 45 \| \| Kendall Square \| 71 \| \| University City \| 85 \| \| South Lake \| 84 \| Diversity Opportunities Create an inclusive district with opportunities for upward mobility Remove the barriers to allow for a range of housing types and mix of uses Plan a target building use mix that reflects the goals of the district Creativity Creativity measures the impacts of creative industries. Creative occupations include architecture and design firms, art galleries, media and advertising agencies, video or photography studios and performing arts programs. The presence of creative occupations brings vibrancy to a place that attracts innovation-focused businesses and has been shown to have a high correlation with economic development, patent applications, innovation activities and higher wages. In addition, displays of public art and performances are low-cost and high-impact ways to generate interest and activate a district. Presence of creative occupations and public art has a high correlation with economic development. CREATIVITY OPPORTUNITIES Expand the definition of innovation to include fields beyond “advanced industry,” such as the arts, culture and design Establish partnerships with cultural organizations, creative businesses and influencers Create early wins with arts and culture to activate the Innovation District Planning Principles From this convergence analysis exercise, the project team developed planning principles to help inform the physical design of the Innovation District: - Density: Concentrate people and activity to generate vibrancy and economic returns for all. - Access: Connect people to places and ideas to research at various scales with a variety of modes. - Collision: Encourage interactions and collisions through physical design and programming. - Diversity: Diversify research, uses and voices to ensure that a range of activities and people are included. - Creativity: Promote inventiveness, originality and ingenuity to be visibly present and tangible. Planning Framework Applying the planning principles across a large study area of 1,400 acres was not feasible, so the project team divided the area into a series of more manageable geographies around which to provide recommendations. - First, the project team set out to identify the most appropriate place to focus investment that would create a vibrant, core of new development, catalyzing and providing the necessary infrastructure, activity and services for a thriving Innovation District. - Then the project team focused deliberately on connecting the core to existing ‘nodes’ of community assets, innovation assets, major business centers and residential areas of the city. - And finally, the project team followed the guidance of the Land Use Plan to organically fill in the gaps in a way that is complimentary to the Innovation District and the existing neighborhoods. Place Recommendations Innovation Core Based on market considerations and the potential for continued investment, the first phase of development should focus on a dense mixed-use core that leverages the institutional and commercial uses already in place. Concentrating development also allows for maximum efficiency due to the relatively small amount of infrastructure required to serve a greater amount of development. The Core is the spot where the Innovation District will first take root, so a thoughtful location is essential to the long term success of the district. The project team considered the following factors in locating the core: - Locating the Core on the west side of the study area ensures proximity to Automobile Alley - where innovation activity is already taking root. - The location of the Core fills the gap between the Baker Hughes, the OU Health Science Center (OUHSC) and the OU Research Park (OURP), allowing the people and ideas to come together. - Based on existing uses, recent investments and ownership, the land in this area is generally more ripe for redevelopment and a significant conglomeration of parcels is more feasible here than in other parts of the district. - During the community engagement process of this planning effort, participants did not identify this area as a location that should be preserved. - The area identified does not contain any existing residential units. - The development of the core is envisioned to be more dense than on surrounding parcels, so this location puts the densest development nearest to the existing density of downtown and Automobile Alley and away from the existing single family neighborhoods. - The streets surrounding this core location provide direct access and connectivity to important points of interest including Automobile Alley via 10th Street, Deep Deuce/Downtown/Bricktown via 8th Street/Harrison Avenue, and the State Capitol via Lincoln Boulevard. - There are opportunities for future development on critical parcels adjacent to the Core, making this a viable location for the long-term. CAPITOL CORE HEALTH CENTER RESEARCH PARK H.B. FOSTER CENTER WASHINGTON PARK Context And Existing Uses 10TH ST BAKER HUGHES BAKER HUGHES PARKING OK DEPT. OF COMMERCE OK BLOOD INSTITUTE OK BLOOD INSTITUTE RESEARCH PARK INNOVATION CORE BOUNDARY OSSM CAMPUS 8TH ST LINCOLN BLVD I-235 0 100 300 600 Feet Innovation Core Development Context and Existing Uses The popular Automobile Alley corridor, along Broadway Avenue west of the I-235 running from 4th Street to 13th Street, is approximately one-half mile from the Core, a distance considered to be walkable. Deep Deuce, an area of Oklahoma City experiencing significant residential growth, is also about one-half mile from the Core to the southwest, with the Central Business District/Downtown and the Bricktown entertainment district roughly another one-half mile beyond that (one-mile total from the Core). All of these points of interest are located west of I-235, making the highway and parallel railroad the major barriers to connectivity between the innovation district and these important districts. There are several existing highway crossings in the form of under- or overpasses, but they are primarily designed for vehicles and are lacking in safe infrastructure for pedestrians and bicycles. There are some existing buildings and uses on the Core site and adjacent parcels to note: • In the northwest portion of the site is the Baker Hughes (BH) Global Innovation Center, with an associated parking structure and another building planned to the north of the existing one, along 10th Street. The land southeast of the existing building is also owned by BH, but they have shown willingness to allow Innovation District development to happen there. • Stiles Circle is one of the oldest parks on record in the State of Oklahoma, originally a roundabout in Harrison Ave with a twin circle on the other side of the highway (now a multi-way intersection with landscape that alludes to the historic circular geometry). Stiles Circle is home to Founders Plaza, a city park, and the Beacon of Hope, a monument representing the healing work of the nearby OUHSC. Unfortunately, the park is underutilized at the moment due to its remote location and being surrounded by roadways. • The State Departments of Commerce and Tourism are housed in a 100-year old converted church on the site. They also have a large associated surface lot to the east of the existing building, which they are willing to utilize for development of the Innovation District, assuming that their parking needs are met. • The Oklahoma Blood Institute is located on the eastern most portion of the Core site and has two buildings along with surface parking lots along Lincoln Boulevard. The northern building has had significant investment in the form of laboratory and research equipment installation and therefore must stay. The southern building is presently used for offices that could relocate into a new building; however, a portion of that site is encumbered by oil and gas infrastructure. • The remainder of the existing uses within the targeted Core parcels are a mixture of commercial buildings that can be removed and those uses relocated. This includes the State Chamber, which has shown interest in relocating nearer to the Capitol. • The Oklahoma School of Science and Math (OSSM), owns a significant portion of land north of the Core, directly across 10th Street. • The OUHSC uses begin diagonally to the Core at the intersection of 10th and Lincoln. • Directly east of the Core across Lincoln Boulevard is the only hotel in the vicinity, an Embassy Suites. Anecdotally, this is a well performing hotel, often being sold out of rooms and consistently booked to host large events. There may be some opportunity for development in the large surface lots surrounding the hotel, assuming that their parking needs are met. • Finally, the Research Park sits directly south of the Core across 8th/Harrison. There is one developable site within the Research Park facing the Innovation District, which is currently existing as a surface parking lot. The Research Park has not shown interest in allowing outside development to happen on their land, but they may choose to develop this site themselves with another research building, which would be highly compatible with the Innovation District uses. • There are other adjacent parcels around the Core that are either empty or could be redeveloped in the future. However, some of these parcels are encumbered by oil and gas infrastructure. Identification of Development Parcels 10TH ST STILES AVE 8TH ST LINCOLN BLVD INNOVATION CORE BOUNDARY 1 AC 2.6 Acres 1.8 AC 1.5 AC 1.2 AC 0.5 AC 0 100 300 600 Feet I-235 Development Parcels The project team identified the proposed development core parcels by studying the optimal views and connectivity to existing assets. Existing views to Stiles Circle/Founders Plaza and the Beacon of Hope should be preserved, including from the north along Stiles Avenue, from the east along 8th Street and from downtown along Harrison Avenue. New buildings should frame these views rather than block them. Additionally, buildings should be used to frame an expanded and redesigned Founders Plaza. The two other moments of visual interest on the site currently are the arrival plaza and ceremonial entry to the Baker Hughes building and the historic Oklahoma Department of Commerce building on the southeast corner of Stiles Avenue and 9th Street at the very heart of the Core. These two buildings are somewhat hidden from the public eye at the moment. The new Innovation District development should do more to celebrate these important and historic assets and connect them, visually and physically, to what is happening in the Core. New development should focus on creating connectivity between the Core and these assets, including the OUHSC, the Research Park, and the OSSM campus. The concept plan establishes direct routes between these assets and points of interest within the Core. Those connections begin to define rights-of-way that should remain uninterrupted, allowing people to move freely and directly between important points within and around the district. The urban nature of the area means that there will inherently be some existing physical barriers, such as major roadways, that obstruct these routes between assets. Special attention should be paid to the treatment of crossings where there are potential conflicts between pedestrians, cyclists and vehicles, prioritizing non-vehicular modes wherever possible. The identified viewsheds and movement corridors shape approximately 7.1 acres of land for Innovation District development within the Core parcels. Innovation District Concept Plan Design Elements 10TH ST BRIDGE EXPANSION BAKER HUGHES INNOVATION HALL STILES AVE. INNOVATION CORE BOUNDARY OSSM CAMPUS OU HEALTH SCIENCE CENTER COMPLETE STREETS 8TH ST LINCOLN BLVD. I-235 0 100 300 600 Feet Concept Plan and Design Elements This concept plan focuses on the Innovation District core as the epicenter of innovation activities for the district, providing services and amenities as well as the physical gathering spaces where connection, collaboration and community take root. It is intended that the development shown on the core parcels will be an approximately 10-year build out. Additionally, more long-term development is shown on the adjacent parcels to give a sense of what the future context of the Innovation District could be. 1. The design for the Core preserves historic views to the Beacon of Hope sculpture and Stiles Circle, one of the oldest parks in the State of Oklahoma. 2. An axis is created beginning at the ceremonial entrance of the Baker Hughes building, running through the district flanked by new buildings, and terminates in the OU Research Park, physically manifesting the connection between assets. 3. Stiles Ave between 8th Street and 10th Street becomes an urbanized, active “complete street” that prioritizes the pedestrian. 4. New buildings provide enclosure and structure to the streets and open spaces; they address the major street frontages of 10th Street, Harrison Avenue/8th Street, and Stiles Avenue and provide retail opportunities or other active uses on the ground floors. 5. The Innovation Plaza is a reinterpretation of Stiles Circle Park that creates a new public plaza, which acts as a link between the Innovation District’s existing uses and new proposed uses. Its flexible design allows for outdoor dining, programmed activation and community events with the Beacon of Hope remaining as the plaza’s center piece. Additional public realm improvements include enhanced pavements, green infrastructure, street tree plantings, a variety of seating options and landscaped garden areas. 6. Enhanced connections over the highway provide increased ability for people, activity and ideas to travel between east and west Oklahoma City. Innovation District Proposed Uses INNOVATION CORE BOUNDARY BAKER HUGHES OK BLOOD INSTITUTE OSSM CAMPUS OU HEALTH SCIENCE CENTER Proposed Uses Areas identified by the Innovation Core (within the red line) represent about 36 acres, approximately 7.1 acres of which are identified for priority phase 1 new development. This provides approx. 1 million square feet of building potential within the Core, intended for a mix of uses including office, laboratory, residential and ground level retail or other active spaces. However, the mix may skew more heavily towards office and laboratory uses in the Core to create a concentration of and proximity between innovation assets. Additionally, adjacent parcels have been identified that would support another 2.5 million square feet of potential development. This surrounding development is assumed to be long-term, future development by others, that could provide and contribute complimentary uses to the Core, such as general office and residential mixed-use. Innovation District uses may expand into these adjacent parcels, if necessary, but should be considered only once the Core has been fully realized. \| WITHIN INNOVATION DISTRICT CORE BOUNDARY (PHASE 1A + 1B) \| \|----------------------------------------------------------\| \| Office/Laboratory \| 550,000 GSF \| \| General Office/Mixed-Use \| 30,000 GSF \| \| General Residential/Mixed-Use \| 140,000 GSF \| \| Innovation Hall \| 15,500 GSF \| \| Hotel \| 160,000 GSF \| \| Ground Floor Active Use/Retail \| 74,500 GSF \| \| Parking* (all structured) \| 1200 spaces \| \| Total \| 970,000 GSF \| Important Note: Parking garage represents dedicated parking structures only and does not include parking which may be incorporated into individual building projects. Innovation District Program And Phasing INNOVATION CORE BOUNDARY BAKER HUGHES OK BLOOD INSTITUTE OU HEALTH SCIENCE CENTER OSSM CAMPUS STILES AVE. 10TH ST. 8TH ST. LINCOLN BLVD. I-235 0 100 300 600 Feet Program and Phasing Development in the central part of the core is considered to be Phase 1 of the new Innovation District development with a reasonable build out time frame of 10-years, making the estimated completion year 2030. Initial market demand for near-term development calls for 100,000 square feet of office space, 100 residential units, and 20,000 square feet of commercial retail uses. Additionally, the Innovation District will be looking to build a 15,500 square foot pavilion or Innovation Hall to house community uses and the organization’s office as well as a large parking garage to serve the district in the initial phase of development. This market demand is the impetus to the recommended First Mover projects, considered to be Phase 1A of the project. A reasonable timeframe for this development is 5-years (the first half of the full 10-year horizon for all of Phase 1), targeting completion in the year 2025. The potential development identified on adjacent parcels is assumed to be long-term, future development by others. This development may happen as market demand allows, it could begin in the near-term but would likely continue well beyond the 10-year horizon of development in the Core. In order to realize the full build-out potential of the Core and adjacent parcels, the Innovation District will need to generate increased demand by proving successful in its early phases. \| CORE BUILDINGS \| OTHER ELEMENTS \| \|----------------\|----------------\| \| 1 Office/Laboratory \| A Expanded Founders Plaza/Stiles Circle \| \| 2 General Office/Mixed-Use \| B 10th Street Bridge Expansion \| \| 3 General Residential/Mixed-Use \| C Enhanced streetscape and bicycle/pedestrian facilities \| \| 4 Innovation Hall \| D Direct link between Baker Hughes, the Innovation District Core and the OU Research Park \| \| 5 Hotel \| \| \| 6 Parking (All Structured) \| \| \| 7 Future Development \| \| \| PHASE 1 & 2 \| \| \|-------------\|----------------\| \| Core Phase 1 \| \| \| Core Phase 1A \| 270,000 GSF \| \| Core Phase 1B \| 700,000 GSF \| \| Core Phase 2 \| \| \| Future Development \| 157,507 GSF \| \| Phase 2 (outside core) \| \| \| Future Development \| 2,342,493 GSF \| \| Total \| Total Potential Development \| 3,470,000 GSF \| Innovation Core The Innovation Core is imagined as a 36-acre connected core of development to catalyze the Innovation District. The underutilized land between Automobile Alley and the Oklahoma Health Center presents an opportunity to connect the districts and build the fabric for a thriving Innovation District. The project team benchmarked other Innovation Districts to determine the size and program for the Innovation Core. Innovation Cores are areas that are walkable, amenitized, animated, multimodal, dense/concentrated, efficient, mixed-use and inclusive of all users. BEFORE: The currently underutilized land that will become the Innovation Core. AFTER: Proposed Build-Out of Innovation Core RESEARCH PARK BLDG OFFICE/LAB INNOVATION HALL HOTEL RESIDENTIAL/MIXED-USE OFFICE/LAB OFFICE/LAB PARKING GARAGE PARKING GARAGE OFFICE/LAB Innovation Core Founders Plaza at Stiles Park Redevelopment The development of the Innovation Core represents an opportunity to reimagine and expand the existing Founders Plaza at Stiles Park, an area immediately recognizable today by the Beacon of Hope monument located at its center. By simplifying the routing and improving the streetscape of the existing Stiles Circle, this open space is envisioned as an innovation commons, the focal point of the public realm within the Innovation District Core. Surrounded by a mix of buildings with active ground level uses, this flexible space provides a neutral ground that can be programmed to accommodate the needs of the diverse users that the Innovation District intends to attract and serve—including those from educational institutions, research entities, corporate players, workforce organizations and community members. BEFORE: Founders Plaza at Stiles Park and the Beacon of Hope are surrounded by vacant land. AFTER: Proposed Redevelopment of Founders Plaza at Stiles Park OFFICE / LABORATORY INNOVATION HALL HOTEL Innovation Hall A critical piece of the Innovation Core is the Innovation Hall which will be a standalone building centered around innovation and collaboration that will serve as the communal meeting place for the Innovation District. It is designed as a jewel of the district and is proposed to become a hub within the core. This building will be located at the center of the development and is imagined as the place where workers can meet to collaborate, where community members can come to gather and where school groups begin their tours. Serving as the location for the office of the Innovation District organization, Innovatoin Hall could also provide elements such as a place to grab a coffee or beer, cowoking space and meeting rooms. This would be a place intended for anyone and everyone to come to experience the Innovation District. The Hall would be the initial drop in the water for the district, from which activity radiates. Precedent Study BOSTON DISTRICT HALL An important aspect of a successful place is its ability to be frequently occupied, giving people a reason to be present there besides working from 8 am–5 pm. The project team studied Boston’s District Hall, which functions as the heartbeat of the Boston innovation community. District Hall is a mission-driven, collaborative event venue and free community workspace, with programming designed to bring the community together, from students to established entrepreneurs, and foster the idea that anyone can be an innovator. This is done by providing spaces, programs and connecting people to one another to strengthen communities who can then solve problems of varied scales—local and global. These are the qualities that the proposed Innovation Hall should possess—a space that is inviting, innovative, vibrant and inclusive. District Hall serves as an anchor to Boston’s Innovation District. It is a welcoming space that invites people to share their work with the community. It has a myriad of spaces that are flexible and adaptable to the needs of the community. The common spaces also double up as lounges that could be rented for private events and support the local start-up community. Initial Infrastructure for Phase 1 Building the infrastructure for Phase 1 is something that the Innovation District must do in order to jump start development. Due to its urban setting, much of the basic elements of roadways and utilities are already in place, but there are several important infrastructure projects that should be completed: - Upgrades to the streetscapes along 10th Street, Stiles Avenue, and Harrison Avenue/8th Street to provide better accessibility via safer and more comfortable multi-modal infrastructure. - Design and construction of the feature space (the expanded Stiles Circle/Founders Plaza). This will require the vacation and removal of the west leg of Stiles Ave where it splits around Founders Plaza). - Stormwater detention and utility upgrades Many of these elements are currently city right-of-way and parkland, or otherwise under the City of Oklahoma City jurisdiction, so the exercise of getting these infrastructure changes implemented will require close coordination with the City of Oklahoma City. Regardless of how these elements are funded and built, they should be done with the oversight of the Innovation District, as keepers of the master plan vision. After construction, the Innovation District may want to play a part in the maintenance of the public spaces, especially those internal to the Core, including Stiles Avenue and the feature space. This could be undertaken by a district management entity that may provide a higher quality standard than may be realized by routine city maintenance. Providing elements such as open space, parking and stormwater (items usually required to be provided by each project individually) in a district or development-wide approach allows more of the development parcels to actually be fully utilized and allows these elements to have a greater positive benefit to the overall development. Due to the proposed large increase of impervious surface area envisioned for the core redevelopment, the project team anticipates that the volume of runoff will increase which may require additional runoff storage/detention. A coordinated approach to detention will maximize the developable acreage of the core. Two proposed detention options are: above ground detention in the highway off-ramp loop to the west of the site or underground detention under future development. Detention requirements are not required downtown, but this area is not currently exempt from detention requirements used in the rest of the city. The city could extend the Central Business District drainage requirements into portions of the study area, which would limit or remove detention requirements for new developments in the Innovation Core. Parking Supply Considerations The tables to the right show the modeled parking demand and the modeled parking need for each phase of development based on the shared parking model described in the Land Use Plan. The step-by-step modeling process is as follows: 1. Traditional Parking Demand Model: Calculate and compare how much parking would be "required" if each existing land use had its own dedicated supply of parking based on the Institute of Transportation Engineers Parking Generation guidebook. 2. Calibrate Parking Model to Context: Calibration involves approximating the captive market effect, transit access, Transportation Demand Management impact, and other factors specific to the site. 3. Adapted Parking Model: Apply an adapted parking model derived from the Urban Land Institute Shared Parking Manual to show the expected parking demand throughout the course of an average weekday, adjusted for staggered peaks and internal capture. 4. Anticipated Land Use: Add anticipated development scenarios and model the expected parking demand. The estimated peak demand is based upon the characteristics of the scheduled program. The total supply recommended is a calculation that adds a 10% buffer capacity for estimated peak demand to the demand figure. \| DEVELOPMENT BUILD-OUT BY PHASE \| ESTIMATED PEAK DEMAND \| BUFFER CAPACITY \| TOTAL SUPPLY RECOMMENDED \| \|--------------------------------\|------------------------\|-----------------\|--------------------------\| \| Phase 1A Only \| 242 \| 24 \| 266 \| \| Phase 1 (1A+1B) \| 1,409 \| 141 \| 1,550 \| \| Full Build-out (Phases 1 and 2)\| 4,186 \| 419 \| 4,605 \| Important Note: The table above only includes proposed development and proposed new structured parking spaces. This table does not factor proposed or existing surface parking. Connections to District Anchors and Assets The Innovation District Core should connect to existing anchors and assets with a network of “complete streets” with sidewalks, bikeway, street trees for shade, and active ground level uses that tie together current and future development patterns within the district. The pathways depicted in magenta should be considered priority streets that connect into the Innovation District. As indicated in the community survey, the most valuable outcome of this plan would be making it easier to get around the district with a network of quality of sidewalks and bicycle lanes. One major linkage we are recommending is enhancing the 10th Street Bridge over I-235, reconnecting east Oklahoma City into to the heart of the city. All highway crossings should be enhanced for safety and comfort, but special attention should be placed on expanding the bridge across 10th Street. In addition to improving the connections to the Innovation District Core, this plan also recommends enhancing the Henrietta B. Foster Center and Booker T. Washington Park. These two public assets anchor the 4th Street Corridor and were both identified as treasured community resources by community engagement participants. Providing innovation and community programs at these facilities and connecting them to the Innovation District Core will ensure that the community is connected, both physically and programmatically, to the Innovation District. CAPITOL 10TH ST BRIDGE EXPANSION CORE HEALTH CENTER RESEARCH PARK H.B. FOSTER CENTER WASHINGTON PARK 10th Street Bridge Expansion Today, 10th Street is not a friendly place for pedestrians. Sidewalks are narrow with no shade and the buildings on each side are far away from one another. Creating an enhanced, walkable bridge connection over I-235 at 10th Street will reconnect the Innovation District and surrounding neighborhoods with Automobile Alley and the Downtown Business District. At street level, the bridge connection would include a parklike area with wide sidewalks, grassy lawns, shrubbery and benches. Like Oklahoma City, Atlanta’s Innovation District is divided by a large highway. The Fifth Street Bridge was expanded to make it safer and more comfortable to walk and bike across. The Fifth Street Bridge in Atlanta is designed to be user-friendly for pedestrians, bicycle and vehicles alike, all while concealing its identity as a bridge over a noisy interstate highway by introducing a continuous urban park environment and seamlessly connecting both sides of the highway. Today, the 10th Street bridge is auto-oriented and unsafe and unpleasant for pedestrians and cyclists. Atlanta’s Fifth Street Bridge is a successful example of a “complete street,” including green space, seating, bike lanes and wide sidewalks. An enhanced 10th Street bridge will incorporate a “complete street” with a linear park, shade trees and safe walkways. If a walk is safe, pleasant and interesting, people tend to walk further. Henrietta B. Foster Center The redevelopment of the Henrietta B. Foster Center should continue to be a place of importance with a new mission to support current and aspiring local businesses to bring prosperity and redevelopment. Transforming the Henrietta B. Foster Center into a Minority Small Business and Entrepreneurship Center should provide wealth-building opportunities for community members while giving new life to a building with historic significance to the community. The building should be restored to its original mid-century modern architecture, while the interior should be converted into a dynamic space with large open areas for collaboration, small break out spaces and meeting and training rooms filled with lots of natural light. Initially built as a YMCA in the 1950’s, the Henrietta B. Foster Center is proposed to be transformed into a Minority Small Business and Entrepreneurship Center with a new mission to empower African American entrepreneurs and small business owners. YMCA in the 1950’s. The building as it stands today. The refurbished Henrietta B. Foster Center will continue to be an important place for the community and bring a sense of historic continuity to the area. Booker T. Washington Park Located southeast of the Innovation District Core, Booker T. Washington Park is envisioned to become a center of neighborhood activities and events that anchors the restored retail corridor envisioned for 4th Street. The 2013 City of Oklahoma City Parks Master Plan recommends that future trails connect Booker T. Washington Park to the Katy Trail and the city’s trail system. A renovation of the park will enhance existing amenities and provide new opportunities to play and gather. BEFORE: Existing Booker T. Washington Park AFTER: Proposed Renovations to Booker T. Washington Park Booker T. Washington Park Master Plan The plan below was designed by the City of Oklahoma City’s Parks and Recreation Department and proposes new amenities desired by community participants. The Economy Innovation District as an Economic Development Tool Market demand and innovation outcomes that drive inclusive growth, job creation and revenue generation. Market Analysis Using demographic, socioeconomic and local real estate market data, the project team did an analysis of the entire study area to determine trends and guide the outcomes and recommendations of this process. The exercise concluded the following: There is a disconnect between growth and investments downtown and the study area. Oklahoma City has seen an overall increase in popularity and population in the last decade, but most of this growth and investment has been concentrated in the downtown Central Business District. The study area, even though it is physically adjacent to downtown, has seen a 14 percent decline in population and very little investment. MAPS investments are thought to have been critical to the renaissance of downtown, leading to this increase in population and investment. The study area would benefit greatly from creating/improving connections between the east and west sides of I-235, in order to promote some of that growth to organically jump the highway and move east into the area. Additionally, the first phase of new development should be in the southwestern portion of the study area to encourage that extension of downtown market activity. This first phase of development should also be substantial enough to create a sense of place and be paired with amenities (such as restaurants and retail) and public realm improvements in order to be competitive with downtown Oklahoma City, but individual buildings should be a smaller scale than what is seen in downtown. There is a disconnect between people and jobs in the study area. Median incomes in the study area are less than half that of the rest of the City, despite the presence of high paying jobs in the area. While there are six times more jobs than residents in the area, only 1.22% of those jobs are held by workers living in the study area. This disconnect between the jobs and the workers living in the area should be addressed in a comprehensive way. First, there should be a concerted collaborative effort to expand opportunities for education and workforce development to encourage increased employment of residents already living within the study area. Along with the provision of affordable housing, referenced in the recommendations for more inclusive growth strategies later in this section, there also exists the opportunity to better identify and connect existing and upcoming job opportunities with nearby residents. Through a concerted effort to connect people who already live nearby with available job opportunities, the potential is there for employers to identify a steady workforce pipeline and residents to experience upward economic mobility and prosperity. In addition, there is the opportunity to increase residential supply consistent with the proposed Land Use Plan. This can be achieved by increasing residential density in the study area with a greater mix of housing options, including a variety of price points in both the for-sale and for-rent housing markets. This will likely require a concerted effort around inclusive growth, as this analysis anticipates an income requirement of $51,000 to afford a new market-rate unit in the study area given the current market, which is approximately twice the median income of the area. Market Demand Development within the study area should focus on 1) creating a visible gateway to the Innovation District, 2) activating the district through new uses and programming that generate additional workers and residents and 3) catalyzing future development to expand the Innovation District ecosystem. The market study was done for the entire study area and based on market considerations and the potential for follow on investment, the first phase (1A) of development should focus on a dense mixed-use core that leverages the institutional and commercial uses already in place. Residential uses and ground floor convenience retail would complement the commercial activity, all accompanied with public realm improvements. The following programmatic recommendations are based on the detailed demand analysis that considered projected regional growth, and the Innovation District’s ability to capture and fuel that growth, as well as a place-based strategy to activate the Core and complement and accelerate new development. Office - Based on regional employment growth projections, the district could capture demand for 60,000–100,000 square feet of new office space for a five-year, first phase strategy centered around the Core. In addition, discussions with employers currently located within the study area who have expressed short-term space needs to absorb expansion activities signal the opportunity for an additional 60,000 square foot office building as a part of the first phase. - Office development should include convenience ground floor retail and food and beverage options to serve as an important amenity for new and current workers and activate the streetscape experience. - Anchored by a single tenant, flex style office development that includes coworking space, incubators and other short-term space options should be explored to have different kind of users, providing lower-cost space for new or expanding firms. Residential - Demand exists to support a first phase multifamily rental development of 50 to 100 units. - The initial market-rate building should target existing and prospective workers in the Innovation District, such as researchers and health care professionals, who would prefer to live near their workplaces. Rentals would accommodate younger professionals who are less likely to have children. - Initial residential development could happen close to 10th Street to create a compact development and residential development pressure moving north. Retail - Retail is a critical amenity for the office and residential buildings proposed in the Core. Ground floor retail, particularly food and beverage spaces that support outdoor uses and activities, can attract commercial and residential tenants, as well as activate the streetscape and public realm. - Depending on the building sizes, retail demand could accommodate 7,500–20,000 square feet based on recent developments. Retail should be provided on the ground floor within new mixed-use commercial or residential buildings. Market Recommendations First Movers The “first movers” are those buildings that reflect existing market conditions in the area and are critical to catalyze the growth of the Innovation District. These Phase 1A buildings make up the recommended initial phase of development and reflect a mix of uses critical to generating a lively urban neighborhood where residents walk to jobs in nearby research facilities and startup companies; where scientists, students, and entrepreneurs socialize and collaborate at a café; or the future Innovation Hall, the jewel of the Innovation District. These first mover buildings will have ground floor retail, which provides needed convenience retail and dining amenities for the broader neighborhood, as well as community-based resources and activities hosted in the Hall. The proposed program is aligned with projected market demand for the Innovation District. First mover projects will demonstrate proof of concept, add value to the area and attract future investment, notably from the private sector. Combined with infrastructure improvements funded by public dollars, such as streetscape upgrades, a rejuvenated Booker T. Washington Park, and an expanded bridge connection to Automobile Alley, these first mover buildings will help spark the future growth and development of the larger Innovation District east of the highway. This program is preliminary and conceptual, final programming of these buildings should be further defined thorough future design. The following pages describe each first mover project in detail and should be used in guiding the parties responsible for implementation through defining programs, setting priorities, allocating finances and assessing achievements. \| SUMMARY OF FIRST MOVER PROGRAM - PHASE 1A \| \|------------------------------------------\| \| A. Innovation Hall \| 15,500 GSF \| \| B. Mid-Rise Multi-Family Residential \| 114 units \| \| C. Mid-Rise Office \| 97,000 GSF \| \| D. Ground Floor Retail \| 15,000 GSF \| \| E. Structured Parking \| 600 spaces \| Innovation Hall Innovation Hall is a distinct landmark of the Innovation Core. It is a centrally located convening and collaboration space that will offer coworking space and a place to eat and gather, and support programming, events, and community-based resources and activities. The Hall would constitute an integrated, two-story structure of approximately 15,500 gross square feet (GSF). The Hall would include some revenue generating uses including coworking space, event space and some light food & beverage, but would primarily be used for community-building and as a central gathering point for the district. Based on the project team’s experience planning other Innovation Districts and the review of several precedents in California, Oklahoma and Texas, the team assumed the following potential program for the Hall: The space could include co-working space, food & beverage space and flexible community space to support programming and events. The program assumes an overall building efficiency of 90 percent, to account for hallways, bathrooms and ADA accessibility features shared between tenants. \| INNOVATION HALL PROGRAM SUMMARY \| \|----------------------------------\| \| Co-working Space (55%) \| 7,645 NSF \| \| Food and Beverage (15%) \| 2,085 NSF \| \| Community/Events Space (30%) \| 4,170 NSF \| \| Total (100%) \| 13,900 NSF \| \| Program Size \| 15,500 GSF \| Mid-Rise Multi-Family Residential The proposed residential program is in line with the findings of the team’s market analysis, which indicated that a new development consisting of 100 units could be absorbed. Such a development would constitute about 21 percent of the residential demand within the residential demand study area, which includes Capital View, Lincoln Terrace, and Automobile Alley. Given that the District has absorbed no multifamily to date, this is a reasonable starting point. The 114-unit residential building will consist of about 136,800 GSF, assuming an average unit size of 1,200 GSF and 90 percent building efficiency. The building will consist of five stories of residential uses over one story of ground floor retail. \| PROGRAM SUMMARY \| \|-----------------\| \| MID-RISE RESIDENTIAL \| \| 6 STORIES \| \| Units or Spaces \| 114 units \| \|-----------------\|-----------\| \| Average Unit Size \| 1,200 GSF \| \| Total \| 123,120 NSF \| \| Program Size \| 136,800 GSF \| Mid-Rise Office The proposed program is in line with the findings of the project team’s market analysis. In the last three years, Downtown Oklahoma City has seen several new office buildings, much of the space constructed for build-to-suit tenants. Current market conditions therefore suggest that the Oklahoma City Innovation District office space will need to attract a substantial tenant for at least half of the building in pre-leasing to secure financing. The office building will consist of about 97,000 GSF of market-rate office uses. Assuming 85 percent building efficiency, this results in approximately 82,400 NSF of rentable building space. The building will consist of five stories of office uses over one story of ground floor retail. Part of the office space could also be used as a non-OU research space. \| PROGRAM SUMMARY \| \|-----------------\| \| MID-RISE OFFICE \| \| 6 STORIES \| \| Total \| 82,450 NSF \| \|-------\|------------\| \| Program Size \| 97,000 GSF \| Ground Floor Retail A small-scale retail program is in line with the findings of the team’s market analysis, which found some uncaptured demand for small-scale convenience stores and markets, as well as dining options. As the district is built out, demand for retail, especially food & beverage options will grow from residents and workers alike. Retail will be located within the ground floor of the residential and office buildings in the first phase (1A) and constitute about 15,000 GSF of space. PROGRAM SUMMARY GROUND FLOOR OF A MID-RISE RESIDENTIAL AND MID-RISE OFFICE BUILDINGS \| Program Size \| 15,000 GSF \| Structured Parking The Phase 1A program will include approximately 600 spaces, for a total of 210,000 GSF of structured parking, assuming 350 GSF per space and parking ratios for the Oklahoma City market. The district will likely need a standalone parking structure to accommodate residents and workers. \| PARKING RATIO ASSUMPTIONS \| Mid-Rise Residential \| Mid-Rise Office \| Innovation Hall \| Ground Floor Retail \| \|---------------------------\|----------------------\|----------------\|-----------------\|--------------------\| \| Program Size \| 136,800 GSF \| 97,000 GSF \| 15,500 GSF \| 15,000 GSF \| \| Units \| 114 \| - \| - \| - \| \| Parking Ratios \| 1.5 spaces per unit \| 3.25 spaces per 1000GSF \| 3.4 spaces per 1000GSF \| 4.0 spaces per 1000GSF \| \| Parking Spaces (per use) \| 171 \| 316 \| 53 \| 60 \| Financial Feasibility of First Movers The project team conducted a feasibility analysis to test the financial viability of the proposed program, to help anticipate the gap between the development costs and return on investment and determine what a required subsidy might be to make these building developments viable. As demonstrated below, the first movers program would likely require substantial subsidy to be viable, even assuming no land or parking costs. However, subsidizing these buildings to jump start development in the area will create that necessary spark for the Core and bring all the benefits of the Innovation District. The key findings are: The first mover program presents a feasibility gap of over $5.7–$6.2 million, not including land, infrastructure or parking costs. Although the Oklahoma City market has improved dramatically in recent years, as evidenced by the wave of new mixed-use development in downtown and Automobile Alley, new development in the district is not likely to command top-of-market rents at the outset. In fact, even new residential, hotel and office projects in Downtown still require subsidy to be financially viable. Ground floor retail uses pencil given current market conditions, but challenges remain for residential and especially office uses. Ground floor retail results in positive land values and is minimally feasible given current conditions. Office use presents a feasibility gap of nearly $18 per GSF and will require substantial subsidy. The residential feasibility gap is estimated at $6,000 per unit, or about $5 per GSF. The Innovation Hall will require some level of upfront subsidy and ongoing operations and maintenance support. While the operations of the Innovation Hall may break even over time, it will require subsidy, the scale and nature of which (ongoing vs upfront) will depend on the ultimate ownership and operator structure. Innovation Hall would include some revenue generating uses including coworking space, event space and some light food & beverage, but would primarily be used for community-building and as a central gathering point for the district. Preliminary analysis indicates that the operations of the Hall could break even upon stabilization, assuming stable event revenues, café lease, and 90 percent occupancy in its coworking space. However, the Hall would not likely be able to service debt for the construction of the building or fit out. Therefore, the Innovation Hall will also require substantial upfront subsidy and potentially some ongoing subsidies. Based on the analysis as well as previous experience in development planning for Innovation Districts and similar “hub” spaces, The project team believes it is unlikely that the Hall, as currently envisioned, will generate enough revenues to pay for the development costs. For the feasibility analysis, the project team tested two potential ownership and operation structures within a stabilized year residual land value calculator, that are: - Institutional Developer Operator Structure: The developer of the Hall owns (or leases) the land and oversees development, construction and operations of the Hall. In this scenario, the entity is most likely an institution, such as a university, or nonprofit. The institutional partner benefits from favorable financing terms and pays a fee-developer to manage the development process. Development Costs: ~$4.18 million Upfront Need for Subsidy: ~$3.57 million Ongoing Need for Subsidy: ~$0 per year upon stabilization - Developer + Third Party Operator Structure: The Hall is developed and constructed by a separate entity (presumably as part of a master development agreement for the Innovation District). The Hall is then leased to an operator (institution or nonprofit). Development Costs: ~$4.26 million Upfront Need for Subsidy: ~$1.98 million Ongoing Need for Subsidy: ~$192,000 per year upon stabilization In either ownership/operation structure, the Hall will require significant upfront subsidy for development, but need for ongoing subsidy will depend on the ownership structure, if the Hall itself breaks even. Structured parking presents a financial feasibility challenge. Structured parking has been unbundled from these developments and proposed as a public infrastructure investment to support first mover development. Without this provision, parking will be an additional cost to each of the buildings. The office and residential program will require subsidy, and the project team conservatively estimates that the retail space is likely to break even or may even require some subsidy once land costs are factored in. Sources of funding to close the feasibility gap for the residential, office and retail programs could include tax increment financing (TIF), or state and local programs, such as MAPS 4. The Innovation District is also located within a federal Opportunity Zone, which may unlock additional capital. Recent hotel, residential, and office deliveries and planned projects in Oklahoma City’s urban core have similarly received incentives and subsidies to enable financial feasibility, including $2.3 million for the new Heartland headquarters and other incentives associated with several apartments such as West Village or the LIFT. The Brookings study highlighted that fact that the district’s growth and employment opportunities have not been realized by neighboring communities and their residents. Poverty rates in the neighborhoods north and east of the district are persistently above 45 percent. Median household incomes in nearby neighborhoods are below $25,000, compared to over $50,000 for the region as a whole. Unemployment levels hover above 15 percent, nearly three times the metro rate. Racial and educational disparities are stark. While more than 75 percent of workers in the district are white and nearly 70 percent have some type of postsecondary education, over 70 percent of residents in the surrounding communities are African American and more than half have only a high school diploma or less. Among district workers, 77 percent of African Americans and 83 percent of Hispanics are employed in positions paying less than $3,333 per month, compared to just 50 percent of whites. Fewer than 300 of the roughly 7,500 residents older than 18 living in surrounding neighborhoods are employed within the district, suggesting a need to both better connect nearby residents to jobs for which they meet the qualifications and upskill those workers who do not. These disparities are exacerbated by a difficult history of redevelopment and urban renewal in the area. In efforts undertaken by the Oklahoma City Urban Renewal Authority (OCURA) in the 1960s, significant portions of African American communities were razed and replaced with what is now much of the Health Center and later, I-235. The legacy of these actions—both physically and socially—are still felt today. Surrounding neighborhoods are physically disconnected from the area, with superblocks, vast parking lots and closed-off private structures having replaced the former human-scale, walkable street grid. To the south of the district, a vibrant commercial corridor along 4th Street was demolished and remains largely vacant today. Residents have limited access to basic amenities such as grocery stores and open space. And the relationship between neighborhood groups and the Health Center has often been strained. The project team recommends several inclusive growth strategies to address these disparities and ensure that the growth and success of the Innovation District extends to and includes the surrounding neighborhoods and their residents. New development and investment in the Innovation District will add more residents, jobs, retail and dining, and will create a more walkable, engaging neighborhood setting. This is also the opportunity to stabilize and uplift existing neighborhoods within the district, provide better access to training and jobs for nearby residents, and offer dining, shopping, programming and public spaces that are appealing and welcoming to all. Based on a review of current programs in Oklahoma City and national best practices, the project team identified the following strategies to advance the above goals. Within each strategy, the project team identified tactics that could be implemented to support the growth and development of an inclusive district. Inclusive Growth Strategies Connect nearby residents with jobs in the district: - Specialized workforce development programs designed to train local residents for current and future jobs in the district - Centralized jobs portal listing jobs throughout the district Connect local businesses and vendors with anchor institutions in the district: - Support new and existing small businesses at the Henrietta B. Foster Center for Small Business and Entrepreneurship - Connect the local procurement agents at the anchor institutions in the Innovation District with small businesses in the area Develop and preserve affordable housing: - Partner with OCURA, Progress OKC, the City of OKC and others to build affordable housing in and near the Innovation District - Establish a Community Land Trust, which ensures long term housing affordability as property values rise Connect Nearby Residents with Jobs in the District Workforce Development Many of the local workforce could be trained quickly for several entry-level positions, thereby increasing the labor participation rate in the Innovation District among neighbors and filling the voids in job vacancies. Training could be imparted for job fields that do not require a 2-year or 4-year degree. A workforce development center could be set-up on campus to train for specific jobs. Additionally, supporting local schools through Science, Technology, Engineering, Art and Math (STEAM) programs, mentoring and internships are necessary to help build a long-term pipeline for businesses in the Innovation District. Support for Entry-Level Workers For entry-level workers, developers might offer incentives to tenants who provide their employees with access to professional development opportunities, or benefits packages to meet housing, healthcare, transportation, childcare and other needs. Alternatively, developers could preserve a portion of commercial or mixed-use developments to serve as space for co-located nonprofits to offer comprehensive support services onsite, including education and workforce training. Jobs Portal Create a centralized jobs portal listing job opportunities throughout the district. --- Develop and Preserve Affordable Housing Tools such as policies, investments and partnerships can prevent burdensome tax increases and the loss of naturally occurring affordable housing and support existing residents and businesses with reinvestment in their homes and businesses, ensuring that residents can participate in the growth of their neighborhoods. Strong Neighborhoods Initiative (SNI) SNI seeks to improve neighborhoods through physical, social and economic investments that will tip neighborhoods toward vitality and self-sufficiency. SNI is funded by the City of Oklahoma City and with Community Development Block Grant (CDBG) and HOME funds from the US Department of Housing and Urban Development (HUD). SNI has been implemented in several residential areas in and around the study area, providing residents with access to the Home Exterior Maintenance Program and Owner-Occupied Home Rehabilitation Program. Mixed-Income Housing Programs Create a comprehensive housing policy that supports ownership and rehabilitation of residential properties in the district by prioritizing and expanding programs such as the Homeownership Opportunity Program, Special Assistance for the Eligible (SAFE), and the Home Exterior Maintenance Program (HEMP). These programs are managed by the Housing and Community Development Division in the City of Oklahoma City’s Planning Department and funded by HUD. On occasion the City has vacant, single-family houses in need of rehabilitation. The Homeownership Opportunity Program allows qualified applicants to buy these vacant, single-family houses for the price of rehabilitation through low-interest loans. SAFE program is an owner-occupied home program that offers no-interest and sometimes forgivable loans for rehabilitation. Grants are available for lead-based paint problems. The HEMP program is designed to help eligible homeowners repair property maintenance issues that violate the City’s property maintenance codes. The expansion and targeted use of these existing programs could mitigate displacement risk and promote housing affordability. Community Land Trust Models Successful revitalization projects often result in a level of displacement due to rising market interests in the revitalized area and subsequent rapid land and home price escalation. Several cities have adopted workforce housing programs that create and preserve affordable housing, including efforts such as grants or no-interest loans to create the housing and housing land trusts to preserve it. Without mechanisms for building and preserving workforce housing, displacement may occur. Any new workforce housing programs should be coupled with a mechanism to ensure that housing remains affordable in perpetuity or for 99 years (depending on the model and options chosen). Oklahoma City’s growth is solid, and as the Innovation District succeeds, housing prices are likely to increase at a much more rapid rate than they have historically in and around the Innovation District. Already, the housing being built is selling or leasing for much higher prices than existing housing. It is for this reason that the project team recommends the Oklahoma City Urban Renewal Authority and community stakeholders explore options such as a community land trust to ensure that any housing built for various income targets (e.g. below 80 percent Median Family Income) be preserved at that income level. The community land trust model is an extremely attractive mechanism for maintaining and expanding the stock of affordable housing. Currently there are approximately 160 community land trusts operating in every region of the country. These community land trusts are nonprofit, community-based organizations whose mission is to provide affordable housing in perpetuity by owning land and leasing it to those who live in houses built on that land. In the classic community land trust model, membership is comprised of those who live in the leased housing (leaseholders), those who live in the targeted area (community members), and local representatives from government, funding agencies and the nonprofit sector (public interest). Land trust can be used for ownership or lease projects. A community land trust also includes a resale formula intended to balance the interests of present homeowners with the long-term goals of the community land trust to provide affordable housing for future homeowners. With this model, a homeowner can see an appreciation of their equity of approximately $2,500 per year but when the time comes to sell the house/condo, the unit is still at an affordable housing price relative to the year they buy it. Oklahoma has not yet used a community land trust to preserve housing. However, Oklahoma has the necessary legal tools to do so, and Oklahoma organizations have been using a land trust model for conservation for decades. A community land trust for housing would be a logical and desirable application. Inclusive Development Programs and Initiatives Property Tax Relief Tax abatements and property tax freezes can prevent or compensate for drastic increases in tax payments as market land values increase. The City should explore the possibility of a property tax freeze for lower-income legacy homeowners and commercial property owners who may experience an increase in annual property taxes. The program would protect lower-income homes and business owners that own their own property. Oklahoma offers several tax relief programs including a requirement that all locally assessed real property shall not increase by more than 3 percent limitation on Homestead properties and a 5 percent limitation on all other properties in any taxable year. TIF Allocations TIF District No. 11 (and potentially expanded to Districts “M” and “N,” once implemented) should set aside targeted allocations into its financing plan for affordable housing development, public art, small business support and incubation, and community and public services. The deployment of TIF funds could also incentivize the support of first source hiring and MWDBE capacity building programs, skills training programs, intern programs, workforce development and entrepreneurial support for new employment, in partnership with local education institutions and workforce development organizations. Affordability/Hiring Requirements Linked to City Incentives/TIF TIF should be both a funding tool and an accountability mechanism. This requires active oversight of TIF spending, measuring results and outcomes and employing clear clawback provisions to recover funds from projects that do not satisfy equity goals. TIF can achieve equitable development goals by attaching equity requirements, such as share of affordable and workforce housing units, local and Minority, Women, Disadvantaged Business Enterprise (MWDBE) hiring (construction and permanent), to funding. The use of TIF should strengthen development agreements to guarantee TIF-funded projects generate and maintain a certain number of locally hired full-time jobs. Inclusive Public Construction Projects Procurement and hiring practices within the district should set a new, inclusive standard that prioritizes residents and businesses and elevates MWDBE firms. The strategy has two approaches, the demand and supply sides of the procurement and hiring processes: Demand-Side Approaches: - Detailed and Frequent Communications: District entities should make all contract opportunities available to MWBDE businesses and community partners. By providing information on potential opportunities, interested businesses can plan and build capacity to be competitive applicants. Capacity building can be supported by the district organization as part of employment and workforce development efforts. - Incremental Contract opportunities: District entities should evaluate procurement needs, and where possible, break up larger contracts into phases and/or components that are more accessible for smaller MWDBE businesses. For contracts that require a prime firm to manage a full contract (e.g. master development), the district entities should require that applying firms partner with MWDBE businesses. Supply-Side Approaches: - Capacity Building: In partnership with training providers and business intermediaries, the district Organization should lead efforts to ensure that MWDBEs are prepared for procurement opportunities and are connected to the capital and technical assistance they need to qualify for procurement opportunities within the district. Economic Impact The Oklahoma City Innovation District will create impacts and economic benefits that reverberate throughout the city and county’s economy. These include: - direct impacts which can be attributed to the spending associated with businesses and activities directly within the project. - indirect impacts which are effects of spending businesses and activities that support those direct activities of the project, and - induced impacts which is the spending activities that result from increased household incomes due to the direct or indirect impacts. Additionally, impacts can be looked at via one-time impacts, which is spending and jobs created from the construction and development of the project, and permanent impacts, which is spending and jobs generated by the ongoing business and operations within the district once it’s developed. Given the proposed development within the Innovation District Core, the City can expect to see the following outcomes based on permanent direct, indirect, and induced impacts after full buildout. These are net new benefits coming into the Oklahoma City and Oklahoma County economy, as opposed to activity that would have taken place without the proposed development. $1.2 Billion annual economic impact This output is driven by the two activities measured in this analysis: employment and spending. While these activities generate different portions of the total output produced by the Innovation District, they are mutually supportive. For example, while resident and business travel spending might create only modest economic output by itself, residents and business travelers are essential to creating a vibrant, active, live-work-play atmosphere that will catalyze economic growth and attract new employers to the district. The estimated impact of the Innovation District is dependent on the collective and successful implementation of all these activities. Includes impacts of Phase 1A and Phase 1B only. All one-time and recurring impacts include direct, indirect and induced impacts. 6,600 permanent jobs created, with a total labor income of $423 Million These jobs are expected to conform to the local trends identified in three target growth sectors: 16 percent Engineering/R&D, 31 percent Data Sciences and 53 percent Pharma, Biotech, Medical Device, and Healthcare. Wages for these new jobs are likely to exceed the average wage of Oklahoma County jobs, specifically for those workers without a 4-year degree. In order for this benefit to be felt within the adjacent neighborhoods surrounding the Core, a program focused on connecting local residents to training and hiring for these jobs in the District should be implemented. The top five fields for neighboring workforce include healthcare, education, accommodation and food services, retail and administration and support staff. $8 Million in new annual spending by residents and visitors Residential and hotel uses comprise approximately one-quarter of the total development program in the Core. Assuming both uses reach target occupancy levels, HR&A Advisors estimated $2.1 million in potential household spending (from new residents) and $5.9 million in business traveler spending (from new visitors) annually. WAGES FOR THESE NEW JOBS ARE LIKELY TO EXCEED THE AVERAGE WAGE OF OKLAHOMA COUNTY JOBS, SPECIFICALLY FOR THOSE WORKERS WITHOUT A 4-YEAR DEGREE. PROJECTED WAGES FOR WORKERS WITHOUT A 4-YEAR DEGREE \| \| # JOBS \| WAGE/HR \| \|---------------------\|--------\|---------\| \| DATA SCIENCE \| 737 \| $22.83 \| \| ENGINEERING/R&D \| 366 \| $19.05 \| \| PHARMA, BIOTECH, MED DEVICE, HEALTH \| 1,237 \| $18.11 \| \| AVG. OF ALL JOBS IN OKLAHOMA COUNTY \| N/A \| $19.22 \| Analysis from HR&A Advisors assumes a phasing schedule of 2020-2025 for Phase 1A and 2025-2040 for Phase 1B. At full build out, excluding construction impacts, Phase 1A and 1B development is expected to create 6,600 permanent jobs. The annual labor income impact associated with these jobs is expected to be $423 million, which represents a sum of direct, indirect and induced impacts. $21 million in annual tax revenue from new personal income taxes, corporate profit taxes and sales tax. This does not include new property tax revenue due to increases property values, as this is accounted for in the TIF section, below. To note, this $21 million represents a significant increase in the current total net value of taxes in Oklahoma County, which was estimated to be $92 million in 2019. That is almost a 23 percent increase in current total taxes for Oklahoma County. $6.5 million in one-time tax revenue from construction activity $29-47 million in tax increment financing (TIF) revenue Publicly funded investments such as development subsidies, infrastructure upgrades, and parks and open space improvements often result in increased property values for private land owners. The idea of “value capture” aims to capture some of the tax revenue generated by these public investments and put it back into projects that benefit the community. Tax Increment Financing (TIF) is a tool commonly used in Oklahoma City to implement value capture within a specific place; there are currently three TIF districts operating within the study area. Additional Information on TIF Revenue The Phase 1 or first mover development could generate up to $15 million in TIF revenues and on average, would generate close to $820,000 annually. According to the project team’s development feasibility analysis, the Phase 1 program will have a potential financial feasibility gap of about $5.7-$6.2 million. So, depending on land costs and the funding source for the parking structure, the $15 million increment would cover that feasibility gap and potentially fund additional operational costs related to the Innovation Hall and the Innovation District, as well as public realm improvements, workforce development or entrepreneurship programs. Since the development scenario for the full build out of the Innovation District Core could overlap with three different TIF districts with three different expiration dates, the TIF revenues will vary depending on where development happens first and for the number of years the revenue can be captured by the district before the TIF expires. Depending on these variables, the TIF revenue potential could range from $14 to $32 million, in addition to the $15 million generated by Phase 1 development. To capture the greatest potential, TIF district boundaries and expiration dates should be reconsidered to allow flexibility for the development and phasing priorities of the Innovation District Strategic Development Plan. The Culture Innovation District as an ecosystem to cultivate, curate and convene. The dynamic interaction and innovative ecosystem that cultivates entrepreneurial activities and networking assets, such as knowledge and creativity. Culture Analysis The Oklahoma City Innovation District organization serves as the unifying initiative around innovation growth for the region. Per its certificate of incorporation, the Innovation District organization is explicitly tasked with “creating ways for community and industry participants to pool resources and know-how to advance economic growth” and “coordinating efforts of research institutions, businesses, philanthropy and the public sector to rejuvenate local and regional capacity for nurturing entrepreneurs.” The Oklahoma City Innovation District will serve as the curator and convener to facilitate and cultivate the innovation ecosystem. The organization helps focus and accelerate the growth of the region’s core competencies through agglomeration of skilled talent, infrastructure and innovative activity, along with establishing an innovation ecosystem for the region that allows these strengths to exponentially multiply through specific culture and space making recommendations that engender collision between diverse professions. To assist the Oklahoma City Innovation District Organization in developing new programs and investments that foster inclusive growth, this section presents the project team’s culture and ecosystem recommendations. These are informed by the ecosystem and workforce analysis conducted. Innovation Ecosystem Analysis The project team conducted an innovation ecosystem analysis to identify where the Oklahoma City Innovation District should focus investment and activity to drive long term growth and leverage its existing innovation assets. In today’s global economy where knowledge and innovation are the driving forces for economic competitiveness, the opportunity set of technologies that research and development (R&D) capabilities can make available is often large and made up of complex interactions. A key challenge facing cities and their surrounding metropolitan area regions is to identify specific areas of excellence across university, industry and federal lab R&D activities, in order to build specialized areas of expertise in technology commercialization and innovation-led development. The Brookings study notes that understanding and leveraging the region’s portfolio of core competencies is critical to the long term success of the city’s competitive position. Specifically, the report points out that “two of the region’s largest economic clusters—energy and health care—are undergoing substantial disruption” which necessitates a shift towards new strategic thinking around cross-cutting, underlying core competencies rather than siloed clusters. This analysis builds upon this initial work from the Brookings Study with a deeper assessment of the region’s core competencies and alignment of its industry, university and federal lab activities in advancing market-driven opportunities for growth. The first step was to conduct a line-of-sight analysis to determine where the OKC Innovation District has real, differentiating potential. - Specialized industries - High employment industries - Workforce supply and demand - Key industry facilities and operations - IP generation trends - Research activity themes and awards - Centers of research excellence - Emerging companies and investment - Technology deployment Key Findings • Innovation ecosystem currently relies on presence of key assets to anchor activity and capabilities • Research and innovation activity is centered around a limited number of key themes in very applied, operations-driven markets and technologies • Venture capital in OKC is outpacing the US in early stages overall, with life sciences and IT dominating other areas of funding—reflects activities of i2E and other entrepreneurial support initiatives • Other grants and awards indicative of technology transfer and emerging companies tend to be focused in either medical devices and diagnostics or aerospace and defense The OKC region is in a state of transition that presents an opportunity for the Innovation District to play a key role in driving growth. - Large, legacy industries focused on production and support services that are transitioning to new digital operations models - Initial activity showing interest in cross-cutting potential of different research and innovation activities occurring in the OKC region - Demand for areas of focus and key innovation “nodes” to generate critical mass to break out of traditionally siloed innovation ecosystem OKC—a region positioned for growth LARGE, LEGACY INDUSTRIES IN TRANSITION CROSS-CUTTING POTENTIAL CRITICAL MASS OF INNOVATION “NODES” Key strengths in production, business support industries and healthcare that have large employment and operations footprints: AEROSPACE BUSINESS SERVICES HEALTHCARE OIL + GAS SPECIALIZED MFG Emerging industry clusters showing growth, but not yet displaying critical mass: FINANCIAL SERVICES INFORMATION TECHNOLOGY LIFE SCIENCES MARKETING + DESIGN Platforms for Growth For the Innovation District to best collectively leverage existing assets and develop a more robust regional ecosystem, there is a need for growth platforms that can drive focused investments needed to foster the transition to a modern innovation ecosystem as well as support crosscutting capabilities that serve the needs of multiple industries and organizations. Based on the line of sight to market, four key areas emerge that represent growth opportunities for the Innovation District to leverage. Rather than siloed areas that each serve a limited set of industries, the graphic below outlines a complementary set of opportunity areas whose strengths in turn reinforce other opportunities. The hierarchical organization of these opportunities reflects the critical skill sets and knowledge bases that are foundational to modern business, beginning with analytics solutions for applied use in downstream applications across other opportunity areas and industries, as well as connected hardware and devices that serve a variety of downstream advanced industries. Implications for the Oklahoma City Innovation District The Innovation District can play a central role in establishing a hub of innovative activity as well as a natural landing spot for placemaking facilities and initiatives. Each key area has implications for the Oklahoma City Innovation District that are further outlined in the recommendations. Embedded Analytics Solutions - Innovation District can position itself as “place” for industry access to realize significant growth - Need for spaces and organizational structures to bring together analytics community - Additional talent programming in applied areas Integrated Sensors & Instrumentation - Facilities and ecosystem investment by Innovation District could position it as regional hub - Signature placemaking collaboration/innovation facility likely needed - Innovation District can help with build out of entrepreneurial “front end” and “landing spots” to complement anchor industry presence Energy Tech - Presence in Innovation District currently anchored by signature facility, but need to attract further investment and attention - Significant opportunity to bolster talent pipelines for energy through other platform area efforts - Explore ways to centralize energy startup activity in Innovation District to meet need for “outsourced” R&D Clinical Care and Biomedical Diagnostics Development - Need for Innovation District-led initiatives, coordination and branding that support team science models - Explore the need for new facilities to meet growing demand for wet lab space and biotech GMP volume - Potential recruitment of additional biomedical supply chain and support industries - Opportunities to expand innovation focus further into digital health Culture Recommendations The following recommendations should be used to guide the parties responsible for implementation through defining programs, setting priorities, allocating finances and assessing achievements. Company Recruitment To pursue ongoing targeted recruitment of small and mid-size companies to be in alignment with industry and innovation areas, attraction and recruitment should be particularly focused around corporate R&D operations and innovative support services offerings in particular segments that support target opportunity areas and fill gaps in translational research and commercialization pipelines. Examples might include: - Branch location for major health IT product company to help support advancement of OUHSC clinical trials and bioinformatics build-out efforts (example given of Intel’s role in Oregon) - Mid-size sensing, industrial automation and energy support systems companies focused on providing products and services to large energy, manufacturing and aerospace enterprise companies - Emerging data analytics companies focused on deployment of support services products, build out cohort of companies similar to Exaptive, Oseberg, etc. with critical need to establish value proposition of District location for offices versus OKC suburbs with incentives and presence of community of companies - Biomedical startup companies focused on diagnostics and therapeutics that can leverage multi-tenant wet lab space Buy-local Procurement While there is a focus on “buying local” in many Innovation District’s planning efforts, obtaining the data among the many entities/businesses in the Innovation District and Capitol has been challenging and ultimately unattainable. Some Innovation Districts do establish a 5–20 percent local vendor-sourced target. This could be a very large boost to the local economy should the leaders of these main industries make it a priority to establish a benchmark of current local purchasing. If this effort were to include the Capitol Complex, the potential local spending would have a large impact. Sensor Systems Applied Research Lab Targeting Energy Tech, Biomedical Diagnostics and Avionics Create an applied research facility for prototyping, testing and validation of sensing and instrumentation technologies and solutions. While industry and research institutions are unlikely to relocate production and operations to the district, they are receptive to locating R&D groups as part of a cluster of applied innovation that can also provide access to emerging companies. This facility would ideally offer space for small companies as well as small group office locations for large corporations and help create access to a broader network of industry and research organization infrastructure for specialized equipment and fabrication infrastructure that support sensing and instrumentation technology commercialization. It would also be available to promising entrepreneurial teams accepted into the Sensor Systems Accelerator. Collaborate with OU, especially as it seeks a build out with a growing presence for the Gallogly College of Engineering in the OKC Innovation District, including its Institute for Biomedical Engineering, Science and Technology. Such an Applied Research Lab would hold the potential for creating more applied research collaborations with industry for the Gallogly College of Engineering building upon its sensing and instrumentation strengths found across its research centers, such as the Advanced Radar Research Center and Center for Autonomous Sensing and Sampling, among others. Additional collaborations with potential local and regional research organization partners such as FAA’s CAMI could also be explored. To further industry collaborations, a valuable tool would be to have available a dedicated pool of funding each year for matching applied research grants. Sensor Systems Accelerator Targeting Energy Tech, Biomedical Diagnostics and Avionics To realize the potential for the OKC Innovation District to pursue the opportunity area of Integrated Sensors and Instrumentation, it is critical to have a means of generating a sustainable flow of startup activity that can contribute to leading industry innovation sectors found in the OKC region, including Energy Tech, Biomedical Diagnostics, Avionics and Specialized Manufacturing Supply Chain. A high quality Sensor Systems Accelerator encompasses far more than just a physical space, although the physical hub ideally would be located within the Innovation Hall Building. The Sensor Systems Accelerator would focus on attracting promising entrepreneurial teams from the region, around the U.S. and even internationally to come to the OKC Innovation District aligned with market applications in sensor technologies across key industry verticals. It would focus on having three different cohort classes of 5-10 companies each year in Energy Tech Biomedical Diagnostics and Avionics with an emphasis on advanced manufacturing applications related to each sector. The key activities of the Sensor Systems Accelerator would be to provide the platform for these promising entrepreneurial teams to do customer discovery and business model development integrated with prototyping capabilities from the Applied Research Lab (discussed separately). A key to attracting these promising entrepreneurial teams is tapping support and involvement from existing industry in OKC in each of these sectors to serve as mentors and potential strategic partners, having on-staff proven serial entrepreneurs from each sector to lead sector-specific cohorts of promising entrepreneurial teams as the primary coach and availability of seed investment of $30,000 to $50,000. Data Analytics and Computing Talent Initiative The significant talent supply needs for data analytics and computing could benefit from additional programming for non-traditional students, incumbent workers and undergraduate and graduate students in data analytics and computing, ranging from new degree program specializations to certification courses to workforce retraining and skills building. Through interaction with academic and workforce development organizations, the district can seek to create strategic partnerships to host or sponsor a critical mass of these activities that can help strengthen its placemaking ability. The district can also explore sponsorship of talent-building initiatives in data analytics and coding to help attract top talent to the area to build out professional networks based there. An excellent example would be to have the OKC Innovation District help attract or form a coding academy that could be located within either the Hub or Core. An excellent example is Launchcode in St. Louis, which has a strong track record in assisting jobseekers to enter careers in tech through integrated training, apprenticeships, career coaching and job placement services. More than four out of five of its apprentices are converted to permanent employment after 3 months and, on average, those placed more than double their previous salary. Another mechanism would be to advance a data analytics and computing talent bridge internship matching grant program to reach up to 25-50 top associate, bachelor’s, master’s and doctorate level students in data analytics and computing to have year-long and summer internships with Innovation District employers. Experience from around the nation suggests the use of internship matching grants can be effective, though having a high-touch program effort involving outreach, facilitation and programming for interns is also valuable. Data Analytics Collaboratory Create a co-working and multi-tenant space within the OKC Innovation District targeted to this area in the Innovation Hall Building within the Hub. This could be programmed for networking, seminars and talent generation, potentially in collaboration with the Digital Technologies team at the Gene Rainbolt Graduate School of Business and the Data Science and Analytics Program at the Gallogly College of Engineering. However, a more intensive effort is also recommended to jump start the generation of applications to meet short term industry demand for solutions. Given the strong interest of established business community in OKC and the importance of connecting emerging data analytics ventures forming in OKC with larger companies, it is important to create a multi-industry partner collaboratory organization to promote cross-pollination of analytics approaches and case studies that could be adapted for use in adjacent or new industry applications. An excellent example of this type of activity is the Columbus (Ohio) Collaboratory for Advanced Analytics and Cybersecurity Solutions. It brings together leading companies in seven different industries that deliver business value through advanced analytics and cybersecurity to harness the power of sharing use cases, intellectual property, know-how and resources to accelerate solution development. Its activities include: Working Groups: IT, cybersecurity and analytics experts across companies and industries work together to assess applicability, business value and strategic value to ideas and plans. Technology Development & Validation: Implementing a “define, build, and learn cycle,” participants in the Collaboratory secure IP development and validation facility. Talent Solutions: The Collaboratory strengthens the region’s IT and analytics workforces through opportunities for its participating organizations to advance experiential learning opportunities, cyber rotational program featuring a 20-month talent acceleration program for junior cybersecurity professionals and a peer-to-peer knowledge transfer network. Industry Networking Activate networking to create a sense of place in the context of the leading industry innovation drivers for the region, including Biomedical, Energy Tech, Avionics and Specialized Manufacturing Supply Chain. A key lesson in regions that have successfully had industry innovation-led development, whether they are Silicon Valley, Route 128, Research Triangle, or others, is the establishment of formal mechanisms to encourage networking among academe, industry, non-profit, and public sector groups and organizations. As Annalee Saxenian has noted in the rise of regions with strong industry innovation-led development: “For these older industrial regions, the task will be to construct more decentralized industrial systems that encourage collaboration as well as competition. But even the newer industrial regions that boast elements of network systems will need to promote the local relationships needed to sustain collaborative—and competitive—advantage.” Facilitate and support industry innovation-led networking and shared services development building upon the technology convergence areas of sensor systems and data analytics. It is important for this function to happen in the OKC Innovation District, given the range of physical and program developments taking place. In order to give this effort visibility, recommendations to be advanced would be: - Continue the symposium series being undertaken in OKC, which has largely been undertaken through the efforts of corporate leaders. - Undertake proactive outreach and dialogue with companies and other key stakeholders (university research centers, specific departments in colleges offering degrees, professional service providers, etc.) Create an ongoing business visitation program for those in biomedical, energy tech and avionics to focus on needs and services to help in planning monthly or quarterly discussions on topics of interest and identifying specific projects for the OKC Innovation District and its regional economic partners to undertake related to shared services. Such shared services might include needs for technical assistance on modernization, access to university experts and labs, workforce development and more applied research efforts. - Generating leads based on identifying out-of-county supply-chain and strategic partners of existing county firms who are seeking to expand or make a business location decisions through contact with the participants in the industry innovation activities. - Facilitate opportunities for informal social gatherings to encourage non-industry specific networking. Neighborhood Engagement Direct engagement with community members can promote development that is more responsive to existing neighborhood conditions and people who may be affected by the project, including those who live and work in the district. Continuing engagement activities would allow the district and potential private and public developers to respond to input, revise the projects and remain accountable to the concerns and needs of the community. Regular engagement with the community creates a feedback loop to help to establish mutual trust. --- 1 Annalee Saxenian, Regional Advantage (Cambridge: Harvard University Press, 1994), pg. 205. School STEAM Partnerships The OKC Innovation District has initiated efforts around School STEAM Partnerships, which are critical first steps. In partnership with educational entities and other local institutions, education and training opportunities for residents should be aligned to connect them with hiring opportunities within the District. This will help to ensure that the training and workforce development programs support career advancement for area residents in current and new industries in the District. The Oklahoma City Innovation District could serve as the liaison between the residents and local institutions, overseeing the program and ensuring that the programs are targeted to support diverse, local and disadvantaged groups within the District. The focus should be on grades 6-12 but should also involve pre-K and K-5. The Innovation District employees could establish mentor programs, science-based competitions and similar efforts to begin teaching the employees of the future what careers exist just outside the neighborhood in the Innovation District and stress the importance of Science, Technology, Math and Arts to obtaining a job in the Innovation District. Redevelop the Henrietta B. Foster Center as a Minority Small Business and Entrepreneurship Center The redeveloped Henrietta B. Foster Center should continue to be a place of importance with a new mission to support current and aspiring local businesses to bring prosperity and redevelopment. The Henrietta B. Foster Center converted into a Minority Small Business and Entrepreneurship Center, should provide wealth building opportunities for community members while giving new life to a building with historic significance to the community. A feasibility study should be conducted to determine the exact programming based on community needs and opportunities. Place Branding Place branding, which includes things like wayfinding and signage, public art programs and beautification, should make it clear that this is a unique place and celebrates the mission and vision of the Innovation District. However, the place brand should not simply be the Innovation District organization’s brand applied to the exterior spaces nor should it be obviously reflective of any one stakeholder, tenant or organization within the district, as the open spaces and public realm wants to feel welcoming, neutral, cohesive and unifying for all users. The story that the OKC Innovation District tells through its built environment should sell the district but also the values and lifestyle of Oklahoma City as a whole. This exercise should result in a cohesive brand for the place that can manifest in both marketing collateral and environmental elements and feels organic to the place, not too kitschy or overly thematic. One item to consider is the naming of new spaces and buildings; these are unique opportunities to implement place branding. Open Space Programming Recurring and diverse programming in existing and newly created open spaces can bring activity and experiences that serve a broad range of potential visitors. Well-programmed open spaces provide diverse events (e.g. musical performances, food festivals), activities (e.g. sports leagues, exercise classes, reading areas, rotating food vendors), and programs (e.g. environmental education, volunteer opportunities) that attract activity throughout the day and all seasons. Programming in the Innovation Hall Programming activities in the Innovation Hall building will bring activities, experiences, and programs curated to serve a broad range of potential visitors. High levels of activation can bring people together, foster community and allow neighbors to engage in cultural and recreational events. This could include job trainings and workshops, as well as family and senior-oriented events during the weekends, that activate the Hall and the adjacent open space seven days a week. 04. Strategic Development Plan for the Capitol Environs Contents Plan Overview ................................................................. 150 Civic Icon Analysis ......................................................... 152 Development Framework ................................................. 156 Projects and Phasing ....................................................... 162 Next Steps .................................................................. 169 Oklahoma City’s Central Business District has seen the bulk of economic and real estate development in the city. However, with Oklahoma City garnering accolades as an affordable city with a high quality of life, demand has started to spread to other areas of the metro. Just east of I-235 from the Central Business District is an area that has historically been the home of major institutions, such as the University of Oklahoma Health Sciences Center and the Oklahoma State Capitol, interspersed with residential neighborhoods. Roughly between 1st Street and 13th Street, significant mixed-use and commercial development is expected to be coming soon related to the Oklahoma City Innovation District, where several major research, medical and educational institutions geographically converge in a place that will foster collaboration around research-related industries. This area is developing into a regional center of gravity for innovation and is expected to be a significant driver of economic growth for the region. This means that the area surrounding the Oklahoma State Capitol along 23rd Street will be seeing development pressures from the west and south. The Capitol Environ is a vital asset to the growth and vitality of this part of the city and underutilized areas present a major opportunity to cluster existing state facilities and maximize the use of state-owned land, while building new monumental office buildings, pedestrian-friendly retail spaces and tourism destinations that celebrate the seat of the state government. The Strategic Development Plan for the Capitol Environ presents analysis and key findings followed by recommendations with suggested actions steps. These recommendations should guide the parties responsible for implementation through defining programs, setting priorities, allocating finances and assessing achievements. The Oklahoma State Capitol from 24th Street. History and Context Oklahoma City became the seat of government for the State of Oklahoma in 1910, chosen to replace the original capital location of Guthrie. This is the same year that the OU Medical School was established in its current location southeast of the Capitol. Land was donated by local landowners William Harn and John Culbertson for use as the State Capitol grounds in 1917 and the Capitol building was completed in the early 1920s. Due to lack of funding, the dome would not be constructed until the early 2000s. The Governor’s Mansion was built in its current location a few blocks east of the Capitol in 1928, with the Historical Society building (now the Wiley Post Historical Building) and the Capitol Office Building (now the Jim Thorpe Office Building) being constructed just south of the Capitol in 1930 and 1938, respectively. The two office buildings north of the Capitol, the Will Rogers and Sequoyah Memorial office buildings, were built in 1960. Finally, in 1968, the two curvilinear buildings north of 24th Street, the State Department of Education (now the Oliver Hodge Memorial Education Building) and the Oklahoma Tax Commission building, were constructed. Over the years, there have been many plans done for the land surrounding the Capitol, mostly relating to beautification of the grounds as well as opportunities for development around a proposed Capitol Expressway, now Lincoln Boulevard. Evolution of planning for the Oklahoma State Capitol environs, in order from left to right, top to bottom: 1915, 1936, 1954 (also the creation of the zoning commission), 1966, 1969 and 1974. Note the connectivity of the street network prior to the creation of the curvature in Lincoln Boulevard. Civic Icon Analysis The land surrounding a Capitol building is hallowed and sacred and should exude as much via its physical form. Capitol environs are unique places and therefore have some specific requirements that other land development plans would not. To analyze these, a Civic Icon Analysis was done to look at the Oklahoma State Capitol environs’ access, commons and program. Comparison of Civic Environ Access Access is about connecting civic spaces around the Capitol to the community. The land in and around the Capitol environs should be for the people, and therefore must feel open and welcoming to the public. Equitable access requires physical connectivity via mobility and transportation options that allow people to get to the site in the first place. Then it is important to have a great arrival experience. It does not have to be overly showy but must let visitors know that they have arrived somewhere special and should showcase the vernacular of the local culture. Currently, the Capitol environs are surrounded and bisected by the major thoroughfares of Lincoln Boulevard and 23rd Street, which in their current states are not friendly to anything besides vehicular traffic. The traffic, except for state employees, tends to be pass-through—meaning people are driving through the area but are not stopping to visit or patronize the businesses. Another concern is the lack of connectivity to the activity, amenities and people west of I-235. There are few locations to cross the highway and where crossings do exist, they are uncomfortable and unsafe for pedestrians and bicycles. The sense of arrival today—from all directions—is generally a view across large parking lots, which diminishes the grandeur of the Capitol building. Oklahoma State Capitol Area Oklahoma City, OK California State Capitol Area Sacramento, CA Activity and access comparison: Strava data compares the activity around the Oklahoma and California Capitol environs. The brighter the street, the higher the volume of traffic from non-vehicular modes. As you can see, the streets around the Capitol in Sacramento are full of people, while the activity is sparse around the Oklahoma Capitol Building. Commons Upon arrival, visitors should feel a sense of pride and ownership of the common spaces within the Capitol environs. These spaces should be memorable. They should be what people picture when they imagine the State Capitol: a place where the local art is displayed, educational opportunities are provided and visibility of the state’s history, culture and value is enhanced. These commons are also the spaces where citizens can participate in the democratic process via gathering in support or protest. Open spaces around a Capitol building also allow specific views to be guided and focused on the monumental civic buildings, giving those added gravitas and splendor. The Capitol environs has a good amount of open spaces and some special monuments, but they are cut off from the community by parking lots and inward-facing buildings and are not celebrated as much as they could be. Oklahoma State Capitol Area Oklahoma City, OK 33 acres of open space 21 acres of parking 1.5 : 1 open space to parking ratio Colorado State Capitol Area Denver, CO 31 acres of open space 5 acres of parking 6.2 : 1 open space to parking ratio Comparison of Open Space: A comparison of the Capitol environs in Oklahoma and Colorado. These two complexes have almost the same amount of open space, but the Colorado Capitol’s spaces are surrounded by local city streets and buildings, while Oklahoma’s Capitol is walled off by parking lots and highway-type roadway infrastructure. Program Beloved spaces are generally not those that are the most beautiful, rather they are the ones that are the most used. An important aspect to any great space is the programming—the events and activities that draw people in and keep them around. This includes intentionally hosting community events and gatherings in the spaces as well as ensuring the surrounding building uses and nearby developments provide activation for the spaces. Festivals and similar events provide a great way to bring the community together to celebrate shared history and shared values. The spaces of the Capitol environs today are mostly void of activity, used mostly by employees to walk between buildings. Comparison of land uses around civic icons: Looking within a half-mile of the Capitol buildings of Oklahoma and Texas, there is a stark difference in the quantity, types and diversity of land uses. A mixed-use environment ensures that there is a good density of people to support commercial uses and keep a place activated throughout the day, including nights and weekends. Development Framework This Strategic Development Plan demonstrates how infrastructure and development could happen in and around the Capitol environs so as to use the land in a highly efficient way, create a comfortable and accessible environment for people and is highly beneficial to the surrounding community. Recommended infrastructure changes focus on creating connectivity and improving the open spaces around the Capitol building. Bringing 24th and 21st streets through the Capitol environs provides additional east-west connections to both draw people into the core of the Capitol environs and to allow people in neighborhoods to the east better access to amenities and services to the west. The newly created or redesigned open spaces provide a more monumental sense for the Capitol environs and provide more appealing spaces for people to visit and spend time. Proposed development includes three categories: • Civic buildings that will generally serve the state’s needs are clustered nearest to the Capitol to provide proximity of uses and enclosure to the open space, creating a true Capitol environs feel. • Mixed-use buildings with ground-floor commercial uses are located along 23rd Street, providing continuity between the commercial activity on the other side of I-235 and the neighborhood serving commercial along 23rd Street east of the Capitol. • The remainder of the land could infill with general urban uses that are context-sensitive and provide a buffer between the Capitol environs and existing neighborhoods. These uses might include offices catering to organizations and businesses that benefit from being near the Capitol, general mixed-use buildings or new housing developments. Context and Existing Uses Analysis of the land around the Capitol began with identifying existing signature buildings that were required to remain based on functional or historic importance, valuable aesthetic qualities or recent investment. These buildings are highlighted in purple in the map to the right. Other important assets in the area were noted, such as the Governor’s Mansion, the new Oklahoma History Museum and the Harn Homestead, as well as the existing neighborhoods, which are stable communities with many historic homes. Finally, as with many parts of the city, this area is pocked with oil and gas wells, including the cherished and prominent Petunia oil well directly in front of the Capitol building to the south. Petunia, originally called Capitol Site #1 Well, was drilled in 1941 and recovered oil from a pool directly under the Capitol building itself. After locating the existing assets and constraints, they were overlaid with target parcels that had been identified for proposed development. Target parcels include those that are owned by the state (shown in blue), as well as a few privately owned parcels along 23rd Street (shown in green), which are essential in creating connectivity to the west. Development on these parcels will have to be somewhat surgical, given the many existing buildings to work around. The concept plan lays out new buildings and parking structures to fit in with the existing buildings and create a public realm that feels harmonious with and inclusive of both new and existing buildings. Proposed Capitol Environ CAPITOL QUAD NORTH CAPITOL QUAD SOUTH CAPITOL COMMONS PROPOSED BUILDINGS EXISTING BUILDINGS PROPOSED PARKING STRUCTURES LINCOLN MEDIAN PARK Proposed Development Types The accompanying Land Use Plan outlines development typologies for the entire 1400-acre study area. Proposed development falls within these categories: - Special Destination: This area provides the state the opportunity to cluster existing and new state facilities to maximize the use of state-owned land, and create new monumental office buildings, pedestrian-friendly retail spaces and tourism destinations that celebrate the gravitas of the Capitol environs and creates a conglomeration of destinations within walking distance of each other. - Commercial Corridor: These are “main street” environments outside of core downtown areas that offer centrally located retail and dining destinations for both visitors and residents. Ground floors are primarily used for retail, dining, entertainment or service businesses with residential, office or hospitality. This development typology provides continuity between the commercial activity on the other side of the highway and the neighborhood serving commercial along 23rd Street east of the Capitol. - General Urban: The remainder of the land could infill with general urban uses, which include a wide variety of building types that are context-sensitive and provide a transition between the higher intensity Capitol environs or commercial corridor and existing neighborhoods. These uses might include offices catering to organizations and businesses that benefit from being near the Capitol, general mixed-use buildings or new housing developments with ground-floor commercial in some cases, but not clustered as in the commercial corridor. The state should look to confine its uses to the special destination development areas and may choose to sell or land-lease the parcels slated for commercial or general urban uses to other parties to develop. Development Potential The number of target parcels within the Capitol environs is quite high, given the underutilization of the land in the area, with many surface parking lots and single-story industrial buildings. The development potential within these parcels provides opportunity for a total of approximately 7.4 million square feet of development. There is approximately 2.7 million square feet of development potential within the special district designation; 1.15 million square feet of that is located interior to the Lincoln Boulevard loop or within the main capitol grounds. There have been about 750k square feet of dispersed state functions identified for potential consolidation and relocation to this Capitol environs area, leaving another 400k square feet for future growth of state facilities just within the main capitol grounds (interior to Lincoln Boulevard). The remaining approximately 5 million square feet of development potential is located within the commercial corridor or general urban typologies and could be privately developed with office, residential, retail or mixed-use buildings. This development potential was calculated assuming an average of five-story buildings with all parking provided in garages. Development of shorter buildings or buildings with associated surface parking would yield lower square footages for potential development. \| RECOMMENDED USES \| \| \|---------------------------\|---------\| \| Civic Uses \| 2,700,000 SF \| \| Commercial Corridor \| 1,100,000 SF \| \| General Urban \| 3,600,000 SF \| \| Total \| 7,400,000 SF \| Parking Supply Considerations The tables to the right show the modeled parking demand and the modeled parking need for each phase of Capital Environ’s development based on the shared parking model described in the Land Use Plan. The step-by-step modeling process is as follows: 1. Traditional Parking Demand Model: Calculate and compare how much parking would be “required” if each existing land use had its own, dedicated supply of parking based on the ITE Parking Generation guidebook. 2. Calibrate Parking Model to Context: Calibration involves approximating the captive market effect, transit access, TDM impact, and other factors specific to the site. 3. Adapted Parking Model: Apply an adapted parking model derived from the ULI Shared Parking Manual to show the expected parking demand throughout the course of an average weekday, adjusted for staggered peaks and internal capture. 4. Anticipated Land Use: Add anticipated development scenarios and model the expected parking demand. The estimated peak demand is based upon the characteristics of the scheduled program. The total supply recommended is a calculation that adds a 10% buffer capacity estimated peak demand to the demand figure. \| DEVELOPMENT BUILD-OUT BY PHASE \| ESTIMATED PEAK DEMAND \| BUFFER CAPACITY \| TOTAL SUPPLY RECOMMENDED \| \|--------------------------------\|------------------------\|-----------------\|--------------------------\| \| Phase 1 Civic Uses \| 1,536 \| 154 \| 1,690 \| \| Phase 2 Civic Uses \| 1,185 \| 118 \| 1,303 \| \| General Urban \| 5,317 \| 532 \| 5,849 \| \| Commercial Corridor \| 1,133 \| 113 \| 1,246 \| \| Total parking required \| 9,171 \| 917 \| 10,088 \| \| PARKING PROVIDED \| TOTAL PARKING SPACES PROVIDED \| TOTAL AREA OF STRUCTURED PARKING \| \|------------------\|-------------------------------\|----------------------------------\| \| Structured Parking \| 10,167 \| 3,558,313 GSF \| Important note, the tables above only include proposed development and proposed new structured parking spaces. This table does not factor proposed or existing surface parking. Projects and Phasing Recommendations for specific infrastructure projects and development phasing for the Capitol environs. Near Term Infrastructure The first phase of investment focuses on infrastructure upgrades, including the following projects: 1. Reconnecting the street grid with 21st and 24th streets. 2. Building an initial parking structure. 3. Upgrading the streetscapes along Lincoln Boulevard and 23rd Street. 4. Enhancing the open spaces within the Lincoln median and surrounding the Capitol building. 1. Reconnecting the Street Grid Currently, 21st and 24th streets physically exist in both the Capitol area and the adjacent neighborhoods but do not continue through at Lincoln Boulevard, disconnecting these two areas. Rebuilding the intersections of 21st Streets and 24th Streets at Lincoln Boulevard and allowing these streets to continue through the Capitol environs provides much-needed east/west connectivity in the area. These intersections also allow for vehicles, pedestrians and bicycles to cross Lincoln Boulevard at designated and safe locations. Additionally, this will enhance wayfinding and access around the Capitol complex by eliminating the need for the current inner-ring access roads between Lincoln Boulevard and the existing surface parking lots, as these lots could be accessed off 24th Street rather than directly off Lincoln Boulevard. In order to make the reconfiguration of these intersections work, some existing side streets will need to be closed—including the portion of Lindsay Avenue between 24th Street and 25th Street, the portion of Stiles Avenue from 26th Street to Madison Street, and the portion of Madison Street from Stiles Avenue to Walnut Avenue. These portions of roadway suggested for removal are acting as a sort of frontage road to Lincoln Boulevard and do not provide much connectivity, so the overall trade off of closing these streets to allow the continuation of 21st Street and 24th Street is net positive. To the extent that these streets recommended for closure provide access to buildings or parking lots, this access can remain, but will function as access drives rather than public rights-of-way. Then, as these parcels redevelop, new buildings can be accessed from the new street network. 2. Parking Structure A new parking garage southeast of the Capitol, in the existing surface parking lots west of the Governor’s Mansion, would provide additional parking and allow for new development to begin on some of the existing surface lots. This location already has tunnel access to the Capitol environs, so no new infrastructure would be necessary in the near term to get people across Lincoln Boulevard. 3. Streetscape Upgrades Lincoln Boulevard and 23rd Street are two major regional connections to and from the Capitol environs. Upgrading these corridors to be more accessible, safe and pleasant for modes of transportation other than vehicles, such as pedestrians and cyclists, is imperative to connecting the Capitol environs to the activity and assets west of I-235, such as the Uptown 23rd District as well as to new activity happening as part of the Innovation District and other mixed-use and retail redevelopments to the south and east, such as the East End Commercial District. With upgrades to the highway crossings being recommended at 10th Street and 8th Street as part of the Innovation District, a better streetscape along Lincoln Boulevard would allow employees, visitors and residents of the Capitol environs to more easily get to these new crossings that connect them more directly to the important residential, employment and entertainment districts of Deep Deuce, downtown and Bricktown. Street sections for these two roadways as well as transit and mobility recommendations for further connectivity can be found in the Land Use Plan. 4. Enhancing Open Spaces Enhancing the open spaces around the Capitol building and within the Lincoln median would create the civic space and aesthetic quality that is expected of State Capitols. A previous design for the plaza was viewed by voters as too opulent and expensive to undertake when so many areas of the state government are underfunded. The concepts here strive to strike a balance between creating beautiful spaces that bring reverence to the Capitol grounds, being cognizant of efficient and conservative uses of funds and highlighting the historic and cultural assets in and around the Capitol building. Proposed Capitol Commons The area directly around the Capitol building is currently engulfed by surface parking, diminishing the impact of any current landscaping areas. The proposed concept removes most of the surface parking, leaving a small amount for priority and handicapped parking, and replaces it with multipurpose lawns and paved areas that allow for a variety of activities and gatherings. In addition, formal plazas and planting beds celebrate the north, south, east and west axes created by the Capitol building and a pedestrian promenade encircles the site, allowing visitors to admire the building from all angles. Parking should be removed from the Capitol's most prominent areas and replaced by public open space. State Capitol Park The proposed State Capitol Park creates a landscaped park and grand arrival approaching the Capitol from the south. Currently, this area is partially park space, but is cut off from the Capitol and neighborhoods by surface parking lots and is inaccessible due to the character of Lincoln Boulevard, rendering it mostly unused. The new concept removes some of the street crossings to de-emphasize vehicular traffic and create usable park space while ensuring the plantings allow for vistas and framed views of the Capitol building. 1. Priority and Handicapped Parking 2. Open Lawns 3. New Capitol Visitor Center 4. Formal Capitol Plaza 5. Seasonal Planting Beds 6. Promenade 7. Signalized Pedestrian Crossing 8. Petunia Plaza & Interpretive Signage 9. Tree-lined Walking Paths 10. Monument, Sculpture or Signage Location 11. Flexible Paved Areas Phase 1 Development The state should begin building closest to the Capitol building and moving outwards from there, allowing new development to establish a sense of place and stateliness to the Capitol environs. It is recommended to begin by filling in the parking lots just north of the Capitol building, inside Lincoln Boulevard between 23rd Street and 24th Street. This location provides new buildings without displacing any existing buildings or requiring major infrastructure changes. A small amount of surface parking could remain within the core of these blocks but would be shielded from view by the buildings. The displaced parking could be replaced via the parking garage built in the previous Phase 1 infrastructure recommendations. This initial phase of civic buildings provides approx. 650,000 square feet of buildings for state use. Open Space The landscaped areas between the historic civic buildings north of the Capitol, referred to herein as the Capitol Quad, already exist as open space, however they do not currently feel open or welcoming for use by the public as they are cut off from the outside by surface parking lots and buildings that turn their back on the neighborhoods. The southern portion of the Capitol Quad, between 23rd Street and 24th Street, should be built along with the buildings in Phase 1, as these new building frontages will help this area better address the adjacent parcels and draw people into the spaces within the Capitol grounds. An important aspect of this space is also the park space that bridges 23rd Street from the Capitol Commons to the Quad, which provides important north/south connectivity for the area. Phase 2 Development The second phase of state-related development should be filling in the blocks north of 24th Street inside Lincoln Boulevard. These buildings should follow the curved shape of Lincoln Boulevard, mimicking the existing buildings. This phase of civic development provides an additional approx. 460,000 square feet for state use. Open Space The northern portion of the Capitol Quad, between 24th Street and 26th Street, includes some existing open spaces that should be maintained. Today, these spaces are inward facing and not inviting to the public. Future improvements should draw people into the spaces, a goal supported by the design and placement of the Phase 2 buildings. Additionally, these open spaces frame views to the Capitol coming from the north. The Memorial Grove, planted with trees gifted to the State of Oklahoma following the Murrah Federal Building bombing, should be made into a reverent space with gardens most suited for passive activities and reflection. Pathways within these spaces should be safe, comfortable and pleasant—requiring safe road crossings where necessary and shade elements along walkways. 1. Lawn with View Framing Trees 2. Reflecting Gardens 3. Memorial Grove 4. Pedestrian Crossing 5. Open Lawn Space 6. Tree-lined Pathways 7. Tribal Tribute Monument (existing) 8. 23rd Street Plaza/Bridge 9. Priority and Handicapped Parking Phase 3 Development The remainder of the lots designated for state development outside of Lincoln Boulevard may be saved for future state needs if it is anticipated that this will be necessary. Additionally, these parcels could be developed by the state sooner and leased out to private parties until the state has a need for them, or they could be sold or ground-leased to private developers, like the parcels slated for general urban or corridor commercial development. Private Development Private development that falls within the commercial corridor and general urban development typologies, should be allowed to develop as the market demands and opportunities present themselves. It is not as imperative which parcels get developed when in these areas, more so the importance is that the right development types go in the right places, per the guidance outlined in the Land Use Plan. Future Concept: Cloverleaf Removal All infrastructure has a lifespan. As the cloverleaf interchanges between 23rd Street and Lincoln Boulevard on either side of the Capitol begin to approach the end of their useful life, a new vision for this area should be created. The initial idea of these cloverleaf interchanges came from plans in the 1960s and ’70s to create a highway, dubbed the Capitol Expressway, along the alignment of Lincoln Boulevard. However, these plans never came to full fruition, and the idea has been negated altogether due to the construction of I-235. Therefore, this infrastructure is overbuilt and antithetical to creating a beautiful and accessible place. An interesting point to note comes from the commentary in the 1961 Capitol Area Parking Study; there was an entire section dedicated to studying the effect of the Capitol Expressway on the Capitol facilities and it prophesied that this massive infrastructure would “greatly increase the inefficient and unsafe conditions” around the Capitol. These interchanges could be replaced in the future by simple urban intersections, creating additional land for development or open spaces and enhancing the character and aesthetics of the area. Next Steps Near Term Infrastructure Implementation A proper design and engineering process should be followed for the implementation of the near-term infrastructure recommendations. This master plan is intended to create a vision and overall framework but should not be used as a basis to begin engineering. The party responsible for the design of these infrastructure elements should hire reputable landscape architecture and civil engineering firms to begin a process of schematic design (SD), design development (DD) and construction documentation (CD). These consultants should be provided this master plan document and it is important to ensure they are familiar with and supportive of the concepts, principles and goals outlined within. It should be noted that an analysis of the utilities within the Capitol environs area shows that utility infrastructure is likely undersized for new development and will need upgrades. Updating Comprehensive Plans With the upcoming sunset of the CMCIZC, the state should begin planning for how land-use related decisions get made in the future. For simplicity, it is recommended that the land within the CMCIZC boundaries syncs with the city’s plans for things like zoning, land use and other area-wide plans like pedestrian or bicycle infrastructure. The Land Use Plan outlines recommendations that both the city and state can use to align the regulations of their adjacent lands. This simplification will also help to encourage private development, as those wanting to do projects in the area will only have to know one set of regulations. Analysis of the Capitol View Height Overlay The state should undertake an analysis of the Capitol view height overlay to determine if it needs updating based on current conditions and goals. Some questions that might be asked are: Is it still applicable as written? Has it been effective or is it completing its mission? And based on that, does it need to be updated? This document does not outlay a stance one way or the other, just that this regulation should be looked at by applicable parties. Parking and Mobility Strategies Parking is often the crux of any development project, but the parking and mobility industry is one that is seeing great disruption at a quick pace. Special attention should be paid to ensuring that any development being built today is progressive and future-proofed to the extent possible in these areas. Planning for Consolidation of State Uses The first step in moving towards construction of new state-related buildings is identifying the needs and time frames for the consolidation of state uses that are currently dispersed around the city and could relocate to buildings within the Capitol environs. Planning for Displacement and Relocation of State Uses In any situation where new buildings are going up in a campus setting with existing ongoing activities, there must be a planning for displacement, replacement, relocation, backfilling, providing temporary locations, etc., while still allowing for existing functions to continue undisrupted. Promoting Private Development The State should strategize for the development of the land that the state owns but does not plan to build on. This may include options such as selling the land, entering into a long-term land lease or undertaking public-private partnerships. In any case, the state should outline specific protocols and decision-making authorities for these situations. Specific consideration should be given to supporting local small-scale developers from within the community. BEFORE: Existing Capitol Complex AFTER: Proposed Capitol Commons with Public Realm Amenities Acknowledgements Throughout the process of preparing the Land Use and Strategic Development Plan, countless hours have been committed by a wide range of community stakeholders who made this endeavor possible. Here we provide special acknowledgment to the key working team members who have made invaluable contributions to ensure the success of this project. Funding Partners Oklahoma City Innovation District Presbyterian Health Foundation The Alliance for Economic Development of Oklahoma City The City of Oklahoma City The Greater Oklahoma City Chamber The State of Oklahoma The University of Oklahoma Standing Committees Steering Committee Katy Boren, Oklahoma City Innovation District Ben Davis, Office of Management Enterprise Services Randy Dowell, University Hospitals Trust Carl Edwards, Presbyterian Health Foundation David Harlow, BancFirst Paul Manzelli, OU Health Sciences Center Aubrey McDermid, The City of Oklahoma City Scott Meacham, i2E Cathy O’Connor, The Alliance for Economic Development of Oklahoma City Dr. Stephen Prescott, Oklahoma Medical Research Foundation Kenneth Rowe, OU Health Sciences Center Dr. Jason Sanders, OU Health Sciences Center James Tolbert, Oklahoma City Urban Renewal Authority Jim Watson, OU Medicine, Inc. Roy Williams, Greater Oklahoma City Chamber of Commerce Advisory Committee Leslie Batchelor, Center for Economic Development Law Stephanie Bills, Metro Technology Centers Brent Bryant, The City of Oklahoma City Geoff Butler, The City of Oklahoma City JR Caton, University Research Park Mickey Clagg, Midtown Renaissance Julie Coffee, Northeast OKC Renaissance, Inc. Denyvetta Davis, Neighborhood Representative Shannon Entz, The City of Oklahoma City Evan Fay, Greater Oklahoma City Chamber of Commerce Kevin Gates, University Hospitals Authority Tom Gray, Presbyterian Health Foundation Josh Greenhaw, Capitol Medical Zoning Dr. Elaine Hamm, Accele BioPharma Jane Jenkins, Downtown Oklahoma City Partnership Tom Kupiec, Analytical Research Labs Erika Lucas, Thunder Launch Pad Dan Luton, Oklahoma Center for the Advancement of Science and Technology Paul Manzelli, OU Health Sciences Center Doug Myers, OU Health Sciences Center Manu Nair, Oklahoma Medical Research Foundation Andrew Pollock, OU Office of Technology Development Cassi Poor, The Alliance for Economic Development of Oklahoma City Juan Price, Neighborhood Representative Cresha Redus, It’s My Community Dan Ross, Office of Management Enterprise Services Monique Short, Neighborhood Representative Rex Smitherman, i2E John Westerheide, Baker Hughes Community Facilitators Stephanie Bills, Metro Technology Centers Gina Blaylock, Capitol View Neighborhood Julie Coffee, Northeast OKC Renaissance, Inc. Denyvetta Davis, Community Representative JFK Neighborhood Association Ashley Dickson Oso, Culbertson’s East Highland Neighborhood Ray Douglas, Pastor, Greater Mount Olive Baptist Church Rita Freeney, Sisters in Motion Dr. Quintin Hughes, Northeast OKC Renaissance, Inc. James Johnson, Douglass High School Alumni Victoria Kemp, Business Owner Terry Monday, Perry Publishing & Broadcasting Theodore H. Noel, Business Owner Juan Price, Harrison Walnut Neighborhood Association & Pastor Rachel Smith, Medical Community Neighborhood Laura Stone, Lincoln Terrace Neighborhood Alice Strong Simmons, Langston University Gary Woods, Community Representative Black Chamber Capitol Environis Advisory Committee Ben Davis, Office of Management Enterprise Services Ron Dennis, Office of Management Enterprise Services Jill Geiger, Office of Management Enterprise Services Melissa Milburn, Office of Management Enterprise Services Ken Miller, Oklahoma State Treasurer Denise Northrup, Office of Management Enterprise Services Scott Reygers, Oklahoma Capitol Improvement Authority Dan Ross, Office of Management Enterprise Services Mark Sauchuk, Office of Management Enterprise Services Deby Snodgrass, Oklahoma Department of Commerce Trait Thompson, State Capitol Restoration Project Shelly Zumwalt, Office of Management Enterprise Services Consultant Team Lead Firm Perkins and Will (Urban Design Land Planning Strategy) Consultant Experts HR&A Advisors (Market Analysis) TEConomy (Innovation and Technology Industry Analysis) Pegasus Planning and Development (Workforce and Affordability Advising) Nelson\Nygaard (Transportation and Mobility) Kimley-Horn (Local Engineering Consulting) Point A Consulting (Culture and Business Ecosystem Assessment) Local Project Team Nicolle Goodman, The Alliance for Economic Development of Oklahoma City Cassi Poor, The Alliance for Economic Development of Oklahoma City Aubrey McDermid, The City of Oklahoma City Geoff Butler, The City of Oklahoma City Ben Davis, Office of Management Enterprise Services Katy Boren, Oklahoma City Innovation District Megan Allen, Oklahoma City Innovation District Cynthia Reid, Greater Oklahoma City Chamber of Commerce Special Thanks To Councilwoman Nikki Nice Planning Commissioner Janis Powers Planning Commissioner Camal Pennington Perkins&Will Perkins&Will
on the cover... 10 A field of no less than 326 players assembled in Montreal for the 2002 Canadian Open. In the end Canadian IMs Jean Hebert and Pascal Charbonneau shared first place with French GM Jean Marc Degraeve. A francophone sweep! IM David Ross takes a look at the games, while Yves Vaillancourt provides a superb selection of photos! Judging by the event crosstable – given at the back of this issue – a new generation of players has begun to make its mark on Canadian chess. Any early bets on who might become our next GM? inside... 2 Editorial, and Letters to the Editor. 8 Canada’s own Pascal Charbonneau met US Grandmaster Larry Christiansen recently for the WCN-sponsored North American Championship in Richmond, British Columbia. Our young Canadian Champion writes about the experience. 25 Competition at this year’s Canadian Youth Chess Championships in Montreal was fierce. IM David Ross reports that the level of play continues to rise noticeably from year to year, and he presents our readers with a selection of games to back up his positive assessment. The top three finishers in each age group will represent Canada this fall in Greece at the World Youth Chess Championships, where we might hope for several top ten placings according to our reporter! 33 Across Canada. advertisers... IFC Olympic Fund 4 Coming Events 7 EOCA Grand Prix 9 Toronto Macedonian Labour Day 32 SWOCL Grand Prix 36 ICC 37 Rating Lists OBC Duel Timer Editorial As always, the August issue is packed with reports on summer blockbuster chess events like the Canadian Open and Canadian Youth Championships. Add to that a huge rating list and four pages at the back of this issue for the Canadian Open crosstable, and several planned contributions missed the lineup. In October Roman Jiganchine reports on the Keres Memorial in Vancouver, Mark Bluvshtein on the Chicago Open, while Yan Teplitsky and David Ross will return with their regular columns. Another edition of Master’s Forum is also in the works, as well as new material by Bruce Harper, Robert Webb, Danny Kopec, Andrei Sokolov and Roman Jiganchine... My own summer thus far has been a hectic one with a move to Calgary from Saskatoon just prior to the production of this issue. My sincere thanks this time to IM David Ross, who worked tirelessly for more than two weeks on his extensive reports from Montreal! Packing your belongings into a few crates for a move to another province is hardly one of life’s more enjoyable experiences, but it does offer an opportunity to ‘start fresh’ by leaving behind items that are no longer needed. In my case this meant giving some thought to what is becoming a sizeable collection of chess books and magazines. We all know what I’m talking about here: all those ‘essential’ volumes on openings that have never received more than a cursory glance, scores of magazines yet to be read, and even special volumes intended to become part of a training program that somehow never materialized. Yes, we have all bought these things with the best of intentions, and we have all discarded them as quickly as they arrive on our doorstep? Why is that? Chess players seek information, because more knowledge means more skill and success. Unfortunately, human nature being what it is, sleeping with the latest Informant under your pillow does not produce the desired transfer of content into our chess consciousness. It is probably fair to say that most of us spend far more time on planning our chess training than actually implementing it. Well, I should be fair and take responsibility only for my own shortcomings in this area, but I feel better imagining that I am not alone in my lazy quest of becoming a better player! Brutal honesty about self, I am told, is the first step in affecting positive change. So for me this meant getting some outside help, which appeared in the person of Manitoba Master Aaron Kaptsan who has spent a good deal of his time and energy since last fall on devising an effective training program for me. Aaron is from the old school, and he minces no words when he sees me slacking off yet again. The workload he imposes is intimidating, but I know he is usually right! My appearance this spring at the Canadian Zonal in Richmond was my first tournament in three long years, and I consider 5.5/11 after spending most of the event at +1 a fair success. A regular diet of correspondence chess via eMail certainly helps, but most of the credit for the work I did prior to the Zonal has to go to Aaron Kaptsan. Thank you! The lesson to take away from my own experience with a chess coach is this: the next time you are tempted to contribute another $40 to that pile of dusty chess books in the basement, consider asking a strong player for his help. Yes, he should be paid for his services, and if you’re lucky he also doesn’t let you slide when it comes to doing your homework assignment! Almost every city in Canada has at least one or two local Masters. Some have never considered coaching, but then most of them have never been asked... Knut Neven Letters Ottawa, ON As an experienced player, and someone who long ago had a small role in organizing chess at the local level, I have some idea about the problems organized chess faces in Canada. Many players wish for more chess activities in general, and there can be no doubt that life is arduous for strong players wishing to become professionals in our country. On the other hand, the vast majority of chess organizers I have met and read about really do deserve our thanks for the often thankless jobs they do. To my mind an aggressive national membership drive is needed to rejuvenate and improve our organization at many levels. Arguments about how best to use existing resources, as far as I can tell, have remained difficult to resolve, and the time and energy spent here could be much more productive if applied elsewhere. The resources that need to be expended on such a drive should be considered a worthwhile investment, even if a first attempt needs to be supplemented with a second or a third. The key in this venture would be to apply the lessons learned, and ultimately develop a method to attract as much appreciation and interest for the game among the public as possible. The benefits of a membership drive are self-evident, and I believe that no time should be wasted in its implementation. If readers will indulge my fantasy of a chess utopia in this country, they might consider a picture of success as follows: chess clubs and events are popular everywhere, and our sport is supported by business and government alike. Chess is thriving in national, provincial and local settings, on the internet, and postal chess. Membership numbers have reached a critical mass, and chess is taught in schools to children of all ages by knowledgeable and dedicated instructors. Our top players enjoy the benefits of regular incomes derived from an active circuit of large events and supplemented by writing and teaching. Media interest is ever-present. As dreamy as this state of affairs might seem today, I think it is a fair reflection of the kind of status we would all like our game to attain. But in order to achieve these goals, we need to increase membership numbers in our organization more than anything else. The following list might be used as a starting point for our future direction and initiatives: 1) identify new sites for events and clubs; 2) solicit funds from government and business; 3) attract new members, organizers and teachers; 4) attract the media; 5) merchandise chess on all levels; 6) resolve transportation problems for players; 7) consistently achieve in the above points; 8) use computers to facilitate the above; How these items should be prioritized is open to discussion, but it is clear that increased public appreciation for the game would be a tremendous asset in achieving our goals. Problems related to transportation, i.e. travel distances are huge in a country like ours, will always be a concern, but would be alleviated with much larger membership numbers. Connecting larger and more active centers with smaller ones becomes easier as numbers grow. Sooner or later we reach that critical mass which is necessary for the creation of a more vibrant chess community within Canada, and even extremely remote areas can be reached via the internet. And spreading the responsibility for accomplishing these tasks among an ever larger group of organizers and teachers helps reduce our dependence on the few key individuals who now feel they’re doing too much alone and too often. By now I think it should be clear that attracting new members, organizers and teachers is the logical first step, and therefore a national membership drive should be first on our agenda if we hope to take chess into a brighter future. Kevin Pacey \| Annual Membership \| Adult \| Junior \| Jr. Part. \| Family \| \|-------------------\|-------\|--------\|-----------\|--------\| \| \| CFC \| Prov \| $$ \| CFC \| Prov \| $$ \| CFC \| Prov \| $$ \| CFC \| Prov \| $$ \| \| Alberta \| 33 \| 5 \| 38 \| 22 \| 3 \| 25 \| 10 \| 1 \| 11 \| 16.50 \| 2.50 \| 19 \| \| British Columbia \| 33 \| 12 \| 45 \| 22 \| 3 \| 25 \| 10 \| 3 \| 13 \| 16.50 \| 6 \| 22.50 \| \| Manitoba \| 33 \| 17 \| 50 \| 22 \| 10 \| 32 \| 10 \| 3 \| 13 \| 16.50 \| 8.50 \| 25 \| \| New Brunswick \| 33 \| 5 \| 38 \| 22 \| 3 \| 25 \| 10 \| 2 \| 12 \| 16.50 \| 2.50 \| 19 \| \| Newfoundland \| 33 \| 3 \| 36 \| 22 \| 2 \| 24 \| 10 \| 2 \| 12 \| 16.50 \| 1.50 \| 18 \| \| Nova Scotia \| 33 \| 7 \| 40 \| 22 \| 3 \| 25 \| 10 \| 3 \| 13 \| 16.50 \| 2.50 \| 19 \| \| Northwest Territories \| 33 \| 0 \| 33 \| 22 \| 0 \| 22 \| 10 \| 0 \| 10 \| 16.50 \| 0 \| 16.50 \| \| Ontario \| 33 \| 7 \| 40 \| 22 \| 3 \| 25 \| 10 \| 2 \| 12 \| 16.50 \| 3.50 \| 20 \| \| Prince Edward Island \| 33 \| 0 \| 33 \| 22 \| 0 \| 22 \| 10 \| 0 \| 10 \| 16.50 \| 0 \| 16.50 \| \| Quebec \| 33 \| 0 \| 33 \| 22 \| 0 \| 22 \| 10 \| 0 \| 10 \| 16.50 \| 0 \| 16.50 \| \| Saskatchewan \| 33 \| 0 \| 33 \| 22 \| 0 \| 22 \| 10 \| 0 \| 10 \| 16.50 \| 0 \| 16.50 \| \| Yukon \| 33 \| 0 \| 33 \| 22 \| 0 \| 22 \| 10 \| 0 \| 10 \| 16.50 \| 0 \| 16.50 \| \| Foreign \| 33 \| 0 \| 33 \| 22 \| 0 \| 22 \| 10 \| 0 \| 10 \| 16.50 \| 0 \| 16.50 \| Note The CFC column is the amount collected by the Chess Federation of Canada. The Prov column is the amount collected by each provincial association. The $$ column is the amount the member must pay. Adult Memberships are open to anyone over the age of 17. Pay the amount in the Adult $$ column. Junior Memberships are open to individuals aged 17 or less. Pay the amount in the Junior $$ column. Junior Participating Memberships are open to individuals aged 17 or less. These members can play in tournaments, but do not receive En Passant. Pay the amount in the Participating $ column. Family Memberships: the first member pays the Adult fee in the $$ column. Each other member at the same address pays the Family fee in the $$ column. Life Membership rates depend on age: 30 & under $660; 31–40 $577.50; 41–50 $495; 51–60 $412.50; 61 and over $330. Provincial dues are not included in Life rates. Supply proof of age if over 30. The Coming Events advertising section is brought to you by the Chess Federation of Canada. Note: This is free for all CFC-Rated events. Players: When you enter by mail, include your name, address, CFC number, expiry date, rating and date published (if you are entering your first CFC event, you are probably an unrated player), and birthdate if you are a junior – all with your entry fee. CFC membership is required in these tournaments except where indicated. If you buy a CFC membership with your entry, obtain a receipt from the organizer. Please bring your chess pieces, boards and clocks. Unless stated otherwise all tournaments are Non-Smoking and No Computers. ### Summary \| Date \| Dates of the event \| \|------\|---------------------\| \| Place \| Location of the event \| \| Rds \| Number of rounds \| \| Type \| Rating type either Regular or Active and either Swiss or Round Robin (RR) \| \| Times \| Round times, “/” = next day \| \| TC \| Time Controls, SD means Sudden Death – all remaining moves in fixed time \| \| EF \| Entry Fee. \| \| Sec \| Sections tournament is broken down into \| \| Prizes \| $SBEN = Prizes based upon entries, $Gxx = Guaranteed prize of xx \| \| Reg \| Registration time instructions \| \| Org \| Tournament organizer and contact information \| \| Misc \| Other important information \| UNR Unrated; Jr. Junior; Sr. Senior, Cd. Cadet (under 16) Bye n A half-point bye is available in round(s) n if requested in advance with entry; CC Chess Club; S Smoking allowed. Organizers of CFC-rated events should send notices to: The CFC, 2212 Gladwin Crescent, E-1, Ottawa, ON, K1B 5N1 by the 25th of each even numbered month (e.g., February). Notices must state the name of the organizer and whether smoking is allowed. A prize fund is considered to be guaranteed by the organizer unless explicitly stated otherwise. A tournament in a small town (under 75,000 population) may qualify for an LTIP grant. Write to the CFC for details of this program. ### Ontario #### DCC Simcoe Day Open Date: August 3–5 Place: 1681 Bayview Avenue, two blocks south of Eglinton, above Chess’n Math, Toronto Rds: 6 Type: Regular Swiss Times: 11, 5:30 / 11, 5:30 / 11, 5:30 TC: 40/120, SD/60 EF: $60; less $10 Jr/Sr, 2400+, titled, women, GMs free; $20 late fee after August 2 Sec: Open/U2300, U2100/U1900, U1700/UNR Prizes: $SBEN 70% Reg: 11:00–12:00 at site; or cheques to Mark S. Dutton, Suite 3301, Leaside Towers, 95 Thorncliffe Park Dr, Toronto, ON, M4H 1L7 Org: Mark S. Dutton (416)467–9715 Misc: Bring clocks; www.play.at/duttonchess #### Renfrew Open Date: August 24–25 Place: Renfrew Collegiate Institute, 184 Bonnechere Street South Rds: 5 Type: Regular Swiss Times: 9, 2, 7 / 9, 2 TC: 30/90, SD/60 EF: $30; $25 Jr/Sr; $10 late fee Prizes: $SBEN Reg: 08:00–08:30 at site; or cheques to Peter Naish, 831 Raglan Street South, Renfrew, ON, K7V1S3 Org: Peter Naish Misc: Bye 1–3; bring sets, clocks; EOCA GP event #### Guelph Pro-Am International Date: August 7–11 Place: Peter Clark Hall, Guelph University Centre Rds: 9 Type: Regular Swiss Times: 5 / 10, 5 / 10, 5 / 10, 5 / 10, 5 TC: G/150/30 EF: Pro: $115 by July 20, $130 at site; Amateur: $60 by July 20, $70 at site Sec: Pro; Amateur U2200, U2000, U1800, U1600 Prizes: Pro $SG2000; Amateur trophies Reg: Cheques to Hal Bond, 6 Wildwood Place, Guelph, ON, N1H 7X9 Org: Hal Bond firstname.lastname@example.org Misc: FIDE rated; bring digital clocks #### CMA Futurity Date: August 12–21 Place: 1681 Bayview Avenue, two blocks south of Eglinton, above Chess’n Math, Toronto Rds: 9 Type: Regular Swiss Times: 6 / 6 / 6 / 6 / 6 / x / 6 / 6 / 6 / 6 TC: 40/120, G/60 EF: $60; $50 Jr; $20 late fee Prizes: $SG4000 Reg: Qualifiers drawn from CMA Futurity Qualifier on July 28 Misc: IM norms available; rest day on August 17; info (416)486–3395 #### DCC Saturday Actives Date: August 17, September 28, October 26, November 23, December 21, January 4 Place: 1681 Bayview Ave, two blocks south of Eglinton, above Chess’n Math, Toronto Rds: 6 Type: Active Swiss Times: 12:30, 1:45, 3, 5, 6:15, 7:30 TC: G/30 EF: $40; $30 Jr/Sr Sec: Open, U2000, U1600 Prizes: $SBEN 70% Reg: 11:00–12:00 at site; or cheques to Mark S. Dutton, Suite 3301, Leaside Towers, 95 Thorncliffe Park Dr, Toronto, ON, M4H 1L7 Org: Mark S. Dutton (416)467–9715 Misc: Bring clocks; www.play.at/duttonchess #### Toronto Macedonian Labour Day Open Date: August 31–September 2 Place: Macedonian Community Hall, 76 Overlea Blvd. Rds: 6 Type: Regular Swiss Times: 11, 5:30 / 11, 5:30 / 10, 4 TC: 40/120, SD/60 Sec: Open, U2200, U2000, U1800, U1600&UR EF: $60; less $20 Jr/Sr, IMs, women; $20 amateur entry; $10 late fee Prizes: $SBEN 75% Reg: 09:00–10:30 at site; cheques TBA Org: Macedonian CC; Randy Moysoski (416)449–1447; Bryan Lamb (416)391–4777 email@example.com Misc: Bye 1–5; bring sets, clocks #### K-W Fall Active Date: September 7 Place: Kitchener City Hall Rds: 5 Type: Active Swiss Times: 9:30, TBA TC: SD/30 EF: $25; less $5 Jr/Sr; $10 late fee after August 31 Dutton Chess Club Toronto Events Major events share the following details unless noted otherwise. Place: Dutton Chess Club, 1681 Bayview Avenue, 2nd floor EF: $60; Jr/Sr/Ladies/Titled $50 TC: 40/120, SD/60 FIDE rated Misc: Open to anyone; no membership required; bring clocks, sets are provided Times: Wed 11 & 17:30 Sat & Sun, 18:30 Wed & Fri Org/TD: Mark S. Dutton (416)467–9715, (416)219–7933 firstname.lastname@example.org http://www.play.at/duttonchess --- Weekend Slow Tournaments Simcoe Day Open August 3–5 6 rds Thanksgiving Day Open October 12–14 6 rds Remembrance Day Open November 9–11 5 rds Christmas Open December 26–29 6 rds --- Active Tournaments DCC Active Series #28–33 G/30; 6 rds.; EF $40, Jr/Sr $30 July 6, August 17, September 28, October 26, November 23, December 21, January 4 Place: Dutton Chess Club, 1681 Bayview Avenue, 2nd floor Misc: Adults $150, Jr/Sr $100, annually or $25/month; join anytime with 1/2 pt. byes! --- Mondays G/15 Events; Open 18:00–23:00 6 rds; start at 19:30; EF $10 Wednesdays 40/120, SD/60; start 18:30 5–6 rds; CFC Rated Regular Swiss, EF $25, DCC free Saturdays Blitz: G/5; 13:00 & 16:00 EF $10; 7 dbl rds Regular: 40/120, SD/60 12:00–18:00; 5 rds --- Scarborough Chess Club Tournament Schedule All events have the following information in common unless noted otherwise. Place: Scarborough Chess Club, Stan Wadlow Park Clubhouse, 373 Cedarvale Road (1 block east of Woodbine, 2 blocks south of O’Connor Drive) Info: email@example.com http://webhome.idirect.com/~blamb Org: Bryan Lamb (416)391–4777 or (416)877–7328 firstname.lastname@example.org email@example.com Misc: SCC membership required ($100 Adult, $75 Sr, $50 Jr). Events are CFC rated (CFC membership required). Entry fees to events covered by club membership. Half price for additional family members and players from the same school. --- Special Events Thursday Evening Events TC: 30/90, SD/30 Times: 19:30, weekly Thursday Fall Swiss September 12, 26; October 3, 10, 24, 31 Type: Regular Swiss Rds: 6 Sunday Afternoon Events TC: 30/90, SD/30 Times: 13:30, weekly Sunday Autumn Swiss September 8, 15, 22, 29; October 6 Type: Regular Swiss Rds: 5 Tuesday Evening Events TC: 30/75, SD/30 Times: 19:30, weekly Tuesday 60 Minute Swiss September 10, 17, 24 Type: Regular Swiss Rds: 6 (two weekly) Tuesday Fall Swiss October 1, 8, 15, 22, 29 Type: Regular Swiss Rds: 5 Junior Chess in BC Lower Mainland 2001-2002 Unless otherwise noted, the following events are open to all junior players at all levels. Prizes vary, and include trophies, books, gifts, and cash. Some events qualify the winner(s) for provincial or national championships, and while all events are CFC rated, Juniors only events do not require CFC membership. Playing Sites VBC: Vancouver Bridge Centre, 2776 East Broadway BCIT: BCIT Student Association Campus Centre, 3700 Willingdon Avenue, Burnaby Surrey: Bethany Newton Church, corner of 148 St & 60 Avenue, Surrey Org/ID: Katherine Davies (604)266–5842 firstname.lastname@example.org; Stephen Wright (604)221–7148 email@example.com; www.chess.bc.ca Event Info VBC Thanksgiving Open October 6–8 VBC Junior Open October 14 Surrey Junior Open October 20 VBC BC Junior Championship November 10–12 VBC Junior Open November 25 BCIT BC–Washington Match December 1 VBC Junior Open Blitz December 9 BCIT Junior Grade Open January 27 York House Provincial Interschool Team (Grades 1–7) February 2 St.George’s School Provincial Interschool Team (Grades 8–12) February 23 BCIT Vancouver Regional Chess Challenge March 10 BCIT Provincial Chess Challenge March 30 Victoria CYCC Provincial Finals May 5 Times: TBA TC: 40/120, SD/60 EF: $60; less $10 Jr/Sr, 2400+, titled, women, GMs free Sec: Open/U2300, U2100/U1900, U1700/UNR Prizes: $ SBEN Reg: 08:30–09:30 at site; or cheques to Mark S. Dutton, Suite 3301, Leaside Towers, 95 Thorncliffe Park Dr, Toronto, ON, M4H 1L7 Org: Mark S. Dutton (416)467–9715 Misc: Bye 1–4, max. 2; bring clocks; www.play.at/duttonchess DCC Christmas Open Date: December 26–29 Place: 1681 Bayview Avenue, two blocks south of Eglinton, above Chess’n Math, Toronto Rds: 6 Type: Regular Swiss Times: TBA TC: 40/120, SD/60 EF: $60; less $10 Jr/Sr, 2400+, titled, women, GMs free Sec: Open/U2300, U2100/U1900, U1700/UNR Prizes: $ SBEN Reg: 08:30–09:30 at site; or cheques to Mark S. Dutton, Suite 3301, Leaside Towers, 95 Thorncliffe Park Dr, Toronto, ON, M4H 1L7 Org: Mark S. Dutton (416)467–9715 Misc: Bye 1–5, max. 2; bring clocks; www.play.at/duttonchess EF: $25; $15 Jr; $20 Sr; plus $12 new CFC Prizes: $ SBEN Org: Wally Steinke firstname.lastname@example.org (250)545–6677 or Ian Higgs email@example.com Vernon Silver Star Date: November 9–11 Place: Village Green Hotel, Vernon BC 4801 27th St Rds: 6 Type: Regular Swiss Times: 12, 5 / 10, 4 / 9, asap EF: $30; $25 Sr; $20 Jr; plus $12 new CFC Prizes: $ SBEN Org: Wally Steinke firstname.lastname@example.org (250)545–6677 Misc: BC Closed qualifier Victoria Jack Taylor Memorial Date: November 23–24 Place: UVic H&S Development Bldg, Room A260 Rds: 5 Type: Regular Swiss Times: 40/120, SD/60 EF: $35; $25 Jr Prizes: $ SBEN Reg: 08:30 at site Org: Lynn Stringer (250)658–5207 email@example.com Victoria Dan MacAdam Memorial Date: January 19–20 Place: UVic H&S Development Bldg, Room A260 Rds: 5 Type: Regular Swiss Times: 40/120, SD/60 EF: $35; $25 Jr Prizes: $ SBEN Reg: 08:30 at site Org: Lynn Stringer (250)658–5207 firstname.lastname@example.org Kelowna Winterfest Date: February 8–9 Place: Sandman Inn, 2130 Harvey Ave, Kelowna Rds: 5 Type: Regular Swiss Times: 9, 2, 7 / 9, asap EF: $25, $20 Seniors, $15 Juniors Non CFC pay entry + $12 Prizes: $ SBEN Org: Wally Steinke email@example.com (250)545–6677 or Ian Higgs firstname.lastname@example.org Kelowna Summerfest Date: July 5–6 Place: Sandman Inn, 2130 Harvey Ave, Kelowna Rds: 5 Type: Regular Swiss ### Alberta ECC John Tournaments - Date: Monday nights - Place: Edmonton Chess Club - Rds: 4 - Type: Active Swiss - TC: G/30 - EF: $2 - Reg: 18:30–19:15 at site - Org: John Quiring (403)468–9173 ### New Brunswick #### Bathurst CRCC Tornados - Date: September 14, November 9 - Place: NBCC, Youghall Drive, Bathurst - Rds: 4 - Type: Regular Swiss - Times: 9, 11:30, 2:30, 5 - TC: G/60 - EF: $20; $5 Cd; $2 with first time CFC membership - Prizes: $ $BEN #### Saint John ATS Challenge - Date: November 1–3 - Place: Ballroom Colonial Inn, 175 City Rd, Saint John, NB - Rds: 5 - Type: Regular Swiss ### Nova Scotia #### Halifax Labour Day Open - Date: August 30 to September 2 - Place: Common room, TUNS University, 1360 Barrington St - Rds: 8 - Type: Regular Swiss - Times: 12, 6 / 10, 4 / 10, 4 / 10, 3:30 - TC: 30/90, SD/60 - EF: $40; $35 Jr/Sr; $25 U16; less $5 before August 9 - Prizes: $ $BEN - Reg: 10:00–11:00 at site - Org: Albert Ede, 59 Brook Street, Lower Sackville, NS, B4E 1C1 - Misc: Bye 3 max; bring sets, clocks #### Cole Harbour Fall Open - Date: October 25–27 - Place: Cole Harbour Place, 51 Forrest Hills Parkway, Dartmouth - Rds: 5 - Type: Regular Swiss - Times: 6:30 / 10, 4 / 10, 4 - TC: 30/90, SD/60 - EF: $30; $25 Sr; $15 Jr - Prizes: $ $BEN - Reg: 17:15–18:15 at site - Org: David Kenney (902)462–7455 ### Misc - email@example.com - Bring sets, clocks #### Dartmouth Open - Date: November 29 to December 1 - Place: Cole Harbour Place, 51 Forrest Hills Parkway, Dartmouth - Rds: 5 - Type: Regular Swiss - Times: 6:30 / 10, 4 / 10, 4 - TC: 30/90, SD/60 - EF: $30; $25 Sr; $15 Jr - Prizes: $ $BEN - Reg: 17:15–18:15 at site - Org: David Kenney (902)462–7455 - Misc: Bring sets, clocks --- CFC Offer Obtain the latest Chess Informants for $34.95!!! Join the CFC standing order list for Informant and get the latest up to date Informants shipped to you for the retail price of $34.95. That is $10 off our regular retail price of $44.95. To be added, simply contact us to be put on the list, and provide your VISA or MasterCard number to us. The corresponding Informant CD can also be sent for an extra $4. --- Grand Prix Schedule 1. Renfrew Open P.Naish August 24–25 2. R.A. Fall Open J.Chyurlia September 21–22 3. National Capitol Open N.Fraey October 25–27 4. Seaway Valley Open S.DeKerpel November 23–24 5. R.A. Winter Open M.Holmes January 11–12 6. Kingston Open R.Hutchinson February 1–2 7. R.A. Spring Open J.Chyurlia March 22–23 8. MacIntosh Open S.DeKerpel April 12–13 9. Arnprior Open M.Wasmund May 3–4 10. Eastern Ontario Open M.Holmes June 7–8 --- Grand Prix Prizes First, second and third prizes go to the players who accumulate the most points in the Open sections of seven events. Other prizes are won by those accumulating the most points in all events, in any section. Rating category is determined by established rating at the time of their first tournament in the then current Grand Prix. All others are eligible for the Unestablished Rating prize. For more info visit our website at www.eoca.org \| First Prize: \| $421 \| \| Second Prize: \| $221 \| \| Third Prize: \| $121 \| \| 1950–2199 \| $201 \| \| 1700–1949 \| $201 \| \| Under 1700 \| $201 \| \| Unestablished Rating: \| $121 \| \| Total Prizes: \| $1487 \| I was delighted when Chris Heringer of the World Chess Network called to inquire if I might be interested in a match against US Champion Larry Christiansen for the North American Championship. WCN had already sponsored the playoff match between GMs Spraggett and Lesiege after last year’s Canadian Championship, so the future for Canadian chess looks a little brighter once again. Occasions to face such a strong opponent in a match do not come very often, which is a fact that wasn’t lost on Peter Stockhausen and the Vancouver Airport Conference Resort Hotel in Richmond – venue of the superb Canadian Zonal earlier this year – where the event would ultimately take place. I consider my performance in the match far below par, as I missed several good opportunities and experienced too many problems in the opening. Such a turn of events, however, always provides a valuable lesson for the future. And while it is quite common to excuse several poor results after a big success – my win at the Canadian Zonal – I only let such an argument motivate me to do better in my next outing! I present my two best efforts with basic comments for my readers. 1.e4 c5 2.♘f3 d6 3.♗b5+ Hardly a surprise. Larry has tried so many opening variations that I could expect my preparation to be futile! 3...♘d7 Black’s most solid option is 3...♘c7 although the text injects more flavor into this sometimes dull variation. 4.d4 ♘gf6 5.0–0 cxd4 While 5...♘xe4 doesn’t lose by force, it is not the type of position one wants against an attacker like Larry after 6.♘e2! ♘e6 7.dxc5. 6.♘xd4 e5 7.♘d3 h6 8.c4 ♘e7 9.♘c3 0–0 10.♘xd7 Forced before Black gets around to ...♘c5 and ...a6. 10...♘xd7 11.a4 ♘c6?! Black dreams of the rather appealing possibility 12...♘xe4 13.♘xe4 f5! 12.♖e1 Dream ends! 12...a5 13.b3 ♘b6 14.h3 The position is level. Black has nice squares for his pieces, but it is hard to imagine how he can break through on the kingside with ...f5 any time soon. White has a target on d6 and a nice outpost to work with on d5. 14...♘d7 15.♘e3 ♘c5 16.♘xc5 ♘xc5 17.♗xd1 g6 18.♘d5 ♘d8! Happiness for this bishop means reaching b6. 19.♘e3 ♘g7 20.♘c3 ♘h7 21.♘c2!! Not a catastrophe, but the opening of lines on either side of the board will always play into the hands of Black’s bishops and diminish the bind White has on the position. 21...b5! 22.axb5 ♘xb5 23.♘f6+ Looks stronger than it really is. 23...♘xf6 24.♘d5 ♘c6 25.♘xb5 ♘fc8 Black wants to play 26...a4! next to disrupt his opponent’s queenside.. 26.♘c3 ♘d8 27.h4 ♘b6 28.g3 White is lost after this blunder, but Black has a very good position anyway since ...a4 is near impossible to stop. 28...♘d4!! An easy tactic to miss. Now 29.♘xd4 exd4 30.♘d3 ♘xb5! picks up a whole rook for Black. 29.♘d5 ♘xc3 30.♘xc3 a4 31.bxa4 ♘xc4 32.♘xc4 ♘xc4 The rest is a matter of technique, although against an experienced and superbly resourceful guy like Larry the utmost care is still required. 33.♗xd6 ♘a5 34.h5 g5 35.♗d7 ♘g7 36.♘h2 ♘xe4 37.♘f1 ♘exa4 38.♘e3 ♘a7 39.♘d8 ♘f7a6 40.♗e8 ♘e6 41.♗d8 e4 42.♘d5 ♘f6 43.♘f5+ ♘h7 44.g4 e3! The best thing about being up an exchange is that it can be returned at just the right moment! Here Black can play ...♗f4 and ...♖xg4+ with a winning ♘+♖ ending once White’s ♘/h5 falls. 45.♘xe3 ♘f4 46.♘d7 ♘a1+ 47.♗g2 ♘a2 48.♘d5 ♘xf2+ 49.♔g1 ♘f1+ 50.♔g2 ♘f2+ 51.♔g3 ♘f3+ 52.♔g2 ♘f2+ 53.♔g1 ♘b2 0-1. Notes by Pascal Charbonneau Charbonneau, Pascal Christiansen, Larry Richmond WCN North America ch (5), 2002 King's Gambit C30 1.e4 e5 2.f4 I was heavily criticized for trying this again, but one cannot blame my loss on the opening as I obtained a great position. Larry reacts with one of the oldest lines against the King’s Gambit. 2...♘c5 3.♘f3 The primitive 3.♘h5 was actually analyzed in New In Chess several years ago. It is interesting, but not theoretically challenging for Black. 3...d6 4.c3 ♘f6 The most complicated possibility now is 4...f5. 5.d4 exd4 6.cxd4 b4+ 7.d2 xd2+ 8.bxd2 c7 9.d3 White’s strong center obliges Black to act quickly. But since the opening turns out badly for Larry, Black should look for an improvement earlier. 9...xe4 10.xe4 d5 11.0-0 dx e4 12.xe4 0-0 After this forcing sequence it is obvious that White must be close to winning because of his development lead and strong initiative. I suspect that an accurate series of moves will finish off the game neatly. Who knows, perhaps Larry would be able to show the way, had he been on the White side in this game! 13.d3 An attractive alternative is 13.c2 when 13...d7 14.d3 f6 15.g5 might seduce Black into 15...h6? (tougher is 15...g6) 16.h7. 13...h6 14.e5 d7 15.xd7?? Based on an oversight. I imagined that 15...xd7 can be met with 16.f5 f6 xb7! which is good for White, but naturally Black has the simple 16...f6 to avoid all this nonsense. Instead of the flawed text, White keeps an initiative after 15.f3 f6 16.g4. 15...xd7 16.xb7 Since 16.f5 f6 is at least equal for Black I now found myself in a difficult situation. The position is better for Black, and he has practically no chances of losing. Psychologically beaten, I failed to put up much resistance. 16...ab8 17.a6 xb2 With White’s f/â still at home this position would be dead even. But with the pawn on f4 White suffers from weaknesses on all diagonals leading to his king, and that proves enough for Larry to overwhelm my shaky defense. 18.c3 fb8 19.fc1 ec4 20.f1 xf4 21.xc7 xd4+ 22.h1 e6 23.d1 f2 24.a4 h7 25.c6 c8 26.e4+ g6 27.d4 xd4 28.xd4 c5 29.g1 d5 30.ad1 c6 31.d2 xd2 32.xd2 c1 A disappointing game to lose after reaching such a promising position from the opening. 0-1. The 2002 Canadian Open was combined with the Quebec Open to easily produce the best attended tournament in many years on Canadian soil. 326 hopeful chess players descended on Montreal in the middle of July, including a crop of talented youngsters who had completed their quest for a national title in the Canadian Youth Chess Championships only a few days earlier. The event drew four Grandmasters, including Jesus Nogueiras of Cuba, Alexei Barsov of Uzbekistan, Jean Marc Degraeve of France, and Nikolai Legky of the Ukraine. Not to be underestimated either was American IM Ronald Burnett, and Canadian IMs Pascal Charbonneau, Jean Hebert, Michael Schleifer, Thanh Nha Duong and Mark Bluvshtein. In the end a trio of francophones prevailed, when our young Canadian Champion Pascal Charbonneau was joined in first place by Jean Marc Degraeve and Jean Hebert at 8/10. In the group just behind at 7.5/10 were Legky, Barsov, Nogueiras, Bluvshtein, Linski, Chokshi and Ibrahim. Entertainment for the players was never lacking during the tournament, since Montreal’s famous ‘Just for Laughs’ festival was held right next door to the playing site. Round 1 Notable among several big upsets to start the event was Oleg Linski’s loss to Quebec’s Louis Robichaud. Oleg is among Canada’s highest rated players, and deservedly expects to earn his final IM norm in the near future. Notes by David Ross Linskiy, Oleg Robichaud, Louis Montreal CA op (1), 2002 King’s Indian: Smyslov E61 1.d4 d5f6 2.c4 g6 3.d3 c3 g7 4.f3 d6 5.g5 0-0 6.e3 c6 7.e2 a6 8.0-0 Normal enough, but Smyslov always played 8.d2 here. 8...b5 9.a3 bxc4 10.xc4 bd7 11.e2 b6? 12.d3 fd7 13.e4 f6 14.e3 b7 15.fd1 Black has made several strange moves and White is doing well. 15...a5 16.d5 c5 17.b5 b8 18.a4? More consistent looks 18.c6 or 18.h4! intending 19.f4. 18...c7 19.ac1 b8 20.b1 a6 21.d4! c8 22.c6 b4 23.f4 f5 24.xc5 g5 25.exf5 White just keeps the extra material after 25.cc1! 25...gx f4 26.xe7+ xe7 27.xe7 dxc5 28.c7 4xd5 29.xc5 b7 30.d3 xb2 31.e4? Good enough instead is 31.c4! f7 32.b3 c8 33.xa5. 31...ac8 32.ad6 f8 Black’s forces suddenly coordinate perfectly. 33.e6+ h8 34.d2 c6 35.f7 c7 36.e6 c7 37.h6 g7 38.h4 f6 39.xb7 xd2! 40.b1 xb7 41.xf4 bd5 0-1. Notes by David Ross Bluvshtein, Mark Panjwani, Raja Montreal CA op (1), 2002 Nimzo-Indian E20 IM Mark Bluvshtein scored 8/8 to win the B14 Section at the CYCC, while Raja won the B12 Section. 1.d4 d5f6 2.c4 e6 3.d3 c3 b4 4.f3 h5 5.g3 f5 6.e4 0-0 7.g2 g6?! Better tries are 7...d6 and 7...c5. 8.a3 ♘xc3+ 9.bxc3 b6 10.♘h3 ♘b7 More natural looks 10...♘a6? 11.♘h6 ♘g7 12.0-0 c5 13.d5 ♘a6 14.♗a4 e5 15.f4! The opening has gone his way, and Mark decides that the time has come to blow up the position for his bishops while Black’s forces remain somewhat uncoordinated. 15...d6 16.fxe5 dxe5 17.♘g5 ♘c8 18.♗e6 ♘xe6 Other defenses are possible, but none change the outcome. 19.dxe6 ♘b7 20.♘xf8 ♘xf8 21.exf5 ♘xg2 22.♘xg2 gx5 23.♗c2 1-0. Notes by David Ross Feoktistov, Dimitri Ochkoos, Yura Montreal CA op (1), 2002 Queen’s Gambit: Exchange D31 Time trouble is likely responsible for Yura’s terrible blunder at the end of a well played game. 1.d4 d5 2.c4 e6 3.♘c3 c6 4.cxd5 exd5 5.♗c2 g6 6.e3 ♘f5 7.♘d3 ♘xd3 8.♕xd3 ♘f6 9.♘ge2 ♘g7 10.0-0 0-0 11.b4 a6 12.a4 ♘bd7 13.♘a3 ♘e8 14.b5 axb5 15.axb5 ♘b6 16.bxc6 bxc6 17.♖fb1 ♘c4 18.♘c5 ♘xa1 19.♖xa1 ♘f8 20.♘xf8 ♘xf8 21.♗b1 ♘d6 22.♖a7 ♘g4 23.g3 ♘f6 24.♘d1 ♘f3 25.♘a2 ♘xc3 26.♗b4+ ♘g7 27.♘e1 ♘e8 28.h3 ♘f6 29.♘c3 ♘f5 30.♘h2 h5 31.♘f4 h4 32.♘d3 hxg3+ 33.fxg3 ♘d7 34.♘e2 ♘xe2+ 35.♘xe2 ♘a7 36.♘f2 ♘a1 37.♘c3 ♘xd4?? In the French Advance Variation this development is normally impossible because White has a pawn on c3. Here Black suffers from a lack of space, and the absence of his own c/♘ means that he has few possibilities for counterplay against White’s center. 6...♘d7 7.♘f3 f6 8.♘d3? fxe5 9.♘xe5 ♘xe5 10.dxe5 g6 11.0-0 ♘e7 12.♘g5 ♘b6 13.♗e2 ♘g7 14.h4 While it looks like a good idea to break up Black’s structure on the kingside I really wonder what Pascal had in mind against Black’s best response. More sensible to me looks 14.♘h1 ♘c6 15.f4 0-0 16.♘b5. 14...♘d4? The position is very unclear after 14...♘c6!? when I suspect that Pascal probably intended 15.h5? 0-0 16.hxg6 hxg6 17.♘xg6 ♘xe5 18.♘c2. Black might wish for a pawn or two in front of his king, but those center pawns will come in handy if White doesn’t find anything! After the text White’s attack is too fast. 15.♕e1 h6 16.♖ad1! ♕b4 17.♕f6! ♕f7 18.a3 c5 19.♖f3 ♔hf8 20.h5 ♕g8 21.hxg6 ♔h8 22.g4 ♔e8 23.♔h3 1-0. Notes by David Ross Lipnowski, Michael Abreu, Jose Montreal CA op (2), 2002 Slav: Exchange D10 1.d4 c6 2.c4 d5 3.cxd5 cxd5 4.♘f4 ♘c6 5.♗c3 a6 6.e3 e6? I find it hard to understand why a 2200 rated player would voluntarily condemn his light squared bishop to total passivity?! 7.♘d3 ♘d6 8.♗g3 ♘f6 9.♘f3 0–0 10.0–0 ♘e8 11.♗c1 ♘xg3 12.hxg3 e5?! Black trades his bad bishop for an isolated queen pawn. 13.♗xe5 ♘xe5 14.dxe5 ♘xe5 15.♕e2? ♘d7 16.♗d4 ♘e7 17.♘f3 ♘c6 18.♘fd1 ♘e8 19.b4 b5? Poor bishop. It’s just not his day. 20.ax3 ♘b7 21.♗e2! White clears the c-file for an invasion of his heavy artillery, while the knight finds a pleasant home on d4 or f4. 21...♘d6 22.♗c5 ♘b8 23.♗c7 ♘a8 24.♗d4 ♘c7 Black might try 24...♗e4?! 25.♗b6 ♘c8 26.♗f5 ♘e6 27.♗d6! 27...♗b8?? While the liquidation 27...♗xc1 28.♗xc1 ♘f8 29.♗xb7 ♘xd6 30.♗c8 ♘d8 31.♗xd8 ♘xd8 32.♗xa6 also leads to a win for White, Black’s only chance to hold out is 27...♗d8! 28.♗xb7 ♘exd6 29.♗xa8 ♘xa8. 28.♗c7 ♘xd6 29.♗xd6 ♘d8 7.♗c3 a6 8.♗a3 ♘e7 9.♘e2 0–0 10.0–0 ♘c7 11.♗c3 b6 12.f4 ♘b7 13.♗f3 ♘ac8 14.g4 ♘a5 15.g5 ♘d7 16.♗c1 ♘b8 17.♗e2 ♘e8 18.♗g2 ♘f8 19.♗f3 g6 20.♗h3 ♘g7 21.♗f2 d5 22.cxd5 exd5 An interesting possibility is 22...♗xf4? 23.e5 ♘c4 24.♗xd5 ♘dxe5 25.fxе5 ♘xe5 30.♗b6 ♘e8 31.♗d4 ♘d6 32.♗c5 ♘d8 33.♗dc1 g6 34.♗g4! Black pawn advances on the kingside only create new weaknesses. 34...f5 35.♗f3 h5 36.♗d1 ♘e6 37.♗b3 ♘d6 38.a4 ♘f6 39.axb5 axb5 40.♗xb5 ♘a6 41.♗bc5 ♘f8 42.♗c7 ♘c4 43.♗a7 ♘e8 44.♗h7 ♘f6 45.♗xc4 dxc4 46.♗xc4 ♘g8 47.♗c8 ♘f8 48.♗a8 ♘e6 49.♗d7 h4 50.gxh4 ♘xh4 51.♗dd8 ♘e4 52.♗xe8+ ♘xe8 53.♗xe8+ ♘xe8 54.♗xe8 ♘xe8 55.♗f1 ♘d7 56.♗e2 ♘c6 57.♗d3 ♘b5 58.♗c3 g5 59.f4 g4 60.g3 A really nice win against a much higher rated opponent. 1-0. Round 3 As predicted, the top boards in this round featured contests between several tournament heavyweights. Degraeve scored a big, convincing win on board one versus Hebert, while Barsov and Burnett on board two as well as Nogueiras and Bluvstein on board three ended drawn. Bluvstein in particular looked impressive by keeping his cool in a passive position against a strong GM. Notes by David Ross Fernandez, Lautaro Mikanovic, Goran Montreal CA op (3), 2002 Sicilian: Hedgehog B44 1.e4 c5 2.♘f3 e6 3.d4 cxd4 4.♘xd4 ♘c6 5.♗b5 d6 6.c4 ♘f6 Degraeve, Jean Marc Hebert, Jean Montreal CA op (3), 2002 French: Tarrasch C05 IMs Degraeve and Hebert would ultimately share first place with IM Pascal Charbonneau. 1.e4 e6 2.d4 d5 3.♘d2 ♘f6 4.e5 ♘fd7 5.♗g3 c5 6.c3 ♘c6 7.♘d3 cxd4 Black can try 8...g5? although that sort of move proved to be a committal choice in a recent game of mine against Plaskett at Hastings. Black cannot afford to make even one second-rate move if he is to avoid disaster. With this experience in mind I now believe that 8...a5 is likely Black’s best try in this position, at least according to the somewhat limited material available in current databases. Hebert’s choice, however, is also very reasonable. 8.cxd4 ♘b6 9.a3 a5 10.b3 26.♗e7+ Black must have missed this shot in his calculations. 26...♘f8 27.♗g4 ♘xc7 28.♗xc4 b5 29.♗xb7 ♘xc4 30.♗xc4 ♘c7 31.♗a5 ♘c1+ 32.♗g2 ♘c2 33.♗e3 ♘xb2 34.♗e4 ♘c7 35.♗b4+ ♘g7 36.♗e8 ♘xf2+ 37.♗xf2 ♘xh2+ 38.♗g2 1-0. Degraeve plays to limit the scope of Black’s knights on the queenside. 10...Qe7 11.0-0 f5 Hebert tries to improve on the game Degraeve–Apicella, 1991, which continued 11...Qd7 and was eventually drawn. 12.exf6! Qxf6 13.Qb2 0-0 14.Qe5 g6 15.f4 Qd7 16.Qdf3 Just like that Black is completely busted. A nice game by Degraeve. 27...Qxe5 28.dxe6 Qxe6 29.Qf8+! Qxf8 30.Qxf8 Qxg4 31.Qd5+ Qf7 32.Qc5 Qe8 33.Qc2 Qe2 34.Qe3 1-0. Notes by David Ross Nogueiras, Jesus Bluvshtein, Mark Montreal CA op (3), 2002 Reti: London A07 1.Qf3 d5 2.g3 c6 3.Qg2 Qf6 4.0-0 Qg4 5.d3 Qbd7 6.Qbd2 e6 7.h3 Qh5 8.e4 dxe4 9.dxe4 Qe5 10.Qe2 16...Qxe5? Black’s reaction to his opponent’s central buildup is understandable. The resulting weakness of the dark squares around his king doesn’t look serious, but watch what happens over the next dozen moves! In retrospect, perhaps 16...Qg7?? is more careful. 17.fxe5 a4 18.b4 Qa7 19.Qc1! Qc4 The exchange of Black’s bad bishop with 19...Qb5 also leads to a sizeable White advantage after 20.Qh6 Qf7 21.Qg5 Qxf1+ 22.Qxf1! 20.Qa2! Qb6 21.Qaf2 Qc6 22.Qxc4 dxc4 23.Qh6 Qf5 24.g4 Qf7 25.Qe1! This funny move seals Black’s fate. 25...Qxf2 26.Qxf2 Qd8 The funny part, at least for White, lies in the fact that 26...Qxd4? 27.Qxd4 Qxd4 28.Qd2 doesn’t work for Black. 27.d5! Notes by David Ross Ivanov, Igor Lawson, Eric Montreal CA op (3), 2002 Queen’s Indian E17 Here Canada’s newest FM receives a lesson in positional chess by IM Igor Ivanov. Most enjoyable about games like this is the apparent ease with which the stronger side exploits each new weakness. 1.Qf3 Qf6 2.c4 c6 3.g3 b6 4.Qg2 Qb7 5.d4 Qe7 6.Qc3 Qe4 7.Qxe4 Qxe4 8.Qh4 Qxg2 9.Qxg2 f5? Mistake number one. Better is 9...d5. 10.0-0-0-0 11.b3 Qf6 12.Qb2 Qe7 13.Qc2 d6? Mistake number two. Correct instead is 13...c5! 14.e4! fxе4 15.Qxe4 Qd7 16.Qae1 Qfe8? White has work left to do after 16...Qae8. 17.Qf4 Qf8 18.Qh5 c5 19.Qxf6+ Qxf6 20.f4 Qad8 21.Qf2 Qf7 22.Qfe2 d5?? 23.cxd5 cxd4 24.Qxd4 Qc7 25.Qe5 Qd7 26.f5 Qb7 27.fxе6 Qc7 28.Qf5 1-0. Round 4 Jean Marc Degraeve was the last player to surrender his perfect record with a draw today against IM Ivanov, who was content to take it easy on the White side of a short game. The next few boards featured ‘strong Master versus titled player’ match ups, with the titled players normally demonstrating, well, why they have the titles! The following effort by GM Barsov looks like the product of excellent opening preparation. Notes by David Ross Barsov, Alexei Voskanian, Vahagn Montreal CA op (4), 2002 Queen’s Gambit: Exchange D36 1.d4 d5 2.c4 e6 3.c3 d5 4.cxd5 exd5 5.g5 e7 6.e3 b7 7.d3 0-0 8.ge2 c8 9.0-0 c6 10.c2 f8 11.f3 h5 12.exf7 xf7 13.e4 dx e4 14.fx e4 White scores an incredible 84% from this position in my database, and Voskanian soon gets in big trouble. 14...g5 15.e5 e6 16.c4! e3+ 17.h1 g6? The contrast between White’s very harmonious pieces and the awkward clutter in Black’s position is obvious. Better is 17...e7! 18.d6 e7 19.f5! xf5 20.xf5 The game is basically over since Black has no adequate defense to the threat of 21.g4. 20...f8 21.g4 g6 22.gxh5 gx f5 23.f4 e6 24.g1+ f8 25.g3 d4 26.xd4 xe5 27.g2 a8 28.d2 f6 29.d3 c4 30.dg3 g4 31.xg4 fxg4 32.b4+ e7 33.xg4 e6 34.b3 h6 35.g8+ e7 36.g7 a6 37.g1 1-0. Notes by David Ross Lawson, Eric Buscar, Michael Montreal CA op (4), 2002 Trompowsky D00 1.d4 d5 2.g5 d6 3.xf6 exf6 4.c3 c6 5.d2 e6 6.g3 e7 7.g2 d7 8.e2 b6 9.b1 0-0 10.f4 fe8 11.0-0 f8 12.a3 a6 13.e1 f5 14.c3 b5 15.c2 1.e4 c5 2.f3 e6 3.d4 cxd4 4.dx d4 f6 5.c3 c6 6.xc6 bxc6 7.e5 d5 8.e4 c7 9.f4 b6 10.d3 a6 11.e2 xd3 12.xd3 e7 13.c4 b4 14.d1 d4 15.xd4 c2+ 16.f2 xd4 17.d1 f5 18.g4 h6 19.h3 f5 20.exf6 gxf6 21.f7 22.f4 h5 23.g3 hxg4 24.fx e6 dx e6 25.hxg4 d8 26.xd8+ xd8 27.c5 c8 28.e1 e5 29.d2 d7 30.e3 h8 31.b4 c6 32.a3 b7 33.f3 d8 34.g3 d5 35.d3+ c4 36.e4 c6 37.f5 a5 ac8 16.h4 b7 17.f3 b8 18.g5 g6 19.h5 h6 20.gxe6 fxe6 21.hxg6 hxg6 22.xg6 f7 23.f4 xf4 24.exf4 h8 25.e2 h6 26.be1 d6 27.a4 a6 28.axb5 axb5 29.a1 ch8 30.a7 f6 31.b3 e7 38.d6 d8?? The only defense is 38...d4 although after 39.xe7 xe7 40.bxa5 White still wins. 39.xe7 xe7 40.xd8 1-0. Round 5 By round five our young Canadian Champion found himself at the head of the field with 4.5/5 by virtue of a textbook positional win over FM Ray Phillips, followed by Jean Marc Degraeve, Alexei Barsov, Oleg Legky, Mark Bluvshhtein and Jesus Nogueiras at 4/5. In the next game our youngest IM makes a fine draw with one of the eventual tournament winners. Notes by David Ross Degraeve, Jean Marc Bluvshhtein, Mark Montreal CA op (5), 2002 French: Winawer Exchange C01 1.e4 e6 2.d4 d5 3.c3 b4 4.exd5 exd5 5.d3 c6 6.a3 c7 A well played opening eventually leads to an interesting endgame that looks more or less equal, but then Pascal starts to press his opponent until a nice tactical idea causes Black to cough up a piece. First played by David Bronstein in 1955. Most practical examples feature 6...xc3 and while White always seems a touch better Black is of course fine. 7. $d2 c2 $g4?! Mark’s improvement on the game Degraeve–Del Rio Angelis, Leon EUch tt (1) 2001. 8.c3 $d7 9.$c2 $d6 10.$g3 $g7 11.h3 $xg3 12.hxg4 $d6 13.f3 $g6 14.$e2 $c7? 15.$f1! The sequence 15...$xg6? fxg6 16.$xg6+ hxg6 17.$xb8+ $f7 18.$xa8 $h4+ 19.$f1 $h1+ 20.$g1 $e5! 21.$g5 $d3 looks a little scary but should be good for White. 15...0-0-0 16.$h5 $b8 17.$d2 $f8 18.$e1 $c6 19.$xd5 $h5 20.g5 $h2 21.$xd8+ $xd8 22.$e4 $xg5 23.$xc6 bxc6 24.$b3+ $c8 25.$a4 29.c4 The pawn can be safely taken with 29.$xa7? although I do not see anything clear for White after 29...$d7 30.$a4 h4 31.c4 $f5 32.$c2 $h5 33.$f2 $f4! Presumably 34.d5 or 34.$e4 comes next, but neither move looks convincing after 34...h3. 29...$f5 30.$c2 $xc2 31.$xc2 $e8 32.$f2 $xf2 33.$xf2 $d7 34.b4 g5 35.$d2 f5 36.d5 f4 37.dxc6+ $xc6 38.$d5 g4! 39.fxg4 hxg4 40.$g5 g3+ 41.$f3 $e3+ 42.$xf4 $xa3 43.$xg3 $a4 44.b5+ $c5 45.$e3 $d4 46.$c1 $d3 47.g4 $d2 48.$b1 $xc4+ 49.$f5 c6 50.bxc6 $c5+ 51.$g6 $xc6+ 52.$h5 a5 53.g5 a4 54.$g1 $a6 55.g6 $a7 ½-½. Notes by David Ross Burnett, Ronald Ivanov, Igor Montreal CA op (5), 2002 Sicilian: Rossolimo B30 Igor mishandles the opening and Burnett crushes him tactically. 1.e4 c5 2.$f3 $c6 3.$b5 c6 4.$c3 a6 5.$a4 b5 6.$c2 $b7 7.0-0 $c8 8.$e1 $c7 9.a4 $b4 10.d4 bxc3 11.d5 cxb2 12.$xb2 $d4 13.$bd2 $xc2 14.$xc2 In exchange for the pawn White has a huge development lead. 14...$c4 15.$ab1 $a8 16.d6 $c5 17.$d4 $xd6 18.$xc4 $c7 19.$b2 $f6? Necessary is 19...f6. 20.$b6 $b8?? Better, but also pretty harsh for Black is 20...$d8 21...$xf6 gxf6 22.$xf6 $g8 23.$ec1. 21.$d5! $xb2 22.$xc7+ $d8 23.$xa8 1-0. Notes by David Ross Meng, Fanhao Hebert, Jean Montreal CA op (5), 2002 Sicilian: Alapin B22 Here the third place finisher in the B14 Section at the CYCC holds IM Jean Hebert to a draw with a strange opening. 1.e4 c5 2.$c3 e6 3.$e5 Certainly no better than the usual 3.d4 or 3.$f3. 3...$d5 4.exd6 $xc6 5.d7+ $xd7 6.$f3 $f6 7.d4 $b6 8.$a3 cxd4 9.$c4 $c7 10.cxd4 $b4+ 11.$d2 0-0 12.$d3 b5 13.$e3 $wb6 14.0-0 $fd8 15.$c1 $xd2 16.$xd2 16...$e7! Jean securely blockades the d/¥ and can look forward to an easy life. Unfortunately positions of this type are hard to win. 17.$fd1 $e8 18.$e5 $g6 19.$xg6 hxg6 20.b4 $d6 21.$c5 $ad8 22.f3 a5 23.a3 $a7 24.$b2 If any advantage is to be had for White in this position, then it has to come after 33...d5! whereas the text quickly fizzles out to a draw. 33...Qd6 34.Qb4 Qxb4 35.Qcxb4 Qd6 36.Qc2 Qc6 37.Qf2 Qd5 38.Qxa4 Qdxb6 39.Qxb6 Qxb6 40.Qb4 Qa6 41.Qb8+ Qh7 42.Qb4 ½-½. Notes by David Ross Mayo, Alvah Lawson, Eric Montreal CA op (5), 2002 Reti A05 Alvah Mayo upsets FM Eric Lawson in a seemingly equal endgame when Eric hangs a piece. 1.Qf3 Qf6 2.b3 g6 3.Qb2 Qg7 4.c4 d6 5.g3 e5 6.d3 0-0 7.Qg2 Qh5 8.Qc2?! Alvah commits his queen far too early. 8...Qc6 9.Qc3 f5 10.0-0 f4 11.Qd5 g5 12.Qd2 g4 Better is 12...Qd4! 13.Qc4 Qd4 14.Qxd4 exd4 15.Qxf4 Qxf4 16.gxf4 Qxf4 17.Qae1 Qe5 Certainly more aggressive is 17...Qh4? 18.e3 Qf8 19.exd4 Qxd4 20.Qd2 Qh8 21.Qg5 Qf5 22.Qxd8 Qaxd8 Black is slightly better, so it's hard to believe he goes on to lose. 23.Qd1 c6 24.Qg3 Qg6 25.Qe4 Qxe4? An instructive mistake. Together with the opponent's weak d-file Black's advantage also disappears. 26.dxe4 Qc5 27.Qd2 Qg7 28.Qg2 Qf6 29.f4! gxf3+ 30.Qxf3+ Qe5 31.Qf5+ Qxf5 32.exf5 d5 33.Qf3 Qf8 34.Qc2 b6 35.Qd2 a5 36.a4 Qb4 37.Qe2+ Qd4 38.cxd5 cxd5 39.Qe6 Qc3 40.Qxb6 Qxb3 41.Qb7 36...d5 37.exd5+ Qxd5 38.a5 e4 39.axb6 axb6 40.fxе4+ Qxe4 41.Qd1 Qe3 42.Qa8 f3+ 43.Qxf3 Qxf3 44.Qb8 Qf4 45.Qf1 Qc2 0-1. Round 6 The pack catches up to Charbonneau, who splits the point with American IM Ronald Burnett. But the big news does not exactly happen on the chessboard. IM Igor Ivanov arrives for his game against Dmitri Feoktistov over an hour late, and duly forfeits. The problem is compounded when Ivanov, who is clearly inebriated, gets into a noisy argument with another player and ends up expelled from the tournament?! Notes by David Ross Hua, Lefong Degraeve, Jean Marc Montreal CA op (6), 2002 Modern Benoni A68 1.d4 Qf6 2.c4 c5 3.d5 d6 4.Qc3 g6 5.e4 Qg7 6.f4 0-0 7.Qf3 c6 8.Qe2 exd5 9.cxd5 Black's unusual move order to reach Benoni channels bypasses several annoying lines with an early Qb5+ by White, such as 1.d4 Qf6 2.c4 c5 3.d5 e6 4.Qc3 exd5 5.cxd5 d6 6.e4 g6 7.f4 Qg7 8.Qb5+. 9...Qg4 Also playable is 9...Qe8. With the text Black shows that he wants to unload his Qg4 at some point, probably for White's Qf3 but sometimes also for the Qe2. This type of position provides a good example for the chess theme 'piece capacity': Black's relative lack of space obliges him to trade one or two minor pieces in order to make enough room for maneuvering effectively with the rest of his army. 10.0-0 In the game Hua–Hebert, PQ ch active 1997, Lefong eventually lost a tough game after 10...d2 exf2 11...exf2 e8 12.0-0 a6 13.a4 b7 14.b3 c7 15.c4 b6 16.xb6 xb6 17.a5 c7 18.e1 d7 19.d2. Here Black clearly managed to solve his space problem with the exchange of two sets of minor pieces, while his remaining forces prevent the advance of White’s big center. 10...bd7 11.h3 xf3 12.xf3 e8 13.a4 a5 In Hua–Fortier, 2000, White enjoyed some play against Black’s a5 under the cover of his still proud center after 13...c4 14.e3 a6 15.a5 c7 16.a4 b5 17.axb6 xb6 18.a5 fd7 19.a1. 14.d2 c4 Jean Marc clears c5 for the eventual occupation by d7. The presence of Black’s queen on a5 temporarily prevents the advance of White’s a5 and thereby makes it more difficult for the opponent to harrass Black’s own c5. 15.h1 a6 16.c2 c7 17.e3 ac8 18.fc1 b8 19.a5 Necessary to prevent Black’s queenside expansion with ...b5. 19...c5 Black cannot get too greedy, since 37...xb4 38.c8 b6 39.xd8+ xd8 40.e1 g7 41.e8 looks rather unclear. 38.c7 xb4 39.xb7 a5 40.xb4 axb4 41.c6 c7 42.a4 Black should win, but some measure of care is still required. White’s king cannot be allowed to escape, and Black has to make sure that any transitions to opposite colored bishop endings are winning. 42...f6 43.b1 b8 44.c1 Black might have preferred 43...c5 on his last move instead of committing his rook to the b/file. White now has some play based on threats like 45...c8. 44.d8 45.c4 f5 Now we see the problem: the rooks come off after, for example, 45...g5 46.e4 a7 (46...c7 47.c4+ d8 48.e4) 47.e8+ c7 48...xb8 xb8 49.g1. Black wants to reach a similar ending, but with the opponent’s king still trapped in the corner. 46.h2 A pawn is a pawn, and 46...xf4 looks like the only hope. 46.g5 47.h1 c3 48.h2 b6 49.c6 The pawn is immune because of 49...xb4?? g1+ 50.xg1 xb4. 49...a8 50.b5 f2 51.c1 e3 52.c6 b8 53.a4 xd7 After 53...xd7 54.b6+ (or 54.f6+ c7 55.axf5 b3 56.xg5 b2 57.c2 b1 58.cxb1 cxb1 with mate after ...f2-g3) 54...c7 55...xb8 xb8 Black’s king escorts the b/file to victory. 0-1. Notes by David Ross Fernandez, Lautaro Linsky, Oleg Montreal CA op (6), 2002 Sicilian B33 1.c4 c5 2.f3 c6 3.d4 cxd4 4.exd4 b6 5.b3 f6 6.c3 e6 7.d3 d6 8.e3 c7 9.0-0 In Almasi–Morozевич, 2000, White took a different approach with 9.f4 a6 10.g4 b5 11.g5 d7 12.d2 c5 13.c5 dx5 dx5 14.f2 b7 15.0-0-0 0-0-0 16.hf1 d4. The position looks slightly better for White, though Black won in 52 moves. 9...a6 10.a4 b6 11.f4 Qb7 12.Qh1 Qe7 13.Qf3 Qd7 14.Qh3?! Presumably a demonstration to discourage Black from castling kingside due to disaster on h7. 14...Qb4 15.Qac1 Qf6 16.Qd4 After 16.f5 Qe5 (or 16...e5) 17.fxе6 Qbxеd3 18.cxd3 Qxd3 19.Qe2 Black’s bishop pair helps balance White’s central control. 16...Qc5 17.Qg1 0-0-0 ![Diagram] 18.e5? Though Black comes up with a cool refutation, you have to hand it to White for coming up with such a carnivorous approach! 18...dxe5 19.fxе5 Qxe5 20.Qdb5 axb5 21.Qxb5 Qbxd3! Forced, and more than good enough. 22.Qxc7 Quite tricky is 22.cxd3 Qxd3 23.Qxc7 (another decent try is 23.Qh5 Qxg2+ 24.Qxg2 Qb7+ 25.Qf3) 23...Qxh3 24.Qxe5 Qd7? (but definitely not 24...Qxc7? 25.Qxc5 bxc5 26.Qxf7+ Qd6 27.Qxb7) 25.Qb5 Qxc7 26.Qxb6+ Qxb6 27.Qxf7+ Qd7 28.Qxb7+ Qxb7 29.gxh3 Qc6 and Black wins. 22...Qxe1 23.Qxe1 Qxc7 Black emerges with Q+Q+Q vs Q and the result is no longer in doubt. A very pretty game by Oleg. 24.Qe3 Qd5 25.Qh4 Qhd8 26.Qf4 g5 27.Qxg5 Qg8 28.Qf4 Qd4 0-1. Round 7 Another draw for Charbonneau on top board after an active defense against Degraeve. The front group grows larger due to the many decisive games among the players at 4.5/6. ![Diagram] Thomas Roussel-Roozmon Notes by David Ross Roussel Roozmon, Thomas Barsov, Alexei Montreal CA op (7), 2002 Queen’s Gambit Declined D59 1.Qf3 d5 2.d4 Qf6 3.c4 e6 4.Qc3 Qe7 5.Qg5 h6 6.Qh4 0-0 7.e3 b6 8.cxd5 Qxd5 9.Qxe7 Qxe7 10.Qc1 Qb7 11.Qxd5 White should always defer this exchange until the second player commits his bishop to b7 as otherwise Black recaptures with the pawn followed by ...Qe6. 11...Qxd5 12.Qe2 c5 The greedy 12...Qxa2? 13.b3 Qb4+ 14.Qd2 traps the bishop for later consumption, but 12...Qc8 13.0-0 c5 14.dxc5 Qxc5 15.Qxc5 Qxc5 16.Qa4 leads to a position that although it scores well for White in practice looks only marginally better for the first player. 13.dxc5 Qd8! A nice finesse to drive the queen to a less optimal square. 14.Qc2 The queen looks oddly out of place on the c-file, but the immediate 14.Qa4 did not impress after 14...Qd7 15.e4 (also slightly better for Black was 15.0-0 Qxc5 16.Qa3 a5 in the game Strating—Barsov, Ghent op 1993) 15...Qxc5 16.Qxc5 Qxc5 17.exd5 Qc1+ 18.Qd1 Qxd5 19.0-0 White’s position has been sliding downhill slowly, but this move really speeds things up. Barsov now initiates a tactical sequence to turn his superiority into a tangible structural advantage. 21...Qxf3 22.cxf6 Qxf6 23.Qh7+ Basically forced, since the ending after 23.gxf3 Qxd3 24.Qxd3 (24.Qc8+ Qd8 also wins a pawn) 24...Qg5+ 25.Qf1 Qxc1+ 26.Qg2 is dismal. 23...Qh8 24.gxf3 g6 25.Qxg6 Qg8 26.Qf1 Qxg6 27.Qe4 Qg7 28.h4 Qb2 29.Qc2 Qa1+ 30.Qe1? White stays in the game with 30.Qe2 although Black’s superior structure and safer king promise a lasting advantage. Instead, White blunders. 30...Qg1+ 0-1. Notes by David Ross Degraeve, Jean Marc Charbonneau, Pascal Montreal CA op (7), 2002 Sicilian: Rossolimo B30 Two of the ultimate co-winners face off in an exciting struggle. 1.e4 c5 2.Qf3 Qc6 3.Qc3 e6 4.Qb5 Qd4 5.0-0 a6 6.Qd3 Thanks to White’s last move it is now dangerous for Jean Marc to grab the pawn on c6 since ...b7 gives Black too much play on the long diagonal. 19. $c3 c5 Black cannot allow 20.a4 followed by a solid bind on the dark squares. 20. dxc5 bxc5 21. exc5 $xc5+ 22. h2 d6 23. a4 d8 24. c5 b4 25. d2 d4 26. e3 d5 27. f1 f7 28. c4 a5 29. ec1 e5 Pascal has been treading carefully, but now grabs his chance to play for an initiative. 30. fxe5 xe5 31. g3 g5 This position scores well for White in praxis, though it is hard to believe that Black should suffer more than the normal disadvantage of moving second. 6. e7 7. dxd4 cxd4 8. e2 c6 9. c3 d5 White’s more active pieces proved decisive after 9... c5 10. b4 a7 11. cxd4 xd4 12. b2 xe2+ 13. xe2 0-0 14. e5 h4 15. a4 d8 16. fc1 h6 (eschewing the very risky pawn grab 16...xb4) 17. c4 d5 18. edx6 edx6 19. xg7 xf2+ 20. xf2 xg7 21. ac1 edx3 22. ecx8 d8 23. ec7 as played in Tseitlin–Khenkin, IL ch 1994. 10. cxd4 dxe4 11. xe4 e7 Playable, although perhaps a little awkward for Black is 11... edx4 12. a4+ b5. 12. xc6+! bxc6 13. d3 0-0 14. e3 A position with an interesting problem for Black. Pascal might be tempted at some point to liquidate his own pawn weakness for one of his opponent with...c5 and then try to use the bishop pair, but in that case White is left with a potentially dangerous queenside majority. 14... b8 15. b3 d6 16. c1 c7 17. h3 f5?! Pascal tries to mix things up a bit with the possibility of advancing his f/8 even further. 18. f4 a5 Round 8 A win by all four GMs today greatly increases the chances that at least one of them will win the tournament. IM Hebert also maintains the pace by smoothly beating Laptopt, a player who both Legky and Barsov agree is much stronger than his FIDE rating might suggest. Notes by David Ross Legky, Nikolai Phillips, Ray Montreal CA op (8), 2002 Irregular: Bogoljubow A40 1. d4 c6 2. d5 e5 3. e4 e6 4. dx6 fxe6? More enterprising than 4...dxe6 but more risky as well. 5. c3 Deviating from Chabot–Schleifer, PQ op 2001, which produced a complex struggle after 5.f4 g6 6.d3 c5 7. c3 e7 8. d3 0-0 9.g3 d5 10.e5 a6 11. e2 a7. 5... g6?! 6. f3 c5 7. h4? This reaction is also a common idea in the related Nimzovich Defense whenever Black’s knight lands on g6. White gains time by harassing the knight, which in turn will have a hard time finding a suitable stable for several moves to come. Meanwhile the advance of White’s h/8 has set the stage for creating further weaknesses on the opponent’s kingside. 7... f6? Black’s position does not look inspiring after 7...d6 either, but the idea associated with the text move turns out very badly. 8. g5 f7 9. d2 d6 10. h5 f8 11. a4 The immediate leap 11. e5 xf2+ 12. xf2 xf2+ 13. xf2 dxe5 14. b5 also leaves Black in big trouble. 11... b6 12. xb6 Ray no doubt saw that 12...cxb6 avoids what comes next, but why play out the ruins of Black’s position after 13. xd6. 12... axb6 13.♕e5! dxe5 14.♔d8# 1-0. Notes by David Ross Hebert, Jean Laptos, Chris Montreal CA op (8), 2002 Old Indian A53 1.c4 d6 2.d4 ♘f6 3.♘c3 ♗f5 4.♗f3 c6 5.♘h4 ♗d7 6.e4 e5 7.♘f3 ♘e7 More natural appears 7...♘c7 when White could claim a small advantage after 8.♘e2 g6!? (or 8...e7) 9.0-0 ♘g7 10.b3 exd4 11.♘xd4 0-0 12.♘f4 ♘e8 13.♘f3 ♘a6 in the game Giorgadze–Ubilava, 1997. 8.♘e2 g6 9.0-0 ♘g7 10.d5 The position now bears a strong resemblance to the King’s Indian, but not in a form that is particularly appealing for Black. 10...0-0 11.♘e1 cxd5? The wrong positional idea. Black has to generate play on the kingside, and therefore opening lines on the queenside is counterproductive. Surely 11...♘e8 or 11...♖h8 and 12...♘g8 followed in both cases by ...f5 is more in the spirit of the position. 12.cxd5 ♘a6 13.♘e3 ♘fc8 14.f3 ♘h5 15.♘d3 b5 16.a3 ♘e8 17.♗d2 Events have unfolded in a very promising way for White, since the action is almost solely located on the queenside where he is much stronger. Chris probably tried hard to make some sort of pawn sacrifice based on ...♘f4 work at various moments, but Jean is careful not to allow any such excitement. 17...♘c5 18.♘xc5 dxc5 Black has a variety of possibilities available for defense. Most popular in practice is to prevent the advance of White’s g/♖ with 7...h6 or the provocative 7...e5?! The latter leads to a highly theoretical piece sacrifice, viz. 8.♘f5 g6 9.g5 gxf5 10.exf5 d5 11.♘f3 d4 12.0-0-0 ♘bd7 13.♘d2 ♘c7 14.gxf6 dx3c 15.♘xc3 ♘xc6 16.♘g2 ♘h6+ 17.♔b1 ♘f4 18.♘d3 ♘g8 19.♘h3 ♘d8 20.♘b4 ♘xf6 21.♘c4 ♘g5 22.♘d6 ♘g7 23.f6 ♘g1+ 24.♔f1 1-0 Shirov–Topalov, Wijk aan Zee 2001. 8.g5 ♘fd7 9.h4 ♘c6 10.h5?! Normally White prepares his assault with moves like ♘d2 and 0-0-0. 10...g6 Playable looks 10...♘xg5!? 11.♘xc6 bxc6 12.♘xg5 ♘xg5 13.♘xd6 ♘c5. 11.♘e2 ♘g8 12.0-0-0 ♘c7 13.f4 ♘xd4 14.♘xd4 b5 15.♘h3 b4 19.a4! Jean opens lines on the queenside in order to find employment for his rooks and light squared bishop. 19...bxa4 Unfortunately the desired 19...a6? hangs a pawn after 20.axb5 axb5 21.♖xa8 ♘xa8 22.♘xc5 while 19...b4?! 20.♘b5 ♘f8 prevents the regrouping ♘d6-c4 but runs into 21.d6 with a big edge to White. 20.♘a6 ♘c7?! Black decides to give the exchange rather than his ♘/c5 after 20...♘d8 or 20...♘cb8. 21.d6 ♘c6 22.♘b7 ♘d8 23.♘xc6 ♘xc6 24.♘g3 ♘f8 25.♘xc5 ♘c6 26.♘ad1 ♘c4 27.♘a3 ♘g7 28.♘d3 ♘b5 29.♘a6 ♘d7 30.♘a5 ♘c8 31.♘xe5 ♘e6 32.♘a5 ♘g7 33.♘d5 ♘c2 34.♘b4 ♘xb4 35.♘xb4 ♘e2 36.♘f2 Very sensible. Jean avoids any tactical hassles and converts his material advantage easily. 36...♘d4 37.♘xd4 ♘xd4 38.♘xe2 ♘xe2+ 39.♔f2 ♘d4 40.♘g7 41.♘b4 ♘b5 42.e5 ♘d4 43.♘c3 ♘e6 44.♘f6 Black has nothing better than 44...♘c6 (or 44...♘f8 45.♘xd7 ♘xd7 46.e6+) 45.d7 ♘f8 46.♘b4+ ♘g7 47.♘a5 and White promotes. 1-0. Notes by David Ross Charbonneau, Pascal Voskanian, Vahagn Montreal CA op (8), 2002 Sicilian: Najdorf B81 1.e4 c5 2.♘f3 d6 3.d4 cxd4 4.♘xd4 ♘f6 5.♘c3 a6 6.♘e3 e6 7.g4 ♘e7 16.♘d5?! The Canadian Champion is a brave man! In exchange for the piece White gets play down the e/file against Black’s unhappy king. 16...exd5 17.exd5 ♘d8 18.♘de1 ♘e8 19.♘f6 ♘c5? An understandable defensive lapse. With the benefit of hindsight it is clear that Black must keep the h/file closed in order to prevent infiltration by White’s ♘/h1. After 19...♘f8 20.♘xc8 ♘xc8 21.hxg6 fxg6 22.♘h3 ♘b7 23.♘e3 ♘c7 Black has weathered the storm. 20.♘xc8 ♘xc8 21.♘h3? The silicon beast quickly comes up with 21.hxg6 hxg6 22.♘xe7+ ♘xe7 23.♘xe7+ ♘xe7 24.♘h8+ ♘d7 25.♘xe7+ ♘xe7 26.♘xc8. 21...♘e6! 22.♘e3 ♘xf4 23.♘xe7 ♘xc2+ Forcing a repetition after 24.♘7xe2+ ♘d7 (after 24...♘e7? 25.♘xe7+ ♘d7 26.♘f6 the threat 27.♘e7+ is too much for Black) 25.♕xe7+ ♔xe7 26.♖xe7+ ♕d8 27.♖e2+ ♕d7 28.♖e7. ½-½. Round 9 Among the leaders only Jean Hebert manages to win over fellow IM Ronald Burnett today, landing the Montrealer in clear first place with one round to go! Notes by David Ross Bluvshtein, Mark Demmery, Stephen Montreal CA op (9), 2002 Queen Pawn: Keres D06 1.d4 d5 2.c4 ♘f5 3.cxd5 ♘xb1 4.♗a4+ c6 5.♗xb1 ♘xd5 6.♘f3 ♘d7? 7.e3 e6 8.b4 ♗g6 9.♘c2 a6 10.♘d3 ♘h5 11.h3 ♘e7 12.♘d2 h6 A deceptive position. All looks fairly quiet, but Mark comes up with a clever idea to prove that Black’s ♘/h5 is in big trouble. 13.♗e2! Reminiscent of Karpov’s idea in the Caro-Kann after 1.e4 c6 2.d4 d5 3.♘c3 dxe4 4.♗xe4 ♘d7 5.♘g5 ♘gf6 6.♘d3 e6 7.♘f3 ♘d6 8.♗e2 h6 9.♘e4 ♘xe4 10.♗xe4 ♘f6 11.♘h4!? when 11...♘e7! plans ...g5 next. 13...♘b6 Black also loses material after 13...♘d5 14.e4 ♘d6 15.e5. The only way to wiggle for a while is 13...♘f8 14.e4 ♘d6? 15.e5 when at least g6 is covered to make a move with Black’s f/♖ possible in order to retreat the queen. That’s life, but it’s pretty grim. 14.e4 ♘fd7 15.e5 1-0. Notes by David Ross Burnett, Ronald Hebert, Jean Montreal CA op (9), 2002 English A29 1.c4 e5 2.g3 ♘f6 3.♘g2 d5 4.cxd5 ♘xd5 5.♘c3 ♘b6 6.♘f3 ♘c6 7.0-0 0-0 8.a4 A similar idea used to be fairly popular in the Sicilian Classical Dragon. White wants to provoke 8...a5 or else his a/♖ marches all the way to a6 to undermine the protection of the ♘/c6. 8...a5 For Black the downside is that b5 becomes weak, although this problem is unlikely to become a factor in the game. White’s queenside is as inflexible as Black’s, and there exists virtually no chance of White mobilizing in this sector with the pawn advance b4. 9.♘b5?! In the game Hodgson–Bareev, Black looked fine after 9.d4 exd4 10.♘b5 0-0 (in Kron–Baburin, 1989, the game was equal after 10...♘f6 11.♘f4 ♘d5 12.♘fxd4 ♘xd4 13.♘xd5 0-0 14.♘g2 c6 15.♘xd4 ♘xd4 16.♗b1 ♘f5) 11.♘fxd4 ♘xd4 12.♘xd4 c6 13.e3 ♘f6 and went on to score a crushing victory after 14.♘h5 ♘e7 15.♘d2 ♘d8 16.♗fc1 ♘d5 17.♗c4 g6 18.♗f3 c5 19.♗b3 b6 20.e4 ♘a6 21.♖c1 ♘b4 22.e5 ♘xe5 23.♖e1 ♘d3 24.♗e3 ♘b7 25.♔f1 ♘xe1 26.♖xe1 ♘f6 since now 26.♗xe5 gets mated after 26...♗f3. 9...♘f6 10.e4?! White should transpose to the game Kron–Baburin with 10.d4 exd4. 10...♗g4 11.d4 ♘xd4 12.♗bxd4 exd4 13.e5 ♘e7 14.♗xd4 ♘xd4 15.♗xd4 0-0-0 Black has emerged from the central excitement with the more active pieces and a very comfortable position. White’s ♘/e5 is as much a liability as an asset. 16.h3? ♘xd4 17.hxg4 ♘xa4 18.♗d2 ♘xa1 19.♗xa1 19...♘b4! Perhaps Burnett missed this resource when he embarked on the adventure begun with 16.h3? 20.♗xb4 axb4 21.♘d5 ♘e8 22.♗xf7 ♘xc5 23.♗g2 h6 24.♗d1 ♗e7 25.♔g8 c5 26.b3 ♘c7 27.f4 ♘d7 28.♗f3 b5 29.f5 ♘e5+ 30.♗f4 ♘f7 31.♗xf7 ♘xf7 32.g5 hxg5+ 33.♗xg5 ♘c6 34.♗c1 ♘d5 35.♗f4 c4 36.g4 ♘d4 37.♗b1 ♘c3 38.bxc4 bxc4 39.♗c1+ ♘d3 0-1. Cuartas, Carlos Charbonneau, Pascal Montreal CA op (9), 2002 Queen Pawn D02 1.d4 d5 2.♘f3 ♘c6 An early surprise! 3.♗f4 ♗g4 4.♗bd2 ♗d7 5.e3 f6 6.h3 ♘h5 7.c4 e5?! Perhaps the more restrained 7...e6 is better. 8.dxe5 ♘xf3 9.exf3 This interpolation guarantees White a safe edge, since Black lacks central control and the best development square for his ♞/g8 if he cannot play ...fxe5. 9...♘xe6 Clearly better for White is 9...♘xd1 10.exd7+ ♘xd7 11.♖xd1. 10.♗xf3 ♘b4 11.♗xd5 ♘e7 12.0-0-0 ♘d8 13.♗h5+ g6 14.♗f3 ♘xd2 15.♖xd2 ♘xd2+ 16.♗xd2 ♘b4+ 17.♔c1 ♘c1+ 18.♔d1 Perfectly playable also is 18.♗c2? 18...♗xf2 19.♗c2 ♘xe2 20.♗xe2 A very interesting position. White's bishop pair counts for something, but his advantage is limited by the fact that ♞/e3 allows the opponent to post his knights on the e-file without harassment from any White pawns. With a White ♞/f2 this position would be hugely favorable for White. 20...♘e5 21.♗d1 ♘e7 22.♗c2 ♘7c6 23.♗c3 ♘e7 24.b4 ♘d8 Instead 31.♘c3 ♘xf4 32.exf4 ♘xf3 33.gxf3 ♘xc6 34.♘c4 looks drawn, though maybe Black has some way to convert this. Alas, the text allows... 31...f5# 0-1. From Pascal's games I sense that one of his greatest strengths is the optimistic way in which he plays all positions, no matter their objective merit. In praxis this means constantly probing for opportunities to set tough problems for his opponents, and while sometimes his results will appear 'lucky' they are really a by-product of this opportunism. Round 10 Hebert needs only a draw with Barsov to earn at least a share of first place. Alexei tries to complicate matters, and succeeds only in reaching a miserable position after investing a pawn into the bargain. Then something goes wrong for Jean, but he manages to hold on in the ending for the required half point. Oleg Linsky and Nikolai Legky agree to a draw, thereby knocking each other out of the tie for first. Elsewhere Charbonneau secures his own share of the top prize money with an easy win over Feoktistov, while Degraeve accomplishes the same against Khassanov, albeit less smoothly. Khassanov, Marat Degraeve, Jean Marc Montreal CA op (10), 2002 Sicilian: Maroczy Bind B36 1.e4 c5 2.♘e2 ♘c6 3.c4 d6 4.♗bc3 g6 5.d4 cxd4 6.♗xd4 ♘f6 7.f3 ♘xd4 8.♗xd4 ♘g7 9.♗e3 0-0 10.♗d2 Considering that Black needs a win here for a share of first, his opening setup is quite shocking. Not that it is bad, but rather that White enjoys a large margin of error to keep the game in the 'draw zone'. 10...♗a5 11.♗e2 White's main options are 11.♖c1!? and 11.♘b5?! 11...♘e6 12.0-0 The text is an attempt to keep some life in the position, since 12.♘d5 ♘xd2+ 13.♗xd2 ♘xd5 14.cxd5 ♘d7 15...♝ac1 ♞fc8 16.♗xc8+ ♞xc8 17.♘c1 ♞xc1 18.♘xc1 was soon drawn in Averbakh–Georgadze, 1976. 12...♞fc8 13.♗ac1 In Yandemirov–Vorobiov, Moscow 1998, White had a slight advantage after 13...♞f1 ♞f8 14.b3 a6 15.♖ab1 ♞ab8 16.♗f1 ♞c6 17.b4 ♞d8 18.♘d5. 13...♞d7 14.♗fd1 a6 15.a3 ♞f8 16.♗d5 ♞xd2 17.♗xd2 ♞xd5 18.exd5 Both players now have reason to be happy. White has a slight space advantage and the bishop pair, while Black has managed to avoid the sterile pawn structure that goes hand in hand with the recapture on d5 by White’s c/♘. 18...a5 19.b3 b5 The alternatives 22.♗xc4 ♞xc4 23.♘xc4 ♞c3 and 22.♘xc4 ♞a4 are no better. 22...c3 23.f4 f5 24.♗b5 ♞f6 25.♕c6 For the next two moves Black’s ♞c3 is taboo on account of tactics like 25.♗xc3?? ♞xc3 26.♗xc3 ♞xd5 27.♘c6 ♞a1+ 28.♔c1 ♞xe3. 25...♝a3 26.♗f1 This time 26.♗xc3?? ♞xc3 27.♗xc3 ♞xd5 is the trouble. 26...e6 27.♗d1 ♞b3 28.b5 ♞xd5 29.♗xd5 exd5 30.♗xd5 ♞b2 Black’s extra pawn and active pieces are more than enough. 31.♘c1 ♞e8 32.♗d4 ♞xd4 33.♗xd4 ♞ec2 34.g3 ♞xb2 35.♗g1 ♞bg2+ 36.♗f1 ♞xg3 37.♗c4 ♞h1+ 38.♗f2 ♞xc1 39.♗xg3 c2 The threat is 40...♗g1+ and 41...c1. 40.♗h2 d5 41.♗c8+ ♞g7 42.b6 d4 43.♗c7+ No difference makes 43.b7 ♞b1. 43...♗h6 44.b7 ♞b1 45.♗xc2 ♞xb7 46.♗c8 ♞d7 0-1. Notes by David Ross Charbonneau, Pascal Feoktistov, Dimitri Montreal CA op (10), 2002 Caro-Kann: Advance B12 1.e4 c6 2.d4 d5 3.e5 ♞f5 4.♗c3 c6 5.g4 ♞g6 6.♗ge2 h6 7.♗e3 A solid move to prepare 0-0-0 while protecting ♞/d4 and, by extension, the c5 square. 7...♗b6!? 8.♗d2 ♞d7 Black can take a chance with 8...♗xb2 9.♗b1 ♞xc2 10.♗xb7 ♞xd2+ 11.♗xd2 ♞d7 when White certainly has compensation for his pawn, but probably no more than that. 9.0-0-0-0-0-0 10.f4 White has more or less finished his development without losing control of his imposing center. The opening can be considered a success. 10...h5 11.f5! Very thematic. In exchange for the pawn White gains the use of f4 while Black’s light squared bishop continues to flounder without serious work. The extra pawn, in any case, is isn’t likely to remain in Black’s possession for too long. 11...exf5 12.g5 ♞b4 13.a3 ♞xc3 14.♗xc3 ♞f8 Dimitri quickly makes use of the now-vacated e6 post for his knight. 15.h4 ♞e6 16.♗h3 ♞e7 17.♗hf1 ♞hf8 18.♗g3 The pawn is recovered with a very pleasant position for White. 18...♗de8 19.♗xf5 ♞xf5 20.♗xf5 ♞xf5 21.♗xf5 g6 22.♗f6 ♞g7 23.♗df1 ♞f5 24.♗f1xf5! Black’s rooks are useless as long as the position remains blocked in the center. White picks up a pawn for the exchange immediately, plus additional targets to probe on f7 and h5. 24...gxsf5 25.♗d3 ♞c7 26.♗xf5+ ♞d7 27.♗f3 ♞b8? Better than the text is 27...♗e6 28.♗xh5 ♞xf6 29.gxf6 although Stephen initiates a long sequence of reasonably forcing moves. 11...axb4 12.axb4 Qxa1 13.Qxa1 Qb3 14.Qa7! On 14.Qb2? Qxd2 15.Qxd2 (White simply drops a pawn with 15.Qxd2 Qxb4) 15...0-0 White's king looks a bit unsafe in the center. 14...Qc8 15.Qb5 Qxd2 16.Qxd6+ cxd6 17.Qxd2 17...Qxc4 18.Qxb7 Qxb4+ Since Black has at least a draw by perpetual check, the crisis White provoked back on move 11 was surely a poor practical decision. 19.Qc2 Qc4+ 20.Qb1 There is also 20.Qb2 Qxe2+ or 20.Qd2? 20...Qb3+ The key idea for Black is 20...Qe7! 21.Qxb6 (or 21.Qc1 Qb3+ 22.Qa1 Qa3+ 23.Qb1 Qa8 when Black crashes through) 21...Qe4. The configuration of White's Q/b1 and Q/h1 renders the knight immune from capture as it joins the attack on White's king. 21.Qa1 White's defense holds after 21.Qc1 Qc3+ 22.Qb1 Qe7 23.Qxb6 Qa8 24.Qb2. 21...Qc3+ 22.Qa2 Qc4+ 23.Qb1 We7 24.Qc1 Just as before 24.Qxb6 Qe4 is decisive. 24...Qb3+ The queen maneuvers so as to protect the rook when it joins the attack on the queenside. 25.Qa1 Qa4+ 26.Qb2 Qa8 27.Qb1 Qb4+ 28.Qc1 Qc3+ 29.Qd1 Qa2 0-1. John Nunn's Puzzle Book by John Nunn Diagrams: 250 Pages: 207 Catalogue #: 3354 Members Price: $29.95 Non-Members Price: $32.95 Most chess puzzle books put you in an artificial situation: you are told a combination exists, what the theme is and what you are required to achieve. This one is different. In a real game situation, a player may sometimes need to find a combination. On the other hand he may need to reject a tactical idea and simply find a good positional move. The puzzles in this book put you precisely in that situation... Research Database 2002 First version was rated world's top mega database by Komputer Korner at Web Computer Chess Reports About 2,710,000 games, Virtually no duplication, Clean game headers, Player Elos For ordering info contact: firstname.lastname@example.org 403.264.5924 http://members.shaw.ca/kneven/chess/databasing.html 162 of Canada’s top juniors were in Montreal during the week before the Canadian Open for a chance to claim one of three spots in their age category at the Canadian Youth Chess Championships. All qualifiers will represent Canada at the World Youth Chess Championships later this year in Greece. As always the event was run in groups based on age, although this year the G10–12 groups were combined, as were the G12–14 and also the G16–18. This led to concerns among parents about widely disparate opposition for many of the girls from round to round, and the younger children especially did at times feel intimidated playing much older and physically larger children in their combined sections. The site itself at McGill University offered a magnificent view, but also caused some problems because of high noise levels. We were playing in a cafeteria! Regardless, some very good chess was played, and I would like to offer my congratulations and best wishes to all of our representatives in Greece. The individual age group winners: B10 1. Shiyam Thavandiran; 2. Kevin Me; 3. Harris Kaufman B12 1. Raja Panjwani; 2. Trevor Vincent; 3. Justin McDonald B14 1. Mark Bluvshtein; 2. Tomas Kranan; 3. Fanhao Meng B16 1. Igor Divljan; 2. Dmitri Feoktistov; 3. Ashton Anderson B18 1. Warrick Rolfe; 2. Eric Lawson; 3. Maroun Tomb G10 1. Alina Sviridovich; 2. Amanda Wang; 3. Yuanling Yuan G12 1. Tiffany Tang; 2. Silvi Qako; 3. Gabrielle Nadeau G14 1. Anastasia Kazakevich; 2. Valentina Goutor; 3. Alexandra Benggawan G16 1. Dinara Khaziyeva; 2. Dina Kagramanov; 3. Yamei Wang G18 1. Anne-Marie Charbonneau; 2. Nataliya Rodina; 3. VACANT If my memory is correct, the tournament featured two FIDE titled players for the first time in its history with the entries of IM Mark Bluvshtein and FM Eric Lawson. Mark predictably ran away with the B14 trophy by posting a perfect 8/8, while Eric finished second to Warrick Rolfe who had the tournament of his life to win the B18 with 7.5/8. Notes by David Ross Lawson, Eric Tomb, Maroun Montreal CYCC B18 (1), 2002 Larsen A01 1.b3 c5 2.♗b2 ♞c6 3.e3 d5 4.♗b5 ♖b6 5.a4 This reaction is already very obscure. More normal is 5.c4! 5...a6 6.a5!? ♘c7 Naturally the bishop is immune after 6...♘xb5? 7.♘c3 ♗b4 because of 8.♘xd5 or 8.♖e4. 7.♘xc6+ ♘xc6 8.♘f3 ♘g4 9.h3 ♘h5 10.g4 ♘g6 11.♘e5 ♘c7 12.d3 f6?! 13.♘xg6 hxg6 14.f4 e6 15.♘f3 ♘e7 16.c4? ♘c6?! White should have been more careful with his pawn advance on the last move since he is behind in development. Black’s reaction, however, is too slow. More testing is 16...0-0-0! with a slight advantage. 17.♘c3? White continues to neglect his development. Quite interesting is 17.cxd5 ♘b4 (after 17...exd5 18.♘xd5 ♘e7 19.♘xe2 ♘b4 20.♘e4 0-0-0 21.♘xe7 ♘xe7 22.d4 ♘d5 Black is very active in exchange for the pawn deficit) 18.♘e2! 0-0-0 19.dxe6 with unclear play. 17...d4 And this time 17...0-0-0 offers Black a solid advantage. 18.exd4 cxd4 19.♘d2 ♘b4 20.♘xb4 ♘xb4 21.0-0 ♘f7?! Black need not fear an attack on g6 or e6 any time soon, and therefore 21...0-0-0 is still better and gives Black a nice advantage. 22.♘d2 ♘ad8? Completely pointless. White would have a much harder time maintaining a reasonable equilibrium against Black’s initiative after 22...♖h6 23.♘e4 ♘ah8 24.♘f2 f5. 23.♘e4 ♘he8? 24.♘a4! ♘c6 25.b4 ♘g8 26.♖b1 f5? 27.♘g5 27...e5? The timing of Maroun’s counterplay in the center is completely off. By now it is White who is winning! 28.gxf5 gxsf 29.♘h5 g6 30.♘xg6+ ♘g7 31.♘xg7+ ♘xg7 32.b5 axb5 33.cxb5 ♘b8 34.♖c1 ♘d7 35.♖cc4 b6 36.a6 ♘c5 37.♘xc5 bxc5 38.b6 1-0. Toronto’s Igor Divljan was the only Master in the B16 Section, and he told me that he didn’t particularly enjoy the added pressure of being the guy everyone else tries to take down. Eric Lawson echoed the same sentiment in the B18 Section. Igor must have felt some of the tension lift when second ranked Michael Buscar of Oakville lost the following game against Montreal’s Jordan Clyde. Clyde, Jordan Buscar, Michael Montreal CYCC B16 (1), 2002 Irregular: Double Fianchetto A06 1. $d3 d5 2.b3 $f6 3.g3 e6 4.$g2 $d6 5.$b2 b0-0 6.0-0 $e7 7.$e5 The clearance of White’s light squared bishop’s long diagonal looks attractive, but Black equalizes effortlessly. 7...$bd7 8.$xd7 $xd7 9.d3 e5 10.$d2 c6 11.e4 d4 12.$c4 b5 13.$xd6 $xd6 14.$c1 $g4? What is the point of this move? Black should be playing for the queenside advance ...c5-c4 as soon as possible. 15.h3 $f6 16.f4 $ac8 17.f5 White is slightly better after 17.fxе5 $xe5 18.$f4. 17...$e8 18.$g4 f6 19.$f3 c5 20.$f1 $a6 21.$g3 $d6 In positions like this the extrication of Black’s king to the other wing with 21...$f7 should be considered. 22.g5 fxg5 23.$xg5 $f7 Black seems unaware there is a race going on. After 23...c4 White at least doesn’t win by force. 24.$e7 $fe8 25.f6 25...$g6?? More tenacious is 25...$xe7 26.$xg7+ (Black is alive after 26.fxе7 $f6) 26...$f8 27.$f3 $ee8 28.$xf7+ $xf7 29.$h5+ $e6 when White’s attack is spent after 30.f7 $d6 31.fxе8$+ $xe8. 26.$h5! $xe7 27.$xg6+ $h8 28.$g7 $g5 29.$xg5 $xf6 30.$xf6 $xg7+ 31.$h2 $e8 32.$e2 $e6 33.$d8+ $e8 34.$c7 $xh3 35.$xg7+ $xg7 36.$g5 h6 39.$g4 $a6 40.$xc5 c4 41.$xb5 $xa2 42.bxc4 $xc2 43.$a5 $d2 44.$a3 a5 45.e5 $e7 46.$f5 a4 47.$xa4 $f2 48.$a7+ $e8 1-0. McAlpin, John Francis Miller, Evgeni Montreal CYCC B18 (1), 2002 Queen’s Gambit Declined D56 1.d4 d5 2.c4 e6 3.$c3 $e7 4.$f3 $f6 5.$g5 h6 6.$h4 0-0 7.e3 dxc4?! An inexplicable reaction from a strong player in a standard position. Correct is either 7...b6 or 7...c6 whereas the text accelerates White’s development. 8.$xc4 a6 9.a4 c5 10.0-0 $c6 11.$e5? The most logical plan is 11.dxc5 with a very comfortable edge to White. 11...$b6 12.$xc6 $xc6 13.dxc5 $xc5 14.$b3 $c7 A drastic but reasonable solution for Black to absolve himself of his wandering lady is 14...$b4 15.$xb4 $xb4 16.$xf6 gxf6 with a small advantage to White. 15.$fd1 Better looks 15.$ac1! to oppose Black’s queen on the open file. 15...$b6 16.$g3 $c6 17.$e2! $b7 18.$f3 $c8 19.$xb6 $xf3 20.gxf3 Although the position remains tense for some time, Black really has no compensation for the pawn. 20...$h5 21.$c7 $xg3 22.$xe7 Simpler appears 22.$xc8 $fxc8 23.fxg3 $ab8 24.$d2 although perhaps White is too tied up to maintain serious winning chances. 22...$f5 23.$d7 $b8?! Certainly more threatening is 23...$c5! with an eye on fireworks along the g1-a7 diagonal. 24.$d2? $h4! 25.$e2 $b7 26.e4 $e7?! 27.f4 $f6 28.$g4 $g6 29.$f5 $e5 30.$h5? Better is 30.$g3! 30...$ab8 31.$ab1 $c4 32.$e2 $fc8 33.fxе6 fxе6 Black has reasonable compensation after 33...$xe6. 34.$d3! $f8 35.$g3 $e5 36.$g2? White looks intimidated. A big advantage is to be had with 36.$xa6! $xf2+ 37.$h1 $b6 (not 37...$f3? 38.$xe6+ $h8 39.$g2) 38...$e2 when Black has nothing. 36...$g6? A blockade of the queenside with 36...a5! looks reasonable. 37.$h1! $h7 38.$bg1 $f4 39.$c2? Very good for White is 39.$xg7+ $xg7 40.$xg7+ $xg7 41.$xa6 $xb2 42.$xd6 but perhaps too scary to play with little time on the clock. 39...$g5 40.$f3 $h8 41.$e1 g4 Less risky looks 41...$d4! 42.$e5?? 42...$h4?? Too bad, since 42...$f5! leaves Black with all the winning chances. 43.$g3 $f5 44.f3 $xf3 Both players miss the really juicy tactical morsel 44...$d3!! 45.$e4 $h5?? Black keeps a decisive advantage with 45...$g5. After the text his position comes apart at the seams. 46.$xf3 $f8 47.$d2 $hf5 48.$e2 $d8 49.$d4 $xe5 50.$xe5 $h3 51.$xe6 $g5 52.$c3 $xd4 53.$e8+ $h7 54.$xd8 $xd8 55.$d3+ 1-0. Qako, Silvi Sviridovitch, Alina Montreal CYCC G10-12 (1), 2002 Sicilian B40 An interesting pairing between the heavy favorite in the G10 Section and last year’s second place finisher who this year moved up to the G12. 1.e4 c5 2.d3 e6 3.c3 a6 4.d4 cxd4 5.exd4 Silvi doesn’t know any theory, which is a shame because she often has to outplay her opponents from an inferior opening. On the bright side she has become a superb defender. 5...c6 6.d1 d6 7.e2 f6 8.0-0 e7 9.e1 0-0 10.d4 c7 11.xc6 xc6? The open b/file and extra center pawn give Black a very nice position after 11...bxc6! 12.f3 e2 13.e2 d7 14.f4 f6 15.ad1 e5 16.xe4? Black now stands better, but Silvi’s defensive skills save the day. 16...xe5 17.d3 b5 18.g3 b7 19.g2 ac8 20.f4 xc3? Somebody should tell the girls that bishops shouldn’t be traded for knights without a very good reason. 21.xc3 a5 22.a3 b4 23.c3 c5+ 24.f2 fd8 25.xc5 dxc5 26.e2 d1+ 27.f2 cd8 28.e5? Black should be happy to trade off her opponent’s superior bishop. 29.b3? Silvi misses her chance with 29.c4! and a big advantage on the queenside that would have left Alina wishing she had traded bishops a move earlier. 29...c4 30.b4? This careless move loses the exchange, although a bishop plus an advanced passed pawn does provide some compensation. 30...d7 31.a4 a5 32.b5 xb5 33.axb5 b8 34.c6 h6 35.g4 g5 36.f5 g7 37.e4 d2+ 38.e2 d1 39.g2 h7 40.g3 d3+ 41.f2 d1 42.g2 g7 43.f6+ A great start for Silvi, and probably a wakeup call for Alina. ½-½. Notes by David Ross Laframboise, Marc Andre Lawson, Eric Montreal CYCC B18 (2), 2002 Nimzo-Indian E20 1.d4 d6 2.c4 e6 3.c3 b4 4.f3 h5 5.h3 h3 f5 6.g3 b6 7.e4 0-0 8.g2 b7 9.0-0 fxe4? 10.xe4? I do not understand why Black captured in the center on his last move, and why White declined the comfortable advantage that is to be had now with 10.fxе4 xf1+ 11.xf1 xf6 12.e5 xf1+ 13.xf1 xg1+ 14.xg2 xc3 15.bxc3 g6 16.g4 g7 17.h6 c6 18.g5 f8 19.e4. 10...xf6 11.g5 c7 12.d2 a5 13.a3 a6?! A more sensible development for the knight is 13...c6. 14.xf6 xf6 15.f4? Given Black’s response, White should prefer 15.ae1. 15...xe4! Eric has found a way to attack in the center, and eventually all of his pieces find decent squares. 16.xe4 d5 17.cxd5 exd5 18.g2 d6 19.ad1 c6 20.f2 ad8?! The open file beckoned for 20...ae8! 21.g4 c5 22.xf6+ xf6 23.f1 c7 24.e5 e6 25.de1 de8 26.h3 xe5 27.dxe5 h6 28.d7 e7 29.c8 c6 30.h3 d4 31.g2 e6 32.d3 g6 33.b3 d5 34.c4 c3 35.f1 f8 36.xe6 xe6 37.a4 e8 38.f2 d8 39.d3 This endgame is probably winning for White, because he has the more mobile set of pawns. 39...e7 40.f3 After this timid move the remainder is a slaughter. Instead 40...c4! 41.bxc4 (not 41.xxc4? d3 42.f1 d2 43.e2 d1#) 44.xd1 d3+ 45.g4 xd1 and Black should win! 41...fxa4 42.b1 c5 43.e2 looks like a much better defensive try. 41.g4 b4 42.c4 f8 43.e2 h5 44.h3 c6 45.e4 d3 46.d2 b4 47.hxg4 48.hxg4 gxfs+ 49.gxf5 d8 50.f6+ e8 51.e6 d4+ 52.f5 d5 53.xd3 xd3 54.xd3 c4 55.c4 1-0. Laura Harper is the daughter of BC Master Bruce Harper, who is working on a book on GM Duncan Suttles. She must be paying attention, since the following game is among the best strategic efforts of the tournament in the G12 Section. Notes by David Ross Harper, Laura Nadeau, Gabrielle Montreal CYCC G10-12 (2), 2002 Irregular: Fianchetto A00 1.g3 e5 2.d3 c6 3.g2 f6 4.f3 d6 5.0-0 e6 6.c3 d7 7.g5 h6? Black should hang on to her light squared bishop. Gabrielle’s central pawns all stand on dark squares, and the bishop is needed to guard the holes on the light squares. 8.xe6 xe6 9.b1? This retreat is not a great move, but White does have an idea that works out very well! Another way to attack the center goes 9.b5! d7 10.d4 e7 11.c4. 9...d7? Why not take the opportunity and play 9...d5! 10.d2 c5 11.c4 dxc4 12.xc4 0-0 with a fine game?! 10.c4! a6 11.c3 e7 12.b1 0-0 13.b4 ab8 14.a4 d5 15.xd5! xd5 16.xd5 Quite promising looks 16.cxd5?! xb4 17.b2 d6 18.e4 when White has a big positional advantage since she can break with d4 or f4. 16...xb4 17.g2 c6 18.d2 g4 19.h3 g6 20.c3 f5? After 20...fd8 White can only claim a small edge. 21. $f h 2$ f4 22. $x c 6$ White gains a pawn, but her light squared bishop may just be too high a price to pay. More careful is 22. $e 4$. 22... $f x g 3$ 23. $f x g 3$ $x c 6$ 24. $x e 5$ $x f 1$ 25. $x f 1$ $f 8$? 26. $g 2$! Well played. White firmly takes control and finishes the game with good endgame technique. 26... $c 5$ 27. $d 5$! $x d 5$ 28. $c x d 5$ $f 2$+ 29. $h 1$ $d 6$ 30. $x d 6$ $c x d 6$ 31. $e 4$! $a 2$ Perhaps a better try is 31. $f 3$. 32. $b x b 7$ $x a 4$ 33. $g 2$ $a 3$ 34. $b 6$ $f 7$ 35. $x d 6$ $e 7$ 36. $e 6$ $d 7$ 37. $f 3$ $x d 3$+ 38. $f 4$ $a 5$ 39. $a 6$ $a 3$ 40. $e 5$ $a 4$+ 41. $f 5$ $a 1$ 42. $e 6$+ $d 8$ 43. $d 6$ $f 1$+ 44. $g 4$ $f 6$ 45. $a 8$# 1-0. The following game takes place between two of the top contenders in the G14 and G16 Sections. Notes by David Ross Kazakevich, Anastasia Khaziyeva, Dinara Montreal CYCC G16-18 (2), 2002 King’s Indian: Sämisch E80 1. $d 4$ $f 6$ 2. $c 4$ $g 6$ 3. $c 3$ $g 7$ 4. $e 4$ $d 6$ 5. $f 3$ $b d 7$ 6. $d 3$ $e 5$ 7. $d 5$ 0-0 8. $g e 2$ $a 5$ 9. $a 4$? The pawn structure dictates that White should play for the break $c 5$ in order to open lines on the queenside. After the text, her only remaining pawn advance is $b 4$ which, however, is far too slow and gives Black a free hand to attack on the kingside. A big improvement is 9. $e 3$. 9... $c 5$ 10.0-0 $f d 7$ 11. $e 3$ $f 5$ 12. $c 2$ $f 4$ 13. $f 2$ $g 5$ 14. $h 1$ $b 6$ 15. $c 1$ $f 6$ 16. $b 3$ $x b 3$ 17. $x b 3$ $c 8$ 18. $b 5$ $e 7$ 19. $c 2$ $f 7$ 20. $e 1$ $f 8$ 21. $c 3$? Black in turn has wasted a great deal of time over the last ten moves, and her kingside attack has failed to progress. Now would be a good time for White to act decisively rather than continue with waiting moves, and I would like to suggest 21. $b 4$! $a x b 4$ 22. $x b 4$ $g 4$ 23. $a 5$ with chances for both sides. 21... $g 4$ 22. $g 1$ $g 7$ 23. $c 2$ $h 5$ 24. $e 1$ $g 5$ 25. $f x g 4$ $x g 4$ 26. $f 1$? White allows a decisive tactical shot. Better is 26. $d 2$. 26... $g 3$+ 27. $x g 3$ $f x g 3$ 28. $h 3$ $h 4$ 29. $e 2$ $c 8$ 30. $a 3$! Anastasia does does her best to construct a defense, but it’s too late. 30... $x e 4$ 31. $f 3$? White lasts longer after 31. $f 3$! 31... $h 4$ 32. $e 3$ $f 7$ 33. $c 3$ $h 6$ 34. $e 4$ $g 5$ 35. $e 2$ $d 7$ 36. $e 4$ $h 4$ 37. $e 1$ $a f 8$ 38. $e 2$ $h 8$ 39. $e 1$ $x f 3$ 40. $g x f 3$ $x h 3$ 41. $g 2$ $x g 2$+ 0-1. Notes by David Ross Tang, Tiffany Harper, Laura Montreal CYCC G10-12 (3), 2002 Modern B06 Here Tiffany shows why she is our new G12 national champion. 1. $e 4$ $g 6$ 2. $d 4$ $d 6$ 3. $c 3$ $g 7$ 4. $e 3$ $c 6$ 5. $d 2$ $d 7$ 6. $f 3$ $b 5$ 7.0-0 $b 4$ 8. $c e 2$ $a 5$ 9. $g 4$ $b 6$ 10. $g 3$ $d 5$ 11. $e 2$ 11... $c 4$? Instead 11... $d x e 4$! 12. $f x e 4$ (no better is 12. $x e 4$) 12... $x g 4$! 13. $x g 4$ $c 4$ 14. $e 2$ $x e 3$ is very good for Black. 12. $x c 4$ $d x c 4$ 13. $c 2$ $d 6$ 14. $c 3$ $b 8$ 15. $d 5$ $c x d 5$? 16. $x d 5$ $e 6$ 17. $d 2$ $b x c 3$ 18. $x c 3$ $d 8$ 19. $c 2$ $c 7$ 20. $d 5$ $b 7$ Laura begins to falter on defense. The knight needs to be eliminated with 20... $x d 5$? 21. $x d 5$ $b 8$. 21. $b 6$ $d 8$? And this attempt at simplification immediately gives White a decisive attack without having to invest any material of her own. 22. $x d 8$+ $x d 8$ 23. $d 1$+ $e 8$ 24. $a 4$! $d 7$ 25. $x d 7$ 1-0. Warrick Rolfe emerged as the only perfect score after three rounds in the B18 Section, while IM Mark Bluvshtein easily managed the same score in the B14. Thavandiran gave up his first draw to Saskatchewan’s Kevin Me, who would finish the event in second place in the B10 Section. By this time no real favorites had emerged among the girls. Notes by David Ross Charbonneau, Anne Marie Kagramanov, Dinara Montreal CYCC G16-18 (3), 2002 Semi Slav D45 1. $d 4$ $d 5$ 2. $c 4$ $c 6$ 3. $f 3$ $e 6$ 4. $e 3$ $f 6$ 5. $c 3$ $e 7$ 6. $c 2$ 0-0 7. $b 3$ $e 8$ 8. $d 3$ $b d 7$ 9.0-0 $f 8$ 10. $e 4$ $d x c 4$ 11. $x c 4$ $x c 4$ 12. $x c 4$ $f 5$ 13. $d 3$ $f 6$ 14. $b 2$ $g 6$ 15. $f e 1$ $h 4$ 16. $x h 4$ $x h 4$ 17. $a d 1$ Black’s aimless play has resulted in a very poor position. 17... $f 6$ 18. $c 3$ $d 7$ 19. $d e 1$ $c 7$ 20. $d 2$? I can only assume that this move is a random blunder, but the funny thing is that it produces an interesting position with plenty of dark square compensation for the material. 20... $g 5$ 21. $d 1$ $x e 3$ 22. $x e 3$ $f 8$ 23. $d 5$? White panics and tries to open the long diagonal at any cost. Very unclear looks 23. $e 5$! 23... $c x d 5$ 24. $c x d 5$ $a e 8$ There is nothing wrong with 24... $e x d 5$! 25. $e 5$ $a 5$ 26. $d 6$ $d 8$? The extra material really adds up after 26... $x a 2$! which incidentally also prevents White’s next? 27...a1! f7 28.g3 g6 29.h4 d2 30.h5 c8 31.c4 g5 32.c3 f4 33.e1! Black’s forces lack coordination, and her king is somewhat exposed. Reason enough not to push her luck this time. ½-½. Notes by David Ross Khaziyeva, Dinara Rodina, Nataliya Montreal CYCC G16-18 (3), 2002 Stonewall A13 1.c4 e6 2.f3 d5 3.b3 c6 4.b2 f5 Black unnecessarily weakens e5. 5.d4 Instead the standard development plan involving 5.g3 f6 6.g2 followed by 0-0, d5, bd2 and eventually e4 gives White a strong initiative. 5...f6 6.e3 d6 7.bd2 0-0 8.d3 e4 9.0-0 d7 10.e5 xd2? Black voluntarily trades her best piece. 11.xd2 c7 12.f4 f6 13.ac1 Thematic is 13.a4? a5 14.a3 to trade off Black’s dark squared bishop. 13...d7 14.f3 e4 15.e1 e8 16.h3 e7 Black wisely decides to stop 17.h4. 17.e2 f6 18.h1 c5? 19.dxc5 xc5 20.d4! xd4 21.exd4 c8 22.e1 e4 23.g1 f6 24.e3 The advance 24.c5! leaves White with a very pleasant space advantage on the queenside. 24...d8 25.b2 f7 26.g3 e8 27.c5 c8 28.b4 a6 29.a1 c6 30.a4 22...d8 Very difficult to find in this position is 22...b4! when Black prevents the infiltration of White’s queen on the kingside with moves like ...h6 and ...d2 while also restricting the mobility of White’s knight. 23.f2? d6? Once again the direct 23.e3! 24.f4 e2 is immediately decisive. 24.g5+ h8 25.h5 e3?? The position after 25...h6! 26.e1! (if 26.wh4 wh4) is totally unclear. White certainly has threats and an accurate defense is required by Black, but lines such as 26...g8 27.cc3 e3 28.h4 wh4 wh4 29.cxd5 cxd5 30.f5! xd4 31.cxd5 b2 32.g5+ hxg5 33.xg5+ gh7 34.f5+ with perpetual check show some of Black’s defensive resources. 26.h4 h6 1-0. Notes by David Ross Divljan, Igor Buscar, Michael Montreal CYCC B16 (5), 2002 Tarrasch D34 1.d4 2.c4 e6 3.c3 c5 4.cxd5 exd5 5.f3 c6 6.g3 f6 7.g2 e7 8.0-0 0-0 9.g5 c4 10.e5 e6 11.b3 a5 12.a4 fc8? Absolutely the wrong rook. Much better is 12...ac8 from the game Jobava–Grischuk, Moscow Aeroflot op 2002. The danger for Black after the text is that his queen’s rook may never play an active role in the game. 13.bxc4 dxc4 14.xc6 bxc6 15.xf6 gx6? Michael is confusing variations. White has nothing special after 15...xf6. 16.c4 d8! f4 f5 18.g4?? The game has suddenly become very sharp, and Igor immediately loses his way in the complications. 18...fxe4 19.f5 d5 20.f6 f8 21.f5 e8? This move should be good enough, but after 21...e3?! I have no idea what to suggest that might save White. 22.c2 Notes by David Ross Feoktistov, Dmitri Divljan, Igor Montreal CYCC B16 (6), 2002 Nimzo-Indian E43 1.d4 f6 2.c4 e6 3.c3 b4 4.f3 b6 5.e3 b7 6.e2 0-0 7.0-0 d5 8.a3 xc3?! Igor’s move is undoubtedly playable, but it seems more sensible to keep the bishop in the game with 8...d6. 9.bxc3 dxc4 10.xc4 c4 bd7 11.a4 c5 12.a3 c7 13.d2 fd8 14.c1 ac8 15.f3! The players have reached a middlegame that is very likely about even. But while White’s bishop pair for the moment does not have much of an impact on the proceedings, readers should keep an eye on the pair over the course of the following events. 15...b8?! Black reacts passively. A healthier and far more active approach is 15...d5?! 16.e2 e5. 16.e2 e5 17.b3 cxd4 18.cxd4 exd4 19.xd4 c5? Black begins a steady downward spiral with this move to centralize the knight. Perhaps the idea of playing the knight to a square where it is protected by a pawn sounds overly simplistic, but here White can hardly claim more than a small edge after 19...c5? 20.f5 e5 21.e4 e8 22.b2 c7. 20.b3 xc1 21.bxc1 c8 22.d1! c6?? Just like that the game is over. The bishops spring to life and Black's fate is sealed in only another four moves. 23.f5 e8 24.d7! c7 25.xf7+ h8 26.xe8 1-0. Notes by David Ross Davies, Noam Panjwani, Raja Montreal CYCC B12 (6), 2002 Modern B07 Judging by this terrific effort it is clear that Raja has elevated his game considerably since the last time I saw him. Next year the B12 Section should be a battle between Noam Davies, Brandon Eshleman, Hazel Smith and David Hier. 1.e4 d6 2.d4 c3 g6 4.e3 c6 5.f3 b5 6.d3 a6 7.d2 bd7 8.h6? This idea cannot be right before Black has at least spent a tempo of his own on ...g7. White hasn't had much luck with this setup, but when he does score it is with 8.gxe2. 8...xh6 9.xh6 c5! This quick strike against White's center makes the most sense. 10.dxc5 xc5 11.0-0-0 a5! 12.b1 e6 13.e2 c8! Raja has conducted the opening with great energy, and White's position is already critical. 14.h3 b4?! The win is already there for the taking with 14...a4! 15.axa4 xa2+ 16.axa2 axa4+ 17.b1 xc2+ 18.a1 xe2. 15.d5 a4 16.d2?? White's best defense is an active one. After 16.hf4! xd5 17.exd5 f5 18.d3 (18.c1 xb2) 18...xb2! the game ends in a draw viz. 19.xf5! (more dangerous is 19.xb2 19...xc2+ 20.xc2 xa2+ 21.c1 d7 22.xf5+ gf5 23.d2 a1+ 24.c2 c8+ 25.d3 xh1 with a Black advantage) 19...gx5 (19...xd1!? 20.xc8 c3+ 21.c1 xa2+ 22.d1 c3+ 23.d2 xd5 likely is a perpetual check) 20.xb2 b3 21.cxb3 c5+. 16...xd5 17.exd5 17...c3+! 18.bxc3 bxc3 I see no defense for White. 19.c1 b3+ 20.a1 xd5 Even faster is 20...xh3! 21.gxh3 a4! 21.exd5 xd5 22.d1 a5 23.c4 b2 24.b3 0-0! Raja brings in the reserves. 25.h6 a3 26.c1 b8 27.c4 c6 28.f4 a4 29.d4 b4 30.b3 xd4 31.e2 a3 32.xc3 xb3 0-1. Notes by David Ross Rozybakiyev, Ilchin Thavandiran, Shiyam Montreal CYCC B10 (6), 2002 French: Advance C02 Shiyam's opponent in this game is only 7-years-old, but still managed to play himself all the way to board one by round six! Ilchin was the highest rated grade one student in Quebec this year. 1.e4 e6 2.d4 d5 3.e5 c5 4.c3 c6 5.f3 d7 6.e2 b6 7.0-0 cxd4 8.cxd4 ge7 9.a3 f5 10.c2 e7 11.b3 c8 12.b2 0-0 13.h3? Both players have handled the opening well so far, although from here on in Shiyam slowly takes over control of the proceedings. Normal is 13.d3! 13...h8 14.c1 b4! 15.xb4 xb4 xb4 16.f1 c3 17.xc3 xc3 g4 e7 19.c1 xc1 20.xc1 c8 21.f4 g6 22.c3 c7 d2 wc3 24.bd1 b6 25.xc3?? Necessary is 25.g2. After the text Black wins a pawn and completely paralyzes his opponent. 25...xc3 26.d3 f4 27.e1 xh3+ 28.g2 f4+ 29.f3 g5 e3 gg7 31.d2 b5 32.f3 xd3 33.xd3 h5 34.gxh5 h6 35.d1 xh5 36.h1+ g6 37.d1 fg5 38.d2 b5 39.d1 b4 d2 g4 41.fxg4+ xg4 42.d1 xd3+ 43.xd3 xd3 44.xd3 f3 45.d2 e4 46.e2 xd4 0-1. Notes by David Ross Xia, Angel Kagramanov, Dinara Montreal CYCC G16-18 (7), 2002 Sicilian: Kan B42 1.e4 c5 2.f3 e6 3.d4 cxd4 4.xd4 a6 5.d3 f6 6.c3 d6 7.c3 c7 8.f4 0-0 9.f3 bd7 10.0-0 e8 11.ad1 f8 12.f5 e5 13.h3 fg4 14.fxе6 fxе6 15.c1 xd3 16.xd3 Also quite interesting is 16.cxd3?! e5 17.g5 b6+ 18.d4 b6 19.f3 with a small edge to White. 16...c5 17.f5 xf5 18.xf5 b6+ 19.f1 xh2+? Clearly better is 19...g6! 20.e2 g4 21.h3 f6 22.h1 h5 23.g4 Black’s defense collapses quickly after 23...d5! b5+ 24.d1 e7 25.xf6+ xf6 26.xf6! 23...hxg4? Black’s best try is 23...d4! although White’s attack still breaks through after 24.xf6! gxf6 25.xh5 g7 26.h7+ f8 27.h6 c4+ 28.e1 g8 29.f5 e7 30.d5. 24.h8+ f7 25.xf6+ gxf6 26.h7+ It is quite rare to find such fine attacking play in the games from the girls sections. 1-0. Notes by David Ross Smith, Hazel Vincent, Trevor Montreal CYCC B12 (7), 2002 Sicilian B30 Hazel Smith was last year’s G10 champion, but decided this year together with Mihn Ly Nguyen to play in the boys event. Both girls ultimately shared the same fate by losing hard struggles in the last round with qualification on the line. In this game Hazel lost to Manitoba’s Trevor Vincent, who played some fine chess to finish in second place. 1.e4 c5 2.f3 c6 3.c3 g6 This continuation is far less common than the immediate attack on White’s center with 3...d5. 4.d4 cxd4? White now gets a fine position. Essential instead is to contest the center with 4...d5 5.dxc5 dxe4 6.xd8+ xd8 7.b5+ d7 8.xd7+ xd7 9.e5+ e8 10.0-0 g7 11.c4 e6 and only a minimal advantage for White. 5.cxd4 g7 6.c3 d6 7.e3 f6 8.d3?! This seems a little slow. Why not 8.d5! right away? 8...0-0 9.h3! Black does not get a second opportunity to play ...g4? and White emerges from the opening with a space advantage. 9.a6 10.0-0 b5 11.a3 Probably unnecessary. Better just 11.d2! 11...b7 12.c1 c8 13.b4 h6 14.d2 h7 15.f1 The text is by no means a bad move, but 15.d5 b8 16.d4 bd7 followed by 17.b3 or 17.a4 is very pleasant for White and adds to the pressure on Black’s position. 15...e6 16.h2 d7 17.b1? One building move too many. White can try the more direct 17.e2 e7 18.g4 with a comfortable initiative. Black now shows with his next move that his opponent also has a weakness in her camp! 17...b6! 18.a2 d5 19.e5? White probably has to settle for equality after 19.g4 h5 20.h2 e7 21.f3. 19...e7! 20.f4? c4! 21.xc4 dxc4 22.f1 d5 23.f2 c7 24.xd5 xd5 25.e3 b7 26.xd5 xd5 27.c3 fd8 28.a4 This break accelerates White’s defeat, but her position is very bad in any case because of the weakened light squares and poor f2. 28...f8 29.b2 a5! 30.bxa5 b4 31.c1 xxa5 32.a1 d5 33.e1 c3 34.c1 c4 35.c2 b3 36.xc3 xc3 37.xc3 xc3 0-1. Notes by David Ross Krnan, Tomas Meng, Fanhao Montreal CYCC B14 (8), 2002 Ruy Lopez: Chigorin C99 The following game would decide second and third place in the B14 Section. 1.e4 e5 2.f3 c6 3.b5 a6 4.a4 f6 5.0-0 b5 6.b3 e7 7.e1 d6 8.c3 0-0 9.h3 a5 10.c2 c5 11.d4 c7 12.bd2 cxd4 13.cxd4 b7 14.f1 This is White’s most common continuation, but he has actually had more success with 14.d5. 14...fc8 15.ec2 c6 16.g3 f8 17.g5 d7 18.c1 b6 19.b3 d7 20.e3? White keeps a small advantage after 20.dxe5! xe5 (not 20...dxe5 21.d2) 21.ec2 xc2 22.xc2 c8 23.e3 xf3+ 24.xf3 xc2 25.xc2 c4! 26.d4. 20...exd4! 21.xd4 a5 22.df5?! To me 22.xc8 xc8 23.c2 ac4 24.c1 a4! 25.axa4 bxa4 26.df5 looks equal. 22...xc1 23.xc1 bc4 24.d4 xb3 25.axb3 c5 26.f4 f6 27.e3 b8! Black is now better. 28.f4 f7?! Very attractive looks 28...g6! since ...d5 is coming next. 29.f3 g6?? 30.g4? Both players miss 30.h5! e6 31.g4 d8 32.h4 with a dangerous attack. 30...e6 31.h5 31...e5! 32.fxe5 dxe5 33.f2 h8 34.xf6 xf6 35.h6 g7 36.e3? White remains on top after 36.f7+ g8 37.e3. 36...c8! 37.g3 e6 38.g4 xg4 39.xg4 b4 40.h2 f8? Better is 40...a5! 41.w6! xf2 42.xf2 e7 43.xa6? Last chance. White wins after 43.g3! 43...w6 44.xf6+ xf6 45.g3 g7 46.f3 f7 47.e3 c6 48.d3 e7 49.c3 d7 50.g3 e6 51.f2 An interesting if seriously flawed battle! ½-½. Notes by David Ross Lawson, Eric Lentini, Joseph Montreal CYCC B18 (8), 2002 Trompowsky D00 Since Warrick Rolfe had won the B18 Section with one round to spare, this game would determine second or third place. 1.d4 d5 2.♗g5 Eric continues to do well with this move which, to be honest, is a complete mystery to me because I don’t believe in White’s setup. 2...c6 3.♘f3 ♗g4 4.♗bd2 ♘d7 5.h3 ♘xf3 Joseph probably feels justified in trading bishop for knight since the position is safely blocked and his pair of knights might prove stronger than the opposing bishops. 6.♘xf3 ♘gf6 7.e3 e6 8.♗d3 c5? The development 8...♘d6 is better. 9.c3 ♘e7 10.♗f4 0–0 11.0–0 ♘e8 12.♗c1 a6 13.♗b1 ♘c8 14.♗c2 ♘f8?! Queenside expansion with 14...b5 makes sense. 15.♗e5 ♘g6 16.♗g4?? ♘xg4? Silly mistakes on both sides. Black wins material with 16...cx d4! 17.hxg4 ♘g5 18.♗xg5 ♘xg5 19.♗d1 c5? 20.♗f5! ♘cd8 21.dxe5 ♘h4 22.f4 ♘h6 23.g5 ♘b6 There is currently a huge gap between our national champions and the runner-up in most sections. By round eight only the B16 Section remained undecided, and a win by Igor Divljan coupled with a draw between Buscar and Feoktistov propelled Igor into the winners circle. The alternative 17...♗b4 sets up several transparent threats. 18.♗e2 ♘f7?! More attractive looks 18...♖ae8. 19.♗d3 ♘d6 20.♗ae1 ♘af8 21.♗d1 ♘e5 22.h3 ♘f4 23.♗e2 ♘d4 24.♗g4 ♘b6?? Much better is 24...♘f5 although White keeps a nice advantage also. 25.c3 ♘b5 26.♗e6 ♘d8 27.♗h5 ♘h6 28.♗xb5 axb5 29.♗e1 ♘f6 30.♗xf6 ♘xf6 31.♗xd5 ♘b6 32.♗d7 ♘f5 1-0. The level of play continues to rise every year at the CYCC, and this is especially true in the G10-12 event. This year in Greece at the WYCC we have at least four strong Canadian representatives in Alina Sviridovitch, Mark Bluvshtein, Raja Panjwani and Shiyam Thavandiran who all have excellent chances for a Top Ten finish. I wish everyone good luck! And finally a note to the players: many more games were worthy of inclusion in my report, but the majority of the scoresheets I receive are completely indecipherable! UBC Tuesday Night Swiss Top rated Robert North and Alfred Pechisker clearly outclassed the rest of the field when Pechisker’s win over North in round three basically decided the tournament. The only real test for either came in Pechisker’s game against veteran Ernie Krzyzowski which he drew. Top U1800 went to young Noam Davies who lost only to North and defeated yours truly in a dramatic Sicilian to claim his prize. TD/Rep: Lyle Craver North Vancouver CC Championship Club veteran and top ranked Joe Oszvold cruised to a perfect 10/10 record before giving up a last round draw to Vaclav Sladek, who finished a point back in second place, also undefeated. Balin Fleming and Gavin Steininger finished third and fourth, respectively. Our thanks go to the event sponsors, Bergetti Computers and The Internet Chess Club. TD: Joe Oszvold; Org/Rep: Vaclav Sladek UBC May Tuesday Night Swiss Fanhao Meng built on his recent Keres Memorial performance with a solid 4/5 showing to take clear first place ahead of players like Alfred Pechisker and tournament surprise Peter Devries. Notes by Lyle Craver De Vries, Peter Meng, Fanhao UBC May Tuesday Night (4), 2002 Ruy Lopez C77 1.e4 e5 2.♘f3 ♘c6 3.♗b5 a6 4.♗a4 ♘f6 5.♗e2 b5 6.♗b3 ♘c7 7.c3 d6 8.d3 0-0 9.0-0 ♘a5 10.♗c2 c5 11.♖d1 ♘c7 12.♗bd2 ♘c6 13.♗f1 ♘e8 14.♗g3 g6 15.♗g5 ♘g7 16.f4 ♘d8 17.♗b3 exf4 18.♘xf7 ♘xf7 19.♘xf7+ ♘xf7 20.♘xf4 ♘g5 21.♖f1 ♘g8 22.♗f2 ♘e6 23.a3 ♘e5 24.♗d2 ♘xf4 25.♗xf4 ♘c7 26.♗af1 c4 27.d4 ♘d3 28.♗f6 ♘e8 29.♖f8+ ♘xf8 30.♗xf8+ ♘xf8 31.♗h6+ ♘g8 32.e5 d5 33.♗h5 ♘g4 34.♗f6+ ♘xf6 35.exf6 ♘a7 36.♗e3 ♘f7 37.h3 ♘e6 38.♗f3 ♘xb2 39.g4 g5 40.♗c3 h6 41.♗e5 ♘b7 42.♗d6 ♘xf6 43.♗f8+ ♘g6 44.♗e8+ ♘f6 45.♗f8+ ♘g6 46.♗e8+ Fritz considers the final position won for Black, but trying for the full point entails great risk for the second player since he would have to allow his opponent’s queen to munch on his kingside pawns in order to escape the perpetual check. ½-½. TD/Rep: Lyle Craver Winnipeg Manitoba Open The tournament drew twenty players on the Victoria Day weekend, who watched Waldemar Schulz collect 5/6 for top spot ahead of Samuel Lipnowski in second with 4.5/6. Just behind at 4/6 were Aron Kaptsan and Ken Graham who had to settle for a share of third place. In the U1800 Section John Katona scored 4/6 to finish ahead of Michael Strub and Rory Curtis in a tie for second at 3.5/6. Alex Hogeveen Ruter scored 3/6 to win the U1600 Section ahead of Keith Gannon at 2.5/6. Alex also won a special prize for the biggest upset for his win over an opponent rated 576 points higher. TD/Rep: Lorne Gibbons Hamilton Queen’s Jubilee Marijan Gaparac went undefeated to score 4.5/5 for first place ahead of Joe Ellis and Alexander Friedman, whose 3.5/5 tally was good enough for a share of second place. The future also looks bright for Konstantin Khayutin, who followed close behind with 3/5. Rep: Marco Greco Sarnia Chemical Valley Open Stephen Demmery was the man to beat at this year’s event, and proved up to the challenge by scoring 4.5/5 for clear first place. The only close call came against Slovak import Milos Czaj, who managed a draw against the tournament winner and ultimately a share of second place with Matt Morabito at 4/5. Tomas Pribyl and Len Penner shared top honors in the U1700 Section. Org/Rep: Sam Carr Sudbury Spring Open This tournament had the distinction of being the most uncompromising gathering in recent times, and didn’t produce even a single draw! Perennial Sudbury Champion Bob Kivivaho took first place, while veteran Joe Dumontelle earned a hard fought second place. The U1600 Section was split between Henry Laitila and Jim Burke. Rep: Mavros Whissell Peterborough YMCA Championship The 31st Annual Peterborough YMCA Champion is Mike Beatty, who finished just ahead of John Wood and Alex Strojevs in a tie for second. TD/Rep: Wayne Vandervoort DCC Victoria Day Open FM Ian Findlay finished on top of the impressive 70 player field with a final tally of 5/6 after conceding only two draws. Next were Ted Kret, Yura Ochkoos, Eddie Urquhart and Mihnea Voloaca in a tie for second at 4/6. In the penultimate round Ochkoos looked to be in control against Urquhart, only to miss a tactic and drop a piece. Meanwhile Findlay managed to reach a superior ending against the talented Voloaca and won on time. Andrew Picana and Shiyam Thavandiran split top spot in the U2100 Section, while Ron Brice followed close behind for third. Undriadi Benggawan and Hugh Siddeley finished in a tie for first ahead of Robert Sherman and Milos Gaj in the U1900 Section. Ryan Arcand took the U1700 Section, and Zoran Visnjic won Top Unrated. Among the promising juniors in attendance was Dinara Khaziyeva, who didn’t lose a single game and showed with some fine play that her Expert rating is fully deserved. Mark Dutton added value to the event for Maple Leaf fans by providing a TV for interested players, though of course without sound, except for an occasional outburst by the crowd when Toronto would score! TD/Org: Mark S. Dutton; Rep: Eddie Urquhart DCC Bughouse Infestation FM Ian Findlay and David MacLeod of the Hart House Hackers scored 9/10 to share top spot in the event with Yura Ochkoos and Artem Gurevich of Riga. Much unusual excitement is produced by this popular chess variant, including a loss on time by David Lawless and Peter Boross-Harmer of Law & Disorder when both players had mate in one on the board! All of the participants are looking forward to the next Bughouse event, and Chris Field deserves credit for developing a whole roster of future Bughouse Champions at Stephen Leacock Collegiate. Like anything else, Bughouse should be practiced in moderation, but probably helps develop tactical proficiency in discovering unusual mating patterns. TD/Org: Mark S. Dutton; Rep: Eddie Urquhart DCC Summer Sizzler Active David Raheb scored 4/5 to finish alone in first place, followed close behind by IM David Cummings, Warren Dutton and Evgeni Miller. The U2000 prize money required 4/6, and was shared by Alex Rapoport and juniors Dina Kagramanov and Gajana Srinivasan. The U1800 cash went to Zoran Visnjic, Pino Verde and Tony Verma, while David Gurr was the sole winner in the U1600 Section, and Leslie Armstrong picked up the U1400 prize. TD/Org/Rep: Mark S. Dutton DCC Mayflower III Warren Dutton posted four consecutive wins after taking a bye in round one to post a convincing 4.5/5 for clear first place in the 37 player field. Shiyam Thavandiran, Pepin Manalo, and Robert Sherman tied for second place. TD/Org/Rep: Mark S. Dutton DCC Canada Day Open Artem Gurevich posted a perfect 6/6 enroute to becoming the Canada Day Open Champion ahead of Igor Divljan in second with 4.5/6. David Southam and juniors Shiyam Thavandiran and Kiran Ramaswamy split the U2200 prize money. Slava Sviridovich dominated the U2000 Section with 5/6, followed by Zoltan Leskowky alone in second place with 4.5/6, and Sam Haziprodromu and Walter Chan in a tie for third. Chaim-Akiva Jacobs and Tony Verma split the U1800 Class prize at 4/6, a point ahead of Nimalan Thavandiran, Colin Archibald and Eduardo Donan in a tie for third. And finally, Jesus Vera and juniors Matthew Lai and Alex Lipson split their share of the prize money in the U1600 Section with identical 4/6 scores. TD/Org/Rep: Mark S. Dutton Ottawa Eastern Ontario Open A total of 53 players from Ontario and Quebec competed at the Ottawa RA Centre in the concluding event of the 20th Annual EOCA Grand Prix. In the Open Section IMs Deen Hergott and Michael Schleifer shared top spot with 4/5, followed by Kevin Pacey and Robert Gelblum at 3/5. Ron Brice scored a 5/5 sweep in the U2150, two full points ahead of Marcel Laurin and Colin McGraw. In the U1850 Section Mike Schofield took first with 4.5/5, followed by Mackenzie Hardie at 4/5. Terry Carroll, Radu Stanescu and Lloyd Mai scored 4/5 to win the U1600 Section ahead of Hugh Morrison and David Johnson at 3.5/5. A noteworthy 3/5 performance was also posted by unrated juniors Kimberley Hsiung and Yuanling Yuan, as well as Timothy Hsiung and Aaron Baltz. Laurin, Marcel Leimanis, Andris Ottawa Eastern ON op, 2002 Slav: Exchange D13 1.d4 d5 2.c4 c6 3.cxd5 cxd5 4.d3 f6 5.c3 e6 6.a3 a6 7.f4 d6 8.d2 b5 9.xd6 xd6 10.e5 O-O 11.c1 b7 12.f3 bd7 13.f4 b4 14.axb4 xb4 15.d3 a5 16.f2 ac8 17.g4 b6 18.e3 eb8 19.e2 d8 20.h4 f6 21.g3 e7 22.b4 d6 23.c5 b6 24.xa6 xa6 25.xa6 dc4 26. $c5 $a8 27. $a1 e5 28. $xa8 $xh8 29. dxe5 fxe5 30. $e1 $a3 31. $b5 $a2+ 32. $e2 $xe2+ 33. $xe2 d4 34. exd4 exd4+ 35. $e4 h6 36. $d6 $e5 37. $f1 $e6 38. g5 h5 39. $f6+ $h8 40. $xe5 1-0. TD/Org/Rep: Michael Holmes DCC Club Championship Initially Ross Richardson came flying out of the gate with four consecutive wins, but was stopped in the final two rounds by Blakely and Lucki. In the end Matt Blakely became the new DCC Champion by posting a 5/6 final score, marginally ahead of Omar Shah and Arnie Lucki who finished at 4.5/6 for a share of second place. In the U1800 Section newcomer Marko Aleksic posted 5/6 to outscore Hugh Siddeley in second at 4.5/6. TD/Org/Rep: Mark S. Dutton DCC Father's Day Open Yaaqov Vaingorten played like a machine and added four straight wins to his first round bye to take the tournament with 4.5/5, ahead of FM Ian Findlay, IM Mark Bluvshtein and Igor Divljan. The U2200 Class prize went to David Southam, Andrew Picana, Shiyam Thavandiran and Pepin Manalo, while the U2000 Section prize winners were Ross Richardson, Irakli Vadachkoriya and Arnie Luckie. Zoran Visnjic picked up a nice cheque for winning the U1800 Section with 4/5, followed by Ted Cushing and Ian Ollers tied for second. David Ostapchuk returned to active play with a win in the U1600 Section, while Harris Kaufman won second. TD/Org/Rep: Mark S. Dutton DCC Saturday Active #26 FM Ian Findlay took first place ahead of juniors Igor Divljan and Evgeni Miller, while Andrew Picana and Erven Perlas shared the U2000 prize. Fred Henderson and Waqas Iqbal won the U1800 and U1600 prizes, respectively. TD/Org/Rep: Mark S. Dutton GTCL Club Competition Polonia started as defending league and cup champions, and once again fielded a strong team in this year’s competition. Also in contention with a strong team roster was Anapilis, and several other teams trying to keep the field close. Anapilis kept up with Polonia until suffering a decisive defeat at the hands of their arch rivals at the halfway point, which started a precipitous downhill slide for the remaining season. In the end Anapilis could manage no better than a tie for fourth with Scarborough, allowing Dutton Chess Club to charge into second place and Polonia ‘B’ into third. Polonia, however, was unable to equal their first place result in the season’s league play in the final cup playoff, where Dutton Chess Club prevailed. Thanks to all the players and team captains for taking part and making the league such a great place to play chess this past year! Rep: David Gebhardt GTCL Cup Final While the Dutton Chess Club won the Greater Toronto Chess League final event of the year, it was Mississauga’s Polonia ‘A’ who took the overall GTCL title for the second year in a row, ahead of DCC and Polonia ‘B’. The GTCL has been operating successfully in Toronto for many years, and has recently gained the respect of top players like IM Brian Hartman and FMs Ian Findlay and Denis Allan. The format consists of league play throughout the year, followed by a separate playoff session for the cup. Mississauga’s Polonia Club can be considered the dynasty team, but this year had to fend off a strong challenges from Anapilis, which consisted of an all-Master team headed by IM Brian Hartman in the post-season playoff. DCC also came on strong, due in no small part to the signing of FM Ian Findlay on top board, and a strong supporting cast that consisted of former Canadian Junior Champion Yaaqov Vaingorten, the self-admitted tactical barbarian Eddie Urquhart, as well as Peter Boross-Harmer, Warren Dutton, Ross Richardson and Omar Shah. Since Anapilis had failed to produce their starters during the regular season, the stage was set for a showdown between the top three teams in the playoffs. As expected, Anapilis easily cruised through to the finals against Polonia ‘B’ on the strength of its Master cast of actors, while DCC managed to dispose of Polonia ‘A’ in the second semi-final. In the final FM Findlay would face his arch rival IM Hartman on top board, in an encounter that would become the best game of the year. Eddie Urquhart set the early pace for DCC with a fine attacking victory on board three, while Boross-Harmer managed to hold his opponent to a draw. Match victory came in the third hour when Findlay successfully held off his opponent’s advances on top board, and Yaaqov Vaingoorten added another point to make the final tally 3.5–0.5 for DCC! Thanks for a terrific year of GTCL competition also go out to David Gebhardt, all of the participating teams, and Ross Richardson and his wife Susan for hosting a wonderful BBQ and pool party at their home in Mississauga. TD/Org: Mark S. Dutton; Rep: Eddie Urquhart NB New Brunswick Charlottetown Open Alvah Mayo edged out Neil Davis by half a point for first place at 4.5/5. Mike Eldridge took third, while Gilbert Bernard collected the Most Improved prize. Raymond Doucette and John MacLean won the U1900 and U1600 prizes, respectively, while Aman Hambleton and Alexandre Perry tied for Top Junior. TD/Org/Rep: Fred McKim Nova Scotia Open Jason Kenney and Alvah Mayo tied for first place in the 29 player field at this year’s Nova Scotia Open with an impressive 7/8 final tally, a full 1.5 points ahead of third place finisher. Lunenburg County Open The Lunenburg County Open drew a small crowd this year, but was nevertheless a competitive event with entries from across Nova Scotia and one from Prince Edward Island. Alvah Mayo ceded only a single draw en route to first place, followed by Aaron Cooper and Jose Gonzalez Custo in a tie for second. Young Andrew Dunphy won the U1700 prize ahead of Jerry Pittman, who returned to competition after a long absence. Gary Ng won the Top Junior prize. TD/Rep: Stephen Saunders Prince Edward Island Charlottetown PEI Closed Championship Anthony Howarth and Fred McKim were declared Co-Champions after their playoff match ended in a 1–1 tie. Anthony looked to have clear sailing until a last round loss against Aaron Cooper, who in turn narrowly missed out on getting involved in the tie for first with a previous draw to fourth place finisher Jarmo Puiaras. TD/Org/Rep: Fred McKim Stephen Saunders at 5.5/8, and two points ahead of Justin Gulati, David Kenney, Garrett Keddy, Robin Lindsay, David Poirier and Brian McKay, all in a tie for fourth at 5/8. Org/Rep: Albert Ede ## Top Rating Lists These lists include current members that have been rated in a CFC event within the last twelve months. ### Top Canadians \| Rank \| Name \| Province \| Rating \| \|------\|--------------------\|----------\|--------\| \| 1 \| Lesiege, Alexandre \| PQ \| 2643 \| \| 2 \| Spraggett, Kevin \| ON \| 2629 \| \| 3 \| Teplitsky, Yan \| ON \| 2523 \| \| 4 \| Hebert, Jean \| PQ \| 2501 \| \| 5 \| Linskiy, Oleg \| PQ \| 2487 \| \| 6 \| Hergott, Deen \| ON \| 2479 \| \| 7 \| Cummings, David \| ON \| 2474 \| \| 8 \| Zugic, Igor \| ON \| 2471 \| \| 9 \| Nickoloff, Bryon \| ON \| 2468 \| \| 10 \| Charbonneau, Pascal\| PQ \| 2464 \| \| 11 \| O'Donnell, Tom \| ON \| 2453 \| \| 12 \| Barbeau, Sylvain \| PQ \| 2442 \| \| 13 \| Yoos, John C. \| BC \| 2438 \| \| 14 \| Day, Lawrence \| ON \| 2435 \| \| 15 \| Khassanov, Marat \| PQ \| 2432 \| \| 16 \| Hartman, Brian \| ON \| 2419 \| \| 17 \| Livshits, Ron \| ON \| 2417 \| \| 18 \| Milicevic, Goran \| ON \| 2414 \| \| 19 \| Basanta, Gary \| BC \| 2410 \| \| 20 \| Bluvshtein, Mark \| ON \| 2409 \| \| 21 \| Glinert, Stephen \| ON \| 2404 \| \| 22 \| Dougherty, Michael \| ON \| 2404 \| \| 23 \| Schleifer, Michael \| PQ \| 2398 \| \| 24 \| Ross, David \| PQ \| 2385 \| \| 25 \| Findlay, Ian \| ON \| 2382 \| \| 26 \| Allan, Denis \| ON \| 2381 \| \| 27 \| Hamilton, Robert \| ON \| 2370 \| \| 28 \| Olszewski, Piotr \| ON \| 2364 \| \| 29 \| Duong, Thanh Nha \| PQ \| 2361 \| \| 30 \| Reeve, Jeff \| AB \| 2360 \| \| 31 \| Taylor, Gordon \| ON \| 2357 \| \| 32 \| Berry, Jonathan \| BC \| 2356 \| \| 33 \| Gentes, Kevin \| MB \| 2354 \| \| 34 \| Hua, Lefong \| PQ \| 2352 \| \| 35 \| Fuentebella, Mayo \| BC \| 2348 \| \| 36 \| Vaingorten, Yaaqov \| ON \| 2343 \| \| 37 \| Gurevich, Artem \| ON \| 2340 \| \| 38 \| Mitrovic, Milan \| ON \| 2334 \| \| 39 \| Mikanovic, Goran \| PQ \| 2334 \| \| 40 \| Harper, Bruce \| BC \| 2333 \| \| 41 \| Ochkoos, Jura \| ON \| 2329 \| \| 42 \| Ristovic, Nenad \| AB \| 2318 \| \| 43 \| Goldenberg, Danny \| PQ \| 2318 \| \| 44 \| Pacey, Kevin \| ON \| 2317 \| \| 45 \| Filipovich, David \| ON \| 2309 \| \| 46 \| Phillips, Ray \| PQ \| 2308 \| \| 47 \| Herder, David \| BC \| 2307 \| \| 48 \| Neven, Knut \| AB \| 2305 \| \| 49 \| Vujic, Branimir \| ON \| 2304 \| \| 50 \| Howarth, Anthony \| PE \| 2304 \| \| 51 \| Pushkedra, Frank \| ON \| 2303 \| \| 52 \| Valdizon, Armando \| ON \| 2303 \| \| 53 \| Kiviaho, Robert \| ON \| 2303 \| \| 54 \| Scoones, Dan \| BC \| 2300 \| ### Top FIDE \| Rank \| Name \| Province \| Rating \| \|------\|--------------------\|----------\|--------\| \| 1 \| Lesiege, Alexandre \| PQ \| 2561 \| \| 2 \| Spraggett, Kevin \| ON \| 2533 \| \| 3 \| Teplitsky, Yan \| ON \| 2455 \| \| 4 \| Zugic, Igor \| ON \| 2450 \| \| 5 \| Charbonneau, Pascal\| PQ \| 2422 \| \| 6 \| Suttles, Duncan \| BC \| 2420 \| \| 7 \| Marantz, Michael \| ON \| 2420 \| \| 8 \| Pelts, Roman \| ON \| 2417 \| \| 9 \| Linskiy, Oleg \| PQ \| 2417 \| \| 10 \| Nickoloff, Bryon \| ON \| 2417 \| \| 11 \| Hebert, Jean \| PQ \| 2416 \| \| 12 \| Hartman, Brian \| ON \| 2405 \| \| 13 \| Schulte, Oliver \| BG \| 2397 \| \| 14 \| Barbeau, Sylvain \| PQ \| 2397 \| \| 15 \| Hergott, Deen \| ON \| 2388 \| \| 16 \| Teodoro IV, Eduardo D. \| ON \| 2387 \| \| 17 \| Alipayo, Rodulfo \| ON \| 2380 \| \| 18 \| Schleifer, Michael \| PQ \| 2371 \| \| 19 \| Cummings, David \| ON \| 2371 \| \| 20 \| Khassanov, Marat \| PQ \| 2370 \| \| 21 \| O'Donnell, Tom \| ON \| 2367 \| \| 22 \| Bluvshtein, Mark \| ON \| 2367 \| \| 23 \| MacPhail, John \| ON \| 2365 \| \| 24 \| Milicevic, Goran \| ON \| 2360 \| \| 25 \| Yoos, John C. \| BC \| 2358 \| \| 26 \| Amos, Bruce \| ON \| 2355 \| \| 27 \| Kleinplatz, Sam \| PQ \| 2355 \| \| 28 \| Plasetski, Leon \| BC \| 2350 \| ### Top Women \| Rank \| Name \| Province \| Rating \| \|------\|--------------------\|----------\|--------\| \| 1 \| Starr, Nava \| ON \| 2275 \| \| 2 \| Mitrovic, Bojana \| ON \| 2146 \| \| 3 \| Belc, Daniela \| ON \| 2138 \| \| 4 \| Chu, Stefanie \| ON \| 2095 \| \| 5 \| Kagramanov, Dina \| ON \| 2067 \| \| 6 \| Benggawan, Amanda \| ON \| 2052 \| \| 7 \| Khazhiyeva, Dinara \| PQ \| 2043 \| \| 8 \| Bryskine, Marina \| ON \| 2013 \| \| 9 \| Charbonneau, Anne-Marie \| PQ \| 1974 \| \| 10 \| Baltgailis, Vesma \| ON \| 1933 \| ### Top U14 \| Rank \| Name \| Province \| Rating \| \|------\|-------------------------------\|----------\|--------\| \| 1 \| Bluvshtein, Mark \| ON \| 2409 \| \| 2 \| Roussel-Roozmon, T. \| PQ \| 2264 \| \| 3 \| Meng, Fanhao \| BC \| 2184 \| \| 4 \| Krman, Tomas \| ON \| 2165 \| \| 5 \| Panjwani, Raja \| ON \| 2135 \| \| 6 \| Predescu, Sebastian \| ON \| 2113 \| \| 7 \| Noritsyn, Nikolay \| ON \| 2065 \| \| 8 \| Thavandiran, Shiyam \| ON \| 2013 \| \| 9 \| Ramaswamy, Kishor \| PQ \| 1947 \| \| 10 \| Davies, Lucas \| BC \| 1931 \| ### Top U12 \| Rank \| Name \| Province \| Rating \| \|------\|-------------------------------\|----------\|--------\| \| 1 \| Panjwani, Raja \| ON \| 2135 \| \| 2 \| Noritsyn, Nikolay \| ON \| 2065 \| \| 3 \| Thavandiran, Shiyam \| ON \| 2013 \| \| 4 \| Vadachkoriya, Irakli \| ON \| 1901 \| \| 5 \| Vincent, Trevor \| MB \| 1858 \| \| 6 \| Eshleman, Brandon \| AB \| 1828 \| \| 7 \| Sviridovitch, Alina \| ON \| 1802 \| \| 8 \| Hier, David \| ON \| 1784 \| \| 9 \| McDonald, Justin \| ON \| 1779 \| \| 10 \| Smith, Hazel \| ON \| 1769 \| ### Top U10 \| Rank \| Name \| Province \| Rating \| \|------\|-------------------------------\|----------\|--------\| \| 1 \| Thavandiran, Shiyam \| ON \| 2013 \| \| 2 \| Sviridovitch, Alina \| ON \| 1802 \| \| 3 \| Kaufman, Harris \| ON \| 1597 \| \| 4 \| Mai, Lloyd \| ON \| 1469 \| \| 5 \| Yam, Richard \| ON \| 1413 \| \| 6 \| Douglas, Richard \| ON \| 1379 \| \| 7 \| Aylward, Zachary \| BC \| 1369 \| \| 8 \| Fan, Brendan \| ON \| 1332 \| \| 9 \| Wiratunga, Sheran \| ON \| 1326 \| \| 10 \| Noritsyn, Elizabeth \| ON \| 1325 \| ### Top U20 \| Rank \| Name \| Province \| Rating \| \|------\|-------------------------------\|----------\|--------\| \| 1 \| Charbonneau, Pascal \| PQ \| 2464 \| \| 2 \| Bluvshtein, Mark \| ON \| 2409 \| \| 3 \| Glinert, Stephen \| ON \| 2404 \| \| 4 \| Hua, Lefong \| PQ \| 2352 \| \| 5 \| Gurevich, Artem \| ON \| 2340 \| \| 6 \| Wang, HaoYuan \| ON \| 2280 \| \| 7 \| Golts, Roman \| ON \| 2274 \| \| 8 \| Roussel-Roozmon, T. \| PQ \| 2264 \| \| 9 \| Divljian, Igor \| ON \| 2260 \| \| 10 \| Hacat, Kevork \| ON \| 2245 \| ### Top U18 \| Rank \| Name \| Province \| Rating \| \|------\|-------------------------------\|----------\|--------\| \| 1 \| Bluvshtein, Mark \| ON \| 2409 \| \| 2 \| Glinert, Stephen \| ON \| 2404 \| \| 3 \| Wang, HaoYuan \| ON \| 2280 \| \| 4 \| Roussel-Roozmon, T. \| PQ \| 2264 \| \| 5 \| Divljian, Igor \| ON \| 2260 \| \| 6 \| Lawson, Eric \| PQ \| 2243 \| \| 7 \| Rolfe, Warrick \| ON \| 2221 \| \| 8 \| Stevens, Christian \| ON \| 2211 \| \| 9 \| Reddy, Tyler \| NS \| 2205 \| \| 10 \| Feoktistov, Dmitri \| PQ \| 2202 \| ### Top U16 \| Rank \| Name \| Province \| Rating \| \|------\|-------------------------------\|----------\|--------\| \| 1 \| Bluvshtein, Mark \| ON \| 2409 \| \| 2 \| Wang, HaoYuan \| ON \| 2280 \| \| 3 \| Roussel-Roozmon, T. \| PQ \| 2264 \| \| 4 \| Divljian, Igor \| ON \| 2260 \| \| 5 \| Stevens, Christian \| ON \| 2211 \| ### Top Active Ratings \| Rank \| Name \| Province \| Rating \| \|------\|-------------------------------\|----------\|--------\| \| 1 \| Spraggett, Kevin \| ON \| 2543 \| \| 2 \| Hartman, Brian \| ON \| 2520 \| \| 3 \| Day, Lawrence \| ON \| 2494 \| \| 4 \| Schleifer, Michael \| PQ \| 2488 \| \| 5 \| O'Donnell, Tom \| ON \| 2448 \| \| 6 \| Cummings, David \| ON \| 2416 \| \| 7 \| Teodoro IV, Eduardo D. \| ON \| 2398 \| \| 8 \| Milicevic, Goran \| ON \| 2385 \| \| 9 \| Livshits, Ron \| ON \| 2371 \| \| 10 \| McTavish, David \| ON \| 2360 \| \| 11 \| Findlay, Ian \| ON \| 2344 \| \| 12 \| Dougherty, Michael \| ON \| 2342 \| \| 13 \| Mitrovic, Milan \| ON \| 2338 \| \| 14 \| Vujic, Branimir \| ON \| 2335 \| \| 15 \| Tipu, Vincentiu \| ON \| 2314 \| \| 16 \| Reeve, Jeff \| AB \| 2304 \| \| 17 \| Ochkoos, Jura \| ON \| 2297 \| \| 18 \| Bluvshtein, Mark \| ON \| 2288 \| \| 19 \| Gardner, Robert J. \| AB \| 2287 \| \| 20 \| Spraggett, Grant \| ON \| 2284 \| \| 21 \| Pacey, Kevin \| ON \| 2267 \|
AMENDED VERIFIED COMPLAINT CONCISE STATEMENT OF CLAIM PER FRCP RULE 8 Defendants have already admitted under oath that they coordinated an effort to strongly encourage Twitter to delete tweets that specifically referenced emails from Defendant Galvin’s Office, and aimed to get Twitter to suspend Dr. Shiva repeatedly such that he was unable to send out any tweets during the last month of his campaign run. Those emails, which revealed that ballot images from election machines have all been deleted, substantiated Dr. Shiva’s claim that Federal law had been violated by Defendant Galvin. Defendants acted in concert with the common purpose of abusing their official influence to suppress Dr. Shiva’s political speech. Defendants violated Dr. Shiva’s First Amendment right under the color of law, thus giving rise to this § 1983 claim. Defendant Galvin is sued in both official and individual capacities because of the need to invoke the Ex parte Young exception. Ex parte Young, 209 U.S. 123 (1908) PARTIES Plaintiff Dr. Shiva Ayyadurai (“Dr. Shiva”) lives and works in this District. He holds four (4) degrees from the Massachusetts Institute of Technology including his PhD in Biological Engineering, where he collaborated on research with Professor Noam Chomsky, a noted linguist; and with Professor Robert Langer, a world-renowned engineer. Dr. Shiva founded and runs multiple technology companies in Cambridge, MA at 701 Concord Avenue, and has now campaigned for Federal office three times, including presently for U.S. Senate. He started his account on Twitter in August 2011 and since then has worked assiduously to grow his presence. His Verified Twitter account is followed by a quarter of a million people, giving him significant presence on the nation’s social media landscape. Defendant William Galvin is a career politician, presently the Secretary of State for the Commonwealth of Massachusetts, and the person responsible for ensuring that Federal law is complied with during the conduct of elections for Federal office. He resides at 46 Lake Street, Brighton, MA 02135. Defendant Michelle Tassinari is Defendant Galvin’s legal counsel and Elections Director of the Massachusetts Elections Division and the person required to ensure Galvin’s office complies with Federal law. Tassinari is also the President-elect of Defendant National Association of State Election Directors, and a member on the Standards Board of the U.S. Election Assistance Commission (www.eac.gov). Tassinari resides at 5A Lee St, Wilmington, MA 01887. Defendant Debra O’Malley is Defendant Galvin’s spokesperson and also handles the Election Division’s official Verified Twitter account (@VotinginMass). Defendant Amy Cohen is the Executive Director for Defendant NASED. Defendant National Association of State Election Directors (“NASED”) is a 501(c)(3) professional organization headquartered at 1200 G Street NW, Suite 800, Washington, DC 20005. Its members are the Elections Directors in the fifty (50) states. In 2018, Democracy Works, which is funded by certain known foundations, took over the management of NASED. NASED does not make prominent that it is an entity “within” Democracy Works, Inc. The screenshot below from Democracy Works’ web page provides a partial list of their funders. FUNDERS We’re supported by an amazing board of directors and the generosity of many. Amy Cohen went from Pew to Democracy Works to NASED. Democracy Works Inc.’s 2018 Form 990 declares that NASED operates “within” Democracy Works, Inc. Screenshot below: FORM 990, PART I, LINE 1, DESCRIPTION OF ORGANIZATION MISSION: ELECTION ADMINISTRATORS. FORM 990, PART III, LINE 4A, PROGRAM SERVICE ACCOMPLISHMENTS: DEMOCRACY WORKS LABS IS OUR IN-HOUSE INNOVATION ARM THAT AIMS TO IMPROVE THE QUALITY OF VOTER ENGAGEMENT TOOLS AND THUS BUILD A FOUNDATION TO STRENGTHEN THE ENTIRE FIELD OF VOTER ENGAGEMENT TECHNOLOGY. IN 2018, LABS LAUNCHED HOW TO VOTE, WHICH IS BUILT ON THE DEMOCRACY WORKS API AND HELPS VOTERS ACCESS ACCURATE INFORMATION ABOUT VOTING AND REGISTRATION ACROSS ALL 50 STATES AND DC. FORM 990, PART III, LINE 4B, PROGRAM SERVICE ACCOMPLISHMENTS: WITHIN DEMOCRACY WORKS, NASED PROMOTES ACCESSIBLE, ACCURATE, AND TRANSPARENT ELECTIONS IN THE UNITED STATES AND U.S. TERRITORIES. NASED MEMBERS ARE ELECTION DIRECTORS FROM ACROSS THE COUNTRY AND ARE RESPONSIBLE FOR IMPLEMENTING ELECTION LAWS AND POLICIES, MAINTAINING THE VOTER REGISTRATION DATABASES, WORKING WITH LOCAL ELECTION OFFICIALS TO ENSURE A SUCCESSFUL VOTING EXPERIENCE FOR ALL VOTERS, AND MORE. VENUE Venue is proper because the Defendants violated Dr. Shiva’s rights in this district. In addition, Dr. Shiva lives and works in this District as do three of the Defendants. JURISDICTION This court has jurisdiction over this case because the complaint involves violation of a right guaranteed by the United States Constitution by persons under the color of law, as well as racketeering to obstruct justice and conspiracy. 28 U.S.C. § 1331, 28 U.S.C. § 1343, 42 U.S.C. § 1983, 18 U.S.C. § 1961(3), 18 U.S.C. § 1962(c), 18 U.S.C. § 1962(d) and 42 U.S.C. § 1985. In addition, there is diversity between the parties: two of the Defendants, Cohen and NASED, are based in different Districts. This court has jurisdiction under Ex parte Young, 209 U.S. 123 (1908) over Secretary Galvin in his official capacity as the relief sought is prospective and injunctive. LIABILITY Pursuant to the Court’s ruling in Kentucky v. Graham, 473 U.S. 159, 165 (1985), Galvin, O’Malley and Tassinari may be sued in their individual capacities for monetary damages caused by their intentional torts, which in this case include violation of Dr. Shiva’s First Amendment rights under color of law through abuse of their official positions. An ipso facto immunity defense is impermissible. Sworn testimony elicited from the Defendants during an emergency hearing for a Temporary Restraining Order implicated Defendants Cohen and NASED in the intentional violation of Dr. Shiva’s First Amendment rights. The U.S. District Court for Massachusetts has already ruled that Dr. Shiva has met the threshold of likelihood of being able to prevail on his claim that Twitter’s action was State action and due solely to the actions of these Defendants. See Blum v. Yaretski, 547 U.S. 991 (1982). On October 30, 2020, Judge Mark L. Wolf thus ordered (#20) that Galvin, his agents, employees, and other persons in active concert with any of them shall not report or complain to Twitter concerning Dr. Shiva’s tweets and that Galvin shall ask NASED to not report or complain to Twitter as well. Defendants Galvin agreed to this while on notice that Dr. Shiva intended to seek monetary damages. THIS AMENDED COMPLAINT IS APPROPRIATE Defendant Galvin, who had been sued in the original complaint solely in his official capacity, averred that service had not been perfected by the time of the emergency hearing on Dr. Shiva’s motion for a Temporary Restraining Order. Galvin’s attorney, Adam Hornstine, filed an appearance in order to oppose the motion as Defendant Galvin had full and substantive notice of the accusation and issues regarding the motion and complaint. Galvin’s opposition also presented affirmative defenses against claims in the complaint that were not related to the motion for a TRO. Dr. Shiva’s previous counsel has thus far been either unable or unwilling to produce proof of service such as a Certified Mail receipt. Dr. Shiva represented himself pro se at the emergency hearing and committed to serving the complaint upon the Defendants. As the Defendants in this action were not served the original complaint in a manner compliant with Rule 4, and no Answer was filed, Dr. Shiva files this amended complaint as a matter of right. GALVIN MAY BE SUED IN BOTH INDIVIDUAL AND OFFICIAL CAPACITIES Each of a person’s different legal capacities constitutes a separate ‘party.’ “Under well-established rules of res judicata, recognized in Maine, an action brought against an individual in one capacity does not bar a later action brought against the same individual in a different capacity. See also Restatement (Second) of Judgments § 36; IB Moore's Federal Practice ¶ 0.411[3] (2d ed. 1982). We therefore hold that res judicata does not bar the present action as against the individual Defendants but does bar it against the city.” Roy v. City of Augusta, Maine, 712 F. 2d 1517 (1st Circuit 1983). Also Kentucky v. Graham, 473 U.S. 159, 165-66 (1985), Unimex, Inc. v. United States Dep’t of Hous. & Urban Dev., 594 F.2d 1060, 1061 n. 3 (5th Cir. 1979), Headley v. Bacon, 828 F.2d 1272, 1279-80 (8th Cir. 1987), Andrews v. Daw, 201 F.3d 521 (4th Cir. 2000), Leftridge v. Matthews, 1:11-cv-03499-ELH (Dist. MD. 2012), Favors v. Cuomo, 11-cv-5632 (E.D.N.Y. Oct. 29, 2013) (“each of a person’s different legal capacities constitutes a separate ‘party’”), McCarthy v. Wood, 219 Mass. 566 (1914), Duffee v. Boston Elev. Rwy, 191 Mass 563 (1906), Sturbridge v. Franklin, 160 Mass. 149 (1893), Anderson v. Phoenix, 387 Mass. 444 (1982), Campbell v. Ashler, 320 Mass. 475 (1946) Galvin is thus sued in his individual capacity, for monetary damages, and in his official capacity, in order to avail of the Ex parte Young exception and obtain prospective injunctive relief in the form of a permanent injunction that bars him, as Secretary of State, from abusing his office again to suppress constitutionally-protected political speech, whether it concerns speech from Dr. Shiva or any other candidate for political office. This court must enforce the writ of the United States Constitution upon a recalcitrant Commonwealth of Massachusetts that even claims the Secretary’s decision to delete ballot images supersedes Federal law regarding the preservation of records generated during Federal elections. ORAL HEARINGS Dr. Shiva respectfully requests oral hearings prior to resolution of any substantive motion, such as a motion by Defendants to delay filing a pleading or a motion to dismiss. FACTS OF THIS CASE Dr. Shiva was born in India in 1963 into India’s oppressive caste system as a low-caste untouchable. The oppressive conditions and the corrupt system of socialist governance in India motivated his parents to immigrate to the United States in 1970 to seek greater liberty and respect for individual rights, including the U.S. Constitution’s iron-clad protection for freedom of speech, as well as opportunities for themselves and their children. Dr. Shiva earned four (4) degrees from the Massachusetts Institute of Technology: a bachelor’s in Electrical Engineering and Computer Science, masters degrees in both Mechanical Engineering and Visual Studies, as well as a doctoral degree in Biological Engineering. Dr. Shiva is a Fulbright Scholar, a Westinghouse Honors Award recipient, a member of multiple research and engineering academic honor societies including Eta Kappa Nu, Sigma Xi, and Tau Beta Pi, a Lemelson-MIT Awards Finalist, and was nominated for the National Medal of Technology and Innovation bestowed by the President of the United States. As an educator, Dr. Shiva has developed new curricula and taught at both undergraduate and graduate levels at MIT and has presented invited lectures at leading academic institutions across the world. In addition Dr. Shiva is responsible for seven (7) start-up technology companies and presently runs a biotechnology company, CytoSolve; an educational institute, Systems Health; an artificial intelligence company, EchoMail; and, a not-for-profit research center, International Center for Integrative Systems. Justia’s list of Dr. Shiva’s patents is at https://patents.justia.com/inventor/v-a-shiva-ayyadurai In August of 2011, Dr. Shiva opened his Twitter account, @va_shiva, to build an independent base and reach local, national and global audiences to support his activism in various scientific, social and governance causes. This Twitter account also served as his primary platform to communicate with potential voters during his runs for political office. It is vital for this court to note that as a private citizen, this Twitter account represents the speech of a private individual even during a run for political office. Between August 2011 and August 2020, Dr. Shiva had grown his Twitter audience from zero to a quarter of a million people who regularly heard what he had to say on diverse topics important to him, and interacted with him online. In February 2017, Dr. Shiva first ran for Federal office for the U.S. Senate as an Independent candidate, challenging incumbent Senator Elizabeth Warren, and conducted a dynamic campaign both on the ground across cities and towns in Massachusetts, and on Twitter with the slogan “Only A REAL Indian Can Defeat A FAKE Indian!” That election took place in November 2018. There were no troubles regarding his Twitter account throughout 2017-2018 campaign, though “election misinformation” was a prominent topic in the daily news. The City of Cambridge, however did retaliate against Dr. Shiva, by using a disparate reading of zoning law, to demand Dr. Shiva remove the large banner on his campaign bus with slogan exposing Elizabeth Warren’s lack of integrity. Dr. Shiva filed a lawsuit Ayyadurai v. Cambridge, 1:18-CV-10772-RWZ, and prevailed in defending his First Amendment rights. In January 2019, Dr. Shiva began his run for U.S. Senate against incumbent Senator Edward Markey as a Republican candidate. For this, he participated in a primary election within the Republican Party, and met the challenge with a ground organization of approximately 3,100 volunteers, distributed approximately 10,000 lawn signs, received donations from about 20,000 people that funded billboards at prominent spots on highways, advertisements on social media, radio and television, and made “Dr. Shiva” a recognized household name across all 351 cities and towns in Massachusetts. In addition, Dr. Shiva personally crisscrossed the state and held rallies to reach a diversity of demographics. It is vital to note that his campaign always met or exceeded all regulatory requirements set by the Elections Division at the Office of the Secretary of State. In February 2020, one year after Dr. Shiva began his campaign, Kevin O’Connor, in his first run for political office, entered the Republican primary race. O’Connor was however endorsed by Massachusetts Governor Charles Baker, who held fundraisers for him. On September 1, 2020, the Massachusetts Republican primary for U.S. Senate was held. Dr. Shiva’s internal polls had shown him leading in all counties. The announced results showed he had won in Franklin County by nearly ten-percent (10%) over his opponent, but had lost in all other counties by a consistent ratio of approximately 60% to 40%, to an opponent with little visibility, only a handful of volunteers, and no real campaign organization. His opponent, who was endorsed and supported by Charlie Baker and the Massachusetts GOP, had won. Dr. Shiva investigated and discovered that Franklin County was the only county where approximately seventy-percent (70%) of the towns counted the paper ballots by hand. The rest of the counties primarily used electronic systems that generated ballot images, which were then analyzed by a computer program to tabulate vote counts. Dr. Shiva’s campaign filed Public Records Requests to the various counties, under MGL ch. 66, for (a) the list of participating voters – those who actually voted in the election, and (b) the counts of the actual numbers of votes cast. Seven (7) of the fourteen towns/cities provided the records. In all seven (7) towns/cities, the number of tabulated votes was larger than the number of participating voters. Boston had approximately 4,100 more votes than participating voters; and, Newton had approximately 1,700 more votes than participating voters. Accessing and analyzing the ballot images – which are in the chain of custody of tabulating votes – therefore became critical to understanding the root cause of the discrepancy between Franklin County and the other counties. On September 9, Dr. Shiva personally went to Secretary Galvin’s office to deliver a Public Records Request to the Secretary, under MGL ch. 66, to determine whether or not the Secretary of State stored all ballot images, as it is these digital records generated in the course of a federal election, that are used to tabulate votes when ballots are electronically processed. It is important to note that in all counties, other than Franklin County, the majority of paper ballots were simply collected and stored. In those counties, which primarily use electronic systems for tabulating votes, the ballot images are the ballots, since the ballot images are the objects upon which tabulation takes place. The electronic systems employ various computer algorithms during the tabulation process, including Weighted Race techniques, which affords the capability to multiply a candidate’s vote counts by a decimal factor. For example, if candidate A received 1,000 votes and candidate B received 1,000, the Weighted Race technique can multiply candidate A’s votes by a factor such as 2.5 and candidate B’s by a factor of 0.8 to result in final tabulated vote counts for candidate A of 2,500 votes and candidate B of 800 votes, respectively. Pursuant to Federal law, Galvin is required to securely store or retain for twenty-two (22) months any and all records generated in connection with an election for a Federal office, such as U.S. Senate. U.S. Code provides: CHAPTER 207 - FEDERAL ELECTION RECORDS 52 USC 20701: Retention and preservation of records and papers by officers of elections; deposit with custodian; penalty for violation Every officer of election shall retain and preserve, for a period of twenty-two months from the date of any general, special, or primary election of which candidates for the office of President, Vice President, presidential elector, Member of the Senate, Member of the House of Representatives, or Resident Commissioner from the Commonwealth of Puerto Rico are voted for, all records and papers which come into his possession relating to any application, registration, payment of poll tax, or other act requisite to voting in such election, except that, when required by law, such records and papers may be delivered to another officer of election and except that, if a State or the Commonwealth of Puerto Rico designates a custodian to retain and preserve these records and papers at a specified place, then such records and papers may be deposited with such custodian, and the duty to retain and preserve any record or paper so deposited shall devolve upon such custodian. Any officer of election or custodian who willfully fails to comply with this section shall be fined not more than $1,000 or imprisoned not more than one year, or both. ( Pub. L. 86–449, title III, §301, May 6, 1960, 74 Stat. 88. ) 52 U.S.C. § 20702 - Theft, destruction, concealment, mutilation, or alteration of records or papers; penalties Any person, whether or not an officer of election or custodian, who willfully steals, destroys, conceals, mutilates, or alters any record or paper required by section 20701 of this title to be retained and preserved shall be fined not more than $1,000 or imprisoned not more than one year, or both. On that same day - September 9, 2020 - William Rosenberry, an Elections Division official in Defendant Secretary Galvin’s office, was publicly documented on video at the Secretary’s office declaring to Dr. Shiva that the Secretary possessed “no ballot images” as the Secretary’s office “turned that feature off” so as to not save the ballot images, which were generated by the ballot scanners. It should be noted that the default – factory setting – on the electronic machines is to save all ballot images so as to be compliant with Federal law. Rosenberry informed Dr. Shiva that he would send him an email documenting Secretary Galvin’s position on the matter. On Monday, September 21, 2020, Dr. Shiva returned in person back to Secretary Galvin’s office to follow up on the Public Record Request. Dr. Shiva came with storage devices to collect the ballot images. He also documented, in writing, Rosenberry’s earlier statement of the deletion of ballot images and further requested, in writing, what information the Secretary’s office would be delivering him. Defendant Tassinari was also present at this meeting, and Tassinari informed Dr. Shiva in the presence of Rosenberry that the Secretary’s office did not have to respond for ten (10) business days, and told Dr. Shiva that she would respond by the end of the day on Wednesday, September 23, 2020 by email. On September 24, 2020, at approximately 9:00AM, Dr. Shiva contacted the Secretary’s office via telephone and asked where the response to his Public Records request was as it was due on September 23, 2020. Rosenberry was recalcitrant and after Dr. Shiva informed him that he was in violation of Federal law for not delivering him his records within the ten (10) business days, Rosenberry responded and said, “No, I’m in violation of State law.” At the end of the conversation, Rosenberry assured Dr. Shiva that he would deliver it by 5:00PM that day. Dr. Shiva documented this phone conversation in the email below, in which he specifically memorialized Rosenberry’s admission to having violated Massachusetts State Law: September 24, 2020 William Rosenberry Elections Division RE: Second Follow Up on Public Records Request Dear William: On my Monday, September 21, 2020, at approximately 4:45PM, my colleagues and I followed up with your office, in person, concerning my records request made on September 9, 2020. I provided you written communication of my office visit and request at that time. You and your attorney - all of which is documented - assured me that I would receive a formal written response to my September 9th records request, via email to email@example.com, which would have been yesterday, September 23, 2020. You and your attorney, at the time of the Monday meeting, stated that the response was to be sent in "10 business days, not 10 calendar days" therefore, you and your attorney said you were obligated and required to send the response on September 23, 2020, not September 21st, by Massachusetts State Law. Yesterday, September 23, 2020, I did not receive the response to my records request via email, as you and your attorney had promised and reassured me September 21, 2020. In fact, I do not have the response as of the time of the writing of this email. This morning, September 24, 2020 at 9:32 AM, I called your office to reach you, as a follow up to see if you had responded to my records request, and if so, to the right address. Upon trying to reach you, I was put on hold by your assistant "Logan," and was told that you told Logan I should put anything else I wanted in writing. I told Logan that this made no sense, and I knew you were on site, and I wanted to speak to you. Finally, I was transferred to you, and upon speaking with you, you said that I would receive the response to my records request "no later than 5PM today [September 24, 2020]." You acknowledged that you had violated Massachusetts State Law by not delivering the response yesterday. Dr. Shiva Ayyadurai U.S. Senate Candidate Within less than thirty (30) minutes of Dr. Shiva’s transmitting the above email to Rosenberry that documented Rosenberry’s violation of State Law, Tassinari responded to Dr. Shiva’s request: On Thu, Sep 24, 2020 at 10:47 AM Tassinari, Michelle (SEC) <firstname.lastname@example.org> wrote: Good Morning- I am writing to acknowledge receipt of your request for records. Please note, that this Office does not maintain voter tabulation software, firmware or hardware. While this office certifies voting equipment, as required by law, we do not purchase or lease equipment. Once equipment is approved by this Office, cities and towns can purchase or lease such equipment. Accordingly, this Office has no records responsive to your request. Further, to the extent you request the same information from local election officials, please note that the approval of digital scan equipment in Massachusetts specifically prohibits the capturing of ballot images. Michelle K. Tassinari Director and Legal Counsel Elections Division One Ashburton Place, Room 1705 Boston, MA 02108 617-727-2828 Tassinari’s last sentence, coming as it did from the Secretary’s own legal counsel and Director of the Election Division, struck Dr. Shiva as beyond bizarre given the supremacy of Federal law. It was remarkable and required clarification. Therefore, Dr. Shiva emailed back: From: Shiva Ayyadurai <email@example.com> Sent: Thursday, September 24, 2020 11:22 AM To: Tassinari, Michelle (SEC) <firstname.lastname@example.org> Subject: Re: Records Request CAUTION: This email originated from a sender outside of the Commonwealth of Massachusetts mail system. Do not click on links or open attachments unless you recognize the sender and know the content is safe. Michelle, Kindly refer me to the statute or law, in which the "...approval of digital scan equipment in Massachusetts specifically prohibits the capturing of ballot images." Thank you in advance. Warmest regards, Dr. Shiva Ayyadurai In response to Dr. Shiva’s email requesting the specific Massachusetts law or regulation that apparently authorizes the Secretary to prohibit “capturing of ballot images” in Massachusetts, Tassinari did not cite any law in her September 25, 2020 email response: On Sep 25, 2020, at 11:45 AM, Tassinari, Michelle (SEC) <email@example.com> wrote: Shiva- Attached please find the certification of two different types of digital scan equipment in Massachusetts. Please note that while the ballot images are not stored, the actual ballots voted on at any federal election are secured and stored for 22 months in accordance with federal law. However, under state law, those ballots must remain sealed until such time as they can be destroyed. Michelle K. Tassinari Director and Legal Counsel Elections Division That email from Tassinari generated the following email response from Dr. Shiva: From: Shiva Ayyadurai <firstname.lastname@example.org> Date: September 25, 2020 at 10:33:09 PM EDT To: "Tassinari, Michelle (SEC)" <email@example.com> Cc: John R Brakey <firstname.lastname@example.org>, Venu Julapalli <email@example.com>, Ralph Lopez <firstname.lastname@example.org>, email@example.com, Jude Joffe-Block <firstname.lastname@example.org> Subject: Destroying Ballots is Illegal. The Ballot Images ARE the Ballots. You DESTROYED Them. Period. Subject: Destroying Ballots is Illegal. The Ballot Images ARE the Ballots. You DESTROYED The Ballots. Period. Michelle First, you have NOT answered my question, from my previous email. I repeat it below. PLEASE answer the question. Kindly refer me to the statute or law, in which the "...approval of digital scan equipment in Massachusetts specifically prohibits the capturing of ballot images." Second, neither the people of Massachusetts nor I are stupid. I presume you must be under incredible pressure from Bill Galvin and Charlie Baker to deflect this issue to hope it disappears. However, the fact is the State has illegally destroyed ballots. The electronic equipment used to tally and count the vote MUST first CREATE an image - the ballot image - in order for the vote to be processed and COUNTED by the machine. When that image is created, that image becomes THE BALLOT, as it is THE entity used to count the vote. If no image was created, no vote count could exist. You are required by Federal Law to store, preserve, archive those ballots for 22 months. If those ballot images DO NOT exist, they were DESTROYED. This destruction is illegal, and therefore, the election is null and void. Once again, please answer my question, above. Warmest regards, Dr.SHIVA Ayyadurai US Senate Candidate Tassinari never replied to this email and did not cite the statute or law that allowed Massachusetts to destroy the ballot images that were generated in connection with a Federal election. In addition, Tassinari consciously omitted this fourth email from her affidavit (#15-2) filed in court, a decision that can be construed only as aiming to conceal evidence from this court, given that the fourth email had been posted on Twitter and was one of the four (4) tweets specifically deleted by Twitter on behalf of the Defendants. The ballot scanning machines scan the paper ballots and generate a ballot image, which is then used to tabulate the votes in a Federal election, while the paper ballot is merely physically retained. It is fundamental statutory interpretation that the ballot image is a record and that, pursuant to 52 USC 20701, Secretary Galvin is required to store all records and papers which are generated in connection with Federal election. Owasso Independent School Dist. No. I-011 v. Falvo, 534 U.S. 426 (2002), Kasten v. Saint-Gobain Performance Plastics Corp., 563 U.S. 1 (2011), Dolan v. Postal Service, 546 U.S. 481 (2006), People v. Aleynikov, 2018 NY Slip Op 03174 [31 NY3d 383] It is important to note that when the Weighted Race feature is enabled, the number of votes tabulated will likely not match the number of ballot images. Therefore, access to ballot images, in the chain of custody, is essential in verifying the integrity of an election. It is an undeniable fact that the electronic systems for counting votes do generate the ballot images. That is how they work. Tassinari is incorrect in her use of the term “capturing” when it comes to these generated images. The images are created, and if they are not captured, that is merely a euphemism for destroyed. If she meant that the records are “not stored” after they are generated, which is what Defendant O’Malley also stated, that is a written admission of a Federal violation. And that indeed is exactly what Tassinari meant: “the ballot images are not stored[.]” Tassinari’s email conversation with Dr. Shiva intended to downplay the critical importance of ballot images in the tabulation process of votes, and to create a false impression of the preeminence of paper ballots. Elections officials across the country are aware of lawsuits filed by election integrity activists, such as John Robert Brakey (YouTube video: https://www.youtube.com/watch?v=PESVW--fpOI ), seeking transparency in the handling of ballot images by State Elections Directors. The only possible conclusion is that Tassinari, a practicing attorney, chose the word capture to mislead and misdirect Dr. Shiva and give the false impression that in Massachusetts ballot images never exist, at all, at any time. This is supported by the effort expended by both Tassinari and O’Malley to falsely claim, including in press statements, that the paper ballots are saved and so Federal law has been satisfied, as if paper ballots are used to tabulate the vote when electronic machines are used. Repeat, the votes, when electronically handled, are tabulated exclusively using the ballot images. On September 24, 2020, Dr. Shiva posted on Twitter that Massachusetts destroys ballot images. This is 100% factually correct as the scanners generate the image records and the Secretary’s Election Division ensures that these records are destroyed – “not stored.” Also, thus far the Secretary has been unable to cite any legal authority to support the Secretary’s “requirement” that ballot scanners certified for use in Massachusetts must delete all the ballot images after they are used to tabulate the vote. Dr. Shiva also posted that in seven (7) Massachusetts cities/towns there were more votes counted than are participating voters, and appended the Twitter hashtag #ElectionFraud to his tweets. This tweet went viral and generated much commentary. Dr.SHIVA Ayyadur... ✅ · Sep 24 BREAKING: Massachusetts Destroys Over 1 MILLION Ballots in US SENATE PRIMARY RACE committing #ElectionFraud. MA Elections Attorney confirms to #Shiva4Senate ballot images - used for counting votes - that MUST be saved by FEDERAL LAW for 22 months are nowhere to be found! 157 2.5K 3.1K Twitter did not delete this tweet. O’Malley, as the official spokesperson for Galvin, Tassinari and the Elections Division, released statements to the Associated Press, Reuters and Leadstories.com that this tweet constituted “Election Misinformation” and that no (paper) ballot was destroyed in violation of Federal law. Dr. Shiva continued to tweet on this point: Dr.SHIVA Ayyadur... ✅ · Sep 24 “[A]ppropriate state or local authority MUST PRESERVE ALL RECORDS to detection & prosecution of election crimes for 22-month federal retention period, if records were generated in connection w election that was held in whole or in part to select federal candidates.” -USC Title 42 Dr.SHIVA Ayyadur... ✅ · Sep 25 I Protest #ElectionFraud and stealing of a US Senate Federal Election by the Massachusetts SWAMP. TODAY - 12.30PM. Secretary of State Office. 1 Ashburton Place, Boston, MA. Just the beginning. WRITE IN #Shiva4Senate on or by November 3rd. Victory for #TruthFreedomHealth The Associated Press, Reuters and Leadstories.com ran “FACT CHECK” stories, which uniformly claimed that because Dr. Shiva had been contradicted by a government official, O’Malley, naturally Dr. Shiva’s claim was FALSE. In fact, Dr. Shiva’s attorney sent a letter to Leadstories.com conveying the facts about ballot images, and asked them to correct their fake “FACT CHECK.” They never corrected their “FACT CHECK,” rather accepting the word of government official O’Malley as the ultimate “fact.” These “FACT CHECK” stories were circulated worldwide and appear as the top result on search engine pages whenever one searches for Dr. Shiva. One sees these “FACT CHECK” articles, before one reads Dr. Shiva’s position as shown in the screenshot below. This exemplifies the result of “free press” partnering with the government to “combat” “election misinformation.” On September 25, 2020, Dr. Shiva followed his ‘Massachusetts destroyed ballots’ tweet with a thread of four (4) tweets that revealed, via screenshots, the email conversation with Tassinari that has been pasted above, which was written confirmation from the Secretary’s own office that records generated during a Federal election – the ballot images - the very records used for tabulation - were destroyed – “not stored.” Below is the threaded-tweet comprised offour (4) tweets and the associated four (4) screenshots of the Tassinari email conversation that Dr. Shiva posted: Threaded-Tweet – First of 4 Tweets Dr.SHIVA Ayyadurai, MIT PhD. Inventor of Email @va_shiva BREAKING: Legal Counsel of Massachusetts FURTHER confirms #CharlieBaker Sec. of State DESTROYED 1 Million+ Ballots - images used to COUNT votes on electronic equipment. She evades answering what statute allows MA to DESTROY ballots & evade Federal Law. Email exchange below: https://t.co/gcygVK1wiC 10:49 PM - 25 Sep 2020 --- Subject: Destroying Ballots is Illegal. The Ballot Images ARE the Ballots. You DESTROYED The Ballots. Period. Michelle First, you have NOT answered my question, from my previous email. I repeat it below. PLEASE answer the question. Kindly refer me to the statute or law, in which the "...approval of digital scan equipment in Massachusetts specifically prohibits the capturing of ballot images." Second, neither the people of Massachusetts nor I are stupid. I presume you must be under incredible pressure from Bill Galvin and Charlie Baker to deflect this issue to hope it disappears. However, the fact is the State has illegally destroyed ballots. The electronic equipment used to tally and count the vote MUST first CREATE an image - the ballot image - in order for the vote to be processed and COUNTED by the machine. When that image is created, that image becomes THE BALLOT, as it is THE entity used to count the vote. If no image was created, no vote count could exist. You are required by Federal Law to store, preserve, archive those ballots for 22 months. If those ballot images DO NOT exist, they were DESTROYED. This destruction is illegal, and therefore, the election is null and void. Once again, please answer my question, above. Warmest regards, Dr.SHIVA Ayyadurai US Senate Candidate --- Threaded-Tweet – Second of 4 Tweets Email response from Massachusetts Legal Counsel to #Shiva4Senate confirming ballot images were DESTROYED. - September 25, 2020. 11:45AM. https://t.co/OPNvqdThvK Sep 25, 2020, 10:49 PM Attached please find the certification of two different types of digital scan equipment in Massachusetts. Please note that while the ballot images are not stored, the actual ballots voted on at any federal election are secured and stored for 22 months in accordance with federal law. However, under state law, those ballots must remain sealed until such time as they can be destroyed. Threaded-Tweet – Third of 4 Tweets Email response from Dr. SHIVA Ayyadurai to Massachusetts Legal Counsel request the statute or Law that allows Massachusetts to violate Federal Law - September 24, 2020. 11:22AM. https://t.co/LkGLoUFhRn From: Shiva Ayyadurai <email@example.com> Sent: Thursday, September 24, 2020 11:22 AM To: Tassinari, Michelle (SEC) <firstname.lastname@example.org> Subject: Re: Records Request CAUTION: This email originated from a sender outside of the Commonwealth of Massachusetts mail system. Do not click on links or open attachments unless you recognize the sender and know the content is safe. Michelle, Kindly refer me to the statute or law, in which the "...approval of digital scan equipment in Massachusetts specifically prohibits the capturing of ballot images." Thank you in advance. Warmest regards, Dr. Shiva Ayyadurai US Senate Candidate. Tassinari and O’Malley testified under oath at the October 30, 2020 emergency hearing that they had received one or two emails and one or two phone calls from the public about these tweets, which then prompted them to go on Twitter and read the tweets themselves, and Tassinari became upset because it was “Election Misinformation.” Tassinari testified, she then decided that the tweet should be reported by O’Malley to Twitter for sanctions because this tweet would cause voter suppression. See Exhibit 1 - Transcript of TRO Hearing O’Malley testified she is the point person in Galvin’s office who manages the Election Division’s official Verified Twitter account. O’Malley testified that she reported the one tweet from September 24 in the complaint that she filed with Twitter via Twitter’s online form and identified the complainant as the official Verified Twitter account of the Massachusetts Elections Division. Q. And what brief description did you provide in this report? A. To the best of my recollection, I explained that the statements regarding the destruction of ballots were false and that the statements attributed to the Massachusetts election attorney were a misrepresentation of what Attorney Tassinari had said. O’Malley also revealed that Cohen-NASED had reported more of Dr. Shiva’s tweets, and mentioned that she also reported the tweet to National Association of Secretaries of State (NASS). Discovery shall reveal the role played by NASS in conjunction with the Defendants in the silencing of Dr. Shiva’s political speech. THE COURT: Well, do you know of anybody who reported any other of Dr. Shiva's tweets? THE WITNESS: I believe someone from the National Association of State Elections Directors may have reported some other tweets. THE COURT: Why do you think that? THE WITNESS: We were in communication with the National Association of State Elections Directors because they assist us in figuring out how to report these tweets. THE COURT: So Ms. Tassinari asked you to report Dr. Shiva's one tweet; is that right? THE WITNESS: Yes. During direct testimony at the emergency hearing, Tassinari revealed that she, the President-Elect at NASED, contacted Cohen at NASED to also report Dr. Shiva’s tweet. THE COURT: And when you communicated with Ms. Cohen, the Executive Director of the National Association, was it your hope that the National Association also would report the matter? THE WITNESS: Yes. She is -- the National Association of State Election Directors is also a Twitter partner, and they often coordinate communications between the social media companies and state election directors generally. Assistant Attorney General Adam Hornstine repeatedly asserted to Judge Mark Wolf that the Defendant had not complained to Twitter about the threaded tweets that displayed four (4) screenshots of the Tassinari emails that were the ones that Twitter repeatedly forced Dr. Shiva to delete. He did not reveal that this task had been outsourced to Cohen and NASED in order to maintain plausible deniability. In response to questioning by Judge Mark Wolf, Tassinari testified that she had been personally upset by Dr. Shiva posting the screenshots of her emails on Twitter and him declaring that because Massachusetts destroyed the ballot images used to tabulate votes, it constituted election fraud. Tassinari also revealed under questioning that she is the President-Elect of NASED, that she coordinated with Cohen at NASED to amplify pressure on Twitter to punish Dr. Shiva for his tweets about her emails, and hoped his account would get suspended such that he could not tweet at all during his election campaign for the official reason of “Election Misinformation,” and that Cohen had telephoned her back to inform her that Cohen had done so. None of this was in Tassinari’s affidavit (#15-2). THE WITNESS: I think the goal was generally to ensure that misinformation wasn’t being spread, and so whatever actions that we could take to make sure that the tweet was labeled as inaccurate or taken down, we were willing to pursue. THE COURT: But did you think -- you had filed a report. Did you want to do everything possible to try to assure that Twitter would take it seriously and either remove the tweet or label it inaccurate? THE WITNESS: Yes. THE COURT: And were you pleased when they deleted the tweet? THE WITNESS: I believe I saw that it had been removed. I was, yes, I was relieved. The tweet that Tassinari was “relieved” to see removed was the September 25th threaded tweet containing the four screenshots of Tassinari’s email conversation with Dr. Shiva, which exposed that Secretary Galvin was violating Federal law by destroying ballot images, even though Tassinari gave the court the impression that it was about the one election fraud tweet cited in her affidavit. To reiterate, Twitter never removed Dr. Shiva’s September 24th tweet that Tassinari initially claimed had been removed. On October 30, 2020, during the emergency hearing for a TRO, O’Malley testified that Massachusetts’ Elections Division is a “Twitter Partner,” meaning a respected, trusted partner in the fight against “Election Misinformation,” as is NASED and every state’s Elections Division. O’Malley testified that NASED had arranged for Twitter to provide a response to complaints from these “Twitter Partners” as a matter of priority and without necessarily independently checking the veracity of their complaints, as they come from a State office that is a “Twitter Partner.” One may visualize the difference between ordinary users - private citizens - and “Twitter Partners” as the difference between a credit union debit card and Amex Black. A complaint to Twitter from Elections Directors carries with it the full force of the government and receives high priority processing and response. None of these facts may be found in O’Malley’s affidavit to this court (#15-1). Q. And you mentioned a few moments ago in response to a question from the judge that the Elections Division is a Twitter partner; is that correct? A. Yes, yes. Q. And when you say that, what does that mean? A. My understanding is that we are able to select certain reasons for reporting a tweet that may not be available to everyone and that they will -- that the people who review the tweets at Twitter, when complaints are made, will try to act quickly on the ones we report. This sworn testimony directly contradicted Galvin’s assertions to Judge Mark Wolf via AAG Adam Hornstine that a complaint to Twitter from Galvin’s Office is just the same as and no different at all from a complaint from any ordinary civilian, even though he knew that the Elections Division is a Twitter Partner and has access to complaint types that are not visible to ordinary users on Twitter. While eliciting testimony from Dr. Shiva, Galvin’s attorney, AAG Adam Hornstine, took pains to emphasize the point that Dr. Shiva could have been forced by Twitter to delete the Tassinari email tweets due to a report from just about anybody with a Twitter account. This was proven false, given the special relationship afforded to the Defendants, as was revealed during the testimony of Tassinari and O’Malley. On September 26, 2020, in direct response to concerted, coordinated action by the Secretary of State, the state election director, the state Twitter liaison and spokesperson via the official Elections Division Verified Twitter account, and the National Association of State Election Directors, Twitter immediately forced Dr. Shiva to delete the thread of four tweets that revealed the Tassinari emails. Though he agreed to delete the thread with the four emails, Twitter suspended his Twitter account for a week, blocking him from speaking to his quarter-million followers and any potential voters during his Write-In election campaign. Dr. Shiva continued to physically run his campaign. At the end of the week his access to Twitter was restored. Dr. Shiva posted tweets about the rallies he had held, his objections to election fraud and the destruction of ballot images. Those tweets remain public. When Dr. Shiva then again posted any tweets referencing Tassinari’s emails exposing the Defendants violation of Federal law, immediately Twitter again forced him to delete those specific tweets and again suspended him for another week. This was during the last month of campaigning before Election Day, where as a Write-In candidate, Dr. Shiva needed as much public exposure as he could get. Dr. Shiva was disappeared from Twitter for nearly all of the final month of campaigning! During their sworn testimony at the October 30, 2020, emergency hearing, and in their affidavits, O’Malley and Tassinari took pains to claim that they complained about Dr. Shiva because his tweets constituted “Election Misinformation” and that they were relieved and pleased that Twitter deleted the tweet that they had reported. Neither Defendant chose to reveal in their affidavit that they asked Cohen and NASED to make Twitter delete the tweets about the Tassinari emails and that they were relieved and pleased that Twitter did so. Dr. Shiva then testified that the tweet the Defendants testified to have reported and then verified as having been deleted is still public, and that Twitter had not forced him to delete it, but did force him, every single time, to delete tweets that referenced the Tassinari emails that documented violation of Federal law by Defendants. Q. Ms. Tassinari, are you aware that the four tweets that I shared with our email interaction were deleted from Twitter? A. Yes. Q. Okay. You have stated to the court that the main tweet that I put up, which was exposing in fact ballot images were destroyed, was deleted. Are you aware that that tweet was never deleted; it’s still up? A. I do not know what action Twitter took. I thought it had -- I know tweets had been removed. I don't follow every single one of your tweets. Q. But did you not just assert to the court that this tweet was removed? A. I thought it had been. Q. Okay. But you do know that the four tweets that I shared with you and I interacting about the ballot images were removed; is that right? A. Yes. After Dr. Shiva’s testimony, Judge Wolf questioned Tassinari about her earlier testimony that she had checked Twitter and was happy that the reported tweet had been deleted. Tassinari claimed now that she may have been mistaken. It is vital to note that Galvin, O’Malley and Tassinari had claimed under oath that they were duty-bound to protect the reputation and integrity of the election process in Massachusetts and prevent suppression of the people’s vote, when they identified Dr. Shiva’s election fraud tweet as “Election Misinformation” and merely reported the tweet to Twitter just as would any other user. Assistant Attorney General Adam Hornstine from AG Maura Healey’s Government Bureau even declared that Twitter deleted the tweets and suspended Dr. Shiva because he could have violated Twitter’s Terms of Use and other internal policies and that the suspension could easily have been because of complaints from any ordinary random user. After the emergency hearing revealed the special position held by “Twitter Partners” and the coordinated nature of the attack on Dr. Shiva’s political speech, and the undeniable fact that the Tassinari emails were the sole focus of the deletions, the Defendants immediately claimed the opposite of what they swore to in their opposition, affidavits and initial testimony. Their brand new narrative, minted during the emergency hearing, and akin to Big Brother increasing chocolate rations, now involved claiming that because Twitter had not deleted the tweet that they had classified as “Election Misinformation,” the same tweet they had just sworn had been well-deservedly deleted to keep the country safe, the Defendants were not responsible for the suspension caused each time by Dr. Shiva posting the Tassinari email tweets, that Twitter had not even responded to their complaint and that for some reason unknown to the Defendants, Twitter by itself found only the Tassinari email tweets objectionable. By the time discovery is complete, the Defendants’ narrative may totally flip yet again. It is impossible to overstate the fact that until the Defendants’ coordinated attack, Twitter did not and still has not forced Dr. Shiva to delete many tweets on diverse topics that could be considered controversial or contrarian, the pandemic, BLM, face mask mandates, genetically modified foods, mandatory vaccinations etc. - 30,000 tweets over nine years. Here is a sample of such recent tweets: Dr.SHIVA Ayyadur... ✅ · Oct 25 Dr.SHIVA LIVE: The #DeepState created #BLM to distract US from uniting Working People. Too little too late. Dr. Fauci says to take vitamin D if you're deficient – here's how to know cnb.cx/3mXbxZE Pushing #Vaccines - MANDATED one-size-fits-all Medicine - is a very profitable market opportunity - growing at 17.9% per year since 2011. During this same period #BigPharma has been bleeding money on the drug front. #BigPharma NEEDS #ForcedVaccinations. Global Vaccines Market size in BS forecast 2011-12 World Health Organization - Veterinary Vaccines - Human Vaccines 4.47, 30.56, 4.72, 36.58, 4.99, 43.7, 5.28, 52.13, 5.6, 58.6 17.9% CAGR Rate WHO Expected In addition, during the period from September 1, 2020 to September 25, 2020, Dr. Shiva posted a series of tweets specifically on election fraud in Massachusetts, and on destruction of ballots. Twitter neither did ban Dr. Shiva’s access to his Twitter account for such tweets nor did Twitter force Dr. Shiva to remove these tweets: Dear Maura @MassAGO, Let me REMIND you of your role as Attorney General of MA [from YOUR website]: "[A]dvocate for the PEOPLE of MA... COMBATING FRAUD & CORRUPTION ...." In our recent interaction, you showed ZERO concern for the DESTRUCTION of Ballots - e.g. #ElectionFraud - About the Attorney General’s Office The Massachusetts Attorney General’s Office is an advocate and resource for the people of Massachusetts in many ways, including protecting consumers, combating fraud and corruption, investigating and prosecuting crime, and protecting the environment, workers, and civil rights. Maura Healey Just received a call from the @AP concerning #ElectionFraud in the Massachusetts U.S. Senate Primary Elections. I asked her to put her questions in writing. Here are my answers. I share this for full transparency. Question/Answer 1 On Sep 25, 2020, at 5:15 PM, Joffe-Block, Jude <email@example.com> wrote: What is your basis for saying the state has destroyed more than one million ballots? (Election officials say these ballots are preserved under seal). Let’s be clear when electronic equipment is used, the tally - count of vote - is performed on Athens ballot image. Pursuant to chain of custody, the ballot image IS the ballot, and destroying these ballots is illegal by Federal Law. Dr.SHIVA Ayyadurai, MIT PhD. Inventor of Email Attorney General of MA says “Good day” to #ElectionFraud when ambushed by Dr.SHIVA & Working People of Massachusetts. Dear @TheJusticeDept Massachusetts SWAMP is violating Federal Law. They have a long history of DESTROYING BALLOTS - the ballot images used for counting votes from electronic machines. Those ballot images are to be saved for 22 months by Federal Law. Lock up #CharlieBaker. I Protest #ElectionFraud and stealing of a US Senate Federal Election by the Massachusetts SWAMP. TODAY – 12:30PM. Secretary of State Office. 1 Ashburton Place, Boston, MA. Just the beginning. WRITE IN #Shiva4Senate on or by November 3rd. Victory for #TruthFreedomHealth Thank you @realDonaldTrump for hitting hard RINO #CharlieBaker & his goons at MASS GOP who did MASSIVE #ElectionFraud to STEAL #Shiva4Senate's landslide victory for the American Worker to keep THEIR Democrat globalist FRIEND @EdMarkey in power. Not ONE INCH to #ElectionFraud! RINO Governor Charlie Baker of Massachusetts is unsuccessfully trying to defend Mail In Ballots, when there is fraud being found all over the place. Just look at some of the recent races, or the Trump Ballots in Pennsylvania that were thrown into the garbage. Wrong Charlie! Dr.SHIVA LIVE INTERVIEW: Third-World Massachusetts Destroys Over 1 Million Ballots BREAKING: Massachusetts Destroys Over 1 MILLION Ballots in US SENATE PRIMARY RACE committing #ElectionFraud. MA Elections Attorney confirms to #Shiva4Senate ballot images – used for counting votes – that MUST be saved by FEDERAL LAW for 22 months are nowhere to be found! "[A]ppropriate state or local authority MUST PRESERVE ALL RECORDS to detection & prosecution of election crimes for 22-month federal retention period, if records were generated in connection w election that was held in whole or in part to select federal candidates." -USC Title 42 Dr.SHIVA Rally for US Senate Working People Unite! Beyond Left & Right #NoMasks #NoForcedVaccinations #NoLockDowns #ReopenSchools #StopElectionFraud #SaveLocalFarms #ParentalRights #FixTrainsRoadsBridges #NoGasTax BOSTON COMMON SAT. October 3. 12 Noon - 2:00 PM Truth Freedom Health Paid for by Shiva 4 Senate Dr.SHIVA Rally for US Senate #Shiva4Senate. Working People Unite! Dr.SHIVA Rally for US Senate #Shiva4Senate. Working People Unite! Beyond Left & Right. eventbrite.com 6:59 PM · Sep 22, 2020 · Twitter for iPhone On Sept. 1, #DeepState of MA SWAMP unleashed blatant #ElectionFraud to steal a landslide victory from #Shiva4Senate. THEIR ACTIONS now force our movement for #TruthFreedomHealth to escalate to a WRITE IN campaign to expose THEIR long history of thievery. #StopElectionFraud WRITE IN Dr.SHIVA U.S. SENATE #StopElectionFraud People of MA are putting handmade signs like these across the state. They’re pissed at the blatant #ElectionFraud that took place to deny #Shiva4Senate’s landslide victory over a designated loser – a doofus – who never campaigned, had ZERO volunteers, no organization, no support! BREAKING: Franklin, MA Town Clerk resigns over missing & now uncounted 3K MAIL-IN ballots!! Poor woman – “fall guy” for MA 2020 Primary #ElectionFraud engineered by Baker & Galvin to keep out #Shiva4Senate from destroying Dem Markey! Tip of iceberg! Why did Verizon rep at store say, “both your iPhones hacked,” “never seen this error before,” & then said, “I can’t help you.” Coincidence – both iPhones Verizon cellular service stopped working, among other things, after I began speaking up about #ElectionFraud? BlackBerry? Appears that #ElectionFraud and #ForcedVaccinations are TWO keywords @Twitter, @Facebook and @YouTube love to shadow ban and censor. Perhaps why my follower count has been throttled at 259k to 260k for past 5 months. 11:50 AM · Sep 11, 2020 · Twitter for iPhone Dr.SHIVA LIVE: #ElectionFraud MA 2020: American Slaves – Part III 1:22:07 8.7K viewers Dr.SHIVA LIVE: #ElectionFraud MA 2020: American Slaves – Part III pscp.tv 9:20 PM · Sep 10, 2020 · Periscope Dr.SHIVA LIVE: #ElectionFraud in MA 2020. The Software Mechanics of Fraud – Part II Dr.SHIVA LIVE: Election Fraud MA 2020: The Big Picture – Part 1 The Establishment is ONE. #DeepState no longer hides its crimes. They do it openly – #ElectionFraud or #ForcedVaccinations. They bank on your apathy. BUT, the movement for #TruthFreedomHealth has inspired you to act. THAT is THEIR biggest fear. VOTE #Shiva4Senate Nov. 3 8:58 AM · Sep 8, 2020 · Twitter for iPhone Voting is the most important element of a Democracy. The integrity of Voting demands the output from that Voting process is EVIDENCE of reality. When ALL Americans realize such EVIDENCE is NOT EVIDENCE, we will HAVE a necessary and well-deserved REVOLUTION, Beyond Left & Right! 1:04 PM · Sep 6, 2020 · Twitter Web App What is “evidence?” An accurate definition of EVIDENCE is: Unambiguous Prediction. The stuff coming out of American voting machines predicting an outcome – unless inputs are verifiable & processing CAN’t be manipulated – is NOT EVIDENCE. PERIOD. The real awakening cometh. 6:11 AM · Sep 6, 2020 · Twitter for iPhone BREAKING: Massachusetts “It has been determined more than 3,000 ballots have not been counted in Franklin after more boxes of ballots are found.” –Milford Daily News UPDATED: It has been determined more than 3,000 ballots have not been... The missing votes will be the deciding factor for the Norfolk County sheriff primary and the Democratic nominee for the 4th Congressional District. milforddailynews.com 5:47 AM · Sep 6, 2020 · Twitter for iPhone When YOU see the REALITY of how ANY election can be manipulated in seconds, YOU’ll realize how THEY can make ANY doofus a “winner.” This is what happened on SEPT 1, US SENATE MA Primary. I’ve been programming all my life – video explanation coming! #Shiva4Senate Nov. 3 WRITE IN! What would you say if I told you that your ONE vote was not ONE vote? That your 1 vote could be multiplied by a weight - a factor - say 0.5 or 1.5 - to become a 1/2 vote or 1 1/2 votes? Impossible? All modern voting systems allow for such a feature. Why? Dear @TheJusticeDept, In science, anomalous observations are THE most intriguing leading to big discoveries. On 9/1/20, in MA US Senate Primary, tens of thousands observed a GROSS anomaly. My investigation - grounded in 40+ years of training in math & software engineering leads to an unequivocal & unfortunate result - Systemic #ElectionFraud embedded in voting systems invokable at will to manipulate ANY election. Until this is addressed, everything we aspire & cherish as Americans is an absolute illusion & the American working people ARE indeed slaves. There’s a REASON there’s no voter ID and you don’t receive any receipt of your actual vote – perfect recipe for total fraud. The #DeepState has created a voting system DESIGNED to invoke FRAUD to achieve ANY ELECTORAL outcome – on command. This design is at the software level in nearly every voting machine. This reality is beyond disturbing. There’s a REASON there’s no voter ID and you don’t receive any receipt of your actual vote – perfect recipe for total fraud. Our movement #TruthFreedomHealth NOW ESCALATES to a full-blown REVOLUTION to destroy the Establishment. Electorally, we move to a WRITE IN campaign for #Shiva4Senate in November 3rd General Elections. The stole our Victory. Not one inch. Build the Revolution! More to come. At least 100,000 mail-in ballots for #Shiva4Senate were destroyed in the Massachusetts US Senate elections. My attorneys are preparing a lawsuit. Please click & fill the form below if you voted for me in the Primary. I Voted for Dr.SHIVA in the 2020 Republican Primary \| Shiva For Senate in ... I, the undersigned, under the penalties of perjury, hereby state and declare that I voted for Dr.SHIVA Ayyadurai in the 2020 Republican Primary in ... Dr.SHIVA LIVE: Election Fraud is occurring in Third-World Massachusetts. At least we STILL have the 2nd Amendment. To reiterate, Dr. Shiva was not forced to remove even one of the above tweets concerning election fraud. The only possible conclusion is that Twitter by itself did not find that Dr. Shiva’s tweets constituted “Election Misinformation” or violative of any internal policy or Terms of Use. When Dr. Shiva posted the four (4) screenshots of the Tassinari email conversation in one threaded-tweet, which cited violation of Federal law, Twitter forced Dr. Shiva to delete that tweet, and began banning him repeatedly for most of the time left before election day. Here are the screenshots of Twitter forcing the deletion of Tassinari threaded-tweet: Email response from Massachusetts Legal Counsel to #Shiva4Senate confirming ballot images were DESTROYED. - September 25, 2020. 11:45AM. https://t.co/OPNvqdThvK Email response from Dr. SHIVA Ayyadurai to Massachusetts Legal Counsel request the statute or Law that allows Massachusetts to violate Federal Law - September 24, 2020. 11:22AM. https://t.co/LkGLoUFhRn Email response from Massachusetts Legal Counsel to #Shiva4Senate request for ballot images. - September 24, 2020. 10:47AM. https://t.co/oDKf8my3pf Sep 25, 2020, 10:49 PM BREAKING: Legal Counsel of Massachusetts FURTHER confirms #CharlieBaker Sec. of State DESTROYED 1 Million+ Ballots - images used to COUNT votes on electronic equipment. She evades answering what statute allows MA to DESTROY ballots & evade Federal Law. Email exchange below: https://t.co/gcygVK1wiC 10:49 PM - 25 Sep 2020 As a result, we've temporarily limited some of your account features. While in this state, you can still browse Twitter, but you're limited to only sending Direct Messages to your followers — no Tweets, Retweets, follows, or likes. Learn more. Your account will be restored to full functionality in: 7 days and 0 hours. It beggars belief to think that Twitter independently found only the Tassinari email tweets to constitute “Election Misinformation” to such a dangerous degree that it warranted blocking a political candidate’s speech during his run for Federal office as a Write-In candidate and prevent him all access to his account and quarter million followers for half of the time left before Election Day, and that Tassinari herself had nothing to do with it. It is crucial for this court to note that the Defendants realized that the Tassinari emails exposed them to prosecution for violation of Federal law, as well as civil action by Dr. Shiva over the loss of his primary election to Kevin O’Connor. They acted swiftly and powerfully to conceal this evidence, to suppress Dr. Shiva’s political speech entirely, and actively distributed through the “free press” their consciously false narrative that ballot images are not records covered by the storage requirements of Federal law and that Dr. Shiva’s claim is false. Their coordinated action, the enterprise, was intended to obstruct justice. It is also a legal fact that the Defendants were prohibited by the Massachusetts Supreme Judicial Court from acting officially in any way against Dr. Shiva during his political campaign based on any claim that his speech was false. The SJC ruled that per the First Amendment, which guarantees special protection for political speech, the Commonwealth could not criminalize or in any way retaliate against a Massachusetts candidate for the content of his political speech during an election campaign. Commonwealth v. Melissa Lucas, 472 Mass. 387 (2015). It was already known to the Defendants that their action against Dr. Shiva’s tweet, even under the convenient pretext of shutting down false speech, was specifically outlawed. Even if ordinary civilians report such speech to Twitter, these government officials were explicitly prohibited from using their privileged priority status and networks to shut down a candidate’s political speech. So, both the pretext and the ulterior motive were already known to be unlawful. The Defendants put their enterprise into action anyway, in order to obstruct justice and try to keep concealed the official admission that Galvin violated Federal law. Even though the Defendants are fully aware of the SJC’s prohibition, Galvin claimed to Judge Wolf that he should not be restrained from shutting down Dr. Shiva’s political speech as taking steps to silence a candidate during his campaign was permissible “Government Speech.” “As the elected state official charged with ensuring free and fair elections in the Commonwealth, Secretary Galvin exercised his free speech rights and spoke on behalf of the government to ensure that the public had access to accurate information. The Secretary reported Plaintiff’s misinformation to Twitter just as any person could have done. Allegedly as a result, Twitter – not the Secretary – temporarily suspended Plaintiff’s ability to post new information to his Twitter account. Plaintiff now contends that the Secretary should be unable to report false election claims to Twitter in the future. The Court should not entertain this request but should instead deny Plaintiff’s effort to restrain future government speech.” Galvin’s opposition to the motion for a TRO in this case (#15) The fact remains that it is the Constitution, and the SJC, not the Plaintiff, that contends that the Secretary should be unable to report false election claims to Twitter. Galvin’s protestation is breathtaking here in the United States, though it may be normal in foreign countries without protection for political speech. On October 20, 2020, Dr. Shiva had a private attorney file a complaint and a motion for a Temporary Restraining Order to stop Galvin from continuing to cause Twitter to silence his political speech during the few days left before Election Day. Despite being a licensed member of the Massachusetts Bar, the attorney filed for monetary damages in Federal court against a state official sued in his official capacity, which, as all lawyers are required to know, has been barred for a hundred years by the Eleventh Amendment. However, this allowed an emergency hearing to be held under the Ex parte Young exception as the TRO motion sought prospective injunctive relief, namely restraint on Galvin again silencing Dr. Shiva’s political speech on Twitter between then and Election Day. On October 30, 2020, Judge Mark Wolf held a four-hour long emergency hearing via Zoom with the participation of Dr. Shiva, Galvin via counsel Adam Hornstine from the AGO, O’Malley and Tassinari. AAG Adam Hornstine opposed the TRO hearing on 11th Amendment Immunity grounds. This action, knowing that Dr. Shiva was in his first ever hearing pro se, was egregious and Judge Mark Wolf placed that in the record. THE COURT: It's clearly barred, but that's not what you're discussing here. You're making a different argument here. MR. HORNSTINE: I agree, but it primarily proceeds from the damages piece, and I'm happy to move on. THE COURT: It doesn't say that. You're happy to move on. Frankly, I'm not. You represent the government. You should always be accurately describing the law. But here you've got a pro se litigant on the other side. And, you know, we're talking about the nuances of constitutional law, and the case is going very quickly. And, you know, this is not the only case I have. I've been dealing for the last couple of days with an MS-13 murder case. But this is consequential. We're talking about fundamental constitutional law a couple of days before an election. So I expect that if the Attorney General is going to give me a brief, I'm going to take it seriously. But I was surprised to see this argument because it's not an argument that your bureau of your office has made to me before as recently as in the last two months in another suit against a cabinet secretary and the governor. And I've been spending time trying to think if I've misunderstood Will. I don't think I did. Because the motion and facts within the complaint, in conjunction with fresh facts elicited during the hearing from O’Malley and Tassinari, were sufficient to show that Dr. Shiva satisfied the Blum standard and was likely to prevail on his claim that Twitter’s action was indeed state action, Judge Wolf declared that there was enough justification for issuance of the TRO. However, Judge Wolf informed Galvin that if Galvin agreed on his own to not complain again to Twitter about Dr. Shiva’s tweets between then and November 4th, 2020, and requested NASED to also desist, then Judge Wolf would accept such an Agreement and declare the motion to be moot. Galvin agreed and an Order (#20) issued. This amended complaint follows. *THIS COMPLAINT MEETS THE BLUM* STANDARD TO SHOW STATE ACTION** For four years now all social media companies have been under tremendous pressure to act against “election disinformation.” This pressure has been unrelenting and from all sides: Congress, state politicians, DOJ, the press and public opinion. It never let up after the previous 2016 elections. In October 2020, Massachusetts U.S. Senator Edward Markey demanded in the Senate that FaceBook and other social media companies actively shut down voices that he deemed to be peddling ‘election misinformation.’ [https://www.boston.com/news/politics/2020/10/28/mark-zuckerberg-ed-markey-facebook-respond-donald-trump-election-posts](https://www.boston.com/news/politics/2020/10/28/mark-zuckerberg-ed-markey-facebook-respond-donald-trump-election-posts) Twitter, a publicly traded corporation, is not immune from these strong pressures. And here it received a strong complaint from the Secretary that claimed Dr. Shiva’s tweets were “Election Misinformation,” a strong complaint that was further amplified by the Election Directors of all fifty (50) states in the Republic. The fact of a coordinated complaint by “Twitter Partners” was confirmed during the emergency hearing. In the current climate one can imagine fewer dog whistles more potent than “Election Misinformation.” It was inevitable and entirely predictable that Twitter would not ignore an official complaint from the Massachusetts Secretary of State and related “Twitter Partners” that claimed Dr. Shiva’s Twitter feed spread “Election Misinformation.” The last thing any public corporation needs is a press statement from the Commonwealth of Massachusetts that it is aiding and abetting “Election Misinformation.” And Twitter would have been left to hang by itself given that the “FACT CHECK” by large media sources such as Reuters and the AP simply peddle whatever government officials’ position is and appear at the top of searches on both Google and Bing. Given the checkered history of shareholder lawsuits, no public company can tolerate that risk. The evidence included within the four corners of this complaint is overwhelming that Twitter acted to delete specifically the Tassinari email tweets and silence Dr. Shiva’s political speech during his run for Federal office solely and exclusively because of the Defendants’ coordinated complaint to Twitter. Twitter got mobbed, by State actors. It was documentary evidence of violation of Federal law in those emails that was the motive for Galvin’s action. For Galvin to deny all responsibility for this sequence of events is consciously dishonest. He knew full well that as the Elections Officer for Massachusetts his complaint would carry enormous weight and it did carry enormous weight. Twitter’s response was immediate and specific. The key sentence in the Blum ruling is: “A State normally can be held responsible for a private decision only when it has exercised coercive power or has provided such significant encouragement that the choice must in law be deemed to be that of the State.” Blum v. Yaretsky, 457 U.S. 991 (1982) The evidence is overwhelming that the “Twitter Partners” and State Officials - Galvin, Tassinari and O’Malley - in concert with Cohen and NASED, provided such significant encouragement that the choice must in law be deemed that of the State. At the emergency hearing, Judge Wolf ruled that Dr. Shiva is likely to prevail on his claim that Galvin was responsible for Twitter deleting only the Tassinari email tweets and silencing Dr. Shiva’s political speech in the midst of his campaign: The testimony I heard, which I believe is candid and credible, was also helpful because it amplifies the affidavits which say there was a report. The closest issue in my mind, and it's closer than it was based solely on the papers, is whether what I'll call the Blum test for converting Twitter's action into state action is met, or, to be more precise, whether it will probably be proven. Because now we do know that Twitter gives high priority to reviewing reports or complaints from election officials and acts on them quickly, and they acted on Dr. Shiva's account, as I understand it, quickly after getting the report from the Secretary here and also from the National Association. So it may be probable that he will ultimately prove that state action is involved here. If state action is involved here, then it appears to me probable that he will prove that his First Amendment rights have been violated. Galvin’s Cat’s Paw defense that it wasn’t him and that Twitter acted all by itself, has already failed. Discovery, including sworn depositions from Cohen, can only produce more evidence in support of Dr. Shiva’s claim. THIS COMPLAINT MEETS THE TWOMBLY / IQBAL PLAUSIBILITY STANDARD This complaint pleads chronological facts included within the four corners and contains no conclusory statements whatsoever. It also follows the emergence of additional facts during a hearing for a TRO. Thus this complaint exceeds the plausibility standard required by the Court to survive a motion to dismiss under Rule 12. Bell Atlantic v. Twombly, 550 U.S. 544 (2007), Ashcroft v. Iqbal, 556 U.S. 662 (2009), Rodi v. Southern NESL, 389 F.3d 5 (1st Cir. 2004) Furthermore, pro se complaints are to be liberally construed. Estelle et al v. Gamble, 29 U.S. 97 (1976), Haines v. Kerner, 404 U.S. 519 (1972), Alston v. Parker, 363 F.3d 229 (3d Cir. 2004), Vartanian v. Monsanto Co., 14 F.3d 697 (1st Cir. 1994), Hart v. Mazur, 903 F.Supp. 277 (D.R.I. 1995) And at this stage the plaintiff’s facts must be construed as true and the court may not dismiss on the basis of facts not ascertainable within the four corners of the complaint. Galvin, Tassinari and O’Malley have already been shown to have unclean hands. Hazel-Atlas Glass Co. v. Hartford-Empire Co., 322 U.S. 238 (1944) Even their sworn affidavits and testimony are unreliable. PRAYER FOR RELIEF COUNT ONE MONETARY DAMAGES UNDER 42 U.S.C. § 1983 FOR VIOLATION OF A CONSTITUTIONAL RIGHT UNDER THE COLOR OF LAW Dr. Shiva incorporates here by reference all the paragraphs above as if set forth herein. Galvin, Tassinari and O’Malley are state actors. Cohen and NASED acted as agents for state actors. NASED is an association for and of state actors actually in office. NASED is inextricably linked with state actors and exists for the sole purpose of amplifying the voice of state actors. Brentwood Acad. v. Tennessee Secondary Sch. Athletic Ass’n, 531 U.S. 288 (2001) All Defendants are bound by the very same conspiracy and goal: suppress dissemination of tweets that reveal official emails that confirm violation of Federal law. All Defendants coordinated their attack on Dr. Shiva’s political speech in conscious, willful, contemptuous violation of his First Amendment right to the highest protections for his political speech. “While some means of communication may be less effective than others at influencing the public in different contexts, any effort by the Judiciary to decide which means of communications are to be preferred for the particular type of message and speaker would raise questions as to the courts’ own lawful authority. Substantial questions would arise if courts were to begin saying what means of speech should be preferred or disfavored. And in all events, those differentiations might soon prove to be irrelevant or outdated by technologies that are in rapid flux. See Turner Broadcasting System, Inc. v. FCC, 512 U.S. 622, 639 (1994). Courts, too, are bound by the First Amendment. We must decline to draw, and then redraw, constitutional lines based on the particular media or technology used to disseminate political speech from a particular speaker.” “The Government may not render a ban on political speech constitutional by carving out a limited exemption through an amorphous regulatory interpretation.” “First Amendment standards, however, ‘must give the benefit of any doubt to protecting rather than stifling speech.’” WRTL, 551 U. S., at 469 (opinion of ROBERTS, C. J.) (citing New York Times Co. v. Sullivan, 376 U. S. 254, 269–270 (1964)).” “As the foregoing analysis confirms, the Court cannot resolve this case on a narrower ground without chilling political speech, speech that is central to the meaning and purpose of the First Amendment. See Morse v. Frederick, 551 U. S. 393, 403 (2007).” Citizens United v. Federal Election Commission, 558 U.S. 310 (2010) Here it is undisputed that the Defendants stifled the Plaintiff political candidate’s political speech during an election campaign based solely on the content of Plaintiff’s speech, which exposed an official email that supported his contention that Galvin violated Federal law when he destroyed records (ballot images) generated in the course of a Federal election, a matter of great public concern. This was per se unconstitutional. Commonwealth v. Melissa Lucas, 472 Mass. 387 (2015) “It is speech on "matters of public concern" that is "at the heart of the First Amendment's protection." First National Bank of Boston v. Bellotti, 435 U. S. 765, 435 U. S. 776 (1978), citing Thornhill v. Alabama, 310 U. S. 88, 310 U. S. 101 (1940) The suppression of Dr. Shiva’s political speech, as well as all of his speech on Twitter for half of the last month prior to Election Day, November 3, 2020, caused massive irreparable harm to him as he was running for Federal office as a Write-In candidate who needed as much visibility as he could get, so voters could learn that he was still a candidate whose name they would have to write in themselves if they chose. Dr. Shiva had built up a following of a quarter of a million followers on Twitter and via Twitter had a reach that did not require additional expense, compared to advertising on television. The Defendants willfully made his voice disappear at a crucial time. Galvin and the other Defendants, through their conscious, defiant, contempt for and violation of bedrock American principles enshrined in the Constitution via the First Amendment, deliberately caused immense harm to this candidate Plaintiff solely to block the candidate from raising public awareness of Galvin’s violation of Federal law and the way Galvin counts votes, which is as content-based as a restriction on speech by a government actor can get. "The First Amendment "was fashioned to assure unfettered interchange of ideas for the bringing about of political and social changes desired by the people." Roth v. United States, 354 U. S. 476, 354 U. S. 484 (1957); New York Times Co. v. Sullivan, 376 U. S. 254, 376 U. S. 269 (1964). "[S]peech concerning public affairs is more than self-expression; it is the essence of self-government." Garrison v. Louisiana, 379 U. S. 64, 379 U. S. 74-75 (1964). Accordingly, the Court has frequently reaffirmed that speech on public issues occupies the "highest rung of the hierarchy of First Amendment values," and is entitled to special protection. NAACP v. Claiborne Hardware Co., 458 U. S. 886, 458 U. S. 913 (1982); Carey v. Brown, 447 U. S. 455, 447 U. S. 467 (1980)." Dun & Bradstreet, Inc. v. Greenmoos Builders, Inc., 472 U.S. 749 (1985) Given their deliberate contempt for both the U.S. Constitution and the right of voters to have free and fair elections without government interference, it is the height of cynicism and hypocrisy for the Defendants to portray themselves as the defenders of democracy. Judge Wolf’s questioning of Tassinari revealed that the Defendants did not for one moment have any intention of respecting Dr. Shiva’s right under the First Amendment to the Constitution, where the sole constitutional response to so-called bad speech is good speech. He asked Tassinari why she did not simply issue a tweet from the Election Division’s official Twitter account that debunked Dr. Shiva’s tweet rather than coordinating an effort to delete his tweet and have him suspended in the midst of his election campaign. Tassinari had no explanation for why she and the other Defendants did not do this. The reason Tassinari was unable to explain her choice to Judge Wolf is that Tassinari and the other Defendants did not act in response to bad speech, they acted to conceal official evidence of the violation of Federal law by Galvin. This fact precludes their action from availing of the defense of qualified immunity. The Court has ruled that suit for monetary damages from state actors for violations of Constitutional rights, an intentional tort, is permitted if they are sued in their individual capacities by U.S. Citizens and there is no demand on the public purse. Bivens v. Six Unknown Named Agents, 403 U.S. 388 (1971), Butz v. Economou, 438 U.S. 478 (1978), Davis v. Passman, 442 U.S. 228 (1979), Ziglar v. Abbasi, 582 U.S. ___ (2017) Naturally this also means that Massachusetts Defendants must pay privately for their defense prospectively and the expense must not be dumped on the taxpayer. “The Legislature, by excluding intentional torts from the waiver of governmental immunity, sought to insulate the government from liability for intentional conduct which it had not authorized.” Doe v. Town of Blandford, 402 Mass. 831 (1988), MGL ch. 258 § 10(c). While the Defendants chose to violate Dr. Shiva’s First Amendment rights through abuse of office, and abuse of networks available only to state officials, such as the cooperation of NASED and “Twitter Partner” status, this abuse was not authorized by the Commonwealth itself. The complaint lays out with particularity all the actions the Defendants took under the color of law to repeatedly and pointedly violate Dr. Shiva’s right to special protection under the First Amendment for his political speech and to be free of unlawful retaliation by state actors for the content of his speech. The Defendants also took conscious steps to conceal their actions from this court and consciously misrepresented facts in a continuing effort to obstruct justice. Galvin obstructed justice, United States v. Dunnigan, 507 U.S. 87 (1993), and committed a crime which violated his oath and ‘laws applicable to his office or position.’ State Retirement Board v. Bulger, 446 Mass. 169 (2006), In the Matter of Robert A. Griffith, 440 Mass. 500 (2003) And AAG Adam Hornstine, a lawyer, fully knew that his statements on the record at the hearing were materially false and “could not have been calculated to assist the Court in the administration of justice, but only to win an advantage.” Tesco Corp. v. Weatherford Int’l, Inc., No. H-08-2531, 2014 WL 4244215 (S.D. Tex. 2014) Under established case law, members of a conspiracy are substantively liable for the foreseeable criminal conduct of the other members of the conspiracy. Pinkerton v. United States, 328 U.S. 640, 66 S.Ct. 1180, 90 L.Ed. 1489 (1946) The Defendants have engaged in the malicious, willful, and consciously fraudulent commission of wrongful acts, and because of the outrageous and reprehensible nature of their acts, Dr. Shiva is entitled to and must be awarded punitive damages against each of the Defendants. The Defendants must be held liable for damages to Dr. Shiva with an initial demand of $100 million, and a final amount to be determined by a jury at trial. Dr. Shiva also requests that the court order all costs and fees and pre- and post-judgment interest from the Defendants. COUNT 2 CONSPIRACY TO VIOLATE CIVIL RIGHTS - 42 U.S. CODE § 1985 Dr. Shiva incorporates here by reference all the paragraphs above as if set forth herein. The “Ku Klux Klan Act,” enacted as part of the Civil Rights Act of 1871, and now codified as 42 U.S.C. § 1985, provides Dr. Shiva with a private cause of action to seek monetary damages from the Defendants for participating in a conspiracy to violate his First and Fourteenth Amendment rights under the color of law. The Court provided the binding interpretation of this law in Griffin v. Breckenridge, 403 U.S. 88 (1971). The reach of this Ku Klux Klan Act encompasses the deprivation of Dr. Shiva’s constitutional rights by all the Massachusetts Defendants, and also those state actors and agents of state actors, such as NASED and Cohen who predictably will claim to be wholly private individuals, even though the very existence of NASED and its actions, via its salaried Executive Director Cohen on behalf of Tassinari, O’Malley and Galvin, are inextricably linked with state action. Brentwood Acad. v. Tennessee Secondary Sch. Athletic Ass’n, 531 U.S. 288 (2001) Even when Cohen and NASED claim that they are private persons, they shall not escape the reach of 42 U.S.C. § 1985. Congress passed the Ku Klux Klan Act to hold liable precisely persons like them, for monetary damages. All of the Defendants are bound by the very same conspiracy and goal: suppress dissemination of tweets that reveal official emails that confirm violation of Federal law. All Defendants coordinated their attack on Dr. Shiva’s political speech in conscious, willful, contemptuous violation of his First Amendment right to the highest protections for his political speech and his Fourteenth Amendment right to equal protection under the law. “While some means of communication may be less effective than others at influencing the public in different contexts, any effort by the Judiciary to decide which means of communications are to be preferred for the particular type of message and speaker would raise questions as to the courts’ own lawful authority. Substantial questions would arise if courts were to begin saying what means of speech should be preferred or disfavored. And in all events, those differentiations might soon prove to be irrelevant or outdated by technologies that are in rapid flux. See Turner Broadcasting System, Inc. v. FCC, 512 U.S. 622, 639 (1994). Courts, too, are bound by the First Amendment. We must decline to draw, and then redraw, constitutional lines based on the particular media or technology used to disseminate political speech from a particular speaker.” “The Government may not render a ban on political speech constitutional by carving out a limited exemption through an amorphous regulatory interpretation.” “First Amendment standards, however, ‘must give the benefit of any doubt to protecting rather than stifling speech.’” WRTL, 551 U. S., at 469 (opinion of ROBERTS, C. J.) (citing New York Times Co. v. Sullivan, 376 U. S. 254, 269–270 (1964)).” “As the foregoing analysis confirms, the Court cannot resolve this case on a narrower ground without chilling political speech, speech that is central to the meaning and purpose of the First Amendment. See Morse v. Frederick, 551 U. S. 393, 403 (2007).” Citizens United v. Federal Election Commission, 558 U.S. 310 (2010) Here it is undisputed that the Defendants stifled the Plaintiff political candidate’s political speech during an election campaign based solely on the content of Plaintiff’s speech, which exposed an official email that supported his contention that Galvin violated Federal law when he destroyed records (ballot images) generated in the course of a Federal election, a matter of great public concern. This was per se unconstitutional. Commonwealth v. Melissa Lucas, 472 Mass. 387 (2015) “It is speech on "matters of public concern" that is "at the heart of the First Amendment's protection." First National Bank of Boston v. Bellotti, 435 U. S. 765, 435 U. S. 776 (1978), citing Thornhill v. Alabama, 310 U. S. 88, 310 U. S. 101 (1940) The suppression of Dr. Shiva’s political speech, as well as all of his speech on Twitter for half of the last month prior to Election Day, November 3, 2020, caused massive irreparable harm to him as he was running for Federal office as a Write-In candidate who needed as much visibility as he could get, so voters could learn that he was still a candidate whose name they would have to write in themselves if they chose. Dr. Shiva had built up a following of a quarter of a million followers on Twitter and via Twitter had a reach that did not require additional expense, compared to advertising on television. The Defendants willfully made his voice disappear at a crucial time in order to obstruct justice and conceal official evidence. Galvin and the other Defendants, through their conscious, defiant, contempt for and violation of bedrock American principles enshrined in the Constitution via the First Amendment, deliberately caused immense harm to this candidate Plaintiff solely to block the candidate from raising public awareness of Galvin’s violation of Federal law and irregularities with the way Galvin counts votes, which is as content-based as a restriction on speech by a government actor can get. "The First Amendment "was fashioned to assure unfettered interchange of ideas for the bringing about of political and social changes desired by the people." Roth v. United States, 354 U. S. 476, 354 U. S. 484 (1957); New York Times Co. v. Sullivan, 376 U. S. 254, 376 U. S. 269 (1964). "[S]peech concerning public affairs is more than self-expression; it is the essence of self-government." Garrison v. Louisiana, 379 U. S. 64, 379 U. S. 74-75 (1964). Accordingly, the Court has frequently reaffirmed that speech on public issues occupies the "highest rung of the hierarchy of First Amendment values," and is entitled to special protection. NAACP v. Claiborne Hardware Co., 458 U. S. 886, 458 U. S. 913 (1982); Carey v. Brown, 447 U. S. 455, 447 U. S. 467 (1980)." Dun & Bradstreet, Inc. v. Greenmoss Builders, Inc., 472 U.S. 749 (1985) Given their deliberate contempt for both the U.S. Constitution and the right of voters to have free and fair elections without government interference, it is the height of cynicism and hypocrisy for the Defendants to portray themselves as the defenders of democracy. Judge Wolf's questioning of Tassinari revealed that the Defendants did not for one moment have any intention of respecting Dr. Shiva’s right under the First Amendment to the Constitution, where the sole constitutional response to so-called bad speech is good speech. He asked Tassinari why she did not simply issue a tweet from the Election Division’s official Twitter account that debunked Dr. Shiva’s tweet rather than coordinating an effort to delete his tweet and have him suspended in the midst of his election campaign. Tassinari had no explanation for why she and the other Defendants did not do this. The reason Tassinari was unable to explain her choice to Judge Wolf is that Tassinari and the other Defendants did not act in response to bad speech, they acted to conceal official evidence of the violation of Federal law by Galvin. This fact precludes their action from availing of the defense of qualified immunity. The Court has ruled that suit for monetary damages from state actors for violations of Constitutional rights, an intentional tort, is permitted if they are sued in their individual capacities by U.S. Citizens and there is no demand on the public purse. Bivens v. Six Unknown Named Agents, 403 U.S. 388 (1971), Butz v. Economou, 438 U.S. 478 (1978), Davis v. Passman, 442 U.S. 228 (1979), Ziglar v. Abbasi, 582 U.S. ___ (2017) Naturally this also means that Massachusetts Defendants must pay privately for their defense prospectively and the expense must not be dumped on the taxpayer. “The Legislature, by excluding intentional torts from the waiver of governmental immunity, sought to insulate the government from liability for intentional conduct which it had not authorized.” Doe v. Town of Blandford, 402 Mass. 831 (1988), MGL ch. 258 § 10(c). While the Defendants chose to violate Dr. Shiva’s First Amendment rights through abuse of office, and abuse of networks available only to state officials, such as the cooperation of NASED and “Twitter Partner” status, this abuse was not authorized by the Commonwealth itself. The complaint lays out with particularity, with the benefit of revelations from sworn testimony, all the actions the Defendants took under the color of law to repeatedly and pointedly violate Dr. Shiva’s right to special protection under the First Amendment for his political speech and to be free of unlawful retaliation by state actors for the content of his speech. The Defendants also took conscious steps to actively conceal their actions from this court and consciously misrepresented facts under oath in a continuing effort at obstructing justice. Galvin obstructed justice, United States v. Dunnigan, 507 U.S. 87 (1993), and committed a crime which violated his oath and ‘laws applicable to his office or position.’ State Retirement Board v. Bulger, 446 Mass. 169 (2006), In the Matter of Robert A. Griffith, 440 Mass. 500 (2003) And AAG Adam Hornstine, a lawyer, fully knew that his statements on the record at the hearing were materially false and “could not have been calculated to assist the Court in the administration of justice, but only to win an advantage.” Tesco Corp. v. Weatherford Int’l, Inc., No. H-08-2531, 2014 WL 4244215 (S.D. Tex. 2014) Under established case law, members of a conspiracy are substantively liable for the foreseeable criminal conduct of the other members of the conspiracy. Pinkerton v. United States, 328 U.S. 640, 66 S.Ct. 1180, 90 L.Ed. 1489 (1946) The Defendants have engaged in the malicious, willful, and consciously fraudulent commission of wrongful acts, and because of the outrageous and reprehensible nature of their acts, Dr. Shiva is entitled to and must be awarded punitive damages against each of the Defendants. The Defendants must be held liable for damages to Dr. Shiva with an initial demand of $100 million, and a final amount to be determined by a jury at trial. Dr. Shiva also requests that the court order all costs and fees and pre- and post-judgment interest from the Defendants. COUNT 3 VIOLATIONS OF RICO, 18 U.S.C. § 1962(c) Dr. Shiva re-alleges and incorporates by reference each and every foregoing paragraph of this complaint as if set forth in full herein. At all relevant times each Defendant as well as Dr. Shiva is a person within the meaning of 18 U.S.C. §§ 1961(3) and 1962(c). The Defendants and their co-conspirators constitute an association-in-fact enterprise within the meaning of 18 U.S.C. §§ 1961(4) and 1962(c), referred to hereinafter as the “enterprise.” Each of the Defendants participated in the operation or management of the enterprise. The Defendants and their co-conspirators (Leadstories.com, Reuters, AP et al) are a group of persons associated together in fact for the common purpose of carrying out an ongoing criminal enterprise, the obstruction of justice, as described in the foregoing paragraphs of this complaint: the Defendants realized that the Tassinari emails exposed them to prosecution for violation of Federal law, as well as civil action by Dr. Shiva over the loss of his primary election to Kevin O’Connor. They acted swiftly and powerfully to conceal this evidence, to suppress Dr. Shiva’s political speech entirely, and actively distributed through the “free press” their false narrative that ballot images are not covered by the storage requirements of Federal law and that Dr. Shiva’s claim is false. The Defendants’ false narrative now appears whenever anyone uses a search engine to read about Dr. Shiva and his claim, and appears more prominently such that one’s eyes catch the Defendants’ narrative before one gets to read Dr. Shiva’s evidence. This is intentional. Their coordinated action, the enterprise, was intended to obstruct justice in violation of 18 U.S.C. § 1503. The enterprise has been structured to operate as a unit in order to accomplish the goals of their scheme. All Defendants are in agreement that they needed to suppress the Tassinari email tweets, and acted to do so through their enhanced, priority, partner relationship with Twitter, and to conceal their doing so, and to claim that Twitter acted all on its own to delete them and suppress Dr. Shiva’s political speech about a matter of great public concern. The enterprise also included intentional, conscious factual misrepresentations to this court under oath, to paraphrase: We simply filled out Twitter’s online complaint form just as any ordinary civilian, the tweet that we reported was a clear case of “Election Misinformation” that threatened the integrity of the elections and would have suppressed the vote, the tweet that we reported for “Election Misinformation” was deservedly deleted and we were very pleased when we looked a few days later and learned that Twitter had indeed responded to our complaint and deleted it, oh we believed Your Honor that tweet was deleted but we may have been mistaken when we testified under oath about that just now Your Honor after declaring just that in our sworn affidavits prepared before this hearing that contain certain verbatim paragraphs in common, oh well as that tweet was never deleted by Twitter surely we did not harm Dr. Shiva over his political speech or cause him to be suspended by Twitter during his Write-In political campaign, we have no idea why Twitter solely and exclusively deleted only those tweets that revealed the Tassinari emails, it is entirely possible that Twitter deleted the Tassinari tweets and suspended Dr. Shiva each time he tweeted them as a result of a complaint from any ordinary civilian but it wasn’t us. It is notable that Galvin, O’Malley and Tassinari chose to not present this court, via affidavit, screenshots or printouts of the text of the complaint submitted by them to Twitter. Discovery shall clear this up. The Defendants conducted or participated, directly or indirectly, in the conduct, management, or operation of the enterprise’s affairs through a “pattern of racketeering activity” within the meaning of 18 U.S.C. § 1961(5) and in violation of 18 U.S.C. § 1962(c). First they identified Dr. Shiva’s dissemination of the Tassinari emails as a threat that could lead to indictments for violation of Federal election law, then they acted in concert through abuse of official powers and relationships to conceal the Tassinari emails, then they acted in concert to ensure Dr. Shiva was slandered and libeled internationally for stating that Massachusetts destroyed ballots, then they ensured his own voice disappeared entirely - for weeks at a time - in retaliation for each time he tried to publicly expose the content of the Tassinari emails, and that Dr. Shiva was hobbled in the midst of his political campaign where he needed as much visibility and exposure so potential voters would learn that he was a Write-In candidate. In sum, the Defendants consciously operated a racketeering enterprise whose main goal was the obstruction of justice and suppression of a credible witness. And the cover story for the enterprise was ‘combating election misinformation’ (we care passionately about voter suppression, you see, it was our duty to save the country!). As a direct and proximate result of the predicate acts of racketeering by the enterprise, including but not limited to using their “Twitter Partner” status, abusing the huge influence of the office of the Massachusetts Secretary of State, the amplification provided by NASED, the communications from Cohen and NASED to Twitter - which the conspirators know are not easily discoverable public records and which Galvin, O’Malley and Tassinari chose to conceal from this court in both their opposition and their affidavits, and other acts in furtherance of their continuing effort to obstruct justice, yet to be revealed by court-ordered discovery, Dr. Shiva has been massively and irreparably damaged, and his injury includes but is not limited to being cheated out of a free and fair election, global loss of reputation and goodwill, and severe emotional distress due to the real fear that any mention of the Tassinari emails would lead to swift and severe retribution from the enterprise. Given that Dr. Shiva’s family chose to live in the United States and sacrificed greatly to rebuild their lives in a new country, and fully believed that in this country freedom of speech would be protected by state officials, Dr. Shiva has been severely shocked that Galvin, O’Malley, Tassinari, Cohen, and all the Elections Directors that comprise NASED, share the very same contempt for freedom of speech and the rights of the individual as state officials back in the Socialist British Commonwealth of India. The Defendants have no red line within themselves regarding this great nation’s founding and defining principles that they would not cross. This knowledge has been extremely disheartening and demoralizing. Further, these injuries to Dr. Shiva were a direct, proximate, reasonably foreseeable and intentional result of the violations of 18 U.S.C. § 1962. Dr. Shiva is the ultimate victim of the Defendants’ unlawful enterprise. Galvin obstructed justice, United States v. Dunnigan, 507 U.S. 87 (1993), and committed a crime which violated his oath and ‘laws applicable to his office or position.’ State Retirement Board v. Bulger, 446 Mass. 169 (2006), In the Matter of Robert A. Griffith, 440 Mass. 500 (2003) And AAG Adam Hornstine, a lawyer, fully knew that his statements on the record at the hearing were materially false and “could not have been calculated to assist the Court in the administration of justice, but only to win an advantage.” Tesco Corp. v. Weatherford Int’l, Inc., No. H-08-2531, 2014 WL 4244215 (S.D. Tex. 2014) Under established case law, members of a conspiracy are substantively liable for the foreseeable criminal conduct of the other members of the conspiracy. Pinkerton v. United States, 328 U.S. 640 (1946) The Defendants must be held liable for damages to Dr. Shiva with an initial demand of $100 million, and a final amount to be determined by a jury at trial. Dr. Shiva also requests that the court order all costs and fees and pre- and post-judgment interest from the Defendants. Pursuant to 18 U.S.C. § 1964(c), Dr. Shiva is entitled to recover treble damages plus costs and attorneys fees from the Defendants. COUNT 4 CONSPIRACY TO VIOLATE RICO, VIOLATION OF 18 U.S.C. § 1962(d) Dr. Shiva re-alleges and incorporates by reference each and every foregoing paragraph of this complaint as if set forth in full herein. At all relevant times each RICO Defendant as well as Dr. Shiva is a person within the meaning of 18 U.S.C. §§ 1961(3) and 1962(c). The Defendants and their co-conspirators constitute an association-in-fact enterprise within the meaning of 18 U.S.C. §§ 1961(4) and 1962(c), referred to hereinafter as the “enterprise.” Each of the Defendants participated in the operation or management of the enterprise. The Defendants have unlawfully, knowingly and willfully combined, conspired, confederated and agreed together and with others to violate 18 U.S.C. § 1962(c) and 18 U.S.C. § 1503, as described above, in violation of 18 U.S.C. § 1962(d). As documented with particularity in this complaint, with the benefit of revelations from sworn testimony, the Defendants knew that they were engaged in a conspiracy to commit the predicate acts, and knew the predicate acts were part of such racketeering activity, and the participation and agreement of each of them was necessary to allow the commission of this pattern of racketeering activity. This conduct constitutes a conspiracy to violate 18 U.S.C. § 1962(c), in violation of 18 U.S.C. § 1962(d). Even the limited testimony and pleadings filed by the Defendants thus far demonstrate the existence of this conspiracy and their common understanding of the need to disseminate their false narrative that they did not act in concert to conceal tweets regarding the Tassinari emails. As a direct and proximate result of the Defendants’ conspiracy, the acts of racketeering activity of the enterprise, the overt acts taken in furtherance of that conspiracy, including but not limited to using their “Twitter Partner” status, abusing the huge influence of the office of the Massachusetts Secretary of State, the amplification provided by NASED, the communications from Cohen and NASED to Twitter - which the conspirators know are not easily discoverable public records and which Galvin, O’Malley and Tassinari chose to conceal from this court in both their opposition and their affidavits in furtherance of their continuing effort to obstruct justice, and other acts yet to be revealed by court-ordered discovery, Dr. Shiva has been massively and irreparably damaged, and his injury includes, but is not limited to, being cheated out of a free and fair election, global loss of reputation and goodwill, and severe emotional distress due to the real fear that any mention of the Tassinari emails would lead to swift and severe retribution from the enterprise, including consciously misleading press statements that ricochet across the Internet and are prioritized by search engines. Given that Dr. Shiva’s family chose to live in the United States for the sake of liberty and individual rights, and sacrificed greatly to rebuild their lives in a new country, and fully believed that in this country freedom of speech would be protected by state officials, Dr. Shiva has been severely shocked that Galvin, O’Malley, Tassinari, Cohen, and all the Elections Directors that comprise NASED, share the very same contempt for freedom of speech and the rights of the individual as state officials back in the Socialist British Commonwealth of India. The Defendants have absolutely no regard for this great nation’s founding and defining principles. The conclusion that such individuals exist in government has been extremely disheartening and demoralizing. Further, these injuries to Dr. Shiva were a direct, proximate, reasonably foreseeable and intentional result of the violations of 18 U.S.C. § 1962. Dr. Shiva is the ultimate victim of the Defendants’ unlawful enterprise. Galvin obstructed justice, United States v. Dunnigan, 507 U.S. 87 (1993), and committed a crime which violated his oath and ‘laws applicable to his office or position.’ State Retirement Board v. Bulger, 446 Mass. 169 (2006), In the Matter of Robert A. Griffith, 440 Mass. 500 (2003) And AAG Adam Hornstine, a lawyer, fully knew that his statements on the record at the hearing were materially false and “could not have been calculated to assist the Court in the administration of justice, but only to win an advantage.” Tesco Corp. v. Weatherford Int’l, Inc., No. H-08-2531, 2014 WL 4244215 (S.D. Tex. 2014) Under established case law, members of a conspiracy are substantively liable for the foreseeable criminal conduct of the other members of the conspiracy. Pinkerton v. United States, 328 U.S. 640 (1946) The Defendants must be held liable for damages to Dr. Shiva with an initial demand of $100 million, and a final amount to be determined by a jury at trial. Dr. Shiva also requests that the court order all costs and fees and pre- and post-judgment interest from the Defendants. Pursuant to 18 U.S.C. § 1964(c), Dr. Shiva is entitled to recover treble damages plus costs and attorneys fees from the Defendants. COUNT 5 INTENTIONAL INFlictION OF EMOTIONAL DISTRESS Dr. Shiva incorporates here by reference all the paragraphs above as if set forth herein. Due exclusively to the Defendants’ enterprise, Dr. Shiva was made to live in fear that his speech regarding the official evidence contained in the Tassinari emails would inevitably and swiftly lead to his silencing on social media, during his political campaign for U.S. Senate. This is per se intolerable in a country founded for the specific purpose of being the exact opposite of Her Britannic Majesty’s United Kingdom in terms of protections for political speech, and which on paper at least provides “special protection” for political speech on matters of great public concern. “As the foregoing analysis confirms, the Court cannot resolve this case on a narrower ground without chilling political speech, speech that is central to the meaning and purpose of the First Amendment. See Morse v. Frederick, 551 U. S. 393, 403 (2007).” Citizens United v. Federal Election Commission, 558 U.S. 310 (2010) Accordingly, the Court has frequently reaffirmed that speech on public issues occupies the "highest rung of the hierarchy of First Amendment values," and is entitled to special protection. NAACP v. Claiborne Hardware Co., 458 U. S. 886, 458 U. S. 913 (1982); Carey v. Brown, 447 U. S. 455, 447 U. S. 467 (1980).” Dun & Bradstreet, Inc. v. Greenmoss Builders, Inc., 472 U.S. 749 (1985) “It is speech on "matters of public concern" that is "at the heart of the First Amendment's protection."” First National Bank of Boston v. Bellotti, 435 U. S. 765, 435 U. S. 776 (1978), citing Thornhill v. Alabama, 310 U. S. 88, 310 U. S. 101 (1940) That Dr. Shiva was not provided this special protection during his political campaign for U.S. Senate may not be denied. In fact, the Defendants themselves do not deny it and initially justified it on the basis of combating “election misinformation” even though they knew that, per the U.S. Constitution, political speech is allowed to be inaccurate or even deliberately false and state actors are explicitly prohibited from suppressing it. This was extremely shocking to Dr. Shiva and has shaken him to his core. The rug has been pulled out from under his feet. It is as if he is on the other side of the looking glass, something he never anticipated, a stranger in a land that he no longer recognizes. Dr. Shiva finds this experience extremely distressing and most unwelcome. The Defendants’ actions have gutted his lifelong beliefs in the American system and is now dependent on this court for relief. To prevail on his claim for intentional infliction of emotional distress, Dr. Shiva must establish "(1) that the Defendant intended to inflict emotional distress, or knew or should have known that emotional distress was the likely result of his conduct, but also (2) that the Defendant's conduct was extreme and outrageous, beyond all possible bounds of decency and utterly intolerable in a civilized community, (3) the actions of the Defendant were the cause of the plaintiff's distress, and (4) the emotional distress suffered by the plaintiff was severe and of such a nature that no reasonable person could be expected to endure it." Payton v. Abbott Labs, 386 Mass. 540, 555 (1982), citing Agis v. Howard Johnson Co., 371 Mass. 140, 145 (1976) All four factors have already been pleaded with particularity in this complaint, with the benefit of revelations from sworn testimony. The Defendants’ cold, heartless, intentional, infliction of extreme anguish on Dr. Shiva in order to corruptly extort suppression of an official email that confirmed the violation of Federal law, silence him totally on Twitter, and label him a fabulist and baseless conspiracy theorist, is beyond the bounds of human decency. Commonwealth v. Adams, 416 Mass. 558 (1993) (“the officers, in the phrase of the day, ‘don’t get it,’ and they do not understand how unacceptably they acted thereafter”). Dr. Shiva is entitled to substantial remedy from this court. The Defendants must be held liable for damages to Dr. Shiva with an initial demand of $100 million, and a final amount to be determined by a jury at trial. Dr. Shiva also requests that the court order all costs and fees and pre- and post-judgment interest from the Defendants. Dr. Shiva requests such other and further relief as this court may deem just and proper. COUNT 6 ISSUANCE OF A PERMANENT INJUNCTION ENJOINING SECRETARY GALVIN AND NASED FROM VIOLATING Dr. SHIVA’S OR ANYONE’S POLITICAL SPEECH Dr. Shiva incorporates here by reference all the paragraphs above as if set forth herein. Secretary William Francis Galvin has been sued in his official capacity in order to obtain from Federal court a permanent injunction that enjoins him from suppressing political speech and silencing a candidate wholesale during the candidate’s election campaign, be it for Federal, state or local office. This is permissible under the exception carved out by the Court for prospective injunctive relief under Ex parte Young, 209 U.S. 123 (1908) NASED is comprised entirely of state actors. The court must weigh four factors when deciding whether to grant injunctive relief: (1) The likelihood of success on the merits; (2) The potential for the movant to be irreparably harmed by denial of the relief; (3) The balance of the movant’s hardship if relief is denied versus the nonmovant’s hardship if relief is granted; and (4) The effect that granting relief will have on the public interest. Phillip Morris, Inc. v. Harshbarger, 159 F.3d 670, 674 (1st Cir., 1998), Monsanto v. Geertson, 561 U.S. 139 (2010), Trump v. Hawaii, 585 U.S. ___ (2018), Arborjet, Inc. v. Rainbow Treecare, 794 F.3d 168 (1st Cir. 2015), Planned Parenthood League v. Bellotti, 641 F.2d 1006 (1st Cir. 1981) These factors are easily met in this action. Likelihood of success on the merits favors the Plaintiff The facts of this case demonstrate that the Plaintiff here has a great likelihood of success on the merits because it is beyond dispute that Defendant Galvin, in collusion with NASED, in order to maintain plausible deniability if discovered, violated an explicit prohibition on any government official imposing content-based restrictions on speech. There are few cases where the required result is as open and shut as enjoining a government official from continuing to abuse his official power to censor speech and make a candidate’s voice disappear. “While some means of communication may be less effective than others at influencing the public in different contexts, any effort by the Judiciary to decide which means of communications are to be preferred for the particular type of message and speaker would raise questions as to the courts’ own lawful authority. Substantial questions would arise if courts were to begin saying what means of speech should be preferred or disfavored. And in all events, those differentiations might soon prove to be irrelevant or outdated by technologies that are in rapid flux. See Turner Broadcasting System, Inc. v. FCC, 512 U.S. 622, 639 (1994). Courts, too, are bound by the First Amendment. We must decline to draw, and then redraw, constitutional lines based on the particular media or technology used to disseminate political speech from a particular speaker.” “The Government may not render a ban on political speech constitutional by carving out a limited exemption through an amorphous regulatory interpretation.” “First Amendment standards, however, ‘must give the benefit of any doubt to protecting rather than stifling speech.’” WRTL, 551 U. S., at 469 (opinion of ROBERTS, C. J.) (citing New York Times Co. v. Sullivan, 376 U. S. 254, 269–270 (1964)).” “As the foregoing analysis confirms, the Court cannot resolve this case on a narrower ground without chilling political speech, speech that is central to the meaning and purpose of the First Amendment. See Morse v. Frederick, 551 U.S. 393, 403 (2007).” Citizens United v. Federal Election Commission, 558 U.S. 310 (2010) Here it is undisputed that Galvin and NASED together stifled the plaintiff political candidate’s political speech during an election campaign based solely on the content of plaintiff’s speech, which exposed irregularities in the way Galvin conducted and influenced the counting of votes during the recent Republican primary elections, and exposed an official email that confirmed that Galvin violated Federal law, a matter of great public concern. This was unconstitutional per se. No court should require voluminous briefing on this point. Galvin has already agreed to desist from doing so until November 4, 2020. Count 6 seeks to make this a permanent injunction upon both Galvin and NASED. A court order is necessary because these Defendants have already proved their intrinsic contempt for the Constitution. External control is mandatory. "It is speech on "matters of public concern" that is "at the heart of the First Amendment's protection." First National Bank of Boston v. Bellotti, 435 U. S. 765, 435 U. S. 776 (1978), citing Thornhill v. Alabama, 310 U. S. 88, 310 U. S. 101 (1940) The Plaintiff, the candidate who has been consciously and willfully harmed in a most un-American fashion by both NASED, through abuse of its status of being the voice for fifty (50) State Elections Directors, and Secretary Galvin, through abuse of his official status and powers, is assured of succeeding on the merits of his claim. His claim also meets the required plausibility standard. Ashcroft v. Iqbal, 556 U.S. 662 (2009), Bell Atlantic Corp. v. Twombly, 550 U.S. 544 (2007), Iannacchino v. Ford Motor, 451 Mass. 623 (2008). This political candidate has already been irreparably harmed Defendants Galvin and NASED had Dr. Shiva banned from Twitter for most of the last month of campaigning left prior to Election Day 2020. This caused massive harm to a Write-In candidate who needed as much public recognition as possible so voters could learn that he was still a candidate whose name they would have to write in themselves if they chose. NASED and Galvin, through their conscious defiant violation of bedrock American principles enshrined in the Constitution via the First Amendment, deliberately caused immense harm to this candidate by making him disappear from a platform that he had been dependent on for political outreach and political speech. Galvin and NASED did this solely to block the candidate from exposing an official email that confirmed Dr. Shiva’s contention that Galvin violated Federal law by deleting ballot images, which is as content-based as a restriction on speech by the government can get. "The First Amendment "was fashioned to assure unfettered interchange of ideas for the bringing about of political and social changes desired by the people." Roth v. United States, 354 U. S. 476, 354 U. S. 484 (1957); New York Times Co. v. Sullivan, 376 U. S. 254, 376 U. S. 269 (1964). "[S]peech concerning public affairs is more than self-expression; it is the essence of self-government." Garrison v. Louisiana, 379 U. S. 64, 379 U. S. 74-75 (1964). Accordingly, the Court has frequently reaffirmed that speech on public issues occupies the "highest rung of the hierarchy of First Amendment values," and is entitled to special protection. NAACP v. Claiborne Hardware Co., 458 U. S. 886, 458 U. S. 913 (1982); Carey v. Brown, 447 U. S. 455, 447 U. S. 467 (1980)." Dun & Bradstreet, Inc. v. Greenmoss Builders, Inc., 472 U.S. 749 (1985) "Entitled" means this court is duty-bound to immediately enjoin Galvin and NASED from further willful violations of the Constitution including causing Dr. Shiva’s political speech to be silenced on Twitter. Galvin and NASED have actively cheated Dr. Shiva out of a free and fair election in 2020, and must be enjoined by this court from doing it again in the future, a prospect that is very likely to recur. Already v. Nike, 568 U.S. 85 (2013). 3 Defendants Galvin and NASED faces no harm from an injunction Galvin faces no harm whatsoever from being required by this court to further refrain from abusing his office to violate the candidate plaintiff’s free speech rights and to be enjoined from stifling political speech on a matter of public concern. NASED faces no harm from being required by this court to comply with the U.S. Constitution and refrain from using its clout to help State Election Directors nationwide silence political speech. Again, no voluminous briefing is required for this court to follow hornbook law. "Strong medicine is required to cure the Defendant's disrespect for the law." BMW of North America, Inc. v. Gore, 517 U.S. 559 (1996), Zimmerman v. Direct Fed. Credit Union, 262 F.3d 70 (1st Cir. 2000) The injunction must issue. The requested injunction is in the public interest It is in the public interest to uphold the rule of law and require elected officials to stop abusing their office to impose content-based restraints on political speech in the closing days of an election campaign in order to actively sabotage a candidate’s prospects and throw the election. It is in the public interest to comply with 100 years of Supreme Court rulings that require courts to strongly support and protect First Amendment rights. Dun & Bradstreet, Inc., supra, Snyder v. Phelps, 562 U.S. 443 (2011) In summary, the permanent injunction must be issued. COUNT 7 DECLARATORY INJUNCTION THAT MASSACHUSETTS DEFENDANTS MUST PAY PRIVATELY FOR THEIR DEFENSE Dr. Shiva incorporates here by reference all the paragraphs above as if set forth herein. The Court has ruled that suit for monetary damages from state actors for violations of Constitutional rights, an intentional tort, is permitted if they are sued in their individual capacities and there is no demand on the public purse. Bivens v. Six Unknown Named Agents, 403 U.S. 388 (1971), Butz v. Economou, 438 U.S. 478 (1978), Davis v. Passman, 442 U.S. 228 (1979), Ziglar v. Abbasi, 582 U.S. ___ (2017) Naturally this also means that Massachusetts Defendants must pay privately for their defense prospectively and the expense must not be dumped on the taxpayer. “The Legislature, by excluding intentional torts from the waiver of governmental immunity, sought to insulate the government from liability for intentional conduct which it had not authorized.” Doe v. Town of Blandford, 402 Mass. 831 (1988), MGL ch. 258 § 10(c). While the Massachusetts Defendants chose to violate Dr. Shiva’s First Amendment rights through abuse of office, and abuse of networks available only to state officials, such as the cooperation of NASED and “Twitter Partner” status, this abuse was not authorized by the Commonwealth itself. Governments are prohibited from authorizing the violation of the U.S. Constitution and other laws. This court must issue an Order that the Commonwealth must be insulated from all costs of litigating the Defendants’ defense of the individual capacity claims in this complaint and that the Massachusetts Defendants must retain private attorneys at their personal expense during the course of this litigation. JOINT AND SEVERAL LIABILITY Massachusetts Defendants are jointly and severally liable. O’Connor v. Raymark, 401 Mass. 586 (1986) Particularly in this case they are liable because they acted in concert and caused harm at the same time in the same action. CONCLUSION Based on the facts and points of law within the four corners of this complaint, the court must immediately grant the two preliminary injunctions and allow the remaining claims to be considered by a jury after discovery. Respectfully submitted under the pains and penalties of perjury, /s/ Dr. Shiva Ayyadurai Dr. Shiva Ayyadurai Plaintiff, pro se 701 Concord Ave. Cambridge, MA 02138 Phone: 617-631-6874 Email: firstname.lastname@example.org
TRANSFORMING LAW ENFORCEMENT BY CHANGING THE FACE OF POLICING 21st Century Policing: Guide to Recruiting, Hiring, Retaining and Promoting Women and Minorities September 2016 Submitted by: Women in Federal Law Enforcement, along with coalition partners: Hispanic American Police Command Officers Association, National Asian Police Officers Association, National Association of Women Law Enforcement Executives, National Latino Police Officers Association and National Organization of Black Law Enforcement Executives Women in Federal Law Enforcement (WIFLE) WIFLE is the only non-profit in the United States dedicated to addressing reasons why women remain underrepresented in Federal law enforcement. WIFLE advocates to strengthen federal law enforcement operations through the achievement of gender equity and inclusiveness at all levels. WIFLE advocates for gender equity in law enforcement through: Training, Professional Development and Leadership Enhancement; Collaborative Partnerships; Scholarship and Mentoring Programs; Relevant and Credible Research; Strategic Communications and Professional Relations, and through a Strong Sustainable Organization. As a member of the law enforcement community, WIFLE values diversity, empowerment, inclusiveness and integrity. Women in Federal Law Enforcement, Inc. and the Women in Federal Law Enforcement Foundation, Inc. are both commonly known as WIFLE. WIFLE has been in existence since ICWIFLE in the 70’s when it was an interagency committee formed by the U.S. Departments of Justice and Treasury. In 1999, WIFLE incorporated as a non-profit organization, Women in Federal Law Enforcement, Inc. to continue the work of ICWIFLE. The WIFLE Foundation, incorporated in 2006, is the educational arm for WIFLE providing Leadership Training, Seminars, and Scholarship Programs. The WIFLE Executive Leadership Institute, established in 2011, provides immersive leadership training sessions for GS-13 thru 15, Senior Executives, and State and local equivalents, held in conjunction with the WIFLE Annual Leadership Training. www.wifle.org Hispanic American Police Command Officers Association (HAPCOA) HAPCOA was established in 1973, is the oldest and largest association in the U.S. of Hispanic American command officers from law enforcement and criminal justice agencies at the municipal, county, state and federal levels. With members in hundreds of agencies across the United States and Puerto Rico, many of whom are active in local chapters, HAPCOA is a national organization with a local presence. www.hapcoa.org National Asian Peace Officers Association (NAPOA) NAPOA is the national association that serves as the voice of over 3,000 Asian American and Pacific Islander (AAPI) law enforcement officers and special agents in 22 local chapters across the country. The mission of NAPOA is to promote diversity within the law enforcement community and open doors for advancement through leadership training, education and mentorship. www.napoablue.org National Association of Women Law Enforcement Executives (NAWLEE) NAWLEE is the first organization established to address the unique needs of women holding senior management positions in law enforcement. NAWLEE is a non-profit organization sponsored and administered directly by law enforcement practitioners. NAWLEE’s mission is to serve and further the interests of women executives and those who aspire to be executives in law enforcement. The general purpose and mission of the National Association of Women Law Enforcement Executives, Inc. is to promote the ideals and principles of women executives in law enforcement; to conduct training seminars to train and educate women executives in law enforcement; including but not limited to the areas of leadership, management, and administration; to provide a forum for the exchange of information concerning law enforcement and generally fostering effective law enforcement. www.nawlee.org National Latino Police Officers Association (NLPOA) The NLPOA association mission is to eliminate prejudice and discrimination in the Criminal Justice System, particularly in law enforcement. NLPOA’s mission is to: create a fraternal/professional association that provides support, advocacy, personal and professional development to its members; prevent and reduce juvenile delinquency; and lessen neighborhood tension in the Latino communities, through awareness and role modeling, provide bi-lingual assistance to the public, and bridge the gap between the Latino community and the police. www.nlpoa.com The National Organization of Black Law Enforcement Executives (NOBLE) NOBLE serves as the conscience of law enforcement by being committed to Justice by Action. NOBLE has nearly 60 chapters and represents over 3,000 members worldwide that represent chief executive officers and command-level enforcement officials from federal, state, county, municipal law enforcement agencies, and criminal justice practitioners. The combined fiscal budget oversight of our membership exceeds $8 billion. NOBLE serves more than 60,000 youth through its major program components that include: Mentoring, Education, Leadership Development and Safety. www.noblenational.org Contact Information: Women in Federal Law Enforcement (WIFLE) 2200 Wilson Blvd, Suite 102, PMB 204 Arlington, VA 22201 301-805-2180 firstname.lastname@example.org # TABLE OF CONTENTS PART ONE – INTRODUCTION - Purpose 7 - Executive Summary 7 - Status of Women and Minorities in Local, State and Federal Law Enforcement 13 - History of Women and Minorities in Local, State and Federal Law Enforcement 15 - The Value and Importance of Diversity in Law Enforcement 22 - Culture and Bias in the Law Enforcement Profession 25 - Procedural Justice in the Law Enforcement Profession 28 PART TWO: RECRUITMENT AND HIRING: ISSUES AND RECOMMENDATIONS - Recruitment Practices 30 - Recruitment Plan 33 - Outreach and Targeted Recruitment 34 - Position Descriptions 35 - Recruitment Brochures and Recruitment Materials 35 - Web Site and Vacancy Announcement 36 - Recruitment Board 37 - Advisory Committees – Women/Minorities 38 - Role of Executive Managers, Recruitment Board, Recruiters and Employees 38 - Hiring Processes 40 - Interview Panel 40 - Background Process 41 - Selection Process 41 - Education and Student Career Programs 42 - Other Appointment Authorities 43 PART THREE: ACADEMIES: ISSUES AND RECOMMENDATIONS - Academy Culture 44 - Physical Fitness and Tactical Requirements 46 - Firearms Qualification 48 - Issued Weapon Selection 49 - Issued Equipment Selection 51 PART FOUR – RECRUITMENT, RETENTION AND PROMOTION: ISSUES AND RECOMMENDATIONS - Family-Friendly Policies 52 - Mobility Policies 52 - Mentoring 54 - Pregnancy and Childcare 55 - Assignments, Awards and Recognition 57 - Performance Evaluations 57 - Promotions 59 - Internal Affairs 61 \| PART FIVE – RESOURCES \| 63 \| \|-----------------------\|----\| \| PART SIX – BIBLIOGRAPHY \| 65 \| \| PART SEVEN – APPENDIX \| 67 \| PART ONE – INTRODUCTION PURPOSE The intent of this document is to provide recommendations to increase the numbers of women, women of color and underrepresented minorities through proven and research-based recruitment, retention, and promotion strategies in law enforcement. This strategy is designed to increase the number of highly qualified diverse women and underrepresented minorities in the pool of recruits/applicants and consequently, new hires in law enforcement. This document also describes recruitment, retention and promotion issues that are imperative to increasing diversity. The recruitment strategies identified are designed to be part of a broader, comprehensive agency recruitment effort. This strategy relies on research and model policies to make sound recommendations to increase the number of women and underrepresented minorities in every law enforcement agency across the nation. Without a concerted effort to significantly increase the number of women and underrepresented minorities in the law enforcement profession, we will be unable to achieve the goals and objectives of the President’s Task Force on 21st Century Policing. The overall added benefits are to move the law enforcement profession toward a more inclusive workforce, to regain the public’s trust, and to better position policing to effectively address the new challenges facing the law enforcement profession in the 21st Century. EXECUTIVE SUMMARY Transforming Law Enforcement by Changing the Face of Policing 21st Century Policing: Guide to Recruiting, Hiring, Retaining and Promoting Women and Minorities Last year, in response to the creation of the President’s Task Force on 21st Century Policing, Women in Federal Law Enforcement (WIFLE) submitted an official response and testimony to convey our unified support for the findings and recommendations cited in the Final Report. The President’s Task Force on 21st Century in Policing focused on current overarching strategies and highlighted many critical policing issues, including the recent misconduct, and in some cases illegal actions, by certain law enforcement officers that reflect negatively on the entire law enforcement profession. In their aftermath, these actions have eroded the trust of the communities that we, as law enforcement professionals, have sworn to protect and serve. We applaud the President’s Task Force on 21st Century Policing for opening up honest discourse and candor in the narrative regarding challenges faced by law enforcement today. We support the key findings outlined, while also suggesting that law enforcement executives have a unique opportunity to become leaders of change. Although there has been a tremendous amount of discussion about diversity in policing, there has been little serious discussion centered on the benefits of gender diversity in policing. Leading change, particularly culture change, within the law enforcement profession that embraces women and minorities is paramount in order for law enforcement professionals to effectively serve the citizenry and the communities in which they live. Recent conversations have centered on diversity in policing, however, few have addressed the real benefits of gender balance to achieve optimal effectiveness in policing. In a historic first, WIFLE initiated a force multiplier by aligning with the Hispanic American Police Command Officers Association (HAPCOA), National Asian Peace Officers’ Association (NAPOA), National Association of Women Law Enforcement Executives (NAWLEE), National Latino Peace Officers Association (NLPOA), and the National Organization of Black Law Enforcement Executives (NOBLE). As a coalition, we believe that the report provides a unique opportunity to define some of the deeper issues challenging the policing profession today. Compelled to address the issues that will help reshape law enforcement to best face the enforcement challenges of today and the future of policing, WIFLE, and its partners, drafted an official response to the President’s Task Force on 21st Century in Policing Final Report. This testimony outlined what we believe to be the highest priority in any plan implemented to rapidly reform the profession - to increase the percentage of well-qualified, diverse women and underrepresented minorities at all levels in every law enforcement agency in the United States. The President’s Task Force on 21st Century Policing identifies the “warrior model”, as one similar to a soldiers mission to conquer. The warrior model took decades to develop and entrench itself into American law enforcement. The creation of a warrior police culture has also led to an ever-increasing development of an agency’s internal rules and punishment which has led to a mistaken belief that more and stricter rules lead to fewer mistakes. In actuality, employees then reciprocate the level of distrust developed between the employees and the agency/department. Further, this type of environment leads to an “us vs. them” mentality within the agency/department and, inevitably, becomes the standard for dealing with the public. Therefore, in order to change public perception we must first endeavor to change the way we treat and value each other in the law enforcement profession, and move to a “guardian model”, one that honors and respects that a police officer’s role is to protect. Transitioning to the guardian model will be met with intensifying resistance because it challenges the power that the warrior model carries with it. Transitioning to a guardian mentality takes power away from the individual and shares it. This culture change will most likely attack the individual’s ego and concepts of self-worth, as well as that of the institution of policing…because it requires a different approach. Officers/agents may fear that they are becoming armed social workers, and, because of the decades long culture of warrior mentality, they view prevention and community as far less important than the more physical aspects of the position. This warrior culture has also led to increasing salaries and budgets, as well as an influx of grants and equipment. Transitioning to a guardian culture will place all these items in jeopardy because they may no longer be justifiable in the future. Although the warrior culture was established over a period of decades, we do not have the luxury of spending decades to change this culture. As a coalition, we know that, along with the concrete recommendations made by the President’s Task Force on 21st Century Policing, the highest priority of any strategic plan to rapidly reform the profession should be to increase the percentage of well-qualified, diverse women and underrepresented minorities, at all levels in every law enforcement agency in the United States. To acknowledge and utilize the varying skills and talents that women and minorities bring to the profession is to enhance the effectiveness and positive relationships within the communities we serve. Research (and many anecdotal successes), clearly demonstrates that recruiting, hiring, retaining and promoting women; diversifying law enforcement agencies to mirror the community; and recruiting and hiring a new generation of diverse candidates would not only change the face of policing, but would transform law enforcement’s ability to rebuild trust within the communities they serve. There is nothing more important to the future of law enforcement today than the successful recruitment, retention, and promotion of highly qualified women and underrepresented minorities. Clearly, this is a continual challenge given the current culture in policing and is further evidenced by the fact that women represent an average of only 13% of all police officers in the United States. Further, there is a true lack of female and minority role models at the higher levels, as the percentage of women and underrepresented minorities decreases significantly in the higher ranks. The long overdue challenge of hiring more women and members of underrepresented groups is not insurmountable and should be tackled with fervor. Then, and only then, will culture change in policing begin to emerge. WIFLE and its’ partner organizations have long conducted independent empirical studies to analyze the relationship between gender presence in the ranks and more effective enforcement performance across the board. Through research, we are able to provide sound advice and guidance for agencies and departments to consider in their recruitment and retention strategies. Therefore, in a 2nd unified and joint action, WIFLE, along our partners, developed a Thought Leadership Compendium for Policing in the 21st Century to add to the research and recommendations published in the President’s Final Report. Our organizations believe that the top priority at this time should be to direct “a call to action” to ensure that the law enforcement community takes full advantage of this unique opportunity in time to lead and inspire a transformational culture change within the profession. The first call to action would be for every law enforcement agency throughout the United States to increase the percentage of women and underrepresented minorities at every organizational level. Research indicates that when organizations multiply the base percentage of women (and any underrepresented group) to 30%, it effects a culture change from within. According to “Women Lead the Way”, Linda Tarr-Whelan (2009), at 30% representation of women at every level we begin to see concrete, positive outcomes for everyone – not just women. Thirty (30) percent is identified as a strong starting point. How exactly does a law enforcement organization attract qualified candidates to achieve a 30% women and minority base across the board? The key to achieving a more diverse body of law enforcement, each organization must aggressively root out both conscious and unconscious bias. Findings from independent audits show that “the culture” is so engrained within the law enforcement profession that most police departments or law enforcement agencies are unaware that conscious and unconscious bias even “exists” in their organizations. Biases adversely impacts the recruitment, hiring, and promotion processes of most police departments and law enforcement agencies – and surprisingly, include those departments and agencies whose leaders are proactively trying to revamp or create robust programs to hire women and minorities and change culture. The second call to action to achieve this change requires each department/agency to re-evaluate, (whole or in part), the policies and programs in place within their current Organizational -Wide Recruitment Strategy. What should these re-evaluations focus on? Artificial barriers. Independent audits conclude that police departments and law enforcement agencies are not aware that their recruitment, retention and hiring policies and procedures contain artificial barriers, and sometimes incorporate barriers perceived to be necessary for successful performance, that often reflect non-relevant job requirements and skill sets. For example, a 6-foot solid wall requirement has never addressed the required skills needed in the profession and it does not address the genuine proficiencies needed for a new complex policing role in today’s society. Although, to be clear, we are not suggesting that physical readiness is not vital to these positions, it is. What we are stating is that while general and more specific physical standards can be critical to performing more hazardous duties associated with policing, often the over emphasis of physical standards (artificial barriers) further the warrior mentality and can and will adversely impact the recruitment of otherwise well-qualified female and minority candidates. Further, the under emphasis of communication, collaboration, conflict resolution, reasoning, and problem solving skill sets, which are more commonly associated with the guardian mentality, are all also associated with effective de-escalation of potentially volatile situations, and happen to be the very skill sets that research indicate women possess. This emphasis on more realistic policing skill sets will always promote a more effective means of policing and better serve today’s troubled societies. Further, agencies and departments that have embraced the guardian model and community policing concepts, develop community partnerships, engage in problem solving, and implement organizational transformation have found a great degree of success in establishing trust with their communities. Research also demonstrates that organizations that readily acknowledge and utilize the varying skills and talents that women and minorities bring to the profession can measure quantitative improvements in their particular jurisdictions to those communities served. Trained leaders are making important decisions today that will impact the future of law enforcement, including one of their most important challenges: recruiting and hiring more women and underrepresented minorities. It is increasingly clear that recruiting and empowering more women and minorities would not only change the “face” of law enforcement but, more importantly, would transform policing through the injection of diverse life experiences, varied cognitive abilities, and a wide range of cultural experiences as Hispanic, African America, Asian, Middle Eastern, Gay, Lesbian or Transgender and female law enforcement officers. The primary focus of our project is dedicated to women and women of color, along with underrepresented minorities in the law enforcement profession, as many of the inequities are overlapping and recommendation are similar in nature. Law enforcement executives and leaders have an undeniable responsibility to hold themselves accountable for fully representing their communities, a fundamental responsibility that has not yet been achieved. Make no mistake, in the absence of strong leadership and a genuine commitment to change the culture of policing, the citizens of our communities will – and should - continue to hold police departments and law enforcement agencies publicly accountable. Our coalition of law enforcement partners at local, state and federal law enforcement agencies, nonprofit organizations, academic research institutions, and private industry stakeholders stand willing and able to be part of the solution that builds the platform for change by working collaboratively, as observers and advisors, through the attached listed issues, strategies, recommendations, and best practices in order to achieve culture change in law enforcement. We are committed to work with the President’s 21st Century in Policing Task Force, as well as every law enforcement organization across the country, to assist them to increase the percentage of women and minorities in every law enforcement agency -- at every organizational level -- throughout the United States. The measures will go a long way in ensuring the law enforcement profession is a diverse and inclusive representation of the communities served and will propel the profession forward to effectively tackle new challenges. This project examines key areas to recruit, hire, retain and promote women and minorities, including issues and recommendations regarding: Status of Women and Minorities in Local, State and Federal Law Enforcement; History of Women and Minorities in Local, State and Federal Law Enforcement; The Value and Importance of Diversity in Law Enforcement; Culture and Bias in the Law Enforcement Profession; Procedural Justice in the Law Enforcement Profession; Recruitment Practices; Recruitment Plan, Outreach and Targeted Recruitment, Position Descriptions, Recruitment Brochures and Recruitment Materials, Web Site and Vacancy Announcement, Recruitment Board, Advisory Committees – Women/Minorities, Role of Executive Managers, Recruitment Board, Recruiters and Employees, Hiring Processes, Interview Panel, Background Process, Selection Process, Education and Student Career Programs, Other Appointment Authorities, Academy Culture, Physical Fitness and Tactical Requirements, Firearms Qualification, Issued Weapon Selection, Issued Equipment Selection, Family-Friendly Policies, Mobility Policy, Mentoring, Pregnancy and Childcare Issues, Assignments, Awards and Recognition, Performance Evaluations, Promotions and Internal Affairs. This document not only includes recommendations and practical advice relevant to each topic but also, where available, cites successful model policies. RECOMMENDATIONS: Women in Federal Law Enforcement, along with coalition partners: Hispanic American Police Command Officers Association, National Asian Police Officers Association, National Association of Women Law Enforcement Executives, National Latino Police Officers Association and National Organization of Black Law Enforcement Executives respectfully submit the following recommendations in order to Change the Face of Policing through Recruiting, Hiring, Retaining and Promoting Women and Minorities: - Establish an independent consolidated consulting group. This group would be dedicated to the recruitment and advancement of women and underrepresented minorities in law enforcement and the development of a culture that embraces the concepts of procedural justice. This entity would provide assistance and guidance to law enforcement agencies that are working to minimize or eliminate those policies and procedures that create artificial barriers to the successful recruitment, hiring and retention of women and minorities. For agencies that lack the resources to make these needed fundamental changes, this entity would be integral to facilitating positive change. Our collective goal is to establish more contemporary police departments and law enforcement agencies that better represent the communities they serve by providing additional strategies and recommendations for successfully accomplishing department/agency recruitment and hiring goals. - Create and Implement of a National Recruitment Program for Law Enforcement – A National Recruitment Program would be instrumental identifying the skill sets needed in modern day policing, as well as educating the agency/department and the public of the need and critical importance of more women and underrepresented minorities, to join and become part of the fabric of the law enforcement profession. - Attach all Department of Justice (DOJ) grants, incentive funds and discretionary funds into achieving specific recruitment and hiring goals. - Create increased accountability, through Office of Personnel Management, for achieving diversity in Federal Law Enforcement. Federal law enforcement agencies should be held accountable for recruitment and hiring goals highlighted in Executive Order 13583 -- the Coordinated Government-Wide Initiative to Promote Diversity and Inclusion, signed by President Obama in 2011. The President’s Executive Order and the subsequent Office of Personnel Management (OPM) Strategic Plan for Diversity and Inclusion were not only designed to promote diversity and inclusion, but directed executive departments to implement a comprehensive strategy for achieving equal employment opportunity by identifying and removing barriers that hinder an inclusive workforce. Even though diversity and inclusion remains a top priority, executive leaders and senior officials are not being held accountable for meeting the requirements of the Executive Order and OPM mandates. As recommended above, federal law enforcement Senior Executive Service (SES) selections, promotions, and bonuses should be directly linked to achieving the goals of gender diversity, as outlined above. - Conduct comprehensive DOJ-Bureau of Justice Statistics (BJS) Federal Law Enforcement Officers survey and report by the end of fiscal year 2017, along with a commitment to continue the survey (as has been done in the past) on a 4-year cycle. The DOJ/BJS survey and report and has not been done since 2008. We are currently unable to accurately determine the status of women (and minorities) in federal law enforcement. Further, the last available data indicates that the percentage of women in federal law enforcement decreased from 16.1% in 2004 to 15.5% in 2008. The DOJ-BJS, Federal Law Enforcement Officers report is critical to determining the percentage of women in federal law enforcement. The information contained in the report is vital to our efforts to recruit, retain, and promote women and minorities. - Review and reauthorize the DOJ’s Diversity Management Plan and Diversity Policy Statement, with accountability measures in place for all. Hold accountable agencies to meet their Departments’ diversity goals. Review and assess all components to determine if current recruitment/hiring, retention and promotion efforts are increasing the percentage of women and underrepresented minorities, at all levels. Review of recruitment strategies, hiring processes, family friendly policies, promotion processes, retention, promotion of women and minorities, including statistics for each. - Increase accountability of all Federal Agency/Component strategic plans and diversity goals. All agencies “support” hiring more women and minorities. All available statistics indicate that there has been little progress made and according to the most recent data, the percentage of women in federal law enforcement has declined. - Institute a comprehensive pregnancy policy for women who have arrest and firearm authority. A comprehensive model pregnancy was developed by WIFLE for federal officers/agents and is available at www.wifle.org. In addition, the International Association Chiefs of Police (IACP) has a comprehensive model pregnancy policy listed on its website at www.iacp.org. - Establish commitment to work with national organizations, such as: WIFLE, NOBLE, NAWLEE, NAPOA, HAPCOA, and NLPOA to provide quality and professional leadership training, including career fairs, formal mentoring sessions, opportunities to network, and recognition of women and men through their respective awards programs. These organizations are critical in providing much needed training, and increases efforts to discuss and provide vital recruitment, retention and promotion strategies to law enforcement leaders. The coalition is willing to participate in a committee to address any/all concerns and assist with recommendations. STATUS OF WOMEN AND MINORITIES IN LOCAL, STATE AND FEDERAL LAW ENFORCEMENT General Statistics: According to the United States Census Bureau Population Estimates (2015) for the United States, there are: - 163.1 million females in the U.S. (32.8 million are 20-34 years of age) - 158.2 million males in the U.S. According to the U.S. Department of Labor (2015) - Women comprise 57% of the civilian labor force in the U.S. - Women earned 61% of all associate's degrees in the U.S. - Women earned 58% of all bachelor's degrees in the U.S. Local, State and Federal Law Enforcement According to the Uniform Crime Report (2014), U.S. Full-time Law Enforcement Employees, there are: - 627,949 full time enforcement officers - 88.1 percent are male - 11.9 percent are female - Cities with populations of 10,000 to 24,999 inhabitants: - 92% of all officers are male - 8% of all officers are female - Cities with populations of 1 million inhabitants and over: - 82.4% of all officers are male - 17.6 % of all officers are female According to the United States Census Bureau Population Estimates (2015): Annual estimates of Population by Race the most recent statistics available, there are a total of: - White - 197.9 million • Hispanic Origin - 56.5 million • Black/African American - 39.9 million • American Indian - 2.3 million • Asian/Native Hawaiian and other Pacific Islanders - 17.9 million • Two or More Races - 6.5 million According to the Bureau of Justice Statistics (2013), local and state law enforcement is comprised of: • White - 72.8 percent • Black/African American - 12.2 percent • Hispanic/Latino - 11.6 percent • Asian/native Hawaiian/Pacific Islander - 2.4 percent • American Indian/Alaska Native - 0.6 percent • Two or more races - 0.5 percent Federal Law Enforcement: The Bureau of Justice Statistics (2008), federal agencies employed approximately 120,000 full-time law enforcement officers in the United States. • Women accounted for 15.5% of federal officers with arrest and firearm authority • The percentage of women decreased from 16.1% in 2004 to 15.5% in 2008. • Overall, the percentage of women increased less than one-half of 1 percent each year since 1971 when the government began hiring women 45 years ago. A recent U.S. Merit Systems Protection Board, “How You Hire and Who You Hire: The Implications of the Appointing Authority” (2014) indicated that in competitive examining males represented 92% of the new hires into police officer occupations. Based upon the civilian labor force and comparable law enforcement agencies, women officers/agents remain the most underrepresented category in law enforcement. Race and Ethnicity The Bureau of Justice Statistics (2008) indicates that the percent of minority federal officers arrest and firearm authority in 2008: • Any Minority: 34.3% • Hispanic/Latino Origin: 19.8% • African American/Black: 10.4% • Asian/Pacific Islander: 3.0% • American Indian/Alaska Native: 1% Any Minority: A slight increase from 33.2% (2004) and 28.0% (1996). The increase in minority representation from 1996-2008 is primarily attributable to an increase in the percentage of Hispanic or Latino officers, from 13.1% to 19.8%. During the same period, the percentage of African American/Black officers decreased to 10.4% from 11.5%. Women and other minority groups will remain underrepresented in the law enforcement profession unless the culture of policing changes, along with the traditional policies and practices in policing. The data referenced above is limited, dated, and, in some cases, not available. For example, DOJ/BJS has not conducted a survey of federal law enforcement agencies since 2008. Therefore, updated data on gender and ethnicity is not available. As a result, we do not have an accurate picture of women and minorities in policing at the federal level. It is essential for law enforcement agencies, advocacy groups, and the public to know the current composition of their respective agency/department and its’ plan and progress in hiring a new and diverse generation of candidates that reflect the communities they serve. HISTORY OF WOMEN AND MINORITIES IN LOCAL, STATE AND FEDERAL LAW ENFORCEMENT According to the National Center for Women & Policing (NCWP): Throughout the United States, women were hired to protect and administer to incarcerated women and juveniles. In 1845, New York City officials hired two women to work as matrons in the city's two jails after the American Female Moral Reform Society campaigned for the matron positions. They hoped the police would hire matrons for the police stations as well; however, the police department itself blocked this. Mary Owens received the rank of policeman from the Chicago Police Department in 1893; she worked for thirty years for the department and assisted on cases involving women and children. She was the first woman to receive arrest powers. In 1905, Lola Baldwin was given police powers and put in charge of a group of social workers in order to aid the Portland, Oregon Police Department. She was the first woman to work as a sworn police officer in the United States and later, in 1908, she became director of the Department of Public Safety for the Protection Young Girls and Women. Alice Stebbin Wells was the first woman to be called a policewoman; she joined the Los Angeles Police Department in 1910. Several historians have described Wells as the first policewoman in the country, however others have argued that Baldwin should be considered the first policewoman. Part of the difficulty in asserting a "first" is that from the onset, the job description for women officers has been varied and has overlapped with duties we now consider social work rather than law enforcement. Matrons, social workers, and women working for private organizations all worked in positions of some authority for the moral betterment of society. None of these women had the same status as the men working as police officers. Throughout the 1910s and 1920s, Americans widely accepted the idea that women's inherent nurturing qualities should be focused on fixing societal problems associated with moral weakness. As a result, numerous women's bureaus were established across the country in police stations to work on cases relating to women and children, such as young runaways, shoplifting, and prostitution. In the 1930s with the Great Depression came changes in how employment was viewed, and women's employment suffered because of this viewpoint. A married woman with a job was seen as wrongfully taking a job away from a man who needed it to support his family. Women were always assumed to be on their way to getting married, if they were not already married, and therefore not needing a job. As jobs became scarcer, women's career aspirations suffered. This period also saw a change in how law enforcement officers perceived their social role. In the mid-1930s the FBI was formed and law enforcement officers began to project a role of "combatant of crime," turning away from the idea that police should work as social agents against moral decline or destitution. The number of women hired increased during World War II, but most of these women were confined to auxiliary work. Women worked as dispatchers or clerical workers and sometimes worked with children and young women within the departments, whereas men still had patrol duties and worked as the crime fighters. The role that women police officers originally filled as social workers still strongly defined how women were used in the police force. Although the overall number of women making up law enforcement officers remained relatively low, the 1950s saw a marked increase in the number of women officers. In the 1950s and early 1960s, there was a new push to advance women in the profession through integration with the men. Some of the younger working-class women wanted to work in the same departments with men, doing the same work. This period saw the re-establishment of the International Association of Women Police and an increased enthusiasm for the profession as a career distinct from that of a social worker. All these changes led to greater demands for equal treatment and opportunities for women police officers, and in 1968, two women from the Indianapolis Police department were allowed to go on patrol duty, just like the men. These new changes in policing would have a dramatic effect on women in law enforcement everywhere. The women's movement, as well as advances in the law, helped to change how women were able to excel on the police force throughout the 1970's and 1980's. In 1972, Title VII of the 1964 Civil Rights Act was expanded to include public agencies and as a result police departments that were now prohibited by law from discriminating against women in hiring, recruiting and promoting, and working conditions. At the same time, the Revenue Sharing Act and the Crime Control Act, both concentrated on withholding funds from departments that discriminated. From 1960 to 1980, the percentage of women in police agencies doubled and the greater numbers brought greater opportunities and challenges. From the 1970's into the 1990's women in law enforcement agencies have worked for an equal role in all facets of policing. In 1985, Penny Harrington became the first woman Chief of Police for a major city, Portland, Oregon, and Beverly J. Harvard became the first African American woman Chief of Police for the Atlanta Police Department. In the past decade, women have continued to make their mark in law enforcement through major contributions to the profession and many "firsts". Women - Federal It was not until August 8, 1969, that President Nixon signed Executive Order 11478, which “provided equal opportunity in Federal employment for all persons; prohibited... discrimination in employment because of race, color, religion, sex, national origin, handicap, or age; and promoted equal employment opportunity through a continuing affirmative program in each executive department and agency.” For the first time in Federal service, women could occupy positions that they had previously been barred from based on their gender. Women could now obtain positions that held authority to carry firearms, execute search warrants, and make arrests. For the first time in federal service, women could occupy positions in the GS-1811 special agent and other job series from which they were previously barred from based on their gender. However, since then women in Federal law enforcement has increased at a rate of less than one-half of one percent each year. Minorities in Policing Recent discussions in policing have centered on the lack of diversity in the law enforcement profession. It has also resulted in a more in depth look at the culture of policing and its’ role in historical social injustices, as well as its’ devastating impact on trust and legitimacy with the communities. In order to move the profession forward, it is beneficial to review and assess our history with minorities in the law enforcement profession. For example, historically policemen often engaged in wrongful, immoral and, illegal behavior such as being: “bagmen” for the corrupt politicians; paid thugs used by the businesses to bust unionization; corrupt enforcers of “Jim Crow” laws, hunters of slaves, and members of the Ku Klux Klan engaged in lynching black men. Policing was such a low level job, at one point, that only the newly immigrated Irish would take the job. It goes without saying that, at the time, there was little respect for the police and whole segments of the society lived in abject fear of police. Unfortunately, these stories became part of family histories and were handed down from generation to generation creating fear and distrust of the police before any contact ever took place. The birth and development of the American police forces can be traced to a multitude of historical, legal and political-economic conditions. The institution of slavery and the control of minorities, however, were two of the more formidable historic features of American society shaping early policing. Slave patrols and Night Watches, which later became modern police departments, were both designed to control the behaviors of minorities. For example, New England settlers appointed Indian Constables to police Native Americans (National Constable Association, 1995); the St. Louis police was founded to protect residents from Native Americans in that frontier city and many southern police departments began as slave patrols. In 1704, the colony of Carolina developed the nation’s first slave patrol. Slave patrols helped to maintain the economic order and to assist the wealthy landowners in recovering and punishing slaves who essentially were considered property. (A Brief History of Slavery and the Origins of American Policing, Victor E. Kappeler, Ph.D., Eastern Kentucky University) Understandably, the culture of the law enforcement profession, along with entrenched history of social injustices and underrepresentation of minorities in law enforcement has contributed to distrust between the police, many minority groups, and the communities served. Additionally, according to “Governing the States and Localities, “Where Police Don’t Mirror Communities and Why It Matters”, by Mike Maciag, (2015) states, in part that: “Minorities are underrepresented in nearly every large law enforcement agency in America. A Governing analysis of published 2013 personnel data reported to the Bureau of Justice Statistics finds minority groups remain underrepresented, to varying degrees, in nearly all local law enforcement agencies serving at least 100,000 residents. Racial and ethnic minorities are underrepresented by a combined 24 percentage points, on average, when each police department’s sworn officer demographics are compared with Census estimates for the general public. In 35 of the 85 jurisdictions where either blacks, Asians or Hispanics make up the single largest racial or ethnic group; their individual presence in the police department is less than half their share of the population. According to Delores Jones-Brown, a professor at the John Jay College of Criminal Justice, the policing profession is mired by a legacy of racism, and many of the best-qualified minority candidates instead take their skills to the private sector. Further compounding matters, young black men are disproportionately burdened with prior arrests, disqualifying them from police work. Recent shootings provoking public uproar involved African Americans, so observers most often argue to increase their numbers in law enforcement. There is an even greater disparity for Hispanics, however; underrepresentation averaged nearly 11 percentage points for all agencies reviewed. According to Andrew Peralta, past president of the National Latino Peace Officers Association: “One possible contributing factor to the disparity: Hispanics may want nothing to do with cops if they’ve migrated from countries notorious for police corruption. Just convincing them to call police is challenging, so it may take a generation or two before their children view law enforcement as a career.” When Peralta makes recruiting trips to schools for the Las Vegas Metropolitan Police Department, not many students raise their hands when he asks if they are interested in becoming cops, he said. By contrast, white males have historically dominated the ranks of local law enforcement, and their children are more likely to view the profession, which often runs in the family, as a viable career. Hispanics who are not U.S. citizens are ineligible to apply for most local law enforcement positions. For some police agencies, it may be hiring practices, rather than recruiting efforts, that are to blame. Earlier this year, the city of Pittsburgh settled a lawsuit with the American Civil Liberties Union alleging that police exercised discriminatory hiring practices. Police diversity also surfaced recently in Philadelphia, where the police department is becoming increasingly white. Efforts have failed to keep pace with the country’s rapidly changing demographics. In fact, the gap between representation of minorities in police departments and the general population has widened slightly over the last 25 years. Major demographic shifts are one common denominator of many police departments where officers least reflect the racial and ethnic makeup of their communities. This is particularly true in parts of Texas, California and the New York metropolitan region. Of all agencies reviewed, minorities are most underrepresented in Fontana, Calif., a mostly working-class city that has welcomed an influx of Latinos and Asian Americans. According to current agency figures, 28 percent of its 188 full-time officers are minorities, compared to roughly 86 percent of the total population. One of the few agencies where blacks are slightly overrepresented has also seen its demographics shift, but in the opposite direction. The District of Columbia’s white population jumped significantly in recent years as the black population dipped below 50 percent. As of 2013, about 59 percent of Metropolitan Police Department officers are black. Agencies with low turnover often cannot keep up with major demographics changes. Consider the Irving Police Department, which reports they typically hire approximately a dozen officers a year for a department of just fewer than 350. Departments employing fewer officers generally exhibit somewhat greater disparities in part for this reason. In majority-minority jurisdictions, underrepresentation can grow quite high very quickly. Majority-black Ferguson, which only employed a few black police officers at the time of the Michael Brown shooting, was almost entirely white just a few decades ago. Disparities are also common among burgeoning Asian communities, several of which had among the largest levels of underrepresentation nationally. In two majority-Asian cities, Daly City, Calif., and Fremont, Calif., Asians only accounted for approximately 12 percent and 10 percent of sworn officers, respectively.” Clearly, the law enforcement profession has experienced difficulties in attracting and recruiting minority candidates and, as a result, has never truly reflected the communities they serve. Further, every time there was a push to add women and minorities, it was met with protests, from within; arguing that the standards were being gutted or watered down, and that these new diverse recruits were not qualified to be police officers. The profession aggressively defended every requirement in spite of the fact that there was no connection between the requirement and job performance. This lead to over two decades of discrimination lawsuits and consent decrees filed against law enforcement agencies, resulting in forced compliance with the law. Lawsuits/Consent Decrees For example, the “Alabama state troopers “long symbolized systematic oppression in the South and, as late as 1972, remained an all-white institution. In 1963, troopers stood behind George Wallace and his promise of "segregation now, segregation tomorrow, and segregation forever," and, in 1965, beat civil rights activists during the march from Selma to Montgomery. The Southern Poverty Law Center filed Paradise v. Allen in 1972 and transformed the state troopers forever and set legal precedent. Alabama was ordered to hire one qualified African-American trooper for every white trooper hired, until the force was 25 percent black. State officials resisted, imposing a virtual ban on hiring to preserve the all-white force and making it difficult for newly hired African-American troopers to complete training. African-American officers also were not allowed to advance by state officials who refused to implement fair promotion tests. In 1987, the case reached the U.S. Supreme Court. In view of the troopers' long history of discrimination, the high court upheld the Center's controversial affirmative action remedy. The case finally ended in 1995, more than 23 years after it began. The Alabama state troopers have been transformed from a symbol of oppression to evidence of affirmative action's success, at the time, with the highest percentage of minority officers in the nation. During the 1970s and 80s lawsuits filed against police departments mandated agencies increase their numbers of women and minorities. For example, the New York Police Department Hispanic Society has been involved in challenging entrance and promotional examinations and assessing the status of Hispanic officers in the department. In the early 1970’s, as a result of the recruitment drives, Society members discovered that many Hispanics were unable to realize their dream of becoming police officers because they did not meet the department’s height requirement. The Hispanic Society addressed the problem locally by attempting to have the Police Department change these criteria; this was an unsuccessful venture, but in 1972, Congress amended the Civil Rights Act of 1964, prohibiting the height requirement as it was ruled discriminatory. This resulted in a change in personnel selection practices in the law enforcement field. The removal of this barrier substantially increases the number of women and Hispanics in the Police Department. In 1972, the Hispanic Society joined the Guardians in contesting the entry-level examinations administered in 1968 and 1972. An injunction barred the selection of candidates from those lists. Subsequently, that lawsuit had an impact on those Hispanic and African-American officers who were hired off that list. Those affected received retroactive monies due to their newly designated appointment dates. On October 5, 1979, the Guardians Association and the Hispanic Society lodged a lawsuit, which challenged the June 1979 police examination as not being job-related and its format unlike that of previous examinations. A Federal court ruled, on December 17, 1978, that New York City could not use its latest Civil Service Exam to select new police recruits until the judge decided on a plan to assist African-American and Hispanic applicants to the Police Department. This lawsuit resulted in a hiring quota of 1/3 of the recruits selected being of Hispanic and African-American descent. More recently, in January 2016, a U.S. Department of Justice, Office of Justice Programs, Office of Civil Rights (OCR), after evaluating the Alabama Law Enforcement Agency’s (ALEA) and the Department of Public Safety’s (DPS) employment practices regarding recruiting, hiring, and retaining female troopers, issued a Compliance Review Report. The review found that ALEA and the DPS are not in compliance with the civil rights requirements of the Safe Streets Act and its implementing regulations. Specifically, the report cited reservations about the adequacy of the ALEA’s and the DPS’s: Recruitment Program, Selection Practices, Retention Program, Assignment of Personnel to Equal Employment Opportunity Program, among others. The report cited ALEA and the DPS falling short of their collective Equal Opportunity Employment (EEO) obligations regarding recruitment, selection, and retention, and found that they did not dedicate adequate resources to their EEO efforts. Further, the report cites that received funding under Safe Streets Act must utilize non-discriminatory selection devices in hiring employees, such as Troopers. The OCR found that the DPS was not in compliance with the Safe Streets Act’s EEOP regulations because it did not analyze whether its recruitment program effectively encourages women to apply for the entry-level trooper position. Because the Department did not evaluate readily available data, it hired troopers in 2014 from an applicant pool that contained an astonishingly low percentage (i.e., 5.72%) of female applicants. The report, in part, states: “A recipient that receives funding under the Safe Streets Act must utilize nondiscriminatory selection devices in hiring employees, such as troopers. Under the Safe Streets Act’s regulations, the OCR applies Title VII of the Civil Rights Act of 1964 (Title VII) to determine whether a recipient engaged in prohibited, sex-based employment discrimination against applicants. Title VII prohibits a recipient from adopting employment practices that are ‘fair in form, but discriminatory in operation. The Supreme Court enunciated this disparate impact theory of discrimination in Griggs v. Duke Power Co. According to the Griggs Court, under Title VII, employers cannot erect employment obstacles that serve as ‘built-in headwinds’ and prevent members of protected classes, like women, from accessing particular job opportunities. Congress later amended Title VII to codify Griggs’ disparate impact test.” The OCR concluded that the ALEA and the DPS must undertake additional steps to ensure compliance with the Safe Streets Act and its implementing regulations. The OCR’s Compliance Review of the ALEA and the DPS is part of a broader compliance review initiative that evaluates the efforts of law enforcement agencies to employ women as sworn officers. This project aligns with the DOJ’s strategic plan, which prioritizes the enforcement of federal laws prohibiting discrimination in employment. To achieve this goal, the plan encourages DOJ components to investigate and address discrimination against female applicants and employees. Research documents that the biggest gains for women and minorities in sworn law enforcement positions are seen in agencies that are subject to a consent decree and/or other court order that mandates the hiring and/or promotion of qualified women and minorities. Most of these decrees were imposed after women and minorities brought discrimination lawsuits against their departments. For example, Pittsburgh Police Department was under a court order from 1975 to 1991, mandating that for every white male they hired they were to hire one white female, one African-American male, and one African-American female. At the time the court order was imposed, Pittsburgh had only 1% women at the rank of police officer. By 1990, the department had the highest representation of women police officers in a major U.S. metropolitan city at 27.2%. Unfortunately, evidence suggests that progress in these agencies often erodes as soon as the consent decree expires or is otherwise lifted by the courts. Once the court order against Pittsburgh Police Department was lifted, for example, the number of women hired dropped dramatically from the 50% ratio mandated under the court order to 8.5%. As of 2001, the percentage of women serving in the rank of police officer was down to 22% and continuing to decline. The example of Pittsburgh Police Department is particularly disturbing given the declining number of active consent decrees and the unwillingness of the Civil Rights Division to bring lawsuits and negotiate such decrees.” (Southern Poverty Law Center, Paradise vs. Allen). Without lawsuits consent decrees imposed to remedy discriminatory hiring and employment practices by law enforcement agencies, it is clear that the marginal gains women and minorities have made in policing would not have been possible. Even with these marginal gains, the fact remains that women have faced a long history of resistance, seclusion and discrimination through their underrepresentation in the law enforcement profession. Although, women have made great strides and equality in many other traditionally male dominated fields, i.e. medical, legal, etc., women have been slow to gain traction in the field of policing, one of the last strongholds of a male dominated profession. Minorities have experienced a long history of prejudices, injustices and racism in society and, unfortunately, in policing. In addition, history indicates that, when mandated through a lawsuit or consent decrees that police departments, can and will diversify. Although society and policing have come a long way, we still have a long way to go to remove bias and make law enforcement a progressive and welcoming profession and one that truly reflects the communities that we serve. THE VALUE AND IMPORTANCE OF DIVERSITY IN LAW ENFORCEMENT Benefits of Diversity The International Association Chiefs of Police (IACP), “A Symbol of Fairness and Neutrality; Policing Diverse Communities in the 21st Century” (2007) defines the overall benefits of a diverse police agency as: “Having a department that reflects the community it serves helps to build trust and confidence, offers operational advantages, improves understanding and responsiveness and reduces the perception of bias.” In addition, the Law Enforcement Recruitment Toolkit developed by the Community Oriented Police (COPS) and IACP list the specific benefits of diversity as: - Diversity assists officers in developing a broader range of solutions - Diversity assists in developing balanced, relevant and culturally sensitive responses to community problems and critical incidents - Diversity enhances mutual understanding between the department and the community - Diversity helps increase mutual understanding between the police and the community they serve - Diversity reduces stereotyping of groups by the police and reduces stereotyping by the community of the police - Diversity inspires members of underrepresented groups to support the police Diversity and inclusion is not simply about gender, race and ethnicity, it is about the depth of knowledge and problem solving diverse individuals from different races or cultures contributes to the goals of serving and being part of our communities. With the expansion of women and underrepresented minorities, the diversification of policing will allow for perspectives and viewpoints that are more comprehensive. Further, it will allow for greater flexibility and greater depth, involving people who can meaningfully address a problem, as part of law enforcement’s response. Flexibility not only includes a physical response, but an ability to address an issue through more effective communication. A diverse workforce results in better communication and a better understanding of all factors involved in resolving problems. For example, it is critical that members of agencies/departments speak a variety of languages and/or possesses language skills to effectively communicate with our diverse communities. Research suggests that greater diversity also increases the intelligence quotient of the organization. Increasing the intelligent quotient of a(n) agency/department not only identifies issues before they become problems, it also harnesses a more robust problem solving process that will create stronger bonds with the communities served. Differing viewpoints and increased intelligent quotient brings about a deeper level of empathy to the organization and leads to improved communication and problem solving both within and outside the agency. Empathy cannot be taught in any police academy and unfortunately, is a rarely sought out or valued personality trait in the law enforcement hiring process. Even in the face of research that shows when police demonstrate a deeper level of empathy, members of the community are more accepting of law enforcement’s decisions. The better a law enforcement agency is at problem solving, the greater the depth of empathy they develop and, as a result, citizens trust and believe that these officers/agents are making good and unbiased judgments and decisions that have everyone’s best interest in mind. Simply stated, diversification and inclusion in policing enhances the profession and better serves the communities that we serve. The Advantages to Hiring More Women, including Women of Color: A study published by the National Center for Women & Policing (2003), "Hiring & Retaining More Women: The Advantages to Law Enforcement Agencies identified: Six Advantages for Law Enforcement Agencies to Hire and Retain More Women: - Female officers are proven as competent as their male counterparts are. - Female officers are less likely to use excessive force. - More female officers will improve law enforcement’s response to violence against women. - Female officers implement “community-oriented policing.” - Increasing the presence of female officers reduces problems of sex discrimination and harassment within a law enforcement agency. - The presence of women can bring about beneficial changes in policy for all officers. The NCWP research further shows that women in law enforcement: - Rely on communication skills and interpersonal skills to a greater degree and are less likely to use excessive force - Support community policing - Emphasize communication and cooperation with citizens that may lead to better intelligence collection. - Use appropriate levels of force (not excessive force) in diffusing situations - Respond more effectively to crimes of violence against women, such as domestic violence and sexual assault - Reduce incidents of sex discrimination and sexual harassment as their numbers increase - Change the climate to allow for the incorporation of more family friendly policies that are beneficial to all - Provide a different perspective that encourages management to examine practices to provide better law enforcement operations and services Research has shown that women tend toward a different style of policing that relies more on communication skills. Further, it demonstrates that women tend to be better communicators and listeners and are better at forming consensus. In a highly competitive and increasingly fractious world, women possess the kind of critical problem-solving skills that are urgently needed to break down barriers, build understanding, and create the best conditions for law enforcement to effectively address its jurisdictional responsibilities, as well as contribute to the future of law enforcement. Over the past several decades, there has been a fundamental change in law enforcement from the “warrior” to the “guardian” style of policing, from a traditional physical-policing model to a more strategic method that relies increasingly on crime prevention, technology, problem solving, and conflict resolution, among others. Such changes also necessitate reliance on analytical skills, communication skills, and “brainpower.” Research conducted, over the last 25 years in the United States, and internationally, clearly demonstrates that women in law enforcement rely on a different policing style than typically used by men—a style that uses less physical force and more problem-solving and/or conflict-resolution skills. This shift away from a physical-policing stereotype to a more tactical and cerebral approach cited in the President’s 21st Century Policing Task Force Final Report, requires the very skill sets that research consistently shows that women bring to law enforcement. In addition, (NCWP, 2003) female police officers almost never use excessive force, although they use the same amount of appropriate force, saving their agencies/departments a substantial amount of money in excessive force lawsuits. This research also demonstrated that women are less likely to draw and/or utilize their weapon and tend to look for non-physical solutions, are more likely to de-escalate conflict, and are better at community outreach. Research also indicates that the law enforcement profession overemphasizes the physicality of the profession, with agencies tending to embellish the physical attributes of the job; at the same time, the more realistic duties and responsibilities of the profession are not highlighted. A number of studies document that both police officers and community members are concerned that women are not strong or aggressive enough for police work; however, physical strength has not been shown to predict either general police effectiveness or the ability to successfully handle dangerous situations. Rather, some have suggested that other characteristics might be preferable to physical strength, such as the ability to diffuse potential violence and maintain composure in situations of conflict. In this regard, female officers not only exhibit more reasoned caution than their male counterparts do, but they also increase this tendency in their male partners. Strength is relative and situations arise where tactics, which are a learned skill, are most important. In addition, physical standards (often artificial barriers) serve to weed out women and men who could potentially implement an alternative and effective model of policing that focuses more on the de-escalation of conflict and effective communication. Women are also better able to facilitate the cooperation and trust that are required to implement today’s community-policing model. Recognizing these more contemporary and “guardian” type skill sets is the first step in analyzing an agency’s/department’s needs to successfully accomplish their goal of protecting and safeguarding our communities. Once this is accomplished, along with appropriate changes to recruitment practices, policies and tactics, a tremendous opportunity for recruitment of female and minority candidates is created. Research conducted by Tarr-Whelan (2009), indicates that when organizations achieve a level of 30%, participation, at every level, of any minority category, the group begins to effect culture change from within. The research further indicates that: - 30% representation of women, at every level, is identified as a strong starting point. - at 30% representation of women, we begin to see concrete, positive outcomes for everyone – not just women. - 30% representation of women is the proven tipping point • at 30% representation of women in executive level positions; real change starts to happen • a few “first women” making key decisions in high place does not have any significant impact on the organization Although there are many overlapping issues and recommendations when it comes to addressing women and underrepresented minorities in the field of law enforcement, there has been considerably less research conducted on the specific impact, value and benefits of diversity, specifically, race and ethnicity and its impact on policing. However, it is evident, through our communities, anecdotal successes and research, that when law enforcement achieves greater diversity is able to more effectively build trust and better serve its communities. Even though we may not have a large body of research, we do know that each race and ethnic group have unique characteristics which requires agencies to create different approaches to recruit, retain and promote minorities. For example, the Alhambra Police Department found (Mar, 2005) found that when recruiting Asian Pacific male and female candidates they must address the family’s cultural beliefs law enforcement is a poor investment of their child’s education, the job lacks prestige, and it is not an honorable profession. In the area of promotions, the American Association of University Women (AAUW) found that when looking at finding a mentor/sponsor both women and men of color have a more difficult time because they often do not live in the same communities, participate in the same community events or send their children to the same schools as their managers which limits access. CULTURE AND BIAS IN THE LAW ENFORCEMENT PROFESSION To effect transformational change, we must take a realistic and in depth look at the culture of law enforcement, including the barriers that inadvertently discourage women and minorities from considering a career in law enforcement and/or contribute to unsuccessful recruitment, hiring, and retention efforts. As a profession, we were slowly evolving, and then three things happened: the War on Drugs, the War on Crime, and the War on Terrorism. Each one transformed the perception of law enforcement presence as a negative occupying force (warrior) in their communities rather than the protectors (guardians) of their communities. It also led to recruitment tactics that spoke of the excitement and danger of the job, rather than the obligation of ethical service to the community. This is also evident and unmistakable in many recruitment brochures, often depicting elite officers repelling out of a helicopter or a SWAT team breaching a door. This culture and recruitment style lends itself to recruitment of a generation of individuals, mostly men, who gravitated towards the job for prestige, status and excitement. It also generated interest from a generation of individuals, primarily with a warrior mindset, and we, in turn, established standards and requirements to support the warrior. In 2000, the U.S. Commission on Civil Rights published, “Revisiting Who is Guarding the Guardians?” A Report on Police Practices and Civil Rights in America. This report focused on the last 20 years, since the organization had made their first set of recommendations. They found that many of the same issues still persisted, with little meaningful change, including: A serious underutilization of people of color and women will prevent police departments from functioning effectively. Law enforcement agencies have not been able to maintain diversity because they do not specifically direct their efforts to communities of color and women even as negative perception of the police persists and barriers remain. Biases may exist in the selection process that eliminates women and candidates of color, including background checks and psychological testing (including a lack of psychologists of color) evaluating candidates from inner cities vs. white suburbs. Promotion and reward systems may have bias built into them with their focus on statistics instead of focusing on civil rights, including a focus on statistics that may encourage officers to generate statistics instead of performing community policing. Sue Rahr and Stephen Rice (2015) write that a law enforcement officer’s mission is to protect the community and the rules of engagement evolve as an incident unfolds. The soldier’s mission is to conquer and rules of engagement are determined before the battle begins acting on orders from superiors whereas the law enforcement officer rarely operates under direct supervision. They further state that: “There are two things cops hate: the way things are, and change. When we add the emotional implications of changing culture, we must anticipate and be prepared for strong resistance. That resistance will be intensified because we are challenging the very core of the warrior identity that many have embraced in the popular culture of policing. Furthermore, we are challenging the strict paramilitary organizational structure that is a hallmark of many police agencies.” Further, according to Chief Robert Lehner, as cited in Police Executive Research Forum (2015): “The concept of police officers as warriors, whether we like it or not, has run through our profession, certainly for the almost 40 years I’ve been in it. I think we should make an adjustment, and I wonder how that adjustment is going to be accepted by the rank and file of our profession, when we have drilled that concept of warrior into them from the beginning, and as “guardian,” not so much. I think we need to confront this issue, however.” Furthermore, the shared experiences of the community follow us throughout life and often involve feelings of comfort, safety and understanding. Police officers/agents develop their own communities within the organization and through professional associations and unions, where they feel safe and comfortable enough to discuss issues. Unfortunately, this also increases bias against others. Often, managers and leaders feel more comfortable surrounding themselves with friends or individuals they “came up” with on the job or friends, creating additional challenges to diversification. This strategy has often resulted in a less informed or narrow-minded decision-making process and the creation of a management team that demonstrates less flexibility in viewing all sides of a problem and a solution, in part, due to the lack of women and minorities. The single largest issue facing the recruitment and retention of women is the inherent “cultural barriers” in law enforcement. In a survey conducted by WIFLE (2008), respondents identified the negative attitudes of their male colleagues and work/life issues as their biggest challenges. Further, in WIFLE’s 2003 survey almost half of those surveyed indicated that they had experienced sexual harassment in their agency, and in a more recent survey, 62% reported experiencing sexual harassment. Although “cop culture” is, both well researched and well documented as a hegemonic and masculine subculture, some law enforcement organizations have had better results than others have when it comes to changing the culture to fit the needs of today’s law enforcement challenges. The law enforcement culture remains male dominated and values the hierarchal systems as a way to carry out its operations and services. As outlined previously, research clearly demonstrates that women police differently and that how the value and contributions they make is highly beneficial to the profession. However, research on tokenism (Yu, 2014) reflects that groups maintain a “token” position in a group until they reach approximately 30% representation of the department/agency population at every level. Until then, members of underrepresented groups maintain the status of being in the agency, but never really become part of the agency. This may also significantly contribute to a lack of culture change because there are insufficient numbers of minorities to effect culture change, clearly resulting in a far reaching impact on recruiting, hiring and maintaining a diverse workforce. In addition, the effect of implicit bias and “out groups” has an adverse impact on women and minorities. Goldin and Rouse (2000) studied the relationship of instituting totally blind auditions and its impact on the hiring of women among the top U.S. Symphony Orchestras between 1970-1996. Many conductors regarded women as over emotional, requiring more attention, and inferior musicians. However, when blind auditions were instituted they found that they increased the probability that a woman would advance to the next round by 50% and a 30% increase in the proportion of women among new hires. The study explained that some auditions even included the use of carpet to hide the sound of women’s high heels. This study shows the impact of “implicit bias”. It also illustrated that even the most talented musicians, who pride themselves on the ability to discern talent, allowed bias to creep into their selection process changing what they heard and eliminating candidates who should have been considered. Each of us holds biases that influence the way we think and evaluate others. This is particularly true in regards to the way women and minorities are viewed within agencies/departments and police departments. Often, male co-workers view women’s use of their communication skills to de-escalate potentially violent situations as a sign of weakness and/or fear of physical engagement. Supervisors, often, contribute to the problem by not correcting these officers/agents and/or by holding the same opinion that women are less capable. In turn, women and minorities often fight biases to include misguided perceptions that physical standards are lowered in order to accommodate them. As a result, the law enforcement’s profession’s lack of diligence in addressing personnel issues in recruiting, hiring, training, performance evaluations, and promotions leave their employees open to the negative impact of implicit bias. In turn, implicit bias contributes to how officers interact with the community, often leading to communication that is perceived as disrespectful. Implicit bias contributes to how an officer perceives they are supposed to act and interact with the public, often coming across as tough, insensitive or unsympathetic, with a commanding presence. This persona is in contrast with the reality of what the public wants, which is an officer that listens to them, respects them, and helps them solve the problem at hand. In the mid 1970’s, Goldstien (1977) examined patrol work and found the majority of an officer’s time was spent dealing and interacting with the public. The skill sets required to perform these functions were not compatible with the skill sets that the officers were recruited, screened, and trained. The law enforcement agencies, in general, adhere to the “selecting out” or “hurdle process” of recruiting and hiring because they cling to an outdated perception of police work. (Scrivner, 2006) In addition, the paramilitary structure of departments, along with their respective training academies, do not support actual police officers duties and responsibilities or an individual approach to personal professional development. The law enforcement culture is one that is deeply entrenched in a climate that demands sameness and assimilation. The paramilitary structure of agencies forces uniformity and a culture where questions about policy and procedure are discouraged and people displaying independent thought are viewed as disrespectful of leadership. “Police subculture is the primary impediment to change and reform and must be expunged…” (Clark 2015). This assimilation to fit in where “Blue” (the unwritten rules that exist among police officers) trumps everything leads to “us vs. them” culture and the development of the “Blue Wall of Silence”, where good law enforcement officers support those they should not and fail to support those that they should. There are some who proffer that this may be the result of “blue” trumping race or that the issue of race and culture are overshadowed by being male. This could also be related to department’s/agency’s paramilitary culture, adherence to Veterans Preference provisions, and adoption of the perception that veterans make good police officers. Hiring veterans fits into and reinforces a paramilitary culture and, reinforces law enforcement’s Blue Wall. Although law enforcement has benefitted tremendously from an insertion of military personnel possessing special skill sets and good leadership qualities, there is no linkage between military experience and successful performance as a law enforcement officer. More importantly, an unwavering reliance on Veterans Preference severely limits our ability to hire women and other underrepresented minorities. In 2013, the Department of Defense reported that women comprise approximately 14.9% of active military personnel. Even if there were sufficient numbers of female and underrepresented minorities to recruit, the issue remains that a heavy reliance on veteran’s leadership skills is only magnifying our problem of increasing the numbers of women and some minorities. It is our fervent hope that this unique opportunity to lead transformational change, particularly culture change, in a law enforcement profession that embraces women and minorities is embraced and will go a long way to more effectively serve the citizenry and the communities in which they live. PROCEDURAL JUSTICE As the President’s Task Force on 21st Century in Policing Report states: “Adopting procedural justice as the guiding principle for internal and external policies and practices can be the underpinning of a change in culture and should contribute to building confidence, trust and legitimacy within the agency/department and within the community. The Final Report of the President’s Task Force on 21st Century Policing describes procedural justice as incorporating four central principles: - Treating people with dignity and respect - Giving individuals a voice - Being neutral and transparent in decision making and • Conveying trustworthy motives. Furthermore, “there is a growing recognition of the need for police executives to treat their employees with the same sense of legitimacy and procedural justice that applies to members of the public.” This is sometimes referred to as “internal legitimacy” or “internal procedural justice.” When the leaders of a police department treat their officers with dignity, respect, and fairness – for example, by creating meaningful and transparent paths for career advancement, ensuring that disciplinary system are fair, and soliciting officers’ views about major issues of policy and practice, they increase the likelihood that the officers will show initiative and seek to do a good job. Further, according to “Implementing a Comprehensive Performance Management Approach in Community Policing Organizations: An Executive Guidebook. (Branley and Luna et al, 2015) “Internal procedural justice is important not only because it represents the right thing to do but also because officers who experience procedural justice from their supervisors are more likely to understand those principles and use them in their interactions with the public. Essentially, ‘police leaders who use procedural justice with officers are modeling the types of behaviors that they want officers to demonstrate in their dealings with community members.’ To achieve trust and legitimacy in our communities, agencies/departments must first accomplish internal legitimacy. A commitment to building trust and legitimacy, is a commitment to expanding diversity, and is the cornerstone of tenants of procedural justice. PART TWO – RECRUITMENT AND HIRING: ISSUES AND RECOMMENDATIONS There has been a wide variety of studies and research conducted over the past several decades that, without exception, provided sound recommendations to increase the number of women and underrepresented minorities in the law enforcement profession. In 2010, the Rand Center on Quality Policing published a series of studies on recruiting and retaining police officers in general. These studies outline steps police departments can take to increase their recruitment and retention of officers. The report cites many of issues previously identified, along with recommendations and guides for overcoming such challenges. The “President’s Task Force on 21st Century Policing” outlined issues and made recommendations in regards to: building trust and legitimacy; policy and oversight; technology and media; policing and community reduction; training and education officer wellness and safety. Many of the task force’s concrete recommendations were centered on culture change in law enforcement and improvements for law enforcement to bridge the gap and build trust with their communities. While diversity in policing was a focal point of the discussion and make recommendations, little time was dedicated to addressing the underrepresentation of women and the advantages and importance of gender equity in policing. As part of a Department of Justice grant, The National Center for Women and Policing published “Recruiting and Retaining Women: A Self Assessment Guide for Law Enforcement (2000) to assist police departments in recruiting and retaining women. This handbook identified issues and outlined assessments and recommendations for police departments to increase the numbers of women hired. This project included the institutional concepts of procedural justice, as well as: advantages to hiring more women; developing a job description; removing obstacles in the selection process; designing a quality recruitment academy; mentoring; evaluating family friendly policies; monitoring performance appraisals; assignments and promotions; preventing sexual and gender harassment; ensuring impartial internal affairs systems and developing fair and effective award programs. In addition, WIFLE has conducted research projects, including: “In the Face of Challenges, Women in Federal Law Enforcement Persist and Excel” (Keverline, 2003) and “An Examination of Eight Factors Influencing Women’s Retention in Federal Law Enforcement”, (Yu, 2015) and posted “Pregnancy Guidelines for Federal Law Enforcement” (2011), among others. The research contains information and recommendations regarding the recruitment, retention and promotion, for rarely studied sector of women in federal law enforcement. Over the past several decades, there has been a plethora of studies, along with concrete recommendations on the importance of diversity in law enforcement and sound recommendations on how to increase the numbers of women and minorities. Unfortunately, by every measure, agencies/departments have been excruciatingly slow at hiring women and underrepresented minorities. One thing, however, is very clear: the problems have moved from an inability to recruit and retain female and minority applicants to the inability to recruit any qualified candidates. RECRUITMENT PRACTICES Law enforcement agencies nationwide are experiencing severe problems in recruiting women and many underrepresented minority groups. Every agency should strive to create a workforce that contains a broad range of diversity that includes race, gender, sexual orientation, language capability, life experiences and cultural backgrounds (Pillar 1 Recommendation 1.8). We acknowledge that there are a number of external issues that impede and undermine police diversity, including: - We hire personnel with the intent that employment will last for 20-30 years and hiring cannot exceed the attrition rate and or the budget. - Small communities departments may only be able to afford to hire individuals with prior law enforcement experience or those who pay to become certified, severely limiting their outreach to officers from other communities and people who can afford to self fund their certification training. This requires small agencies to be more creative in their recruitment programs. - University and college police departments serve populations that do not age and at the end of the day university employees retire to communities outside the university, whose demographic makeup does not match the student body. - Federal agencies serve all communities and geographic locations. Their nationwide reach allows them greater access to talent, but their hiring processes, security clearance, education requirements, resident training academies, mobility requirements, along with lack of pregnancy and family friendly policies may discourage and/or eliminate many potentially qualified candidates. In addition, according to Rand (2010), “Police Recruitment Retention for the New Millennium and Beyond The State of Knowledge” there are five causes of attrition, Baby Boomer retirements, military call-ups, changing generational expectation, budgets, and organizational characteristics. Attrition is increasing as the demand for expanding police functions increases and the candidate pool decreases. The newest generation is more likely to have used drugs, have “unacceptable” debt levels, and health issues (obesity). Revisiting these polices to address these issues, will in turn, likely increase the pool of qualified applicants. These challenges can often be mitigated and/or overcome by creating and maintaining a comprehensive and targeted recruitment strategy. Focused recruitment strategies help, but to effectively implement new strategies, it is important to do an in depth review of recruitment practices and develop a comprehensive recruitment plan focused on hiring and retaining women and underrepresented minorities. Policing is an ever-changing profession and, subsequently requires ever-expanding skill sets. It is also more important than ever that the law enforcement profession maintain a cognitively diverse workforce. The expanding demand of law enforcement touches three critical areas: 1. Community policing requires increasing the number of functions as well as skill sets required to perform those functions. 2. Homeland Security requirements have added counterterrorism, intelligence gathering and analysis, threat assessment development, and new task forces, and 3. Globalization has increased complexity of criminal organizations. These three areas require skill sets that most police departments have given little thought to and/or have not adequately addressed by incorporating these required skill sets into their current job descriptions. Skills such as effective communication, collaboration, advanced computer skills to include cyber security, forensics, intelligence gathering, analysis and dissemination, physical and industrial security analysis necessary to safeguard the public and targets of opportunity and the increasing complexity of crime throughout the country. Coincidentally, the aforementioned skill sets are requirements for secret and top-secret security clearances. Historically, these skill sets have not been part of law enforcement’s requirements and law enforcement has been slow to catch up with the changing profession and the new demands As a result, our policies on hiring and positions descriptions have also not been changed to accommodate these newly identified necessary skill set. These new demands add to the law enforcement profession’s challenges to recruit talent. Law enforcement’s need for added skill sets puts it in direct competition with other businesses that can compensate at a much greater level, provide perks, flexible work schedules, continuing training and advancement, and inclusive cultures. RECOMMENDATIONS: To create a diverse and responsive agency, leaders must analyze their agency/department at every level of the organization. Much of that review is time consuming, but it does not necessarily require expensive consultants. An agency with limited resources can often find expertise within their community through colleges, businesses, non-profit organizations and community groups/members. Allowing community members access and involvement in the process, to the extent possible, creates transparency and goes a long way in creating better relationships with community. Every leader should review the following: - What is the internal climate of the agency/department? - How are agency/department law enforcement personnel viewed the community? - How do agency/department employees treat one another? How does the organization treat their non-sworn or administrative personnel? How do employees view leadership? - What is the attrition rate and why do people leave? Is there a difference in attrition for sworn, non-sworn and support positions? - How many sexual harassment or sex discrimination allegations have been filed against the agency in the last 5 years? - How many internal affairs investigations are there and for what? How many anonymous allegations are there? Is there a disparity in the number of women, minority and male subjects of internal review compared to the percentage of each in the agency? - How does the department prioritize and treat sexual assault cases, rape cases, hate crimes and the victims? Every agency/department should review the demographics of their community in order to understand which groups are growing larger, who has newly arrived, moving out, as well as identification of religious communities, major employers, etc. - How does the community view the police? If sections of the community view police negatively create an action plan to address those perceptions and what groups can help you counter a negative image. If sections of the community view the police positively, can that be duplicated in other communities? Every agency/department should develop a diversity plan that is practical, obtainable, flexible, and likely to attract women and underrepresented minorities. - Search out non-traditional college majors such as, social work, education, public administration and health/fitness, along with targeting college sports teams and outreach to other professions, such as teachers, attorneys, nurses, non-profit employees, etc. - Work with the National and local affinity groups to partner in order to develop and maintain a diverse workforce (Pillar 1 Action Item 1.8.2) - Engage community civil rights groups, businesses, religious and educational entities, communities organizations, and non-profit organizations to help you recruit diverse qualified candidates. The following is a list of areas to address when conducting an organizational-wide review of your recruitment and hiring strategies: Recruitment Plan, Outreach/Targeted recruitment, Positions Descriptions, Web Site/Vacancy Announcement, Recruitment Board, Advisory Committee, Role of Executives, Managers, Recruitment Board, Recruiters, Hiring Process, Interview Process, Background Process, Selection Process, and Education/Student Career Programs. RECRUITMENT PLAN Findings from independent audits show that “the culture” is so engrained, that most police departments or law enforcement agencies are unaware that conscious and unconscious bias “exists” in their organizations. This bias adversely affects the recruitment, hiring, and promotion processes of most police departments and law enforcement agencies – to include those departments and agencies whose leaders are actively trying to revamp or create robust programs to hire women and minorities. Written test, oral interviews, background investigations, psychological evaluations, physical and firearms testing, all, most likely, need adjustment to assess the skills and abilities required of today’s law enforcement professional. As a result, in order to create and maintain a robust comprehensive recruitment strategy, the strategy must become a living document requiring leadership to continually review and modify. RECOMMENDATIONS: All departments and agencies should evaluate the following policies and programs within their current Organizational/Agency-Wide Recruitment Strategy (OARS). The OARS should include an evaluation of the following: - Recruitment Plan - Outreach/Targeted Recruitment Plan - Position Descriptions - Brochures/Recruitment Materials - Web Site/Vacancy Announcement - Recruitment Board - Advisory Committees – Women/Minorities - Role of Executive Managers, Recruitment Board, Recruiters and Employees - Hiring Process - Interview Panel - Background Process - Selection Process - Education/Student Career Programs - Other Appointment Authorities These evaluations should also include a comprehensive review of the demographics of your community, coupled with statistically driven assessment of your agency’s/department’s sworn law enforcement personnel by race, ethnicity and gender. Every effort should also be made to ensure that agency/department recruitment plans; policies and every type of written correspondence contain gender-neutral language. OUTREACH/TARGETED RECRUITMENT Building partnerships and establishing individual relationships have a direct impact on a potential recruit’s knowledge of and interest in an agency. According to research, effective recruitment sources are as follows: businesses owned and/or frequented by women/minorities, colleges and universities frequently attended by females/minorities, and female dominated occupations. In addition, distributing recruitment materials and vacancy announcements to the following targets are effective strategies: health clubs or sporting events with female/minority membership and community colleges and universities with predominately female/minority attendance, including sororities and fraternities. Advertising in publications, and on radio and television, that attract a female and minority audience and Web sites dedicated to women and minority issues are good recruitment sources. Community leadership outreach can also be an effective source of female and minority recruitment. Agencies/Departments should also use its Public Affairs office, or appropriate office, to maximize media attention on its desire to recruit more women and minorities. The strategy could include a kickoff recruitment campaign with a press announcement, the profiles of women and minorities in publications/interviews, and a recruitment video that features women and minorities. Often local media will extend free services to departments/agencies with limited resources. In addition, local colleges may be willing to assist in the creation of a recruitment video. According to current research, tuition reimbursement and continuous learning programs are strong incentives for college graduates. Agencies should re-evaluate academic requirements and consider creating or using already established student loan repayment program to attract and recruit highly qualified applicants, where feasible. In addition, agencies/departments should highlight its continual learning opportunities, internships programs, etc. RECOMMENDATIONS - Develop a comprehensive recruitment plan adhering to the of the President’s 21st Century Task Force Report, ensuring that the requirements reflect current and updated duties and skills sets - Design and implement a targeted recruitment strategy, specifically aimed at women and under represented minorities - Develop a consolidated and relevant list of academic- and profession-related leadership trainings/conferences and career fairs that target women and underrepresented minorities - Develop and strengthen existing partnerships with women and minority organizations - Target schools with large female and minority attendance and graduation rates - Conduct research and/or utilize contractor to target recruitment locations - Establish procedures to ensure follow-up with each interested applicant - Create a policy for communicating with and guiding candidates through the entire hiring processes - Consider establishment of a cadet, student and/or internship program POSITION DESCRIPTIONS The position description is the basis for recruiting and evaluating applicants. A current, accurate position description, which clearly defines the duties and responsibilities of today’s law enforcement officer, is essential to recruitment, hiring, and retention. Most position descriptions were written decades ago and remain in place today. These recruitment materials and position descriptions are heavily focused on the physical aspects and requirements of the position and not reflective of the actual duties and responsibilities of 21st Century law enforcement. All position descriptions, recruitment materials, and websites require updating to reflect a policing mission focused on collaboration, communication, partnerships, and community service. Although the need for physical readiness cannot and should not be underestimated, the message sent to potential recruits is that our response to crime fighting is through physical force and skills such as effective communication, conflict resolution, and de-escalation of conflict are not as valued. Position descriptions should emphasize effective skills such as problem solving, conflict resolution, and community commitment, testifying in court, interview techniques, recognition of the value of diversity, and proactive measures to reduce crime. Emphasis must also be placed on report writing, intelligence analysis, computer skills, mediation, presentation and organizational skills, and the ability to establish collaborative relationships. Further, job descriptions should incorporate integrity, dependability and cultural competence as job requirements. Subsequently, all agency/department recruitment practices and procedures, academy training/requirements, and long-term strategic plans must reflect these changes throughout. More accurate position descriptions depicting current duties and responsibilities of 21st century policing and the resulting change in the emphasis on skills required, will greatly assist in attracting a different candidate, including more women and minorities. RECOMMENDATIONS: - Update position descriptions to reflect current duties and responsibilities and the shift to a contemporary approach to law enforcement - Emphasize skill requirements focused on effective communication, problem solving, conflict resolution, critical thinking, de-escalation of conflict and community commitment - Rewrite employee position descriptions to match new policies/procedures and requirements, that include all aspects of procedural justice RECRUITMENT BROCHURES AND MATERIALS Recruitment brochures often depict women and minorities performing aspects of the officer/agent position and contain a good description of some of the skills required to be an effective officer/agent. However, the language still emphasizes physicality and portrays a culture of masculine appeal. Many recruitment brochures state that applicants must be tough—both physically and mentally. Among other “highlighted” requirements are rigorous training, personal risks, irregular hours, extensive travel, and random reassignment, creating an impression of hardship and deprivation that is less than appealing to many candidates. Although these are certainly aspects of the officer/agent position, they do not portray the day-to-day realities or the true description of today’s service-related and community-oriented police work. Recruitment materials require an accurate description of the position and give a positive overview of benefits that highlight family-oriented policies, including maternity and paternity benefits; training and mentoring programs; a physical fitness program that encourages a lifetime of fitness; and a realistic expectation of career advancement. Materials should state the mission and vision of the agency and accurately describe the duties and responsibilities of the position. In addition, brochures and materials should be inclusive of women and minorities and depict and emphasize policies and a culture that are reflective of the true nature of policing to include effective communication, interviewing skills, report writing, testifying, collaboration, partnerships, and community outreach, as well as a realistic view of the physical and tactical requirements. Finally, these materials should also highlight family-friendly policies and include policies that address the needs of employees to attract the newest generation. RECOMMENDATIONS: - Update all recruitment materials emphasizing a more diverse and contemporary law enforcement agency - Create materials that reflect the policing mission and vision and accurately describe the duties and responsibilities of an officer/agent, including effective communication, interviewing skills, report writing, collaboration and community involvement. - Prepare recruitment materials that provide an accurate description of the position and highlight the benefits of family-oriented policies, including maternity and paternity benefits; training and mentoring programs; a physical fitness program that encourages a lifetime of fitness; and a realistic expectation of career advancement. - Design specific recruitment materials to target women and minorities - Create materials that reflect the agency’s/department’s emphasis of an inviting culture for all - Expand distribution of recruitment materials through all appropriate venues, including women and minority rich environments WEB SITE/VACANCY ANNOUNCEMENT The Web site and other electronic media are critical to communication with the public, including advertising job opportunities. Once an individual’s interest has been piqued, this becomes the main source of detailed information. Agencies/Departments should establish a specific section on its Web site to recruit women and underrepresented minorities by presenting the unique and challenging aspects of the job; advertising family-oriented policies; and providing updated information for individuals seeking positions. Increased use of twitter, instant messaging, Facebook, and other technologies are effective means of reaching out to a new generation of diverse candidates. RECOMMENDATIONS A streamlined process should also reflect the following principles: - Create a user-friendly application process that is not unduly burdensome or time consuming - Draft clear and understandable job announcements and instructions for applying • Utilize timely and informed responses to questions about the requirements and the process • Promptly acknowledge that an application has been received • Provide status updates on applications as significant milestones are reached • Develop specific timeframes for each phase of the process and notification procedures for the applicant • Update Web site to target women and minorities • Maximize the use of technology, including interactive media and social media, to promote employment opportunities • Create a priority list/list service to outreach to non-profit organizations, private industry, military recruitment sources, and academic institutions • Create links to targeted academic institutions and non-profit organizations • Distribute to, previously identified, educational institutions with a high percentage of women and minorities • Advertise in publications with a high level of women and minority readership • Advertise through recruiters, diversity coordinators and employees • Utilize Public Affairs/local public information office or designated office to advertise and respond RECRUITMENT BOARD In large and moderate sized agencies, increasing and sustaining a focus on recruiting and hiring women and minorities, may require creation of a formal Recruitment Board, reporting directly to the Chief and/or executive leader. This allows for executive-level guidance and increased accountability. The Recruitment Board should have the ability to schedule targeted recruitment activities and targeted examination locations, as well as hiring authority. The Board should consist of appropriate-level representatives that are responsible for devising and implementing a clearly defined comprehensive recruitment strategy, with clearly identified goals. From the initial point of contact with a recruit, to the training of a new hire, to the delivery of a trained employee, these representatives would ensure consistency and a coordinated approach in the delivery of a well-trained and highly qualified new law enforcement officer. In addition, the Board is responsible for providing training to educate recruiters and managers on the comprehensive recruitment strategy, hiring policies and practices, and effective recruitment strategies, and the role that each of them plays in the recruitment process and conveying the recruitment strategy to all employees. RECOMMENDATIONS: • Establish oversight by the executive level, with accountability to Chief/Agency Head and/or executive leader to monitor and review each hiring phase in order to increase and sustain a focus on recruiting and hiring women and minorities and to keep abreast of the certification/hire list composition • Establish a formal Recruitment Board, reporting to Chief/Agency Head ADVISORY COMMITTEE – WOMEN AND MINORITIES In addition, a Women’s Advisory Group should be created, where feasible. The establishment of a Women/Minority Advisory Committee would allow for consultation for recruitment, retention, and promotion issues, as well as for any significant policy changes, including the impact on women and underrepresented minorities of implementing those policies. A Women/Minority Advisory Committee, comprised of a diverse group of rank and file, management and executive level personnel should be created to provide candid feedback regarding significant issues facing women and underrepresented minorities in the organization. The advisory committee would be responsible for examining policies, procedures, and major agency changes to assess for adverse impact before implementation. The advisory committee concept has proven to be successful in a number of law enforcement agencies, including the Charlotte-Mecklenburg Police Department. The Women’s Advisory Committee’s review of the solid 6-foot wall climb; a physical requirement for recruits to graduate was eliminating women at a disproportionate rate. Though the 6-foot wall climb was claimed to be job-relevant, research conducted by the Advisory Committee concluded that there were not any 6-foot walls in the jurisdiction, resulting in the elimination of the 6-foot wall climb. Additionally, a committee of this type can assist management in ensuring that they meet the diversity and equal employment opportunity requirements of their grants. RECOMMENDATION: - Establish an advisory committee to offer expertise and advice on policy and its impact on women and underrepresented minorities (e.g., recruitment, retention and promotion issues, equipment decisions, physical programs, firearms-related issues, family-oriented policies, and any aspect of the officer/agent position that may adversely impact women) prior to implementation - Utilize advisory committee to ensure that agency/department is meeting their diversity goals and equal employment opportunity requirements of their grants. ROLE OF EXECUTIVE MANAGERS, RECRUITMENT BOARD, RECRUITERS AND EMPLOYEES RECOMMENDATIONS for Executive Managers, with accountability to Chief/Agency Head: - Provide leadership and oversight to the Recruitment Board to develop a comprehensive recruitment strategy, targeting women and underrepresented minorities, and one that reflects a clear commitment to culture change - Allocate sufficient funds, personnel, and time for recruitment - Monitor and review all steps of the recruitment and hiring process, the certification/hire list and final selections, to ensure women and underrepresented minorities are well represented RECOMMENDATIONS for Recruitment Board: - Devise and establish a clearly defined recruitment strategy to reflect a contemporary approach to policing • Partner with the oversight office (above) to ensure that the recruitment message is consistent through the Web site, publications, recruitment materials, and recruitment video. • Update all policies, recruitment information in order to determine and implement appropriate changes to reflect a contemporary approach to policing • Interview, select, and activate recruiters of diverse backgrounds • Implement a formal training program for all recruiters • Conduct an annual training and accountability for all recruiters, that includes scheduled updates • Partner with the your agency/department Public Affairs Office (and/or appropriate office) to ensure that vacancy announcements and recruitment materials are appropriately advertised • Create dedicated and part-time recruitment positions with job descriptions that reflect their recruitment duties and responsibilities • Train all employees on the importance of diversity and the role of targeted recruitment as a means of building a diverse workforce • Advertise in female and minority-oriented and local publications RECOMMENDATIONS FOR FIELD DIVISION/FIELD COMMANDER • Fully engage field divisions/field commanders and recruit coordinators to target identified locations and recruits • Create accountability measures for locating female and minority recruits RECOMMENDATIONS FOR RECRUITMENT COORDINATORS (as part of the larger recruitment strategy): • Identify and target areas to recruit women and minorities • Use methods such as targeted recruitment and referrals to increase diversity • Conduct job seminars and job fairs at women’s and minority colleges • Post all job notices at targeted (largely female/minority attended) schools and universities • Establish working relationships with key officials at colleges, universities, law enforcement organizations, to include partnering with women and minority organization, such as WIFLE, NAPOA, HAPCOA, NAPOA, NLPOA, NAWLEE, NOBLE, NCWP, etc. • Maintain lists and contacts with qualified persons (women and minorities) of interest • Ensure examinations include dates and locations for testing as well as hold examinations in locations that do not eliminate candidates from the process due to lack of transportation. • Identify locations for testing or accepting applications that target women/minority colleges, trade fairs, sporting events, women/minority conferences, etc. (as part of the larger strategy) • Recruit from within the organization, specifically targeting diversity RECOMMENDATIONS FOR EMPLOYEES: WIFLE HAPCOA NAPOA NAWLEE NLPOA NOBLE Employees are the ambassadors of the organization and should be encouraged to mentor and recruit at every opportunity. HIRING PROCESSES Most hiring processes consist of an announcement, written examination or resume, education/work experience requirements, interview process, selection, background investigation, medical examination, polygraph, drug testing, and a reporting date. In addition, the value of diverse educational experiences and achievement, socialization skills, and character traits that support fairness, compassion, empathy, and cultural sensitivity are essential to 21st century policing. Training can enhance some skills but cannot create character traits in individuals that they do not possess. (Pillar 5 Training and Education). A comprehensive review of the hiring process must be conducted to ensure we are identifying those candidates who possess the right skills for today’s policing. The entire process should be assessed to identify any potential “artificial” barriers for recruiting and hiring women and minorities. Information from each area of the application process should be reviewed, including total applications, total qualified, passed written examination, declined interview, failed drug policy at the time of interview, failed medical, failed polygraph, failed suitability determination, selected, selected with a reporting date, and declined offer/withdraw. An analysis of the data can indicate significant differences, and as research indicates, often includes non-job relevant artificial barriers that are unintentionally eliminating qualified candidates. RECOMMENDATIONS: - Conduct an analysis of the written examination to determine if the examination is an accurate assessment of the skills needed in policing. - Conduct an analysis of the written examination to determine if the predicts successful future performance. - Consider development of examinations that test skills for contemporary law enforcement, such as report writing, interviewing, time management, conflict resolution, problem solving, and relationship building. - Multi Agency Hiring: Research the feasibility of mutual aid agreements between agencies/departments to recruit for multiple agencies/departments or smaller departments to enter into agreements with a nearby larger municipality to be part of multi agency certification/hire lists. - Consider recruiting from diverse non-sworn personnel for positions: Administrative and Intelligence personnel, as well as Cadet, Explorer, Co-op, Internship and Educational Programs. INTERVIEW PANEL Interviews should be conducted in a highly structured and efficient manner designed to ensure that we are determining the applicant’s knowledge, skills and abilities of today’s policing model. Interviewers need training on acceptable and unacceptable questions/subjects as well as implicit bias. RECOMMENDATIONS: - Members of interview panels represent diverse backgrounds, including women and minorities, and are carefully screened to eliminate possible bias. - Mandate interview EEO, sensitivity, and bias training for all those who will participate in the interview panel process. BACKGROUND PROCESS Analysis must be conducted to determine failure rates in specific suitability factors and possible reasons for this disparity. Research conducted at one major federal law enforcement agency determined that female applicants failed the suitability determination (background investigation) at significantly higher rates than male applicants did. Disparities could include a bias in the background investigative process and/or the vetting of background investigators. According to research, the lack of gender diversity, among those conducting background investigations, affects an agency’s ability to hire a diverse workforce. This may be attributable to the personal values of the investigator or a deviation from the established question-and-answer process of background investigations. In addition, agency/department background investigators are typically disproportionately men. The lack of a diverse representation of background investigators may adversely affect efforts to diversify our workforce. The background investigation process is largely subjective; however, establishing a structured format ensures consistency in the application of the suitability factors. Conducting research to look for or determine if any hidden gender bias exists in the background investigation process is critical. Training should be provided to all background investigators to ensure that the line of questioning is relevant to determining suitability for the position only. Diversifying the background investigator pool and conducting a thorough assessment of the current process would ensure that gender bias does not exist and candidates eliminated based on artificial prejudices. RECOMMENDATIONS: - Ensure that agency/department has a diverse group of background investigators. - Establish a structured format to ensure consistency in the application of the suitability factors. - Conduct research to determine any hidden bias in the background investigation process. - Conduct training for background investigators to ensure that the line of questioning is relevant to determining suitability for the position. If using contractors, ensure that the same requirements of performance, diversity, and training are included as performance requirements. According to a summary of previous research conducted by psychology professors, they were asked to evaluate a series of résumés for a tenure position. Two different résumés were used, one of a “dream” candidate with extraordinary credentials, the other of a successful but more average candidate. In each case, half the professors received a résumé with a woman’s name; the other half received a resume with a man’s name. When it came to the extraordinary candidate, there was no bias; everyone wanted to hire the person regardless of gender. However, when it came to the more ordinary candidate, the difference was significant. The professors rated the same teaching experience and research productivity dramatically lower when they thought the candidate was a woman. When asked whether they would hire the individual, 70 percent indicated that they would hire the man – but only 45 percent would hire the woman. Interestingly, the gender of the judges did not affect the finding. In most selection processes, once candidates are vetted through the entire process, they are placed in a variety of categories, based on: a numeric score; pass/fail categories, such as: highly recommend, recommend or not recommended; “Rule of Three,” in which police administrators considered candidates in groups of three, and those not selected three times were out of contention; and/or placed in a consideration in according to a chronology of completion of interview or completion of the entire selection process, among others. According to research conducted at a major federal law enforcement agency, even after passing all of the selection requirements, women were selected with Entry on Duty (EOD) date (hire rate) at a significantly lower rate than men. Even when rated as highly qualified after passing all job requirements, women were still not hired. RECOMMENDATIONS: - Re-evaluate the hiring practices to ensure that the process is not inadvertently or unfairly removing women and minorities - Place women and underrepresented minority applicants, who pass all stages of the selection process, at the top of the certification list/hire for selection, if permissible - Survey all applicants to identify how they were referred and/or heard about the vacancy for future targeted recruitment efforts EDUCATION AND STUDENT CAREER PROGRAMS Agencies/Departments should evaluate alternatives to education requirements, including entry-level positions combined with the means to obtain higher education (Pillar 5 Action item 5.11 & 5.11.1). Through community relationships and contacts, agencies/departments should review local community higher education programs for reduced tuition arrangements. In addition, affinity groups, such as WIFLE, NOBLE, HAPCOA, etc., could present scholarship opportunities and/or reduced tuition for higher education opportunities for its student members and past scholarship recipients. Student Programs also offer valuable work experience directly related to the student’s academic field of study. Student Programs provide a formal period of work and study, while students (potential recruits/hires) attend school. These types of programs require a commitment by the student, the student’s educational institution, and the agency/department. Depending upon the program, students may meet the noncompetitive selection requirements, following the completion of their academic and career-related work experience requirements. RECOMMENDATIONS: - Develop/Utilize Student and Cadet Programs - Identify and target colleges/university with a high percent of female and/or minority registrants - Conduct a background investigation prior to hiring under Student Career Programs - Evaluate alternatives to education requirements for candidates (entry level positions combined with the means to obtain higher education) (Pillar 5 Action item 5.11 & 5.11.1) - Consult with community leaders and community programs to identify potential recruits and local higher education programs for reduced tuition arrangements. - Consult with affinity groups (WIFLE, NOBLE, HEPCOA, etc.) to identify higher education for reduced tuition for members - Consult with affinity groups (WIFLE, NOBLE, HEPCOA, etc.) to identify potential recruits, including past scholarship recipients OTHER HIRING AUTHORITIES (Federal) The federal system has many different hiring authorities that include Schedule A Hiring Authority that may be used for critical hiring needs or special jobs and situations for which it is impractical to use standard qualification requirements and to rate applicants using traditional competitive procedures. Schedule A is a faster method of hiring, as agencies are not required to use the qualification standard established by Office of Personnel Management (OPM), including making it mandatory for applicants to take the written exam, a medical exam, drug test, etc. Schedule A Authority can and should be sought for criminal investigator positions for special assignments and specialized expertise that is needed. These positions should be utilized to target specialized skills, and priority consideration should be given to women and underrepresented minorities. Personnel from other Federal agencies, special agents from State bureaus, and police officers assigned to investigative units or task forces, with specialized experience are often viewed as targeted recruitment areas for filling positions through Schedule A. While all are good recommendations, use of broader sources will be necessary to target women and many underrepresented minority group recruits. A comprehensive recruiting strategy, with clearly defined expectations, must be established and conveyed to all participants to ensure that we are increasing the number of women and minorities through Schedule A Hiring. Final selection authority should be placed at an executive level, directly accountable to the Agency Head, which according to federal guidelines is responsible for diversity of his/her organization. Schedule B hiring authority should be considered for candidates that fit the qualification requirements for the position, but are not required to complete the regular application process, specifically to target women and underrepresented minorities. For example, students under the Student Career Programs (see below) and the Federal Career Intern Program are eligible for this appointment type. According to the Office of Personnel Management, “By 2014, the last year for which government wide hiring data is available, agencies could potentially exercise as many as 105 hiring authorities. A hiring authority is the law or regulation that governs how an agency may hire a person into the federal civil service; it determines how or weather vacancies are announced and how applicants will be assessed. But despite widespread and longstanding dissatisfaction with competitive examining and dozens of hiring process alternatives, a new GAO study finds that competitive examining remains the single most used authority in federal hiring. Of the 105 hiring authorities available in 2014, agencies used only 20 authorities for 91 percent of new hires. Why? Neither the Office of Personnel Management nor agencies themselves know the answer. OPM officials said they do not know if agencies rely on a small number of authorities because agencies are unfamiliar with other authorities, or if they have found other authorities to be less effective.” GAO said. Most of the methods used to hire new employees in 2012 resulted in a greater proportion of males than females entering the Federal workforce. This disparity is most notable for the Veterans Employment Opportunities Act (VEOA) and Veterans’ Recruitment Appointment (VRA) authorities, which is not surprising given that the active duty military is over 80% male. Our research shows that as use of veterans hiring authorities increased, the percentage of female new hires decreased. In addition, we found over 35% of those hired under competitive examining were veterans. An over-reliance on too few hiring authorities may not be healthy for an organization’s culture, as those authorities may not result in a workforce that is representative of society. Agencies should take care when hiring the majority of their employees through just one or two authorities that limit eligibility to a particular segment of society. Our upcoming report on fair and open competition will discuss in depth the implications of appointing authorities for open competition and workforce diversity.” RECOMMENDATIONS: - Re-institute Schedule A Hiring Authority with an emphasis on recruiting women and underrepresented minorities - Continue use of Schedule B Authority - Fully research and utilize all hiring authorities available PART THREE: ACADEMIES The following is a list of areas to address when conducting a comprehensive assessment of agency/department Academies: - Academy Culture - Physical Fitness/Tactical Requirements - Firearms Qualifications - Issued Weapon and Equipment Selection ACADEMY CULTURE Agencies must review their training practices and ensure that they do not adversely affect women and minorities. Agencies must work to not just screen out candidates, but screen in candidates as well. Agencies expend a significant percentage of their funds on recruiting and hiring, and often use training academies to “weed out” or eliminate candidates rather than focus on training for success. Any failure becomes proof the candidate is not as capable as the others, rather than a potential exposure of a flawed training system or teaching method. Training academies should review any/all potential pitfalls, and evaluate how adjustments, remediation, or additional tutoring can give individuals the best opportunity to succeed. For example, in 2011, a female officer from Nashville Police Department, a nine-year veteran, was recruited by a federal law enforcement agency and failed its’ firearms qualification. Instead of looking at the situation as a failure of the training program and/or trainer for failure, the result was the loss of an otherwise qualified and proven candidate. For smaller agencies the problem can be further hampered by a lack of training funds requiring they only hire certified officers or only those who can afford to pay for their training, which eliminates low income candidates, including many women who still earn, on an average, less on the dollar than men. Most training academies adhere to a military “boot camp” style of training with some opting for a residential academy. Without question, in-residence training academies are expensive venues to support and maintain. In addition, there is no research to indicate that in-residence academies produce better law enforcement officers than non-residential. Traditionally, law enforcement has viewed this style of training beneficial to developing a sense of camaraderie. In reality, these academies often have an adverse impact on women and minorities; as the underrepresentation of each often results in the woman or minority candidate being the only one, or one of few in the class. Further, resident academies result in highly qualified parents, and most significantly single parents, individuals with significant family commitments, from applying or accepting law enforcement positions due to the financial burden or lack of a support system to fulfill their obligations, which still disproportionately affects women. Additionally, academy training is developed to encourage individuals to follow orders, without question, and models a power dynamic where those without power must submit, without question, to those who have the power. It also becomes a primary way of supervising and managing people. Agencies/Departments have been steadily increasing their hiring requirements for law enforcement officers by requiring college degrees and focus on a wider variety of intellectual skill sets. These higher education standards foster a resolve to question authority and then, in our agencies/departments, we consider it insubordinate and discipline them when they question authority. Unfortunately, this philosophy has a long-term negative impact on the officer and, ultimately, is transferred to members of the community. As an example, in 2012, the Washington State Criminal Justice Training Commission (WSCJTC) changed its training model from a paramilitary boot camp to a training environment that stressed coaching, fitness, and building a sense of teamwork, without imposing fear and humiliation or reducing any needed standards. After a rigorous and expensive recruitment process, agencies should make extraordinary efforts to give these recruits every opportunity to succeed, particularly when the types of failures can typically be resolved through increased or specific training measures. The loss of an otherwise highly qualified candidates is a tremendous cost to the agency in real dollars and loss of time, training, and employee replacement. The Academy should identify appropriate measures and intervene early with proven training strategies to improve training success for new recruits. In addition, the agency/department needs to provide support and mentorship to all new recruits and should be enlisted early to work with the Academy on any significant issues that arise during this extensive training. An independent Review Board should also be established to render a final decision on any recommended Academy failure. RECOMMENDATIONS: - Conduct comprehensive assessment of agency/department Academy, including: Physical Fitness/Tactical Requirements, Firearms Qualifications and Issued Weapon and Equipment Selection - Change the culture of training academies from in-resident and/or boot camp environment to an environment that uses adult based learning models and scenario based training (Pillar 5 Recommendation 5.1) and improves social interaction as well as tactical skills (Pillar 5 Recommendation 5.7) - Employ Academy training focused on the importance of communication skills, de-escalation of potentially dangerous/violent situations, cognitive ability and mental health evaluation - Institute fitness training that is consistent with officer safety and wellness - Implement procedures required for day-to-day operations, directly linked to the specific requirements of the position - Update Academy fitness standards to incorporate the newest scientifically proven methods of training to ensure the individual succeeds and is not unnecessarily injured - Eliminate any 6 ft. solid wall, and any other non job relevant “requirements” that are not directly linked to performance as an officer/agent and disproportionately eliminates female or minority candidates - Employ fitness programs that are based on specific duties of the profession, including fitness programs that employees can duplicate to maintain optimal health and continue throughout their career (i.e. prolong sitting shortens and tightens hip flexors and hamstring muscles supporting the spine making it weaker and making it increasing more difficult to run) and minimize risk of injury - All Academy activities should convey clear and explicit ethic of respect, integrity, service and empathy, and internal and external consistency of respect, open mindedness, inclusion - Incorporate training that includes understanding the importance of cultural awareness and sensitivity, as well as identifying opportunities that strengthen cultural diversity to create communities of inclusion and increase understanding of cultural similarities and differences. PHYSICAL FITNESS/TACTICAL REQUIREMENTS There is no logical or evidence based reasons that have been found to show that we should train law enforcement officers as we do soldiers (Rahr, 2015). A new training model focuses on giving officers additional tools so physical and/or deadly force is less likely to be used, with an increased emphasis on accurate threat assessment and additional practice on the use of force continuum - so that physical force and/or deadly force is less likely and used as a last resort. The goal of physical fitness training at the Academy should be to increase the confidence of the students in their ability to perform their duties without injury. Physical fitness should be approached as a component of a healthy lifestyle. If recruits are given a solid foundation in developing a healthy lifestyle through exercise, stress reduction, and diet, they are more likely to stay fit and less prone to injury or disability. Tactical training must include defensive tactics training and the use of pepper spray, batons, and other less-than-lethal force weapons alternatives. However, the primary emphasis of physical training should be on the de-escalation of violence. Female and minority recruits should never be unduly singled out, and qualified female and minority instructors should be selected and available in physical training programs, to provide role models for other women and to reaffirm to male recruits that women can be effective agents. Because the research unequivocally demonstrates that women can perform the job of policing as successfully as men it is critical to eliminate the adverse impact of entry-level physical testing so it includes all successful candidates without, inadvertently, excluding qualified women. There is currently no consensus regarding the physical requirements of policing, which makes it difficult to accept any police agency's claim that a particular test or component actually represents a necessity of the law enforcement officer’s position. One element of many physical/tactical requirements is climbing a solid 6-foot wall. As previously stated the Charlotte-Mecklenburg Police Department eliminated this physical requirement as it was disqualifying women at a disproportionate rate and there were actually no walls of that height in the area eliminating the job relevancy need. In another instance, Dr. Sheldon Greenberg, Johns Hopkins University, provided expert testimony regarding the Baltimore City Police Department’s use of a solid 6-foot wall climb as a physical requirement. Dr. Greenberg’s research showed the construction of 6-foot walls was prohibited in the city of Baltimore. Further, he suggested that many major metropolitan cities throughout the country have similar restrictions. Finally, nationwide research conducted by Dr. Kim Lonsway (2003) determined that the use of a solid 6-foot wall for law enforcement testing purposes originated after lawsuits in the early 1970s successfully challenged the height requirement. Further, she concludes that there is no job relevancy to support a 6-foot solid wall requirement, and it creates an artificial barrier for women. In addition, the concept of pursuing an armed individual over a 6-foot solid wall should raise additional tactical concerns. The physical requirements will inevitably play a role in the recruits’ basic training, and one would expect that by the end of that basic training, recruits would be both physically fit, receive tactical training, and be mentally prepared for the job. All agencies must conduct a thorough assessment of current Academy standards to determine the job relevancy of all of the tested areas. Research shows that physical strength does not predict either general police effectiveness or the ability to handle dangerous situations. There are no documented cases of negative outcomes due to lack of strength or aggression exhibited by female officers. A shift away from an overemphasis on physical force is likely to capitalize on the interpersonal skills that women possess and make the job more attractive to women. Any fitness requirement that does not directly linked to job performance has no place in the process and solely remains as a discriminatory measure to eliminate candidates. Fortunately, there are alternative strategies available to police administrators—options that can assist in both selecting successful candidates and reducing the discriminatory impact on women. Some research suggests that physical agility testing can be eliminated, as many agencies have done so without any apparent negative consequences, or replaced with health based screening to assess general physical fitness. In addition, physical fitness “requirements” tested at the Academy to qualify for the position, are no longer tested or enforced after leaving the Academy, opening questions up to the necessity of such “requirements”. RECOMMENDATIONS: - Review of agency/department physical/tactical practical exercise for job relevancy - Encourage a lifetime of healthy diet and physical fitness instead of using current method that contribute to the overemphasis on the physical aspects of training - Consider having candidates sign and acknowledge a letter outlining requirements to successfully complete physical training at the Academy - Increase emphasis on effective communication, conflict resolution, analytical skills, report writing, computer acumen, financial acumen, and de-escalation of conflict for officers/agents, and de-escalation tactics making physical force the last resort - Appoint/hire more female and minority instructors - Closely monitor the progress of all recruits - Establish a Review Board to render a final decision on failure, recycle, etc. - Ensure that all candidates/recruits are familiar with all fitness requirements/expectations - Consider using pre employment fitness camps to engage individuals early to teach proper techniques to physically prepare for and successfully complete the training - Incorporate a multi-faceted Officer Safety and Wellness Program to include cumulative effects of stressors (Pillar 6 Recommendation 6.1 Action Item 6.1.2) - Ensure all fitness requirements directly link to job performance. FIREARMS QUALIFICATION New recruits join agencies with a wide variety of firearm experience, ranging from individuals who have never handled a firearm to those with prior law enforcement or military experience. It should also be noted that those with experience have sometimes received improper training and/or have trained with different weapon systems and on a variety of tactical and/or marksmanship courses. Many recruits have never held or fired a gun before entering the Academy. This lack of familiarity may create a sense of insecurity and uncertainty when learning how to handle a firearm, creating a steeper learning curve and establishing an expectation of failure on both the part of the instructor and the recruit. Exacerbating this problem is the fact that agency/department firearm training is done almost exclusively in a group, with little individualized training until failure is imminent. The training philosophy should encourage partnership and teamwork to achieve the success of all students. According to a 2008 survey conducted at the Annual WIFLE Leadership Training, 22 percent of the female respondents indicated that firearms qualifications were the most challenging aspect of their training, and 25 percent reported receiving extra scrutiny/negative attention during their training. Because firearms proficiency is a learned skill, firearms instructors should be equipped to train recruits who have no prior experience with firearms, as well as retrain those who received improper training. Each recruit, regardless of prior experience, should receive individual instruction to prevent stigmatizing those who lack prior experience and enable people with various experience levels to gain the experience they need to succeed. RECOMMENDATIONS: Do not fail any officer/agent recruits at the Academy until the following strategies are implemented: - Mandate one-on-one firearms training as necessary to improve the success rate of all candidates. - Increase the number of firearms instructors to provide individualized training, as necessary. - Establish a Review Board, independent of Academy staff, to render a final decision on failure, recycle, etc. - Assign a mentor (an officer/agent from the receiving agency, barrack, field office) to each student with mandatory routine contact throughout the Academy. - Closely monitor all recruits for the successful completion of the Academy—in coordination with respective office of assignment, mentor, and a Review Board representative. - Provide individualized remediation training for any single-event failure. - In the event of multiple (more than three) unsuccessful remediation attempts, consider recycling student to the next available class, depending on assessment of likely success. - Increase the use of proven alternative training methods prior to qualification attempts, such as the use of dry-fire exercises, the Firearms Training System (FATS), Beam Hit and other technologies. - Provide additional training and practice time, as needed. - Establish detailed comprehensive lesson plans. - Carefully screen Academy instructors and curriculum to ensure that no bias exists. - Create a training atmosphere that encourages students to request assistance and provides individualized training, as needed. - Conduct exit interviews for all individuals leaving the Academy (interview should be done by a Review Board representative). - Conduct research to identify effective training strategies and provide proven techniques to assist new recruits in successfully completing firearms qualifications. - Evaluate current course of fire to determine if it meets the needs of the agency. - Ensure that selection of Academy instructors is diverse and inclusive. ISSUED WEAPON SELECTION Weapon selection and caliber determination is also problematic for women and men with smaller hands. A factor contributing to the rate of failure for women, and some minorities in weapons qualification may be the choice of weapons. The size and weight of the firearm can present additional problems for individuals with smaller hands adversely affecting female recruits. Just as one size of a Kevlar vest does not fit every torso, one size weapon does not fit every hand. Often agencies are utilizing the same issued firearms that they have been utilizing for years and/or decades. In the 1990s, there was a trend, however, in law enforcement to increase the stopping power of their issue duty firearm(s). The most popular choices of a duty side arm became the .40 caliber weapon. After September 11, 2001, many additional agencies/departments also switched from 9mm to .40 caliber weapons under the guise that law enforcement needed handguns that are more powerful because they offered greater stopping power to address a perceived threat. This was in spite of clear evidence that most of our communities were experiencing a reduction in violent firearms related crime, and historic lows in many communities and cities across the country. Agencies/Departments often conduct extensive testing before selecting an agency/department issued weapon and, periodically, reassess their issued firearm(s); however, many fail to employ a cross-sectional control group for such tests. According to other current research, shot placement is more important than caliber. In a 2014, a study conducted by the FBI Training Division (Vail 2016) found that officers miss their target 70-80% of the time in a shootout. While shot placement is critical to stopping a threat, it may be that weapons that offer personnel the best opportunity at shot placement is more important than higher caliber firearms. Depending on the specific ammunition used, the .9mm offered stopping power roughly equivalent to the common .38 special, with the added advantages of higher capacities and quicker reloading. Because many service pistols are of substantial size, the recoil of the 9mm weapon generally posed few problems with the majority of users. In contrast, an increase in caliber, most often, results in an elevated level of recoil. In addition, this change of weapons often results in increased difficulties for trainees to qualified with their issued firearm, resulting in termination from the hiring process and the Academy. In addition, according to research conducted at one major federal law enforcement agency, the firearm qualification failures were disproportionately women. Prior Firearms Experience and Perceived Recoil Because, in most police Departments, there are no pre-employment requirement or standard for firearms proficiency, individuals entering the law enforcement profession have varying levels of firearms experience, ranging from none to expert. Approaching a rigorous firearms-training program with no prior firearms experience can be intimidating for the recruit. In addition, the recoil and muzzle blast of a .40-caliber weapon can be unsettling for the novice. Identifying inexperienced shooters and providing a more intense level of individualized training at the earliest possible stage are critical to successfully completing firearms training. Because firearms proficiency is a learned skill, each range session should be treated as a learning experience. The increased use of proven alternative methods of training, such as FATS and Beam Hit and other sound alternatives to live fire, should be used early in training, and training opportunities should be made available to students who want/need additional practice. In addition, weapon size, grip size, can adversely affect an inexperienced recruit ability to qualify. When considering selecting appropriately sized weapons and maintain a supply alternative grips to accommodate smaller hands and short triggers to reduce distance from the back of the grip to the front of the trigger, both are relatively inexpensive and can be easily installed by an armorer. While these triggers do not provide a significant change from the standard trigger, they are often easier to handle and shoot for some individuals. RECOMMENDATIONS: - Conduct extensive testing with a cross-sectional representation of officers/agents before selecting and issuing any new duty-carry weapons. - Selection of any new duty-issued firearm should take into consideration a variety of “short” triggers and a variety of grip sizes to accommodate different hand sizes and allow optimal use of custom fit to the individual. - Consider duty issued firearms that allows for more individualized compatibility. - Select female and underrepresented minorities as firearm instructors, to the extent possible. - All of the above-listed options should be readily available to all recruits at the Academy. ISSUED EQUIPMENT SELECTION Protective equipment is an essential of every law enforcement officer. Every officer should have a fundamental right, when hired and through training, to properly fitting and to fully functional protective equipment. Of particular concern, is the issuance of improper fitting bulletproof vests to women. Due to budgetary concerns, some agencies/departments issue men’s bulletproof vests to women. Not only does an improperly fitting vest provide inadequate coverage and protection, it sends a message that the women’s lives are not as important or valued as much as their male counterparts. With a long history of stereotyping where women were traditionally assigned to positions more closely associated with the social work type duties, the issuance of a men’s vest to a woman only serves to reinforce the notion that women do not perform real police work and do not need the same level of protection. Failure to purchase appropriate protective equipment demonstrates a culture of insensitivity, reinforces that the wrong people are making and implementing purchasing decisions, and may leave an agency vulnerable to lawsuits. RECOMMENDATIONS: - Conduct extensive testing with a cross-sectional representation of officers/agents before selecting and issuing any/all new equipment. - Selection of any new duty-issued equipment should take into consideration a variety of factors and accommodate different hand sizes, physiques and allow optimal use of custom fit to the individual. PART FOUR – RECRUITMENT, RETENTION AND PROMOTION: ISSUES AND RECOMMENDATIONS Law enforcement is more than a job; it is a lifetime of service. We must ensure that practices and policies are designed to support employees through life changes such as marriage, childcare, serious illness, divorce, and eldercare. A department’s family-friendly policies, or lack thereof, will not only affect our ability to retain highly qualified law officers but will also continue to impact our ability to recruit. According to the book entitled “Mass Career Customization,” more and more men are involved in childcare issues and want to spend more time with their children. We will not achieve our full potential as departments and agencies until these cultural and transformational changes are made and female and minority officers/agents are fully integrated into all levels of the agency. Policing’s entrenched culture adversely impacts efforts to recruit, retain and promote women and underrepresented minorities. Specifically, departments/agencies need to review, re-evaluate and in many cases, make adjustments to their family-friendly policies; mobility policy; mentoring; and pregnancy/childcare issues, among others. FAMILY-FRIENDLY POLICIES Family-friendly policies need to support employees throughout their career, which typically spans 20-30 years. In that time, employees experience many challenges including marriage, pregnancy, adoption, childcare, serious illness, divorce, eldercare, and the death of loved ones. One of the interesting finding from research (Lonsway, 2003) is that women in law enforcement can bring about beneficial changes in policy for all employees. Susan Keverline’s (2003), study focusing solely on sworn women in “federal” law enforcement; found the single largest issue facing the retention of women in Federal law enforcement is the lack of family-oriented policies. Further, this research revealed that 44.2 percent of those surveyed indicated that if they were to leave Federal law enforcement, it would be because their agencies’ did not provide adequate family friendly policies. The lack of family-friendly policies adversely affects our ability to recruit, retain and promote highly qualified officers/agents of both genders. For example, due to the lack of established policies relating to pregnancy, departments/agencies do not treat pregnancy as a routine occurrence but as a negative event resulting in negative consequences in a female’s career. In a recent Fortune magazine survey, 84 percent of men said they would like more time outside of work, and more than half said they would be willing to sacrifice income to get it. Work-life balance is far more than just a “woman’s issue,” although it may have more impact on the initial recruitment of women, since women are still the primary caretakers. As a result, local, state and federal law enforcement must implement policies that support all of its employees through life’s changes in order to be competitive and attract a highly diverse group of educated, capable and qualified individuals. In addition, many agencies/departments have both sworn and non-sworn employees married to each other and even children, brothers and sisters employed. When an agency makes important policies decisions, it often affects the spouse or other family members. RECOMMENDATION: - Develop and Implement family-supportive policies designed to carry individuals through life changes and transitions throughout the course of their careers and that reflect law enforcement move to a more contemporary approach to Federal law enforcement MOBILITY POLICIES Although a mobility policy is important and needs to remain a requirement of many state and Federal departments, particularly as it relates to management positions, a less stringent mobility policy will allow us to compete with other agencies and private industry and make a career in more attractive to potential female and underrepresented minorities. Under many agencies/departments, applicants are required to sign a geographic mobility agreement acknowledging that if selected, they may be assigned to other geographic areas, including various posts within the state, and in the case of federal employment, any office in the United States, U.S. territories or overseas and will be subjected to relocation at any time. In addition, payment of relocation expenses to the first appointment is usually not authorized for the applicant’s first move. Recruitment materials and position descriptions often include: “works irregular hours, may travel extensively, and is subject to reassignment to other offices.” Policies requiring recruits/new hires to move to take their first assignment, in many cases, creates a financial hardship for the individual and removes individuals from their existing support systems, often disproportionately, women recruits/new hires. According to research conducted by Dr. Susan Keverline (“In the Face of Challenges, Women in Federal Law Enforcement Persist and Excel”), 41.5 percent of those surveyed indicated that if they were to leave law enforcement, it would be because of their agencies’ mandatory move/transfer policy. It is difficult to assess the impact our mobility policy is having on recruitment efforts. However, because law enforcement is still considered a non-traditional career for women, the mobility policies of many departments/agencies seriously impacts our ability to attract and hire otherwise highly qualified female applicants. Because women remain the primary caretakers of their families, many require an extended support system, particularly in this nontraditional occupation. Research also indicates that future generations of applicants are less likely to endure a financial hardship to take a position. Research further indicates that law enforcement officers will be less likely to compromise their quality of life for their careers, including uprooting their families one or more times. Although, we all recognize the necessity for mobility policies for the successful operation of law enforcement agencies, it is recommended that agencies/departments conduct a comprehensive review of their respective mobility policies that, inadvertently, discourage women, underrepresented minorities, and other highly qualified potential recruits/applicants from considering and/or pursuing a career in law enforcement. RECOMMENDATIONS: - Change Mobility Policy to reflect a contemporary approach to law enforcement: - Make every attempt to hire in place - Eliminate any “requirement” for an initial move, particularly a self paid move - If an initial move is necessary for the efficiency of the agency/department and circumstances present a hardship for an individual/family to relocate, consider gaining authorization to reconsider, based on agency/department need, and/or offer agency/department reimbursement and/or payment of expenses associated with relocation to the first duty appointment - Advertise agency/department shift to a more family-friendly environment, citing supportive policies MENTORING It is recommended that agencies/departments create and/or re-evaluate a Mentoring Program for all employees. Because law enforcement is still a non-traditional career choice for women and many minorities, it is particularly important, to create a mentoring program for applicants and new hires. The selection of mentors is critical and should be based on superior leadership and service, have a passion for mentoring and have an unbiased attitude about women and minorities in policing. All mentors and mentees should receive training. The program should contain a regular meeting schedule, administrative involvement, oversight, an evaluation system, and post academy mentoring. Consideration should also be given to increasing the visibility of high-ranking women and minorities. The culture of law enforcement creates additional challenges and stressors for women and underrepresented minorities. Women are underrepresented in every agency and are typically the only one or one of very few in the Academy class or their assigned field office, creating additional challenges. These individuals may eventually lose sight of the ability to succeed in the Academy and/or the law enforcement profession. In addition, applicants have often given up their previous employment and livelihood to take a position with an agency/department. Research, on one major federal law enforcement agency, determined that female recruits were failing the Academy at disproportionately high rates, nearly five times the rate of their male counterparts. The loss of any highly qualified recruit/woman costs the agency in time, training, and employee replacement. WIFLE’s research has shown that the lack of women/minorities at every level, particularly at the executive level, has also had an adverse impact on recruitment/hiring, retention and promotion of women in federal law enforcement. Therefore, a formalized mentoring program, particularly for women and minorities, is needed to increase the likelihood of success at the Academy and throughout their careers. Just one example of a potential model program, the Department of Justice, Office of Attorney Recruitment Management’s mentoring program is mandatory for all attorneys and is very successful. RECOMMENDATIONS: - Establish a formalized mentoring program for all, but specifically designed for women and underrepresented minorities, from recruitment through the hiring process and particularly through the Academy - Assign a mentor to guide individual applicants through the entire process - Once hired, mentor all applicants throughout their careers (selection of mentors is critical) • Increase numbers/visibility of women and underrepresented minorities at training academies (and elsewhere) • Provide training for all mentors • Create a Women’s Advisory Group to provide input on recruitment, training, family-oriented policies, and any issues significantly impacting women special agents before implementation • Formalize roles/accountability for the mentor/mentee • Create associated rewards/performance management PREGNANCY AND CHILDCARE As we bring more women into law enforcement, it is imperative that, across the board, law enforcement embraces comprehensive and clearly defined pregnancy and childcare policies that emphasize fairness, flexibility, and safety. For agencies to justify their commitments to officer’s wellness and safety, clear policies and procedures need to be implemented for the duration of one’s entire career, including accommodating employees due to injury (on duty or off duty), illness, pregnancy, breast feeding, hardship, or other common challenging life situations. Reassignment to accommodate an officer that cannot perform 100% of the duties and responsibilities as contained in their job description should be a viable option. Conditions that limit an employee to a “Less than Full Duty” (injury, illness, pregnancy) assignment become part of an employee’s development rather than a punishment or busy work. Temporary duty assignments that assist in accommodating an employee when they are “temporarily” not capable of performing 100% of their assigned duties should be viewed as important to attaining the goals and objectives of an agency and not seen as or used as punishment. The International Association of Chiefs of Police (IACP) offers a model pregnancy policy. According to IACP, “the goal of this policy is to provide options that allow for an officer to remain working in a full-time capacity and performing full-duty assignments, in combination with alternative duty assignments, for as long as reasonably possible. This policy seeks to ensure a woman’s right to work free from discrimination and to protect the property interest she has in her job, while guarding against the risks inherent in the performance of her duties. This agency recognizes that its diverse workforce is a valuable asset and that trained and experienced female police officers are a critical resource. Pregnancy is a temporary physical condition, unique to women, which may or may not affect an employee’s ability to perform many of the usual duties of her job classification. This policy establishes procedures to modify full-duty assignments and policies that emphasize fairness, flexibility, and safety. The Pregnancy Discrimination Act (PDA) states the following: Employers must treat “women affected by pregnancy, childbirth, or related conditions” the same “as other persons so affected but similar in their ability or inability to work.” The PDA is intended to allow pregnant women to participate fully and equally in the workforce. According to Karen J. Kruger, in conjunction with the International Association of Chiefs of Police, this coverage has often been misinterpreted, and women are still often required to contend with unintended consequences of pregnancy on the job that may include exhaustion of leave time, loss of seniority, loss of leave earnings, impact on other benefits (i.e., health, pension), diminished respect from colleagues, and a perception of a decline in skills and potentially resulting in lower morale. While the 1993 Family Medical Leave Act (FMLA) established minimum leave requirements for the Federal Government, it is insufficient and does not cover the full range of issues that women in law enforcement face when they become pregnant. Federal agencies have relied heavily on the FMLA, while neglecting to provide women and managers with specific policies and information on such important issues as notification procedures, availability of flexible schedules, paid and unpaid leave benefits, and range qualification for pregnant employees. Pregnancy and childcare will affect many women at some point in their careers, and research consistently concludes that pregnancy and childcare issues are the leading cause of women leaving Federal law enforcement. Most agencies do not have a pregnancy policy for female officers/special agents or any other job series. Agencies/Departments must create policies to support women, men, and families through foreseeable challenges such as pregnancy and childcare. Such policies should include alternative methods of firearms qualifications for pregnant officers/agents, as well as duties and assignments that allow them to maintain their full pay and their benefits with no loss of promotional opportunities. All policies should be created and designed to treat pregnancy issues as routine. The impact of child rearing continues to disproportionately affect women and their jobs. Policies should be designed to keep officers/agents fully employed with full benefits and minimize the exhaustion of sick/annual leave, unless otherwise indicated by the employee and/or her doctor. The presence of these policies, or lack thereof, will have a significant impact on the agency’s/Department’s ability to recruit (and retain) women. RECOMMENDATIONS: - Develop a comprehensive policy regarding pregnancy and childcare to treat as routine occurrences with no adverse effect on women 6 Automobile Workers v. Johnson Controls, Inc., 499 U.S. 187 (1991) - Develop and implement a maternity policy for female officers/agents that clearly spells out what the officer/agent can expect in regard to firearms qualification, hazardous assignments, travel, training, and salary and benefits - Research other family-supportive options, taking the research into consideration when developing a comprehensive policy to ensure that the treatment of pregnancy in the agency is routine - Develop a policy that implements the use of flexible workdays, job sharing, part-time employment, reduced hours, unpaid leave, adequate/additional paid leave, leave without pay, deferred retirement, onsite day care, different positions/reasonable accommodations, and flexible career arcs, as feasible/needed - Create safeguards that allow women to continue to fulfill their weapons qualifications while pregnant to avoid unnecessary risk (see firearms training section) - If requested, allow female officers/agents the option to discontinue overtime and/or LEAP/AUO (federal) during pregnancy and child-rearing years - Develop a policy based on objective medical criteria - Create, implement, and advertise pregnancy/maternity and all family-friendly policies - Promote agency/department employment benefits, particularly family-oriented policies and programs, as a recruitment tool • Implement International Association of Chiefs of Police (IACP) model pregnancy policy. Pregnancy Guideline for Federal Law Enforcement can be found on the WIFLE website • Evaluate developmental work, such as: special projects, technical, legal, policy and procedural updates, training and/or training/lesson plan, grant applications, community programs, internal inspections, etc. that is needed by the department/agency and fully utilize employees in this category to complete or assist on these important projects • Create flexible staffing models that allow employees to achieve better work-life balance and include scientifically supported shift durations (Pillar 1 Action Item 1.8.5 Pillar 6 Recommendation 6.3) Every consideration should be given to creating family friendly policies, including but not limited to: pregnancy, childcare, light duty, range qualification, uniforms and flexible and developmental work options. ASSIGNMENTS/AWARDS/RECOGNITION Awards and performance recognition should include recognition for creating/supporting the internal goals of the agency (increasing diversity, community partnerships, innovations in law enforcement). Performance recognition is critical to transforming the organization. Agencies should recognize employees who volunteer to take on additional tasks creating a deeper relationship with the community, create new programs that foster a more collaborative agency, contribute to the vision of the agency, and take initiative in problem solving. Recognition must be tied to performance. Recognition does not always have to be internal. Many affinity groups and law enforcement organizations have recognition programs. Even when the odds of receiving the award are small, it is the fact that the supervisor/agency took the time to nominate the employee for recognition. Locally, agencies should work with community leaders to develop recognition programs for employees. In addition to hostile action and courage type awards, consider award categories that recognize: mentoring, increasing diversity, supporting diverse more place, community/police partnerships, and innovations in law enforcement among others. Recognition of non-sworn employee’s contributions is as equally important. Non-sworn employees are just as critical to the operation of the agency as sworn. Failure to recognize their contribution helps create an, us vs. them attitude with in the agency. Non-sworn employees are a key resource for recruiting officers and these positions can be used as a stepping-stone for candidates. They know the agency and they are vested in the service. Agencies that have explorer, cadet or internship programs often have them work in many of these key support functions. Developing a career ladder that allows individuals the opportunity to move up rather than move out is key to maintaining a diverse workforce. In addition, officers can benefit from assignments in these key areas as part of leadership training. An assignment to work in budget, records, communications, etc. should never be seen as a punishment but as a chance for career development. PERFORMANCE EVALUATIONS Performance evaluations are often problematic for law enforcement agencies/departments. Many agencies are adopting and/or have adopted a “guardian” type policing model and community oriented policing, but have not updated their performance evaluation system to reflect these significant changes. As a result, officers/agents may be evaluated on behaviors that differ from the desired behaviors and those supportive of the community oriented policing. Even when performance evaluations are updated to reflect these values, the potential exists for bias. The key elements of performance evaluations built under the tenants of Procedural Justice include focusing on interpersonal skills and initiative, verbal and written communications, professionalism, and respect for the community and fellow workers, customer service, and integrity. Initiative includes motivation to perform tasks, innovation in addressing issues, and the ability to solve problems. Employee evaluations must be fair and impartial. Evaluations must include the officer’s move from reliance on arrests, tickets, etc. to their efforts to engage the community and partnerships they build (Pillar 2 Recommendation 2.9 and Pillar 4 Recommendation 4.2.1). In a study conducted by Police Executive Research Forum (PERF) and the COPS office (2015) it was found that in most agencies the outcomes were not tied to the performance evaluations and those employees regarded evaluations as invalid and unreliable. Employees cited the following problems with performance evaluations: - Measures do not match expectations to activities: Some of the general activities are the same but the performance expectations are different due to assignment. - Quantitative focus of evaluations instead of a qualitative focus: Statistics such as number tickets issued and arrests made lack context and does not link the work or how it leads to change. Qualitative evaluations give a better picture of how an individual works, thinks and solves problems. - Performance evaluations have little value: They are tied to no meaningful outcomes such as promotions, reassignments etc. Since they are seen to have little value supervisors and employees go through the motions. It is critical that the evaluation process is valued and provides constructive feedback. - Supervisors are taught to fill out forms but little else: Supervisors are not taught how to observe, evaluate, report and communicate with employees on how to correct behavior or performance. They do not know how to coach and mentor. - Employees have little input into the evaluation: Most employees are not allowed an employee opinion on their performance or the ability to respond to supervisor’s comments. There is probably nothing that seems more overwhelming than developing new performance evaluations that tie into the tenants of procedural justice. Even more challenging is developing a system that does not rely on the number of tickets, arrests, or case closings as measurements of performance. When faced with the prospect of reviewing and re-writing every position description in the department, the task can appear daunting, time consuming, and many agencies/departments may be concerned that they lack the expertise to efficiently and effectively directly link performance evaluations to job performance. Fortunately, there are departments that have already gone through the process and have agreed to make their performance evaluation systems available. Although consultants can provided much needed expertise, they can often be costly to the agency/department. In addition, local non-profit organizations, local colleges and universities, and local business, as well as community leaders, would be more than willing to assist in developing new position descriptions and performance evaluations. According to research, women are also viewed as less aggressive in situations with the public. Women are often criticized as being afraid to go “hands on” or afraid to get into a fight. As a result, their performance is often viewed and evaluated as substandard by supervisors. It is also particularly troubling because supervisors with this attitude, unfortunately, encourage the use of unnecessary force not by what they say to their employees but through the actions of ineffective supervision. This perception has been well documented even in the face of voluminous research that indicates that women are effective communicators, women are more likely to diffuse conflict, women use appropriate force, and women are far less likely than their male counterparts to use excessive force. As explained by Miller (1999), “traditional gender role expectations play a part in how men’s and women’s job performance may be perceived and evaluated in many community situations”. Further Miller notes that men working with children’s activities were “highly praised” for their activities while women carrying out the same activities were “merely accepted without fanfare”. Further the research states that: “given traditional gender-role expectations, in many community policing situations, women do not get any or enough credit while men get too much”. As a result, unfair standards of evaluation are manifested in the assumptions about gender roles and about whom is “working” versus who is “doing what comes naturally.” Law enforcement managers, supervisors and leaders must be responsible for ensuring that performance evaluation criteria fairly evaluate and are directly linked to the skill sets necessary for effective policing in today’s environment, thereby, fairly and equitably everyone, including women and minorities. In research conducted on performance plans, Miller (2014) found that performance plans should be developed so that only 5-10% of the employees could receive the highest rating (outstanding, exceptional). Careful construction helps to ensure that supervisors keep focused on performance and not an individual’s personality traits. This type of plan ensures that supervisors cannot easily reward people they like even though they are not top performers. This 5-10% figure also means that agencies have to re-evaluate how they view and evaluate the remainder of their employees. This would mean that individuals who do not fall into outstanding category are still good dedicated employees. They are dependable, make good decisions and are key the agency’s success. These are the core of the agency and must be respected, mentored and coached, just as the outstanding employee. Under this concept of performance appraisals the outstanding employee should not expect to be evaluated as an outstanding employee all the time and failure to attain the rating each cycle does not mean they are under performing. The Denver Police Department’s Performance Evaluation System Guide is highlighted in the PERF Executive Guidebook. Denver modeled their system around their strategic plan focusing on officer performance and growth. Their performance evaluation focuses on three primary components, Service Delivery, Interpersonal Skills, and Personal Development. The Denver Performance Evaluation System Guide is listed in the Appendix. Since performance evaluations are the basis for making decisions on transfers, specialty assignments, and promotions, a fair and unbiased performance system is essential to a law enforcement agency. PROMOTIONS Agency/Departments should take all available assurances that promotions are fair and impartial. Research shows that gender bias is deeply entrenched in law enforcement culture. In reviewing research from the 1980’s to the present, Marilyn Corsianos (2015) found that law enforcement could be described as “hegemonic masculinity” which establishes practices that promote the dominant social position of men and the subordinate social position of women. The research found that masculine characteristics (aggressiveness, bravery, rationality, objectivity, and brutality) are common sense and are assumed central to the role of police officers, despite the fact that most police work is social work. On the other hand, females are seen as lacking these traits and are viewed as better suited for the police roles that deal with social work. Unfortunately, this leads to agencies placing a higher value on arrest rates and types of arrest. In addition, women were disproportionately assigned to community policing functions as well as units that focus on domestic violence, sexual assault, whereas males were disproportionately assigned to homicide and tactical units. Further, Miller and Hodge (2004) found that males perceive community policing to be one of the more feminized units, more like social work, and in conflict with the image of the police as crime fighters. This belief system results in women receiving lower scores on promotion boards not because they do not do a good job but because the promotion boards do not value their job assignments. Because of these long-standing views and the culture of policing, promotion systems can be biased in many ways. For example, assignments to specialty units are highly sought after positions in law enforcement. Research indicates that women are typically assigned positions working with juveniles, child abuse, domestic violence and community oriented policing assignments, while their male counterparts are more often assigned to narcotics, SWAT, and gang units. (NCWP, 2003) Not only do these assignments provide new challenges and duties, they also broaden the officer/agents experience base, resulting in increased opportunity for promotion. In addition, due to the already low numbers of women in the military and policing, the use of prior military experience and law enforcement seniority, in regards to promotional opportunities, also often places women at a disadvantage. Clearly these opportunities, and/or the lack of, will have an adverse impact on performance appraisals and/or agency/department testing, which are key to promotion. These factors, among others, may inadvertently screen women out of the oral interview process due to a built in bias. The progress of women and underrepresented minorities to the higher ranks has been very slow. According to research, some of the lack of progress is attributable to the lack of access to appropriate training, varied assignments, the increased subjectivity of those processes, and the importance of a mentoring program become even more apparent at the higher ranks. These beliefs and processes have a direct impact on fair and impartial promotions and show how the culture is engrained, and affect everything from recruitment to training, to retention and promotion. RECOMMENDATIONS: - Promotion Boards need to be diverse in ethnicity, culture, gender, and include people from outside agencies. • All participants need training in unconscious gender bias as well as other types of implicit bias • When using a board for high-level positions the boards should also include community representation. INTERNAL AFFAIRS The creation of a Disciplinary Review Board (DRB) removes the discipline process out of the hands of one individual and places it in the hands of a Board. Boards should be diverse, including individuals from different positions within the agency and varied experience. Leadership must also ensure that individuals selected for a position on the Board must have a clear understanding of updated policies and procedures and employee behavior and conduct as it pertains to policing in today’s environment. The DRB should be consistent and transparent, to the extent possible. RECOMMENDATIONS: A Disciplinary Review Board should include: • Clear policy and procedures governing the board are essential to maintaining a viable and unbiased procedures • Board members should not have past issues of bias, sexual discrimination or harassment, use of force issues • Requires an explanation for departures from board recommendations • Apply discipline consistently for the same infractions. This requires the Board or a Human Resources (HR) employee to track past infractions to ensure consistency. • An HR person assigned to the board as a non-voting member who provides guidance can be invaluable to the board maintaining consistency • The DRB must diverse and fully inclusive • The DRB should consist of an adequate number of diverse employees to allow a member to step down for conflict of interest issue. Research has shown that women and minorities become the victims of anonymous complaints of misconduct after they file a compliant of discrimination or sexual harassment. This is often done to retaliate and intimidate the employee. Research also shows that employees who file or present testimony against another officer also suffer from being disciplined more harshly for the same offense or receive performance evaluations that are lower than other officers. These tactics reinforce the perception that the department is biased and untrustworthy. All employees should receive training in the agency’s discipline system and process. Employees should understand how decisions are made, and the role mitigating and aggravating factors play in the discipline decisions. All Employees need to understand the difference between performance, which is corrected through a performance improvement plan and behavior, which is investigated and may result in some level of punishment. Every agency/department’s internal affairs process and procedures should be fair, impartial and transparent. RECOMMENDATIONS: • Agencies should have clear policies on how these investigations will be conducted • Management should review these allegations to see if there is a connection between employees who file formal grievances or cooperate with an internal investigation and anonymous complaints Internal Affairs/Professional Responsibility Investigators RECOMMENDATIONS: • Internal Affairs or Professional Responsibility units should be carefully selected. • They should be screened for any potential bias, including bias against women and minorities as law enforcement officers. • All individuals should be screened for participation in any discriminatory or harassing behavior. Consideration should be given to utilizing external investigators who are highly experienced in conducting such investigations. • All efforts should be made to eliminate individuals from investigating the people in their chain of command or other conflicts of interest. • All investigative staff should have highest integrity and be racially, ethnically and gender diverse. • Once selected these individuals should sign a confidentiality agreement agreeing that they will not discuss investigations with other parties. This confidentiality agreement survives the individual’s tenure in the unit. • Once investigators are selected, they should receive training on labor law, discrimination law, equal opportunity, interviewing techniques and investigative techniques. • Employees should be strongly encouraged to report misconduct. • Agencies should have clear policies about misuse of the internal investigation system for retaliation against employees. Supervisors should be trained/instructed to differentiate appropriate internal affairs referrals versus performance and/or behavioral issues that should be handled by the first line supervisor. Agencies/Departments should monitor supervisor referrals to internal affairs for non-internal affairs matters, such as performance or behavioral issues. The number of referrals made on all employees and corrective action taken needs review to ensure that there is not disparate treatment. Supervisors, who make inappropriate use of the internal affairs system in lieu of effectively handling matters and providing leadership to their employees, should be evaluated accordingly with performance improvement instituted to correct their performance. This type of behavior is detectable through regular reviews of supervisor’s performance and requires immediate attention. RECOMMENDATION: • Allegations based on poor performance should be referred back to the second line supervisor to ensure that the employee’s supervisor takes appropriate corrective action. PART FIVE: RESOURCES IACP Resources: - IACP National Policy Summit on Community-Police Relations: Advancing a Culture of Cohesion and Community Trust Report: The report is designed to serve as a roadmap for law enforcement, communities, and stakeholders to build meaningful, sustainable, trusting, and effective working relationships. Summit participants outlined three conceptual elements of building community-police relationships. The report defines those elements—communication, partnerships, and trust—and provides recommendations for improvement in each. - Protecting Civil Rights: Comprehensive guide highlights the sanctity and importance for law enforcement to protect the civil rights of the citizens they serve. Guide addresses protecting civil rights, sustaining community outreach and engagement, early intervention, managing complaints, managing use of force, addressing racial profiling, including personnel and data-management issues. - IACP Publication: A Symbol Of Fairness And Neutrality, Policing Diverse Communities in the 21st Century - Crowd Management and Control Model Policy: Assists agencies in establishing guidelines for managing crowds and preserving the peace during demonstrations and civil disturbances. - Crowd Management and Control Concepts and Issues Paper: Accompanies the Model Policy on Crowd Management and Control (formerly titled Civil Disturbances). Paper provides essential background material and supporting documentation to provide greater understanding of the developmental philosophy and implementation requirements for the model policy. Assists law enforcement executives in their efforts to tailor the model to the requirements and circumstances of their communities and their law enforcement agencies. - Emerging Use of Force Issues: Balancing Public and Officer Safety: Relations with the community are often strained due to incidents of use of force. Document examines the core use of force issues, and identifies strategies to address these issues and build community trust. - Officer-Involved Shootings Investigative Protocols: This guide stresses the importance to have in place protocols to investigate an officer-involved shooting without prejudice and to be transparent with the community. - Building Communities of Trust: A Guidance for Community Leaders: Community leaders and local law enforcement share responsibility for addressing the prevention of crime and terrorism in their neighborhoods. This Guidance aids in the development of trusting relationships by bringing together local law enforcement leaders, U.S. Attorney’s Offices, fusion centers, and community representatives. This document provides recommendations, resources, and tips on how community leaders can be more proactive in working with law enforcement agencies to help keep neighborhoods safe. - Building Safer Communities: Improving Police Response to Persons with Mental Illness: Recommendations for local, state, federal, and tribal organizations that improves the safety of community members and law enforcement officers when responding to crisis calls involving a person with mental illness. • Building Trust Between the Police and the Citizens They Serve: An Internal Affairs Promising Practices Guide: This guide presents information on how local law enforcement agencies can be accountable to their citizens by engaging them in any number of trust-building initiatives, including citizen input for Internal Affairs determinations and discipline. Citizen involvement models range from very informal mechanisms to formalized (sometimes mandated) citizen Internal Affairs review boards. Departments are urged to create connections with their citizens in a proactive fashion to prevent the development of tenuous relationships following high-profile misconduct. The final section of the document addresses the critical relationship of the law enforcement leader and the governing body of the jurisdiction in trust-building and effective Internal Affairs practices. • Law Enforcement Recruitment Toolkit Other Resources: • Recruiting and Retaining Women: A Self-Assessment Guide for Law Enforcement: This step by step guide assists agencies examine their policies and procedures and to identify and remove obstacles to hiring and retaining sworn and civilian women employees at all levels of an organization. • Police Recruitment Retention for the New Millennium and Beyond The State of Knowledge; Jeremy M. Wilson, Erin Dalton, Charles Scheer, Clifford Grammich, COPS Cooperative Agreement 2007CKWXK005 Rand Corporation 2010 Santa Monica, CA • Recruiting and Retaining America’s Finest: Evidence Based Lessons for Police Workforce Planning, Jeremy Wilson, Bernard Rostker, ChaChi Fan. NIJ grant 2006-DD-BX-0025 Rand Corporation 2010 Santa Monica, CA • Today’s Police and Sheriff Recruits Insights From the Newest Members of America’s Law Enforcement Community, Laura Werber Castaneda, Gregory Ridgeway, COPS Cooperative Agreement 2007CKWXK005 Rand Corporation 2010 Santa Monica, CA • Implementing a Comprehensive Performance Management Approach in Community Policing Organizations; An Executive Guidebook, Police Executive Research Forum, Shannon Branly, Andrea Luna, Sarah Mostyn et al. 2015 Branly, Shannon, Luna, Andrea, Mostyn, Sarah, et al. (2015). Implementing a Comprehensive Performance Management Approach in Community Policing Organizations; An Executive Guidebook, Police Executive Research Forum Corsainos, Marilyn (2011). Responding to Officer’s Gendered Experiences Through Community Policing and Improving Police Accountability to Citizens. Contemporary Justice Review: Issues in Criminal Social, Restorative Justice Vol. 14, Issue 1, 2011 Department of Defense (2013). Demographic Profile of the Military Community, Department of Defense, Washington, D.C. Goldin, Claudia & Rouse, Cecelia (2000). Orchestrating Impartiality: The Impact of “Blind” Auditions on Female Musicians, American Economic Review, Vol. 90, No4 (Sept.2000), pp. 715-741 Goldstien, Herman (1977). Policing in a Free Society. Billinger, Cambridge, MA. Harrington, Penny, Spillar, Katherine, Lonsway, Kimberly A. (2000). Recruiting and retaining women; a self-assessment guide for law enforcement. Bureau of Justice Assistance Grant 99-LD-VX-003. International Association of Chiefs of Police (2007). A Symbol of Fairness and Neutrality: Policing Diverse Communities in the 21st Century. Alexandria, VA. Keverline, Susan A., (2003) In the Face of Challenges, Women in Federal Law Enforcement Persist and Excel, Women in Federal Law Enforcement Arlington, VA. Mar, Clifford (2005). Recruiting Asian American as Police Officers in the 21st Century, How do We Entice Them? Alhambra Police Department Command College Class XXXVII. Martin, Susan E. (1999). Police force or police service? Gender and emotional labor. Annals of the American Academy of Political & Social Sciencev561 (Jan 1999) 111-126 Miller, Stephen (2014). Improving Performance Evaluations Using Calibration: Get Managers Onboard and Keep the Process on Track. Society of Human Resources Management, last modified May 23, 2014, http://www.shrm.org/hrdisciplines/compensation/articles/pages/calibration-session.aspx Miller, Stephen and Hodge, J.P. (2004). Rethinking Gender and Community Policing: Cultural Obstacles and Policy Issues. Law Enforcement Executive Forum, 4 (4), 39-49. Orrick, Dwayne (2002). Calculating the Cost of Police Turnover as cited in Police Recruitment for the New Millennium and Beyond: The State of Knowledge, pp. 33, Rand Corporation, Santa Monica, CA Police Executive Research Forum (2015) Critical Issues in Policing Series – Re-Engineering Training on Police Use of Force; Warriors vs. Guardians”: Recruiting Officers Who are Suited to the Mission of Policing”. Rahr, Sue and Rice Stephen K. (2015). From Warriors to Guardians: Recommitting American Police Culture to Democratic Ideals. New Perspectives on Policing Bulletin. Washington, D.C.: U.S. Department of Justice, National Institute of Justice, 2015. NCJ 248654 U.S. Commission on Civil Rights (2000). Revisiting Who is Guarding the Guardians; A Report on Police Practices and Civil Rights in America. Department of Justice Vail, Sydney (2016). 9mm vs. 40 The FBI’s Decision to Switch Back to 9mm Pistols and Ammo is Based on Studies of Wound Ballistics and Shooter Performance, Police Magazine http://www.policemag.com/channel/weapons/articles/2016/01/9mm-vs-40-caliber.aspx Werber, Castaneda, Ridgeway, Gregory (2010). Today’s Police and Sheriff Recruits Insights From the Newest Members of America’s Law Enforcement Community. COPS Cooperative Agreement 2007CKWXK005 Rand Corporation 2010 Santa Monica, CA Wilson, Jeremy, Rostker, Bernard, Fan, ChaChi (2010). Recruiting and Retaining America’s Finest: Evidence Based Lessons for Police Workforce Planning. NIJ grant 2006-DD-BX-0025 Rand Corporation 2010 Santa Monica, CA Wilson, Jeremy M., Dalton, Erin, Scheer, Charles et al. (2010). Police Recruitment for the New Millennium and Beyond: The State of Knowledge. Rand Corporation, Santa Monica, CA Yu, Helen H. (2014). Overcoming Tokenism and Gender Barriers; The Critical Role of Non Governmental Organizations for Women in Federal Law Enforcement. The Police Chief Magazine 2014 PART SEVEN: APPENDIX The following Checklist is based on the Recruiting & Retaining Women –A Self Assessment Guide for Law Enforcement: National Center for Women & Policing 2000 BJA Grant#99-LD-VX-003. The checklists provided in this guide cover topics that should be addressed when creating or updating a program focusing on the recruitment, retention and promotion of women and minorities. These checklists are easily modified to meet an individual agency or department’s needs. \| Creating new Police Officer Job Descriptions – Checklist \| \|---------------------------------------------------------\| \| All law enforcement job or position descriptions must accurately reflect the duties that employees are expected to perform. \| \| The local Community has had input in the development of the position description. \| Y \| N \| \| Local Bargaining unit or professional organization has had input into the development \| Y \| N \| \| Human Resources has been reviewed the new position description. \| Y \| N \| \| Legal expert has reviewed the new position description. \| Y \| N \| \| The position description describes and emphasizes community policing activities and incorporates elements of procedural justice \| Y \| N \| \| The position description emphasizes the both community policing and traditional law enforcement duties: \| \| - Knowledge Skills and Abilities (KSAs): \| \| - Ability to communicate with members of diverse communities \| \| - Knowledge of the value of cultural diversity \| \| - Ability to de-escalate violent or potentially violent confrontations \| \| - Ability to mediate disputes \| \| - Ability to organize and work cooperatively with community groups as well as internal teams \| \| - Ability to develop and prioritize solutions for crime and community livability problems \| \| - Ability to empathize with those holding different values \| \| - Ability to listen to and respect the people \| \| - Ability to work with other governmental and social service agencies \| \| - Ability to identify proactive measures to prevent problems and enhance community livability \| \| - Ability to handle conflicting priorities \| \| - Ability to drive in hazardous situations \| \| - Ability to communicate orally and in writing \| EXAMPLE OF A POLICE OFFICER POSITION DESCRIPTION The following example is from: Implementing a Comprehensive Performance Management Approach in Community Policing Organizations: An Executive Guidebook. Police Officer: Duties and Responsibilities A patrol officer is responsible for carrying out the functions of the department with paramount focus on the protection of life and property from criminal depredation, the prevention of crime, the apprehension and arrest of violators of criminal and traffic laws, recovery of stolen property and the regulation of non-criminal conduct. They shall constantly direct their best efforts to accomplish that end intelligently and efficiently, and shall hold themselves in readiness at all times to answer the calls and obey the orders of their superior officers. Officers will uphold the Constitution of the United States of America and enforce applicable ordinances and regulations of the City and County of Denver and the laws of the State of Colorado in a fair and impartial manner. Officers shall serve the public by direction, counsel, and in other ways that do not interfere with the discharge of their police responsibilities. They shall respect and protect the rights of individuals and perform their services with honesty, zeal, courage, discretion, fidelity and sound judgment. In carrying out the functions of the department, all members thereof shall direct and coordinate their efforts in such a manner as will establish and maintain the highest standard of efficiency and safety. EXAMPLE OF POLICE OFFICER OVERALL PERFORMANCE RATINGS Exemplary: The performance exhibited is exceptional and rarely equaled; work is consistently excellent in terms of quality, thoroughness, accuracy, efficiency, tactical and technical expertise; officer is proactive in thought, demonstrates innovation and without exception, initiates and completes responsibilities while always adhering to policy and procedure; the officer has an exceptional understanding of what job tasks are needed to be accomplished; there is no doubt in the application of sound judgment; the officer is desirous of seeking additional work and responsibility upon the completion of normal duties and often does not need prompting; the performance is far above the department’s expectations specific to rank/position. Satisfactory: The performance exhibited is acceptable; the officer performs work in a steady manner; there is an effective application of skills and tactics to various responsibilities; in most instances uses sound judgment; is usually desirous and willing to do the job; is able to perform tasks with minimal instruction and direction; performance is considered to be consistent, effective, efficient and generally meets the expectations set forth by the specific rank/position. Unsatisfactory: The performance exhibited is marginal to poor; there is a limited or complete lack of ability to perform the basic responsibilities; is unwilling to work, shows no desire to work; performance is not sufficient, requires repeated or extensive direction; does not exercise sound judgment; the officer frequently or consistently disregards responsibilities or adherence to policy and procedure or tactics. EXAMPLE OF SPECIFIC PERFORMANCE CRITERIA Example From: Implementing a Comprehensive Performance Management Approach in Community Policing Organizations: An Executive Guidebook (1) COMMUNICATION – WRITTEN The ability to express information or ideas to other people in written form MODELS\[1,2\] EXEMPLARY: When writing, spelling and grammar usage are flawless. Reports and correspondence are concise and include all necessary and relevant facts. Content is detailed and appropriately cited. All information is clearly understood. The execution is appropriate to the content and provides the recipient with a clear statement of position or an identifiable call to action. SATISFACTORY: Reports and correspondence are accurate, concise and understandable. Although there may be minimal errors in spelling or grammar, they do not affect the meaning or factual content. Handwritten reports are neat and legible. Written communication is delivered in the format appropriate to the subject. UNSATISFACTORY: Reports and correspondence are inaccurate because they either include unnecessary and/or contradictory information or are generally lacking necessary information. The content is confusing and the uses of language, spelling and grammar are frequently incorrect or misleading. Handwritten reports are illegible. Written communication is delivered in the format inappropriate to the subject. (2) COMMUNICATION – VERBAL The ability to express information or ideas to other people verbally MODELS\[1,2\] EXEMPLARY: When speaking or answering questions, the ability to communicate information or ideas is exceptional and commands the attention of all listeners. Statements are concise and deal directly with the subject matter. Speaks with forcefulness and has near perfect enunciation. Actively listens and participates in the conversation; utilizing focused questions that demonstrate genuine interest. Responds appropriately to questions; demonstrating professionalism, compassion and/or expertise. Has an excellent awareness of body language. SATISFACTORY: Able to speak and be understood with little explanation or distortion. Main ideas are conveyed, although some clarification may be needed. Has a general awareness of inflection, enunciation and tone, and understands the impact they have on the message. Compassionate to different communication styles and makes adjustments as required. Speaks calmly and clearly, using appropriate language. Has a general awareness of body language. UNSATISFACTORY: Attempts to communicate result in confusion, misunderstanding or confrontation. Continually brings up irrelevant issues, is unclear and/or directs the discussion to become obscure. Enunciation is poor and language usage is often inappropriate. Has a limited awareness of body language and has a tendency to convey disinterest, indifference or dissension. Not Applicable: Some entries on the evaluation will be informational only, for example the documentation of training attended. Entries that are not performance based should have no bearing on the evaluation and therefore the ‘not applicable’ standard should be applied. Additionally, this rating would be appropriate if for reasons beyond the control of the officer, an action plan was delayed or abandoned and no measureable performance metrics had been accomplished.
$^7$Bu$_2$Sn(S$^7$Bu)$_2$ and $^7$Bu$_3$SnE$^7$Bu (E = S or Se) – effective single source precursors for the CVD of SnS and SnSe thermoelectric thin films† Fred Robinson, Peter J. Curran, C. H. (Kees) de Groot, Duncan Hardie, Andrew L. Hector, Katherine Holloway, Ruomeng Huang, Daniel Newbrook and Gillian Reid* The use of single source precursors offers a convenient option for the chemical vapour deposition of thin film semiconductor materials with good stoichiometric control and precursor efficiency. Here we show that reaction of $^7$Bu$_2$SnCl with NaS$^7$Bu or LiSe$^7$Bu or $^7$Bu$_3$SnCl$_2$ with 2 mol equiv. of NaS$^7$Bu gives the molecular alkyltin chalcogenolate precursors, $^7$Bu$_2$SnE$^7$Bu (E = S (1), Se (3)) and $^7$Bu$_3$SnE$^7$Bu$_2$ (2), respectively, in good yield as colourless (S) or yellow/orange (Se) oils. These were characterised by $^1$H, $^{13}$C($^1$H), $^{77}$Se($^1$H) and $^{119}$Sn($^1$H) NMR spectroscopy, microanalysis and thermogravimetric analysis. Low pressure CVD experiments using these precursors showed that (1) gave S-deficient SnS thin films, whereas using (2) and implementing short deposition times and low precursor loadings, gave stoichiometric SnS films. Stoichiometric SnSe films were also obtained using (3) and confirmed by grazing incidence XRD analysis, which revealed the films adopt the orthorhombic $Pnma$ structure. SEM and EDX analysis, together with Raman spectroscopic data, were also used to identify the films deposited and to correlate with the deposition conditions employed. Variable temperature Seebeck and Hall effect characterisation confirm that the stoichiometric SnS and SnSe films are semiconducting and highly resistive, giving large positive Seebeck coefficients, with the overall power factor ranging from 0.017 at 300 K to 0.049 $\mu$W cm$^{-1}$ K$^{-2}$ at 450 K for SnS and increasing from 0.06 at 300 K to 0.4 $\mu$W cm$^{-1}$ K$^{-2}$ at 425 K for SnSe. Introduction The group 14 monochalcogenides, ME (M = Pb, Sn, Ge; E = S, Se, Te) are semiconducting materials with significant technological importance. As layered materials in which the M–E bonding in-plane is strong, while weak van der Waals interactions prevail between layers, they can be considered as graphene analogues, although with the key advantages that their band-gaps may be tuned through variation of M or E, and they exhibit increased stability in air. These materials are of significant interest for a range of energy applications, including for incorporation into thermoelectric devices for energy harvesting. Thermoelectric (TE) materials allow for the conversion of heat energy to electrical energy, when a temperature gradient is applied across the material, via the Seebeck effect. As such they have significant potential for the scavenging of wasted heat. The loss of heat during the production of energy via the burning of coal, natural gas, oil and nuclear power is accountable for the loss of ca. 60% of the energy generated. With growing concerns regarding carbon emissions, TE materials are forming a cornerstone of global efforts to reduce CO$_2$ emissions and arrest the climate emergency. If suitable materials and industrially relevant, scalable and flexible processes can be developed, ubiquity for TE devices beckons. Furthermore, TE microgenerators have no moving parts, are silent and typically produce small voltages, which means they are suited to power generation for small sensors compatible with applications in the internet of things (IoT). One useful way that TE materials can be compared to one another is through their respective unitless figures of merit, $ZT = \frac{S^2 \sigma T}{\kappa}$, which contains the Seebeck coefficient ($S$), the electrical conductivity ($\sigma$), the average temperature across the material ($T$) and the thermal conductivity of the material ($\kappa$). While it is important to note that the $ZT$ value alone does not guarantee good efficiency (measured from the power in vs. the power out) in an actual TE device, a high $ZT$ value can identify promising materials worth pursuing and optimising in order to produce a fabricated device. There are a number of reported examples of tin monochalogenides, SnE ($E = S$, Se), that display exciting TE performances,\textsuperscript{6–11} of particular note is SnSe, single crystals of which have been reported to have a high peak $ZT$ of 2.8 at 773 K.\textsuperscript{12} Interest in tin sulfide as a TE material stems from its structural similarities to tin selenide as well as the high natural abundance and low cost of sulfur. The low thermal conductivity of tin sulfide and selenide is partly attributed to the layered orthorhombic structure in their crystalline forms,\textsuperscript{7,9,13,14} where the distance between layers interrupts the movement of phonons, while simultaneously allowing for electrical transport.\textsuperscript{12} The tuneable band gaps expressed by tin chalcogenides\textsuperscript{15} also lead to a range of other exciting applications for these materials in photovoltaics, photocatalysis, photonics, optoelectronics and as battery materials.\textsuperscript{16–18} The growth of tin chalcogenide thin films has been reported using a number of deposition techniques, including aerosol assisted chemical vapour deposition (AACVD), atmospheric pressure (AP) CVD and atomic layer deposition (ALD).\textsuperscript{15,19–24} These deposition techniques have used both dual and single source precursors (SSPs). SSPs are highly beneficial as they provide a simple means of controlling the stoichiometry of the elements in the deposit, as well as affecting the material growth by subtle changes to the SSP design. Some SSPs have also been shown to allow for selective deposition of materials into patterned substrates.\textsuperscript{25–31} The use of low pressure CVD with SSPs is especially beneficial when compared to the above deposition techniques as the precursors suitable for LPCVD are the most versatile and more transferable to other deposition methodologies. In the literature, SnS films are typically deposited using dual source precursors such as SnCl$_4$ and H$_2$S. Aside from the hazards associated with these reagents, dual source CVD techniques rely on strict engineering controls to regulate the stoichiometry of the deposited material. Previous SSPs established within our own group, [SnCl$_4$(\textsuperscript{t}Bu(E(CH$_2$)$_3$E'\textsuperscript{t}Bu)] ($E = S$ or Se), were shown to produce films of SnS$_2$ or SnSe$_2$ via low pressure CVD, while at elevated temperatures films of the monochalcogenides, SnS or SnSe, can be produced.\textsuperscript{32} Examples of other reported SSPs include, [RNC(NMe$_2$)NR(Sn\|E)] (R = Cy, E = S and R = Pr' or Cy when E = Se),\textsuperscript{33} [Sn'\textsuperscript{t}Bu(S,CN)$_2$R$_2$] (R = Et, Me, \textsuperscript{t}Bu),\textsuperscript{34} [Sn(SeCOCH$_3$)$_2$Bu$_2$],\textsuperscript{34} [Sn(SCH$_2$CH$_2$S)$_2$],\textsuperscript{35} [Bz$_2$SnCl(L)] (where L is thiosemicarbazones of salicylaldehyde or 4-chlorobenzaldehyde),\textsuperscript{36} [Sn(Ph$_2$PSe$_2$)$_2$]\textsuperscript{37} and [Sn(C$_6$H$_5$)$_2$NCSN(Me$_2$)][NMe$_2$]$_2$,\textsuperscript{38} all of which have shown good quality deposits of SnS or SnSe. However, due to either the instability or low volatilities of these SSPs, film deposition required aerosol-assisted CVD processes. Thus, a family of precursors capable of depositing high quality thin films of SnE ($E = S$ or Se) reproducibly by low pressure CVD would allow for the depositions to occur without the requirement for solvation and nebulisation. This may lead to greater control over the growth of the material as there is no solvent evaporation process. While the organometallic compounds, [Sn'\textsuperscript{t}Bu(S'\textsuperscript{t}Bu)] (1), [Sn'\textsuperscript{t}Bu$_2$(S'\textsuperscript{t}Bu)$_2$] (2) and [Sn'\textsuperscript{t}Bu$_2$(Se'\textsuperscript{t}Bu)] (3), have been described briefly\textsuperscript{39,40} the experimental procedures and characterisation lacked detail. Hence, we report here full descriptions of their preparations and spectroscopic analysis, together with their TGA data and the application of these compounds as single source precursors for the deposition of thin films of SnS and SnSe. The resulting films are characterised by XRD, SEM, EDX and Raman spectroscopy and we present the thermoelectric measurements, including variable temperature Seebeck, electrical conductivity and power factor, along with variable temperature Hall effect coefficients, charge carrier concentrations and mobility measurements for samples of SnSe and SnS. The heavier tellurate analogue, [Sn'\textsuperscript{t}Bu$_2$(Te'\textsuperscript{t}Bu)], has recently been shown to be an effective precursor for the growth of SnTe thin films by low pressure CVD.\textsuperscript{11} Experimental All precursor syntheses were performed under an inert atmosphere using Schlenk, vacuum line and glove box techniques under a dry nitrogen atmosphere. The solvents used (THF, toluene and hexane) were dried by distillation from sodium wire prior to use and NMR solvents were stored in a glovebox over molecular sieves. $^6$Bu$_3$SnCl, $^6$Bu$_2$SnCl$_2$ (Alfa Aesar) and butane thiol (Aldrich) were stored in a glovebox and used as received. All $^1$H, $^{13}$C($^1$H), $^{77}$Se($^1$H) (the latter referenced against neat SeMe$_2$) and $^{119}$Sn($^1$H) (referenced against neat SnMe$_4$) NMR spectra were collected at 298 K using a Bruker AV400 spectrometer in CDCl$_3$ (without the need for a relaxation agent). Microanalyses were obtained \textit{via} the London Metropolitan University elemental analysis service. The volatilities of the precursors were determined using a temperature ramp experiment \textit{via} TGA. This experiment was conducted by measuring approximately 20 mg of each precursor into an alumina crucible inside a dry, nitrogen-filled glove box. The crucible was then quickly transferred to the TGA where it was immediately put under a flow of argon gas. The precursor was then heated at a ramp rate of 5 °C min$^{-1}$ under a constant flow of argon gas from 30–600 °C while the mass loss was monitored. [Sn'\textsuperscript{t}Bu$_2$(S'\textsuperscript{t}Bu)] (1) Butane thiol (0.949 g, $1.05 \times 10^{-2}$ mol) was added to a solution of sodium metal (0.242 g, $1.05 \times 10^{-2}$ mol) dissolved in anhydrous ethanol (20 mL) and stirred vigorously over the course of 2 h. Removal of volatiles from this colourless solution gave a white powder. THF (20 mL) was then added, followed by a solution of tributyltin chloride (3.877 g, $9.49 \times 10^{-3}$ mol) in THF (20 mL), which was added dropwise over the course of 5 min, resulting in a cloudy white suspension, which was stirred for 12 h. The reaction mixture was then filtered, producing a clear, colourless solution. After the THF had been removed under vacuum, the clear colourless liquid remaining was washed in anhydrous hexane (30 mL), filtered to remove particulates and dried in vacuo. Yield: 2.618 g, 73%. Elemental analysis: calc. for C\textsubscript{16}H\textsubscript{36}SSn (379.20 g mol\textsuperscript{−1}): C 50.66, H 9.57%. Found: C 50.89, H 10.13%. \textsuperscript{1}H NMR (CDCl\textsubscript{3}): δ/ppm = 0.84 (two overlapping t, J = 8.00 Hz, [12H], CH\textsubscript{3}), 1.06 (t with \textsuperscript{115}Sn satellites, [6H], CH\textsubscript{2}Sn), 1.26 (overlapping m, [8H], CH\textsubscript{2}), 1.50 (overlapping m, [8H], CH\textsubscript{2}) 2.48 (t, [2H], CH\textsubscript{2}S), \textsuperscript{13}C\textsuperscript{1}H\textsuperscript{1} NMR (CDCl\textsubscript{3}): δ/ppm = 13.33 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 333 Hz, \textsuperscript{1}J\textsubscript{77Se-13C} = 317 Hz, CH\textsubscript{3}), 13.60 (CH\textsubscript{3}), 13.62 (CH\textsubscript{3}), 21.84 (CH\textsubscript{2}), 26.40 (CH\textsubscript{2}), 27.06 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 60 Hz, CH\textsubscript{2}), 28.65 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 21 Hz, CH\textsubscript{2}), 37.03 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 12 Hz CH\textsubscript{2}), \textsuperscript{115}Sn \textsuperscript{1}H NMR (CDCl\textsubscript{3}): δ/ppm = 75.2 (s). \[\text{[Sn}^{\text{II}}\text{Bu}_2(\text{S}^{\text{II}}\text{Bu})_2\] (2) Butane thiol (0.878 g, 9.73 × 10\textsuperscript{−3} mol) was added to a solution of sodium metal (0.224 g, 9.73 × 10\textsuperscript{−3} mol) dissolved in anhydrous ethanol (20 mL) and stirred vigorously for 1 h. This colourless solution was then taken to dryness in vacuo, leaving a white powder. This white powder was then suspended in THF (15 mL) and a solution of dibutyltin dichloride (1.478 g, 4.86 × 10\textsuperscript{−3} mol), in THF (15 mL), was added dropwise over the course of 5 min, resulting in a cloudy white suspension, which was stirred for 12 h. The reaction mixture was then filtered, producing a clear colourless solution. After the THF had been removed under vacuum, a colourless oil remained, which was washed with anhydrous hexane (20 mL) and dried in vacuo. Yield: 1.407 g, 70%. Elemental analysis: calc. for C\textsubscript{16}H\textsubscript{36}S\textsubscript{2}Sn (411.26 g mol\textsuperscript{−1}): C 46.73, H 8.82%. Found: C 45.96, H 9.44%. \textsuperscript{1}H NMR (CDCl\textsubscript{3}): δ/ppm = 0.91 (two overlapping t, J = 8.00 Hz, [12H], CH\textsubscript{3}), 1.39 (overlapping tqrt, tt and t with \textsuperscript{115}Sn satellites, [12H], CH\textsubscript{2}), and SnCH\textsubscript{3}, 1.58 (overlapping tqrt and tt, [8H], CH\textsubscript{2}), 2.69 (t, [8H], SCH\textsubscript{3}), \textsuperscript{13}C\textsuperscript{1}H\textsuperscript{1} NMR (CDCl\textsubscript{3}): δ/ppm = 13.52 (CH\textsubscript{3}), 13.59 (CH\textsubscript{2}), 17.79 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 377 Hz, \textsuperscript{1}J\textsubscript{77Se-13C} = 360 Hz, CH\textsubscript{3}), 21.77 (CH\textsubscript{2}), 26.70 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 73 Hz, \textsuperscript{1}J\textsubscript{77Se-13C} = 70 Hz CH\textsubscript{2}), 26.98 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 16 Hz, CH\textsubscript{2}), 28.24 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 25 Hz, CH\textsubscript{2}), 36.51 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 14 Hz, CH\textsubscript{2}), \textsuperscript{115}Sn \textsuperscript{1}H NMR (CDCl\textsubscript{3}): δ/ppm = 127.6 (s). \[\text{[Sn}^{\text{II}}\text{Bu}_4(\text{Se}^{\text{II}}\text{Bu})_2\] (3) Selenium shot (2.041 g, 2.59 × 10\textsuperscript{−2} mol) was ground into a fine powder under an inert atmosphere in a glovebox before being suspended in THF (30 mL). The suspension was then frozen in liquid nitrogen (77 K) before the dropwise addition of \textsuperscript{7}BuLi solution in hexanes (15 mL, 2.43 × 10\textsuperscript{−2} mol). After the mixture had thawed and been allowed to stir, a colour change from a black suspension to a yellow solution and then to a deep red solution was observed. Further \textsuperscript{7}BuLi solution (1 mL, 1.60 × 10\textsuperscript{−3} mol) was then added dropwise until a pale yellow colour persisted. A solution of Bu\textsubscript{2}SnCl (7.650 g, 2.35 × 10\textsuperscript{−2} mol) in THF (30 mL) was then added dropwise to the cooled (273 K) solution of BuSeLi. The reaction mixture was then stirred vigorously overnight. The reaction mixture was then concentrated under vacuum, hexane (30 mL) was added, at which point the solution turned cloudy with the precipitation of LiCl. The mixture was filtered by cannula filter, before concentrating under vacuum, washing with further hexane (30 mL), filtering once more and finally drying in vacuo, leaving a yellow/orange oil. Yield: 7.936 g, 79%. Elemental analysis: calc. for C\textsubscript{18}H\textsubscript{36}SeSn (426.11 g mol\textsuperscript{−1}): C 45.10, H 8.52%. Found: C 45.29, H 8.95%. \textsuperscript{1}H NMR (CDCl\textsubscript{3}): δ/ppm = 0.88 (two overlapping t, J = 8.00 Hz, [12H], CH\textsubscript{3}), 1.13 (t with \textsuperscript{115}Sn satellites, [6H], SnCH\textsubscript{3}), 1.29–1.40 (overlapping dt, [8H], CH\textsubscript{2}), 1.54–1.62 (overlapping dt, [8H], CH\textsubscript{2}), 2.53 (overlapping t with \textsuperscript{77}Se satellites, [2H], SeCH\textsubscript{3}), \textsuperscript{13}C\textsuperscript{1}H\textsuperscript{1} NMR (CDCl\textsubscript{3}): δ/ppm = 13.07 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 318 Hz, CH\textsubscript{3}), \textsuperscript{1}J\textsubscript{115Sn-13C} = 305 Hz, CH\textsubscript{3}), 13.45 (CH\textsubscript{2}), 13.54 (CH\textsubscript{2}), 16.79 (\textsuperscript{1}J\textsubscript{77Se-13C} = 14 Hz, CH\textsubscript{2}), 22.90 (CH\textsubscript{2}), 26.98 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 62 Hz, CH\textsubscript{2}), \textsuperscript{1}J\textsubscript{115Sn-13C} = 60 Hz, CH\textsubscript{2}), 28.94 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 21 Hz, CH\textsubscript{2}), 36.70 (\textsuperscript{1}J\textsubscript{115Sn-13C} = 11 Hz, CH\textsubscript{2}), \textsuperscript{77}Se \textsuperscript{1}H NMR (CDCl\textsubscript{3}): δ/ppm = −213.8 (s, \textsuperscript{1}J\textsubscript{77Se-1\textsuperscript{1}H} = 1050 Hz), \textsuperscript{115}Sn \textsuperscript{1}H NMR (CDCl\textsubscript{3}): δ/ppm = 51.9 (s, \textsuperscript{1}J\textsubscript{77Se-1\textsuperscript{1}H} = 1056 Hz). Thin film growth by low pressure CVD The fused quartz substrates (1 mm × 8 mm × 20 mm) were washed with deionised water, followed by ethanol, before being dried thoroughly in an oven before use. In a typical LPCVD experiment, the precursor (5–50 mg) and fused quartz substrates were loaded into a silica CVD tube inside the glovebox. The precursor was loaded into the precursor bulb at the closed end of the tube and the substrates were positioned end-to-end lengthways (0–4 cm away from the precursor bulb) along the silica tube. The tube was positioned horizontally in the furnace and held in place such that the precursor bulb was protruding from the end of the furnace. The tube was evacuated to ca. 0.01–0.05 mmHg and the furnace was heated to the required temperature and allowed to stabilise. The tube was then repositioned so that the precursor was close enough to the furnace for evaporation to be observed. This position was then maintained until all the precursor had evaporated, typically between 10 min to 1 h. Once the deposition was complete, the tube was removed from the furnace and allowed to cool to room temperature before being transferred to the glovebox under N\textsubscript{2} where the substrates were removed and stored for characterisation. The LPCVD experiments produced grey films of SnS and dark grey films of SnSe. All of the precursors produced uniform and continuous films with coverages of at least 6 cm\textsuperscript{2}. Thin film characterisation Grazing incidence X-ray diffraction (XRD) patterns were collected using a Rigaku SmartLab system (Cu-K\textsubscript{α}, λ = 1.5418 Å) with parallel X-ray beam and a Hypix detector in 1D mode. A 2θ scan range of 10–80° and an ω-offset of 1° were used. The crystalline phase of the film was determined by comparison with a literature XRD pattern, accessed via the Inorganic Crystal Structure Database (ICSD),\textsuperscript{42} and lattice parameters were obtained by further optimisation of the fit using PDXL.\textsuperscript{43} The SEM used was a FEI XL30 ESEM (Environmental Scanning Electron Microscope) tungsten filament electron source with ThermoFisher UltraDry EDX, 10 mm$^2$ detector. The images were all captured at magnifications of 2000, 5000 and 10 000 times at accelerator voltages of either 10 or 15 eV. The Raman spectra were obtained using a Renishaw inVia confocal Raman microscope with a 785 nm, 500 mW laser. Thermoelectric and electrical property measurements Variable temperature resistivity, carrier concentration and carrier mobility were determined by Hall measurements (Nano-metrics HL5500PC) from 300 to 450 K in steps of 25 K under a magnetic field of 0.5 T. Care was taken to ensure linear contact between the probes and sample before each measurement and the current was optimised to ensure normal Ohmic conduction with maximum voltage signal. Variable temperature Seebeck measurements used a Joule Heater MRS-3L from 300 to 450 K in steps of 25 K. The Seebeck coefficient was measured using the differential method with a maximum temperature difference of 10 K. Results and discussion Synthesis and characterisation of SSPs The incorporation of $n$-butyl substituents into molecular compounds for use as CVD precursors for semiconductor materials has proved to be a very effective strategy to achieve clean deposition of many target semiconductor materials, for example, InSb, CdSe, SnE$_2$ ($E = S$, Se), M$_2$E$_3$ ($M = Sb$, Bi; $E = Se$, Te), etc., as these substituents can facilitate a clean, low energy deposition pathway, often via a $\beta$-hydride elimination.\textsuperscript{44–46} Previously we have demonstrated that [SnCl$_n$($^n$BuE(CH$_2$)$_n$)$_2$E$^n$Bu] ($E = S$, Se; $n = 2$, 3) can be used as SSPs for SnS and SnSe, respectively, at elevated temperatures, although they are better suited for deposition of the dichalcogenide phases, SnS$_2$ and SnSe$_2$.\textsuperscript{32} The target SSPs specifically for SnE thin film growth via CVD in this work were based upon the organometallic complexes, [Sn$^n$Bu$_3$(S$^n$Bu)] (1), [Sn$^n$Bu$_2$(S$^n$Bu)$_2$] (2) and [Sn$^n$Bu$_3$(-Se$^n$Bu)] (3). The incorporation of the $n$-butyl substituents both on tin and in the chalcogenolate ligands was designed to provide a clean low energy decomposition pathway, while the 1 : 1 Sn:S/Se ratio in precursors (1) and (3) was intended to target SnS and SnSe, respectively. However, as noted below, the SnS produced from precursor (1) proved to be S-deficient, hence precursor (2), containing an additional $n$-butylthiolate ligand was introduced order to deliver the preferred 1 : 1 SnS film stoichiometry. The synthesis of the precursors proceeded via the reaction of sodium $n$-butylthiolate or lithium $n$-butylselenolate (prepared \textit{in situ} from $n$-butyl mercaptan with Na or by insertion of elemental Se into $^n$BuLi in THF at low temperature)\textsuperscript{47} with the appropriate alkynit chloride (Schemes 1 and 2). The complexes, which were obtained in good yield (70–80%), can be handled in air briefly, but are readily hydrolysed by moisture. They were characterised by multinuclear NMR spectroscopy ($^1$H, $^{13}$C[$^1$H], $^{77}$Se[$^1$H] and $^{119}$Sn[$^1$H]) (see ESI†) and elemental analysis, as well as by thermogravimetric analysis (TGA) in order to establish the volatilities of the precursors and to guide the temperature range for the low pressure CVD experiments (Fig. 1). The TGA data show that evaporation is almost complete in all cases, with the temperature associated with the onset of evaporation being lowest for precursor (3) at ca. 100 °C, while for (1) and (2) the evaporation onset occurs at ca. 170 °C. Low pressure CVD experiments The suitability of the new precursors for the deposition of high quality SnS and SnSe thin films was established via low pressure CVD onto fused silica substrates (8 × 20 × 1 mm$^3$) and resulted in continuous films and good substrate coverage. Depositions from (1) produced sulfur-deficient thin films of SnS, typically containing between 30 and 45% sulfur by EDX analysis. The temperature range for the depositions occurred between 440–530 °C, at pressures between 0.2–0.5 mmHg. Each deposition took 10–12 min (equivalent to the time required for the precursor to fully evaporate). Precursor (2) was introduced in an attempt to improve the Sn:S ratio towards the target stoichiometric ratio of 1:1, in view of the sulfur-deficiency observed for the films from precursor (1). Depositions using (2) produced stoichiometric SnS in the temperature range 375–490 °C, at a pressure of 0.01 mmHg, with depositions requiring only ca. 3 min once at temperature and with the precursor bulb positioned 2 cm inside the hot zone of the furnace. These depositions used ca. 15 mg of precursor to ensure a short deposition time, hence the films produced were relatively thin (ca. 700 nm), although continuous, with coverage of approximately 1 cm². Depositions using 20–40 mg of precursor (3) occurred in the temperature range 350–430 °C (0.01 mmHg), produced stoichiometric SnSe films with continuous coverage over ca. 3 cm² and required ca. 5–10 min. Each of the deposited materials was characterised by grazing incidence X-ray diffraction (XRD), scanning electron microscopy (SEM), energy dispersive X-ray spectroscopy (EDX) and Raman spectroscopy. The variable temperature electrical and Seebeck properties have also been explored to evaluate the potential for these thin film materials to be incorporated into TE devices. Tin sulfide (SnS) thin films Initial depositions using precursor (1) produced films of highly sulfur-deficient SnS. These films had unusual morphologies, which contained long wires with diameters of ca. 1 μm, as can be seen in Fig. S11 (ESI†). The XRD patterns matched that of SnS and the lattice parameters can be found in the ESI† along with EDX data. The grazing incidence XRD pattern shown in Fig. 2 is from a film grown over ca. 13 min and using 23 mg of precursor (2). The GIXRD pattern shows a single phase SnS in space group $Pnma$. The refined lattice parameters are: $a = 11.271(1)$ Å, $b = 4.0134(7)$ and $c = 4.3331(8)$ Å, in good agreement with the literature values ($a = 11.180(6)$, $b = 3.982(2)$, $c = 4.329(3)$ Å).\textsuperscript{48} EDX analysis (ESI) showed that the thicker films obtained using precursor (2), such as those presented in Fig. 2, were similarly deficient in S as those using precursor (1). However, using a short deposition time of 3 min and a small precursor load, 16 mg, of (2), it was possible to produce samples of SnS thin films that were shown by EDX analysis to contain 49–50% sulfur. The EDX spectrum of one such film is shown in Fig. 3. It is likely that the short deposition time and small amount of ![Fig. 4](image-url) Fig. 4 Top down SEM image (a), cross sectional SEM image (b) and grazing incidence XRD pattern (c) for SnS thin film obtained by low pressure CVD using [Sn\textsuperscript{II}Bu\textsuperscript{t}S\textsuperscript{II}Bu\textsuperscript{t}]$_2$ (red = XRD pattern for bulk SnS\textsuperscript{48}) with a thickness of around 700 nm. ![Fig. 5](image-url) Fig. 5 Raman spectrum of the stoichiometric SnS film deposited from precursor (2) with the data highlighting the A\textsubscript{g} (98, 190, 222 cm\textsuperscript{-1}) and B\textsubscript{2g} (160 cm\textsuperscript{-1}) modes. ![Fig. 6](image-url) Fig. 6 (a) Top down SEM image of an SnSe deposit, (b) cross sectional SEM image of the same film showing a film thickness of ca. 1.3 μm and (c) grazing incidence XRD pattern for SnSe thin film (black) and the pattern for bulk Pnma SnSe (red).\textsuperscript{53} ![Fig. 7](image-url) Fig. 7 EDX spectrum collected for a thin film of SnSe. The grazing incidence XRD pattern of this stoichiometric film (Fig. 4) also shows the SnS in the orthorhombic ($Pnma$) phase, with refined lattice parameters: $a = 11.271(1)$, $b = 4.0134(7)$ and $c = 4.3331(8)$ Å, in good agreement with the literature ($a = 11.180(6)$, $b = 3.982(2)$, $c = 4.329(3)$ Å). The XRD pattern suggests a highly orientated, or textured, film. This is the cause of the enhanced intensity of the 201 reflection compared to other peaks and is further corroborated by inspection of the SEM images which clearly show crystallites lying flat and forming interconnected plates across the substrate. The Raman spectrum is displayed in Fig. 5. It is consistent with pure SnS, without contamination. The peaks at 98, 190 and 222 cm$^{-1}$ correspond to the $A_2g$ modes, while the 160 cm$^{-1}$ peak is associated with the $B_{1g}$ mode. Compared with ref. 51 the peaks are nearly identical in shape, although all shifted by a few wavenumbers. The peak at 222 cm$^{-1}$ is significantly stronger than in ref. 51 and 52, due to the strong alignment of the film. Tin selenide thin films The SEM images displayed in Fig. 6 correspond to a thin film of SnSe deposited using precursor (3). The grazing incidence XRD pattern shown in Fig. 6c is in good agreement with the literature data for orthorhombic SnSe ($Pnma$) and the refined lattice parameters, $a = 11.4844(18)$, $b = 4.1555(7)$ and $c = 4.4289(10)$ Å, are also... in good agreement (literature: $a = 11.49417(12)$, $b = 4.15096(5)$ and $c = 4.44175(7)$ Å).\textsuperscript{53} The SEM images of the SnSe film in Fig. 6 show it to be polycrystalline, formed of randomly oriented block-like crystallites, leading to continuous substrate coverage and ca. $1.3 \pm 0.2$ µm thick. Control over the Sn:Se stoichiometry proved to be much easier than for the tin sulfide films, most likely because of the lower volatility of Se compared to S. EDX analysis of the SnSe films showed that they contained between 48–50% selenium, no impurities evident by EDX analysis (Fig. 7). The Raman spectrum of the SnSe film is presented in Fig. 8. This shows peaks at 72, 110, 130 and 152 cm$^{-1}$, corresponding to the A$_{1g}$, B$_{1g}$, A$_{2g}$ and A$_{2g}$ modes, respectively; the same peaks as in the SnS spectrum. Compared to ref. 51 and 54, the A$_{2g}$ peak is again more intense, most likely due to alignment of the film.\textsuperscript{54} Thermoelectric properties The thermoelectric properties of the stoichiometric SnS film were investigated by temperature dependant Hall and Seebeck measurements, as shown in Fig. 9. The magnitude of the resistance is quite large, but similar to other reported values for polycrystalline SnS (Fig. 9a).\textsuperscript{7,57} Temperature dependence of the resistivity shows semiconducting behaviour, as also evidenced by the increase in carrier concentration with temperature (Fig. 9b). Mobility in these films is similar to other values reported for polycrystalline SnS.\textsuperscript{58,59} The decreasing resistivity and decreasing Seebeck coefficient lead to a relatively stable power factor from 0.017 to 0.049 µW cm$^{-1}$ K$^{-2}$ at 300 K and 450 K, respectively. The thermoelectric properties of the SnSe film were investigated similarly, as shown in Fig. 10. The electrical conductivity of the film increases with increasing temperature, demonstrating a semiconducting, thermally-activated transport behaviour (Fig. 10a). Similar values were also reported by other polycrystalline SnSe thin-films deposited via different techniques.\textsuperscript{55,56} The relatively low conductivity can be attributed to both low carrier concentration and mobility as displayed in Fig. 10b, which could be strongly linked to the scattering from the grain boundaries as well as the defects induced by the segregation of Sn in polycrystalline SnSe,\textsuperscript{13} limiting the thermoelectric performance of the SnSe films. Fig. 10c shows large positive Seebeck coefficients, which are well aligned with the low carrier concentrations obtained. Overall, the power factor shows an increasing trend from 0.06 to 0.4 µW cm$^{-1}$ K$^{-2}$ at 300 K and 425 K, respectively. It is clear that the thermoelectric performance of both undoped SnS and SnSe films are limited by the low carrier concentration and large bandgaps.\textsuperscript{60,61} Previous pioneering works have shown that these properties can be significantly ![Fig. 10](image-url) Fig. 10 Electrical properties of SnSe thin films. Conductivity (a), Hall mobility and carrier concentration (b), Seebeck coefficient (c), and power factor (d) of the films shown with temperature from 300–450 K. increased by doping or alloying, resulting in high $ZT$ values. We have also demonstrated that alloying Bi$_2$Te$_3$ thin films with Bi$_2$Se$_3$ leads to improved thermoelectric behaviour. Future work will explore using a similar strategy to further enhance the thermoelectric performances of thin film SnE materials. Conclusions Single source precursors suitable for the deposition of stoichiometric thin films of SnS and SnSe have been prepared in high yields and their full spectroscopic characterisation reported. These have been employed successfully using low pressure CVD, giving continuous crystalline, phase-pure thin films of the tin monochalcogenides, as shown by grazing incidence XRD, SEM/EDX and Raman analysis. Variable temperature Seebeck and Hall effect characterisation data show that the films are semiconducting and highly resistive, with the overall power factor for SnS being quite stable with temperature, ranging from 0.017 at 300 K to 0.049 $\mu$W cm$^{-1}$ K$^{-2}$ at 450 K, while that for SnSe increases from 0.06 at 300 K to 0.4 $\mu$W cm$^{-1}$ K$^{-2}$ at 425 K. Overall, this provides a promising transferable deposition process with an easily handled precursor system. 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Age-related reduction in motor adaptation: brain structural correlates and the role of explicit memory Noham Wolpe\textsuperscript{a,b,}, James N. Ingram\textsuperscript{c,d}, Kamen A. Tsvetanov\textsuperscript{a,e}, Richard N. Henson\textsuperscript{b}, Daniel M. Wolpert\textsuperscript{c,d}, Cam-CAN, James B. Rowe\textsuperscript{a,b} \textsuperscript{a} Department of Clinical Neurosciences, University of Cambridge, Cambridge, UK \textsuperscript{b} Medical Research Council Cognition and Brain Sciences Unit, University of Cambridge, Cambridge, UK \textsuperscript{c} Computational and Biological Learning Laboratory, Department of Engineering, University of Cambridge, Cambridge, UK \textsuperscript{d} Zuckerman Mind Brain Behavior Institute, Department of Neuroscience, Columbia University, New York, NY, USA \textsuperscript{e} Centre for Speech, Language and the Brain, Department of Psychology, University of Cambridge, Cambridge, UK \textbf{Article history:} Received 16 April 2019 Received in revised form 20 January 2020 Accepted 13 February 2020 Available online 20 February 2020 \textbf{Keywords:} Sensorimotor adaptation Aging Motor control Explicit memory Cerebellum Medial temporal lobe \textbf{Abstract} The adaption of movement to changes in the environment varies across life span. Recent evidence has linked motor adaptation and its reduction with age to differences in “explicit” learning processes. We examine differences in brain structure and cognition underlying motor adaptation in a population-based cohort (n = 322, aged 18–89 years) using a visuomotor learning task and structural magnetic resonance imaging. Reduced motor adaptation with age was associated with reduced volume in striatum, prefrontal, and sensorimotor cortical regions, but not cerebellum. Medial temporal lobe volume, including the hippocampus, became a stronger determinant of motor adaptation with age. Considering only the role of the medial temporal lobe, declarative long-term memory showed a similar interaction, whereby memory was more positively correlated with motor adaptation with increasing age. By contrast, visual short-term memory was related to motor adaptation, independently of age. These results support the hypothesis that cerebellar learning is largely unaffected in old age, and the reduction in motor adaptation with age is driven by a decline in explicit memory systems. © 2020 The Authors. Published by Elsevier Inc. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). \section{1. Introduction} The sensorimotor system has a remarkable capacity to adapt to changes that occur both externally in the environment and internally in neuronal and musculoskeletal dynamics. Such adaptation is critical for learning new skills, and for adjusting previously learned movements in the face of new tasks (Franklin and Wolpert, 2011; Scott, 2004; Wolpert et al., 2011). For example, developmental and aging processes that occur throughout the lifespan—from changes in muscle and joint physiology to neuronal degeneration in the nervous system—require constant adaptation. However, motor adaptation itself is often impaired with age (Buch et al., 2003; Fernandez-Ruiz et al., 2000; King et al., 2013; Seidler, 2007; but see Heuer and Hegele, 2008b; Koller et al., 2002). This calls for a better understanding of age-related changes in motor adaptation, to both understand healthy aging and inform effective rehabilitation strategies for older people affected by neurodegeneration or stroke. To explain the effects of age on motor adaptation, optimal control theory proposes that during the execution of a voluntary movement, the central nervous system continuously simulates one’s interaction with the environment (for a review see Franklin and Wolpert, 2011). This may be achieved through an internal forward model, which learns to predict the sensory outcome of an action (Miall and Wolpert, 1996). An error signal between the predicted and actual sensory information leads to the update of the internal model, which facilitates better prediction and improved performance of future actions (Shadmehr et al., 2010). Updating an internal model is believed to be an implicit learning process, central to motor adaptation (Shadmehr et al., 2010; Wolpert et al., 2011). However, there is little (Tremblay et al., 2014) or no (Heuer and Hegele, 2008b; Vandewoerde and Orban de Xivry, 2019a) age-related decline in this implicit learning process. These findings have led to the suggestion that the decline in motor adaptation with age is independent of implicit learning and results instead from... deterioration in explicit learning processes (Vandevoorde and Orban de Xivry, 2019a). Although motor adaptation was once considered to be an archetype of implicit memory, an additional explicit learning process has been shown to contribute to motor adaptation (Herr and Hegde, 2008b; Taylor and Ivry, 2011). This explicit process is proposed to be supported by high-level cognitive strategies that counteract changes in the environment (Taylor and Ivry, 2013), and is related to individual differences in spatial working memory performance (Christou et al., 2016; Langan and Seidler, 2011; Trewartha et al., 2014). The reduction in motor adaptation with age is tightly coupled to the reduction in the explicit learning component, while cerebellar-based learning mechanisms may not significantly deteriorate with age despite a degree of cerebellar degeneration (Vandevoorde and Orban de Xivry, 2019a). However, this hypothesis about the neural bases of age-related decline in motor adaptation has yet to be directly tested. Here, we sought to examine the brain structural correlates of age-related decline in motor adaptation. Participants were recruited from a large population-derived cohort, aged 18–89 years, at the Cambridge Centre for Aging and Neuroscience (Cam-CAN; Shafto et al., 2014). Participants performed a visuomotor rotation learning task (c.f. Buch et al., 2003), in which they moved a stylus-controlled cursor to hit one of four targets. A 30° angular rotational perturbation between the cursor and stylus location was then introduced, requiring participants to adapt their movement to overcome this visuomotor rotation so as to reach the target. In our main analyses, we conducted voxel-based morphometry (VBM) to look for correlations between gray matter volume and motor adaptation with age. Based on recent results suggesting a relative preservation of cerebellar-based motor adaptation in old age (Vandevoorde and Orban de Xivry, 2019a), we hypothesized that the reduced adaptation with age would not be related to gray matter volume differences in the cerebellum, despite an overall age-related reduction in this region. Instead, regions associated with explicit learning (e.g., dorsolateral prefrontal cortex for working memory: Anguera et al., 2010, 2011) and declarative memory (e.g., medial temporal lobe: Hamann et al., 2014; Mary et al., 2017) would be related to the age-related reduction in adaptation. Based on the results of the structural imaging analyses, we performed additional post hoc behavioral analyses on the relationship between motor adaptation, age, and such explicit memory measures. 2. Materials and methods 2.1. Participants Participants took part in the second stage of the Cam-CAN (Shafto et al., 2014). A full list of exclusion criteria is described in Table 1 in Shafto et al. (2014), including significant cognitive impairment (mini mental state examination score lower than 24), communication difficulties, significant medical problems (full list in Table 1 in Shafto et al., 2014), mobility problems, substance abuse, and MRI/MEG safety and comfort issues. The demographic details of the participants are summarized in Table 1. The number of participants was similar across the age deciles. Of the 322 participants who performed the visuomotor learning behavioral task, 310 participants completed MRI. The study was approved by the Cambridgeshire 2 (now East of England—Cambridge Central) Research Ethics Committee, and all participants provided a written informed consent prior to the study. 2.2. Motor adaptation task procedure and analysis Participants were asked to move a cursor so as to hit a target (Fig. 1A). To do so, they grasped a stylus pen with their dominant hand, and the position of the tip of the stylus was recorded using a digitizing touch pad (Bamboo CTH-661; Wacom Technology Corporation, Vancouver, WA) and displayed as a red cursor (radius 0.25 cm) on a computer monitor. Participants viewed the display in a semi-reflective mirror, such that the image appeared to be projected onto the horizontal surface of the touch pad. In this way, the red cursor could track the position of the stylus on the pad. The task was to move the cursor from a central “home” position (white disc radius 0.5 cm) to hit one of the 4 possible targets (yellow discs, radius 0.5 cm). Targets were displayed 5 cm from the home position and targets were presented in a random order, but always in a pseudo-random order, such that each cycle of 4 consecutive trials contained each target direction. When participants successfully hit a target, it bursts and a tone was played to indicate that the trial was successful. If participants failed to initiate movement within 1 second, or to hit the target within 800 ms after movement initiation, an error tone was played and the message “Too slow” was displayed. Participants completed an initial familiarization phase of 24 trials (6 cycles of the 4 targets), during which they were permitted to see their hand and the stylus through the mirror. In the main experiment, an occluder was placed behind the mirror to prevent participants from seeing their hand. The main experiment consisted of 192 trials which were divided into 3 phases. During the pre-exposure phase, participants performed 24 trials (6 cycles of 4 trials) in which the red cursor accurately represented the position of the stylus. During the subsequent exposure phase, participants performed 120 trials (30 cycles) in which the position of the cursor was rotated 30° clockwise relative to the central home position. The introduction of the rotation required participants to adapt their movement trajectories in order to successfully hit the targets. Finally, during the post-exposure phase, participants performed 48 trials (12 cycles) with the perturbation removed, as in the pre-exposure phase. The post- ### Table 1 \| Age \| N \| Sex (male/female) \| Handedness (right/left) \| Education* \| \|---------\|-----\|-------------------\|-------------------------\|------------\| \| \| \| \| \| None \| GCSE \| A levels \| University \| \| 18–29 \| 33 \| 13/20 \| 30/3 \| 0 \| 5 \| 6 \| 22 \| \| 30–39 \| 46 \| 24/22 \| 40/6 \| 0 \| 2 \| 7 \| 37 \| \| 40–49 \| 60 \| 28/32 \| 51/5 \| 1 \| 7 \| 4 \| 48 \| \| 50–59 \| 46 \| 25/21 \| 47/5 \| 3 \| 5 \| 15 \| 23 \| \| 60–69 \| 55 \| 31/24 \| 50/5 \| 3 \| 10 \| 14 \| 28 \| \| 70–79 \| 53 \| 22/31 \| 49/4 \| 6 \| 8 \| 9 \| 30 \| \| 80–89 \| 29 \| 16/13 \| 28/1 \| 5 \| 4 \| 12 \| 8 \| \| Total \| 322 \| 159/163 \| 289/33 \| 18 \| 41 \| 67 \| 196 \| * Categorized according to the British education system: “none” – no education over the age of 16 y; “GCSE” – General Certificate of Secondary Education; “A Levels” – General Certificate of Education Advanced Level; “University” – undergraduate or graduate degree. exposure phase required participants to “de-adapt” their movement trajectories in order to hit the target. Motor adaptation on each trial was assessed by measuring the initial movement trajectory error, which is considered to reflect the feedforward component of the movement, before feedback becomes available. The trajectory error was calculated as the difference between the target angle and the angle of the initial cursor movement trajectory. The initial trajectory angle was calculated at 1 cm into the movement, relative to the start position (trials were excluded if the cursor moved less than 1 cm from the home position, affecting 0.76% of trials on average across participants). Trajectory errors were averaged across each cycle of 4 trials to give a time series across the 48 cycles (from 192 trials) of the experiment. For each participant, trajectory errors across cycles in the exposure and post-exposure phases were each fit with an exponential function of the general form: \[ y_i = \text{offset} + \text{gain} * e^{-\frac{x}{\tau}} \] where $ y_i $ is the trajectory error on cycle $ i $, $ x $ is the cycle number, and $ \tau $ is the exponential time constant. The fitting algorithm (“nlinfit” function in Matlab 2017a; MathWorks Inc., Natick, MA) used iteratively reweighted least squares with a bisquare weighting function. The time constants of the exponential functions for the exposure and post-exposure phases were fit as free parameters, whereas the offset and gains were constrained as follows. For the exposure phase, the trajectory error on the first cycle was constrained to be 30° (the perturbation magnitude), whereas the trajectory error on the last cycle was fitted as a free parameter (referred to as the final error). For the post-exposure phase, the trajectory error on the first cycle was constrained to be the final error (adaptation on the last cycle of the exposure phase, as described above) and the exponential had a zero asymptote. The exponential fits therefore had 3 free parameters: (1) final adaptation (in degrees), which is the difference between the angular perturbation of 30° and the fitted final error (between 0° and 30°); (2) exponential time constant for adaptation (in cycles); and (3) de-adaptation time constant (in cycles). Based on the fit, we also calculated: (1) final de-adaptation, which is the trajectory error on the last cycle of the post-exposure phase; (2) time to half adaptation, which is the time (in cycles) to reach half the final adaptation, and (3) time to half de-adaptation (in cycles). The time constant (or time to half adaptation) is equivalent to the learning... rate when the latter is defined relative to the “reducible” error, that is, based on the amount by which error is reduced during adaptation. Time to half adaptation and de-adaptation was chosen over the time constants for the analyses as they were more robust across participants. Three participants (aged 28, 48, and 58 years) were excluded because their fitted final data adaptation was 0°, implying failure to understand or perform the task (> 5 standard deviation from cohort mean). ### 2.3. Structural neuroimaging protocol and analysis A 3T Siemens TIM Trio with a 32-channel head coil was used to scan 310 participants (12 participants declined MRI). Both a T1-weighted MPRAGE image (repetition time 2250 ms, echo time 2.99 ms, inversion time 900 ms, field angle 9°, field-of-view 256 mm × 240 mm × 192 mm, isotropic 1 mm voxels) and a T2-weighted SPACE image (repetition time 2800 ms, echo time 408 ms, field-of-view 256 mm × 256 mm × 192 mm, isotropic 1 mm voxels) were acquired. Due to technical problems during scanning or pre-processing problems, together with the exclusion of 3 participants due to missing behavioral data (see above), 299 participants were included in the structural imaging analyses. The structural images were preprocessed for a VBM analysis, as previously described (Taylor et al., 2017) using SPM12 (www.fil.ion.ucl.ac.uk/spm) called by the automatic analysis batching system (Cusack et al., 2015). Multimodal segmentation (using both T1- and T2-weighted images) was used to reduce age-biased tissue priors. Diffeomorphic Anatomical Registration Through Exponentiated Lie Algebra approach was applied to improve inter-participant alignment (Ashburner, 2007) as follows. Segmented images were warped to a project-specific template while modeling the shape of each brain. The resulting images were affine-transformed to the Montreal Neurological Institute space using the template and individual brain parameters. Voxel size of the normalized images was 1.5 mm isotropic. These normalization steps were followed by modulation by the Jacobean of the combined transformations (to preserve volume) and smoothing with an 8-mm full width at half maximum Gaussian kernel. A threshold of 0.15 was used on these images for the inclusion of gray matter voxels, as in previous analysis (Wolpe et al., 2016). Multiple regressions were performed to create a statistical parametric map of differences in gray matter volume in relation to adaptation. Adaptation, age, and the (mean-corrected and orthogonalized) interaction term between adaptation and age were included as the main covariates of interest. Handedness (Edinburgh handedness score as a numerical variable), gender (categorical variable), education (categorical variables according to Table 1), mean pre-exposure trajectory error, and total intracranial volume were also included in the regression model as covariates of no interest. All variables were z-scored before entering the regression analyses. In addition to the positive and negative effects of adaptation and adaptation by age interaction, a conjunction analysis was performed on the combined effects of adaptation (positive effect) and age (negative effect), tested against global null hypothesis (Nichols et al., 2005), in order to identify clusters where age-related decline in gray matter volume was related to reduced adaptation. Unless stated otherwise, clusters were identified at $p < 0.05$, family-wise-error (FWE-) corrected, with a cluster-forming threshold of $p < 0.001$, uncorrected. Significant clusters were labeled according to the Harvard-Oxford and Juelich probabilistic atlases in FSL (http://fsl.fmrib.ox.ac.uk/fsl/). Outliers in gray matter volume were identified with the robust correlation toolbox for Matlab (Pernet et al., 2013), using ‘detect_outliers’ function and the intersection of all 3 outlier detection methods (see Pernet et al., 2013). ### 2.4. Additional behavioral analyses To complement our structural imaging analyses, we examined the association between declarative long-term memory (LTM) performance and age-related differences in motor adaptation. As part of Cam-CAN, all participants completed the Anna Thompson Story Recall task, which is a logical memory test from the Wechsler Memory Scale Third UK edition (Weschler, 1999). In brief, participants listened to a short story and were asked to retell the story: (1) immediately after hearing it and (2) after a 30-minute delay. The story was segmented into 25 “elements,” and participants were scored according to the total number of elements recalled. For our measure of LTM performance, we used the number of elements obtained after the 30-minute delay. In addition to the 306 of the 322 participants who performed the visuomotor rotation task, also completed a visual short-term memory (STM) task (Shafte et al., 2014). In brief, the STM task was a continuous color report paradigm, requiring participants to memorize and match the color of a stimulus after a short delay (Mitchell and Cusack, 2018). One to four color disks were displayed on each trial for 250 ms, followed by a blank screen displayed for 900 ms and then a probe display. In the probe display, participants were asked to report the color of the item whose location on the screen was marked by a circular gray outline. Color matching was performed using a color wheel, and our measure of interest was the angular difference between the correct color and reported color. This was summarized across trials as the root-mean-square error, collapsed across all task conditions (Mitchell and Cusack, 2018). Compared to previous studies correlating spatial working memory capacity with motor adaptation (Christiou et al., 2016; Trewartha et al., 2014; Vandevoorde and Orban de Xivry, 2019a), our STM task therefore had a smaller spatial component. The behavioral data were entered into linear regression models, in which final adaptation was the dependent variable. Separate models were run for LTM and STM. Independent variables were age, LTM or STM, and their (mean-corrected and orthogonalized) interaction. In both models, covariates of no interest were equivalent to those in the structural imaging analyses, and included mean trajectory error during the pre-exposure phase (accounting for individual movement bias, e.g., see Buch et al., 2003), education (categories according to Table 1), gender (categorical variable), and handedness (Edinburgh Handedness Score as a numerical variable; Oldfield, 1971). All variables were z-scored before entering the regression analysis. Multiple regressions were performed as a path model using the lavaan package (Rosseel, 2012) in R (R Core Team, 2016), using Full Information Maximum Likelihood to account for missing data. All statistical analyses were performed with a two-tailed alpha threshold of 0.05, but given the large sample size, we focus on effect size, here reported as the percentage of variance explained by the specific statistical contrast ($R^2$ values more than –0.012 correspond to a two-tailed $p < 0.05$). For the regression analyses, we report the standardized coefficients. Plots were generated using ggplot2 (Wickham, 2009). All the raw data are available (request via http://www.mrc-cbu.cam.ac.uk/datasets/camcan/). Analysis code for this study is available on https://osf.io/v9gwj/. 3. Results 3.1. Differences in motor adaptation with age For each participant, we examined the initial movement trajectory error (Fig. 1B) in each cycle across the 3 experimental phases. Although age was modeled as a continuous variable in all the following analyses, for ease of visualization, Fig. 1C illustrates participants’ trajectory errors for the cohort divided by age into 3 groups of similar size. During the pre-exposure phase, there was a small but consistent counter clockwise (negative angle) bias in trajectory errors across participants (absolute mean bias across all pre-exposure cycles less than $2^\circ$; $t_{(318)} = -11.793$, $p = 7.116 \times 10^{-27}$, $R^2 = 0.304$). In view of a trend for a correlation of this bias with age ($r_{(317)} = -0.108$, $p = 0.054$, $R^2 = 0.012$), we adjusted for individual differences in pre-exposure error in line with previous studies (Buch et al., 2003). In the exposure and post-exposure phases, participants gradually adapted their initial movement to the onset and offset of the $30^\circ$ angular rotation (Fig. 1C). For the exposure and post-exposure phases, we fit the trajectory errors of each participant with a model of separate exponential curves (Fig. 2A). The key parameter to assess learning was “final adaptation,” that is, the difference between the $30^\circ$ angular perturbation and fit trajectory error on the last cycle of the exposure phase (maximum value of 30 indicates full adaptation). Additional parameters were “time to half adaptation,” that is, the time (in cycles) to reach half the final adaptation, and “final de-adaptation” and “time to half de-adaptation” for the post-exposure phase. Across participants, the model fits the data well, with a mean $R^2 = 0.742$ (standard deviation $= 0.177$), with the model fit not differing significantly with age ($r_{(317)} = -0.100$, $p = 0.076$, $R^2 = 0.010$). The magnitude of final adaptation is plotted against age in Fig. 2B. We fit the association between final adaptation and age with a linear model (the Bayesian Information Criteria difference relative to a second-order polynomial model was 2.67 in favor of the linear model). There was a significant negative correlation between age and final adaptation ($r_{(317)} = -0.349$, $p = 1.355 \times 10^{-10}$, $R^2 = 0.122$), suggesting that older adults adapted their initial movement trajectory less than young adults. Examining the time course of individual adaptation, there was a small correlation between “time to half adaptation” and age ($r_{(317)} = -0.1371$, $p = 0.0143$, $R^2 = 0.019$). Despite the statistical significance, we note the small effect size. In the post-exposure phase, participants “de-adapted” to some degree, but remained biased in the opposite direction to the experimental perturbation (Fig. 1C). Older adults de-adapted less than young adults, with a significant negative correlation between age and final de-adaptation (partial correlation with final adaptation covaried; $r_{(316)} = -0.23$, $p = 3.50 \times 10^{-3}$, $R^2 = 0.053$). The time course for de-adaptation did not vary with age ($r_{(317)} = -0.083$, $p = 0.338$, $R^2 = 0.007$). For the next analyses, as our measure of motor adaptation, we focused on final adaptation which also showed a larger effect of age. 3.2. Gray matter differences and reduced adaptation with age We performed spatially unbiased, whole-brain VBM analyses of gray matter volume to examine the structural correlates of motor adaptation with age. Specifically, we were interested in brain regions that showed a relationship between gray matter and both age and adaptation, as well as brain regions where the relationship with adaptation was moderated by age. We first examined where age-related reduction in gray matter volume was also related to reduced adaption, by testing for a conjunction between the positive association with adaptation and negative association with age. Significant clusters that survived family-wise error correction were found in the striatum ($R^2 = 0.064$), right ($R^2 = 0.041$) and left ($R^2 = 0.03$) premotor cortex, left frontopolar cortex ($R^2 = 0.038$), right superior parietal lobule ($R^2 = 0.035$), and right ventral and prefrontal cortex ($R^2 = 0.034$) extending to dorsolateral prefrontal cortex (Fig. 3A). There was no cluster showing this conjunction effect in the cerebellum, even when thresholding the conjunction at the more lenient threshold of $p < 0.001$, uncorrected, and despite age-related reduction in gray matter volume in this region (mean $t$-value of negative age correlation in cerebellar voxels $= -5.1$, $R^2 = 0.082$). Next, we identified brain areas where gray matter volume was differentially correlated with adaptation across age, by examining the interaction between final adaptation and age. No significant negative interaction was found, whereby the relationship between gray matter and adaptation decreased with age. In contrast, there was a significant positive interaction in 3 clusters: 1 encompassing the right middle and inferior temporal lobe ($R^2 = 0.074$) and 2 clusters in the medial temporal lobes, 1 on the left ($R^2 = 0.063$) and 1 on the right ($R^2 = 0.062$), each encompassing the hippocampus and amygdala (Fig. 3B). In these clusters, 3 participants whose gray matter was highest were identified as outliers (see Materials and methods section). After removing these 3 cases, the interaction remained significant in all 3 clusters at $p < 0.001$, uncorrected, and the left medial temporal lobe cluster survived FWE-correction. When split by age... groups for visualization, the interaction in all 3 clusters was driven by a more positive relationship between gray matter volume and final adaptation in older than younger participants (illustrated in Fig. 3C for the left medial temporal lobe). Given the central role of the hippocampus and prefrontal cortex in explicit learning, these results support the hypothesis that age-related decline in motor adaptation is associated with differences in explicit memory (Vandevoorde and Orban de Xivry, 2019a). We explored this in additional post hoc behavioral analyses. ### 3.3. Behavioral analyses To complement our structural imaging analyses, we performed post hoc behavioral analyses looking at the relationship between motor adaptation and Cam-CAN’s behavioral measures of explicit memory collected on the same cohort, namely visual STM and declarative LTM. Using a similar regression model as in the VBM analysis (i.e., adjusting for covariates of no interest), the full results are shown in Table 2 and illustrated in Fig. 4. For LTM (model $R^2 = 0.208$), performance showed no main effect on adaptation ($\text{beta}_{\text{standardized}} = -0.065$, $Z = -1.072$, $p = 0.284$), but its effect did interact with age ($\text{beta}_{\text{standardized}} = +0.107$, $Z = 2.039$, $p = 0.041$; Fig. 4A). This pattern resembled that for the VBM analyses above. For STM (model $R^2 = 0.221$), root-mean-square of performance error had a negative effect on adaptation (over and above age) ($\text{beta}_{\text{standardized}} = -0.213$, $Z = -3.365$, $p = 0.001$), but this effect did not interact with age ($\text{beta}_{\text{standardized}} = +0.021$, $Z = 0.412$, $p = 0.68$). This suggests that worse STM performance (increased error) is related to reduced motor adaptation, regardless of age (Fig 4B). Taken together, these behavioral correlations with explicit memory measures suggest that STM capacity is generally related to motor adaptation, but that the age-related reductions in motor adaptation are related to LTM. For completeness, we also related motor adaptation to several other cognitive variables collected in Cam-CAN (Shafto et al., 2014), as shown in the Supplementary Material. These results revealed (1) similar results when using a different measure of LTM, that is, no main effect, but a positive age $\times$ LTM interaction; (2) an association between fluid intelligence and motor adaptation (over and above age), but no age $\times$ fluid intelligence interaction, as in the STM results above; (3) no association of motor adaptation with sensory attenuation. These results further emphasize that while motor adaptation is related to explicit learning mechanisms across the lifespan, age-related changes are specifically related to declarative LTM capacity. ### 4. Discussion These results from a large population-based cross-sectional cohort suggest that reduced sensorimotor adaptation in older Table 2 Summary of multiple regression analysis for predicting final adaptation \| \| Declarative long-term memory \| Final adaptation \| \|------------------------\|------------------------------\|------------------\| \| \| β Estimate \| β SE \| z-value \| p-value \| \| Education \| 0.142 \| 0.053 \| 2.682 \| 0.007 \| \| Gender \| 0.169 \| 0.102 \| 1.618 \| 0.108 \| \| Handedness \| 0.173 \| 0.051 \| 3.377 \| 0.001 \| \| Pre-exposure bias \| -0.132 \| 0.051 \| -2.564 \| 0.01 \| \| Age \| -0.358 \| 0.058 \| -6.045 \| <0.001 \| \| Declarative memory \| -0.065 \| 0.060 \| -1.072 \| 0.284 \| \| Age × declarative memory \| 0.107 \| 0.052 \| 2.039 \| 0.041 \| \| \| Visual short-term memory \| Final adaptation \| \|------------------------\|--------------------------\|------------------\| \| \| β Estimate \| β SE \| z-value \| p-value \| \| Education \| 0.115 \| 0.052 \| 2.215 \| 0.027 \| \| Gender \| 0.07 \| 0.103 \| 0.682 \| 0.495 \| \| Handedness \| 0.169 \| 0.051 \| 3.303 \| 0.001 \| \| Pre-exposure bias \| -0.144 \| 0.051 \| -2.824 \| 0.005 \| \| Age \| -0.199 \| 0.063 \| -3.156 \| 0.002 \| \| STM error \| -0.213 \| 0.063 \| -3.365 \| 0.001 \| \| Age × STM error \| 0.021 \| 0.051 \| 0.412 \| 0.680 \| Regression models with declarative LTM measured as number of elements (out of 25) remembered in the Story Recall task after a 10-min delay ($R^2 = 0.288$), and STM measured as the error between the reported and target color ($R^2 = 0.211$); Education – categorical variable, as in Table 1; Gender – categorical variable of male (coded as 0) and female (coded as 1); Handedness – Edinburgh Handedness Score (Oldfield, 1971); Pre-exposure bias – mean trajectory error in first 6 pre-exposure cycles. Beta coefficients are standardized. Covariates of interest are in bold. Key: LTM, long-term memory; SE, mean standard error; STM, short-term memory. adults is partially explained by age-related decline in explicit memory systems. We found that reduction in gray matter volume in the striatum and prefrontal cortex, but not in the cerebellum, was related to adaptation differences with age. Differences in the medial temporal lobe, including in the hippocampus, became more strongly associated with motor adaptation with age. These results support the hypothesis of sensorimotor adaptation as a composite of multiple learning strategies (Huberdeau et al., 2015; McDougle et al., 2016), which are differentially affected by age (Vandevoorde and Orban de Xivry, 2019a). 4.1. Age-related differences in sensorimotor adaptation The degree of motor adaptation is typically reduced with age (Buch et al., 2003; Fernández-Ruiz et al., 2000; King et al., 2013; Seidler, 2007), although visuomotor adaptation is not always found to change with age (Heuer and Hegel, 2008a; Roller et al., 2010). Divergent results across studies call for careful consideration of methodological differences, such as the sample size, the magnitude of experimental perturbation, task difficulty, and type of perturbation paradigm. For example, age-related differences are more varied in smaller perturbations and easier adaptation tasks (Heuer and Hegel, 2008b), and in a force field paradigm (Trewartha et al., 2014). Large-scale studies can help reduce type II errors (false negatives), by increasing statistical power. Across 319 participants, in a population-based study (Shafo et al., 2014), we observed a large variability in motor adaptation in adults (Fig. 2B), which may explain the contrasting findings on adaptation levels with age reported in smaller studies. The degree of motor adaptation was reduced with age with $r = 0.35$, that is, $\sim 12\%$ of the variability in adaptation explained by age. An empirical investigation of individual difference studies has demonstrated that correlations with $r = 0.3$ correspond to the upper 25th percentile of effect sizes, and thus considered “large” (Gignac and Szodorai, 2016). It is likely that effects reported in previous studies were either different as a result of experimental procedures (see above), or inflated due to small sample size and publication bias (Gelman and Carlin, 2014). The inconsistency in age-related differences in motor adaptation is supplemented by discrepancies in the reported effect of age on adaptation rate (e.g., see Fernández-Ruiz et al., 2000; Hardwick and Celnik, 2014; Trewartha et al., 2014). We found a negative correlation, albeit with a weak effect size ($r = -0.14$), between age and adaptation rate, such that older adults reached half their total amount of adaptation faster than young adults. The small effect size suggests that adaptation rate was even more highly variable across participants. 4.2. Age-related reduction in gray matter volume and motor adaptation In the classical interpretation of sensorimotor adaptation, an internal forward model predicts the sensory outcome of one’s movement (Shadmehr et al., 2010; Wolpert and Flanagan, 2010). A discrepancy between sensorimotor prediction and sensory feedback (sensory prediction error) enables the internal model to be updated. This implicit learning process has been mapped to the cerebellum in a myriad of lesional, structural, and functional Fig. 4. Explicit memory performance and motor adaptation by age. (A) Illustration of the positive interaction between age and declarative LTM performance in the Story Recall task in relation to final adaptation. LTM scores were the total number of items recalled after a delay period, such that higher values indicate better LTM. Groups split by age as in Fig. 1 for illustration purposes only. Solid line indicates the linear regression fit with 95% confidence interval (gray shade). (B) As in (A), but for short-term memory score in the visual STM task. STM scores were the RMSE of the difference between target and reported color, such that higher values indicate worse STM performance. Abbreviations: LTM, long-term memory; RMSE, root-mean-square error; STM, short-term memory. (For interpretation of the references to color in this figure legend, the reader is referred to the Web version of this article.) imaging studies (Doyon and Benali, 2005; Gales et al., 2011; Thach, 1996; Iorizzo et al., 2011; Tseng et al., 2007). In recent years, however, evidence has emerged for the significant contribution of an explicit learning component (Taylor and Ivry, 2012), which is sensitive to the distance between the target and sensory feedback (namely, performance error) (Taylor et al., 2014). Individual differences in working memory capacity in young (Anguera et al., 2010) and older adults (Langan and Seidler, 2011; McNay and Willingham, 1998; Ureña-Cabrera et al., 2015) have been linked with motor adaptation in general, and the explicit component in particular (Christou et al., 2016). Accumulating evidence has indicated a relative preservation of implicit motor adaptation, but deterioration in explicit adaptation in old age. First, when an experimental visual perturbation is small and gradual, emphasizing implicit processes, older adults adapt their movement as well as young adults (Buch et al., 2003). Second, when young and old participants are matched by explicit knowledge of the perturbation, age-related differences largely dissipate (Heuer and Hegele, 2008B). Third, the contribution of implicit and explicit learning to age-related decline in motor adaptation was recently dissociated (Vandevoorde and Orban de Xivry, 2019a). These authors compared cued and uncued perturbation trials, and inferred implicit learning as the average adaptation in uncued trials, in which cognitive strategies are believed to be switched off (Moscovitch et al., 2005). Age-related decline in explicit motor adaptation was indeed explained by a reduced explicit component, whereas the implicit component remained intact (Vandevoorde and Orban de Xivry, 2019a). This led to the proposal that “cerebellar-based mechanisms do not deteriorate with age despite cerebellar degeneration” (Vandevoorde and Orban de Xivry, 2019a). Our results, with no significant association between age-related reduction in cerebellar gray matter volume and adaptation, are consistent with this hypothesis, although of course we cannot conclude from this null result that there is no such relationship. An alternative interpretation comes from our measure of overall motor adaptation. We used a standard visuomotor rotation task that does not formally separate implicit and explicit contributions, as such tasks were developed after data collection for this large cross-sectional study had begun (Shalto et al., 2014; Taylor et al., 2014). Studies that have separated implicit and explicit components of motor adaptation reveal that a large proportion of the variability in overall adaptation is explained by the explicit learning component (e.g. Christou et al., 2016). The implicit component, on the other hand, is only weakly negatively correlated with overall adaptation (Vandevoorde and Orban de Xivry, 2019b). This should be taken into account when considering the lack of correlation between age-related differences in cerebellum and adaptation. In contrast to the cerebellar null result, we found that age-related reduction in gray matter volume in bilateral premotor and lateral prefrontal cortex was related to reduced adaptation. These clusters overlap with regions that have been suggested to mediate spatial working memory capacity important for motor adaptation (Anguera et al., 2010). Functional age-related deficits in these regions are proposed to contribute to reduced motor adaptation (Anguera et al., 2011). These imaging results converge with recent behavioral findings, showing that reduced explicit motor adaptation with age may be mediated by age-related decline in spatial working memory (Vandevoorde and Orban de Xivry, 2019b). Similarly, reduced gray matter volume with age in the striatum was related to reduced adaptation. In the context of motor adaptation, striatal plasticity is crucial for the acquisition of motor skills in animal models (Dang et al., 2008). In humans, striatal activation has been demonstrated during a motor adaptation task using functional MRI (Seidler et al., 2006), and is often implicated in tasks involving motor sequence learning (reviewed in Doyon et al., 2005). The role of the striatum, and more broadly the basal ganglia, is proposed to complement cerebellar-based (sensory prediction error-based) learning, by reinforcing movements that lead to rewarding outcomes (Boston and Shadick, 2018; Wickens et al., 2005), thereby contributing to overall adaptation (Huang et al., 2011). However, this learning strategy is known to be generally impaired in old age (Engen et al., 2011), and its impairment is indeed suggested to contribute to reduced motor adaptation with age (Heuer and Hegele, 2014). 4.3. Reduced motor adaptation and explicit memory system Motor adaptation has been related to individual differences in explicit memory, such as performance in visuospatial working memory (Anguera et al., 2010; Christou et al., 2016; Vandevoorde and Orban de Xivry, 2019a). Vandevoorde and Orban de Xivry found a correlation between adaptation and spatial working memory for young and older adults, which related to the explicit motor adaptation component (Vandevoorde and Orban de Xivry, 2019b). Moreover, Trewartha et al. (2014) reported that better performance in a paired associate learning task was related to larger retention in the fast motor adaptation process, specifically in older adults. Interestingly, the paired-associate learning task required participants to memorize two recallable learning and test phases, which is conventionally regarded as a measure of LTM rather than STM/working memory (Trewartha et al., 2014). Our results are consistent with these findings. Across the entire cohort, we found associations between motor adaptation with STM. Although our visual STM task did not include an explicit spatial component like the previous studies described above (Anguera et al., 2010; Christou et al., 2016; Vandevoorde and Orban de Xivry, 2019a), better STM capacity was related to motor adaptation levels for the whole cohort, including both young and older adults, over and above age. Moreover, a similar pattern of results was found for the association between motor adaptation and fluid intelligence, which generally correlates with STM/working memory (Conway et al., 2003). We found an age-dependent link between age-related differences in motor adaptation and the brain regions associated with explicit/declarative LTM, in which (1) gray matter volume in regions of the medial temporal lobe, including the hippocampus, was positively associated with adaptation as people grow older and (2) post hoc analyses on behavioral measures of LTM showed a similar pattern to the neuroimaging results. Nonetheless, despite the consistency with the structural neuroimaging results, we acknowledge the small effect size and exploratory nature of these correlations. The increasingly stronger association between motor adaptation and LTM with increasing age has at least 2 interpretations. First, this interaction could reflect growing individual differences in LTM with age, in which a subset develops impaired LTM and motor adaptation, as suggested by Trewartha et al. (2014). Indeed, it is possible that the positive relationship between LTM and motor adaptation is only revealed in old age once LTM falls below a certain critical level, at which implicit learning can no longer compensate (c.f. Vandevoorde and Orban de Xivry, 2019a). Second, the interaction could reflect an increased dependence on an explicit learning mechanism for motor adaptation as age increases. Increased reliance on explicit learning strategy for motor adaptation is observed in younger adults with better explicit memory, thereby optimizing adaptation capacity (Christou et al., 2016). However, considering the substantial decline in explicit memory with age (Henson et al., 2016), such increased reliance would be deleterious, and may instead reflect a broader tendency of older adults to rely more on cognitive resources for motor performance (Seidler et al., 2010), for example, as seen during normal walking (Mirelman et al., 2017). This interpretation would be further supported by our finding of a correlation between adaptation rate and age. Since explicit learning strategies have faster learning rates (McDougall et al., 2015), such a result would support the hypothesis of increased reliance on explicit strategies for adaptation. To our surprise, we found no association between motor adaptation and sensory attenuation. We previously hypothesized that internal models would be impervious to differences between sensory prediction and feedback with age, because of reduced reliance on “noisy” sensory information, as reflected in increased sensory attenuation (Wolpe et al., 2016). However, there was no link between motor adaptation and sensory attenuation, and differences in attenuation did not explain reduced adaptation with age. This null result may suggest a true lack of association between motor adaptation and sensory attenuation, but other interpretations are possible. For example, the measure of sensory attenuation reflects the precision-dependent down-weighting of haptic and proprioceptive feedback, whereas our motor adaptation task relied heavily on visual feedback. Attenuation might therefore be related to adaptation in other tasks, with, for example, a physical force field perturbation, rather than visual perturbation. 4.4. Medial temporal lobe and motor adaptation The medial temporal lobe and hippocampus contribute to motor adaptation, but the nature of this association is not fully resolved. A previous study showed that the degree of motor adaptation is related to changes in mean diffusivity of white matter within the medial temporal lobe, such that young healthy individuals who showed increased white matter integrity were able to adapt more in a visuomotor learning task (Della-Maggiore, personal communication). The hippocampal role in adaptation may also depend on sleep (Solorio et al., 2019). The hippocampus contributes to the acquisition of motor sequences, through connections with higher cortical regions (Schendan et al., 2003), and may be essential for consolidating motor memories via their interactions with the cerebellum and striatum (Doyon et al., 2009). On the other hand, patients with bilateral medial temporal lobe damage are still capable of acquiring new motor skills (Corkin, 1968). Interestingly, greater hippocampal activity has been observed in old age during motor sequence learning, which is suggested to reflect a compensatory mechanism for striatal-related degradation (reviewed in King et al., 2013). The age-related effects we observe in the medial temporal lobe, together with the association between adaptation and gray matter volume in the striatum, are consistent with this argument. The anterior part of the hippocampus, which was identified in our study, has been demonstrated to support the learning of new environmental layouts (Maguire et al., 2000). Furthermore, in tasks involving visuospatial navigation, the anterior hippocampus is proposed to encode the Euclidean distance to one’s goal (Howard et al., 2014). This goal distance signal is speculatively analogous to the performance error signal that is used to update the explicit learning component for motor adaptation (Taylor and Ivry, 2013), a component which is specifically impaired in old age (Vandevoorde and Orban de Xivry, 2019a). Similar performance error signals have been found in the adjacent amygdala (Gemba et al., 1986), which enhances learning of highly arousing or rewarding action-outcome associations (Cador et al., 1989; Fastenrath et al., 2014). The amygdala was also identified in the same analysis as the anterior hippocampus in our study. Taken together, the medial temporal, and the anterior hippocampus and amygdala within it, may contribute to the consolidation of motor memories by encoding performance error signals that are critical for the explicit component of motor adaptation. Their degeneration with age may thus make older people more prone to motor learning deficits. Neurological disorders are common in old age, and as populations around the world are rapidly aging, there is a growing demand for effective neurorehabilitation schemes. This is particularly evident after stroke, when patients often need to re-acquire motor skills in the face of cognitive learning impairments (Kraakauer, 2006). Our results underscore the challenge of developing new approaches for older patients, which emphasize implicit, sensory prediction error-based learning mechanisms to leverage intact learning systems. This may explain why rehabilitation methods that minimize cognitive strategies, and instead emphasize motor imagery and action observation, have been clinically advantageous (e.g., Garrison et al., 2010). 5. Conclusion Taken together, our structural imaging and behavioral data suggest that across the lifespan, motor adaptation declines with age as a result of the deteriorating explicit learning system. Although our study focused on healthy adults, it highlights the need to consider age in tailoring rehabilitation programs, and take into account different learning systems across the adult lifespan. CRediT authorship contribution statement Noham Wolpe: Conceptualization, Formal analysis, Software, Visualization, Writing - original draft, Writing – review & editing. James N. Ingram: Methodology, Conceptualization, Formal analysis, Software, Validation, Writing - review & editing. Kamen A. Tsvetanov: Validation, Writing - review & editing. Richard N. Henson: Conceptualization, Validation, Writing - review & editing. Daniel M. Wolpert: Methodology, Conceptualization, Software, Writing - review & editing. James B. Rowe: Conceptualization, Funding acquisition, Project administration, Supervision, Writing - review & editing. Acknowledgements We are grateful to the Cam-CAN respondents and their primary care teams in Cambridge for their participation in this study. We also thank Rogier Kievit for his comments on the manuscript and analysis advice. Cam-CAN research was supported by the Biotechnology and Biological Sciences Research Council [BB/H008217/1]. NW is funded by a National Institute of Health Research (NIHR) Academic Clinical Fellowship. JBR was supported by the James S. McDonnell Foundation 21st Century Science Initiative, Scholar Award in Understanding Human Cognition, Wellcome Trust [103838] and the Medical Research Council [SUAG/032 RG91365]. KAT was supported by the British American Psychological Foundation [PF160048]. DMW was supported by the Wellcome Trust [097803], Human Frontier Science Program, and the Royal Society Noreen Murray Professorship in Neurobiology. RNH was supported by the Medical Research Council [SUAG/010 RG91365] and by the European Union’s Horizon 2020 research and innovation program under grant agreement No 732592. Disclosure statement The authors declare no competing interests. Appendix A. Supplementary data Supplementary data associated with this article can be found, in the online version, at https://doi.org/10.1016/j.neurobiolaging.2020.02.016. References Anguera JA, Reuter-Lorenz PA, Willingham DT, Seidler RD, 2010. Contributions of spatial working memory to visuomotor learning. J. Cogn. Neurosci. 22, 1917–1930. Anguera, J.A., Reuter-Lorenz, P.A., Willingham, D.T., Seidler, R.D., 2011. Failure to engage spatial working memory contributes to age-related declines in visuomotor learning. J. Cogn. Neurosci. 23, 11–25. Ashburner, J., 2007. 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Guided Exploration of Physically Valid Shapes for Furniture Design Nobuyuki Umetani University of Tokyo Takeo Igarashi Univ. of Tokyo / JST Erato Niloy J. Mitra University College London Abstract Geometric modeling and the physical validity of shapes are traditionally considered independently. This makes creating aesthetically pleasing yet physically valid models challenging. We propose an interactive design framework for efficient and intuitive exploration of geometrically and physically valid shapes. During any geometric editing operation, the proposed system continuously visualizes the valid range of the parameter being edited. When one or more constraints are violated after an operation, the system generates multiple suggestions involving both discrete and continuous changes to restore validity. Each suggestion also comes with an editing method that is easily applied by the user, all in a coordinated way to maintain validity. Thus, while the user focuses on the aesthetic aspects of the design, our computational design framework helps to achieve physical realizability by providing active guidance to the user. We demonstrate our framework on plank-based furniture design with nail-joint and frictional constraints. We use our system to design a range of examples, conduct a user study, and also fabricate a physical prototype to test the validity and usefulness of the system. Keywords: shape space, guided exploration, shape analysis, physical validity, sensitivity analysis, computational design. Links: [DL] [PDF] [WEB] [VIDEO] [DATA] [CODE] 1 Introduction Advances in 3D modeling systems (e.g., Blender, Google SketchUp, etc.) have enabled novice users to design shapes by themselves, thus making content creation widely accessible. However, along with aesthetic appeal of the designed shapes, their physical properties are often very important, especially if the resulting model is to be used in the real world. For example, in the context of do-it-yourself (DIY) furniture design or machine assembly, various physical constraints need to be satisfied — a chair is only useful if it remains stable and does not break under target load distributions. Unfortunately, current modeling systems rarely consider such physical plausibility in the design phase. This makes creating interesting shapes, which also satisfy physical constraints, difficult for those users without domain knowledge and relevant experience. Traditionally, geometric design and physical functionality are considered independently. In a typical setting, a designer creates a 3D geometric shape that is then validated using a physical simulator, e.g., a finite element method (FEM) solver. If the shape violates one or more physical constraints, it is sent back to the designer who then refines the shape. The process is iterated until a satisfactory design is found. Such a workflow is undesirable: the process (i) is time consuming, essentially amounting to trial-and-error, (ii) provides no guidance to the designer on how to rectify the current constraint violation(s), and (iii) encourages users to opt for standard geometric shapes, thus discouraging novel shape exploration. For example, Ikea provides a range of design-at-home tools specialized for offices, kitchens, bedrooms allowing the user to prescribe room dimensions, interactively select 3D models from product catalog, place them in the room, and plan a layout. However, such systems allow users only to select from a list of fixed objects. With the growing demand for customization, an ideal system should also allow users to change the shape of the furniture, while still being guaranteed that the objects remain functional, e.g., bookshelves do not collapse under target loads. Thus, our goal is to support computational design via real-time exploratory modeling [Taitton et al. 2009; Umetani et al. 2011; Yang et al. 2011]. We investigate this in the context of nail-jointed furniture targeted towards producing unusual and artistic shapes with non-standard inclinations, while still ensuring physical validity (see Figure 1). A few advanced CAD systems (e.g., CATIA) support continuous feedback to check for the validity of designed models. Based on a similar motivation, Umetani et al. [2011] propose an interactive system to give real-time feedback on physical constraints for garment simulations. Such methods, however, only tell whether or not Figure 1: Modeling a design concept (a) often produces invalid 3D realizations (b) due to model instability (i.e., toppling) or nondurability (i.e., excessive joint force) under target loads. Our interactive computational design framework supports guided shape exploration to help the user reach a valid configuration, which can then be readily manufactured (c). the model is valid; they do not suggest how to restore the model’s validity. In a notable effort, Whiting et al. [2009] directly optimize procedurally generated buildings over a range of free variables to produce a final model that is structurally stable. However, such an approach is unsatisfactory for exploratory modeling as it neither provides creative support, nor facilitates informed exploration. Given an initial shape and domain-specific geometric and physical constraints, we propose a computational design framework for efficient and intuitive exploration of valid shapes. Specifically, we actively guide the user to explore those parts of the shape space that satisfy the constraints, thus relieving the user of the burden to ensure realizability via the following modes: (i) We analyze the current shape configuration and indicate the valid range of the parameter being edited. (ii) We also propose both continuous and discrete suggestions with coordinated editing modes to restore validity when the current design is invalid. Note that in contrast to a direct optimization-based solution, we leave the designer in control of form generation: we provide visualization of valid range and multiple deformation suggestions guiding the designer towards feasible geometric forms, as needed (see Figure 2). In this work, we enable constrained modeling in the context of a (nail-jointed) furniture design system under geometric and physical constraints. Specifically, we consider three aspects: (a) connectivity, i.e., the connections among planks are geometrically maintained; (b) durability, i.e., the object does not break at joints under target load distributions; and (c) stability, i.e., the object does not topple or lose contact with the ground. The user interactively designs a shape model using standard modeling operations. In the background, we continuously run simulations of rigid bodies with frictional contact to provide real-time feedback about the structural validity of the design. The system performs sensitivity analysis to understand how design changes affect the validity of the design. We use this information to provide both a range of valid parameters being edited and multiple suggestions to restore validity using novel force-space analysis. Each suggestion comes with a coordinated edit mode that synchronously adjusts multiple components, which is otherwise difficult for users to guess, especially with non-linear constraints. Thus, the user can efficiently navigate the physically valid shape space by following the visualized range and exploring the proposed suggestions (see Figures 1, 17, supplementary video, and demo). We tested our framework to design a range of furniture under different loads. Our system supports real-time handling of up to 10-20 rigid bodies on a 2.7GHz laptop. Using our system, users can quickly and reliably design valid furniture, often with planks arranged in non-standard configurations. We fabricated a physical prototype and stress-tested the realization to target specifications. We envision that our technique can be easily integrated with a range of modeling tools, enabling novel function-aware form-finding possibilities. Contributions. In summary, we propose - an interactive modeling framework to design valid shapes under geometric and physical constraints; - a design environment for nail-jointed, plank-based furniture modeling with frictional contact, and implicit simulation of rigid body motion; and - a force space sensitivity analysis to generate design suggestions with continuous and discrete modifications to restore geometric and physical validity. 2 Related Work Suggestive modeling. Advances in geometric modeling have resulted in well-established CAD modeling tools. Exploratory design, however, remains challenging. This is mainly because mapping a partially formed design concept to a final 3D shape is ambiguous. Hence researchers have proposed various frameworks for suggestive, plausible shape generation and guide the user. Based on user-specified geometric relations across 3D components, Igarashi et al. [2001] generate a gallery of possible subsequent modeling operations to facilitate quick and intuitive modeling. In another influential work, Funkhouser et al. [2004] propose a data-driven modeling system in which the user provides the conceptual design using sketches, while the system suggests plausible geometric realizations by searching through a database of 3D models. Inspired by this philosophy, Chaudhuri and Koltun [2010] propose a data-driven system to compute and present components that can be added to the current design shape. Later, they extend the idea to a probabilistic suggestion system for high-level assembly-based 3D modeling [Chaudhuri et al. 2011]. The Insitu system [2011] provides spatial context by fusing data from multiple sources and combines them with image-billboarding to provide light-weight 3D environments for professional conceptual designs. In the context of appearance modeling, Kerr et al. [2010] perform a user study to test the effectiveness of suggestive interfaces. They conclude that such an interface is well suited for artistic exploration even for novice users, but they also mention that interactivity of such a system is critical. In this work, we introduce a novel suggestive system for exploring only those shapes that are physically valid. Physical simulation. Given a 3D shape, state-of-the-art techniques can efficiently and accurately evaluate its physical validity. However, the inverse problem is less understood. In the context of animation, even small perturbations in initial parameters can lead to large changes in final configurations. Hence, Popovic et al. [2000] propose a system to optimize parameters to satisfy user annotated keyframe specifications. In another interesting formulation, Twigg and James [2008] introduce backward steps to generate animations of rigid bodies with desired goal configurations. In this work, instead of motion parameters, we explore how shape changes affect the physical validity of a shape. We then use the information to interactively propose smart shape deformation modes. The discontinuous nature of friction makes its correct handling challenging [Kaufman et al. 2008]. Rigid body motion is often solved using impulse-based methods or the Linear Complementarity Problem (LCP) formulation (see [Baraff 1994; Stewart and Trinkle 2000] and references therein). Such methods assume that the direction of frictional forces depends on the tangent velocity, thus making estimation of frictional forces acting at the contact points challenging. Since sensitivity analysis of contact forces to design changes plays a crucial role in our framework, we propose a simple way to handle such changes accurately. Earlier, Chenney and Forsyth [2000] extend traditional simulation models to include plausible sources of uncertainty and use a Markov chain Monte Carlo algorithm to sample multiple animations while satisfying a set of constraints to ensure the physical plausibility of animations. Interactive shape exploration. Immediate and meaningful feedback is essential in many design settings, especially in artistic exploration (see also [Kerr and Pellacani 2010]). Although such design spaces are often high dimensional, only low-dimensional subspaces are typically useful to intuitive exploration. In a data-driven setting, researchers have extracted low-dimensional embeddings (e.g., using mixture of Gaussian models) of desirable design spaces for appearance [Shapira et al. 2009] and for geometric modeling [Talton et al. 2009]. Recently, Ovsjanikov et al. [2011] study variation patterns directly in appropriate descriptor spaces to extract low-dimensional deformation models on a representative template for exploration and navigation of collections of 3D models. In another approach, the deformation framework of Wires [2007] demonstrates that direct preservation of inter- and intra-face relations using connection curves is effective for manipulating manmade models. In a related attempt, Yang et al. [2011] propose a geometric framework to identify constrained modeling spaces where appropriate geometric properties (e.g., planarity of quad faces) are preserved in course of deformations and edits. Such exploration approaches, however, mostly focus on geometry, and physical validity considerations have so far been ignored. Design optimization. Different optimization strategies have been proposed for various design problems: voxel selection and placements to create multiple target shadows [Mitra and Pauly 2009], relief optimization for prescribed shadow footprints [Alexa and Matusik 2010], furniture layout with increasing functional considerations such as comfort and stability [Mitra et al. 2010; Yang et al. 2011], or optimizing combinations of materials to reach target deformation behavior [Bickel et al. 2010]. In the context of buildings, Smith et al. [2002] model truss structures by structural optimization, while Whiting et al. [2009] optimize free variables in the context of procedural modeling with regards to structural feasibility by ensuring non-negative force between brick elements. These approaches propose final optimized shapes, which are not beneficial in initial exploratory stages. Instead, we introduce shape space investigation to understand the effect of geometric changes on physical validity and use the findings to expose the valid and useful parts of the shape space as suggestion modes (see also [Yang et al. 2011]). In the context of design rationalization, researchers have worked on minimally changing input designs while maximizing repetitions across molds or triangular patches, thus enabling economic construction of free-form surfaces [Eigensatz et al. 2010; Singh and Schaefer 2010]. These methods, however, are neither integrated with the design phase, nor do they consider any physical durability constraints of shapes. ![Figure 3](image) Figure 3: (Left) The modeling interface consists of the modeling and the suggestion panels. (Right) The modeling interface with typical stages shown: creation, connection, translation, scaling, and rotation of a plank, along with placing a weight. ### 3 System Overview Overview. Figure 3-left shows our modeling interface, which consists of a modeling panel and a suggestion panel. The modeling panel basically works as a standard modeling system (e.g., Google SketchUp), although it is specialized for models consisting of multiple planks connected by nail joints. Our system continuously checks for validity in the background and shows whether or not the configuration satisfies geometric and physical requirements. Specifically, it checks for joint-linearity, joint durability, and stability. Note that we do not check for self-intersections at runtime. The result of the analysis appears as an annotation in the main panel during mouse dragging. Further, we provide suggestions in the suggestion panel after mouse release if the current shape is invalid. Suggestions, when selected, appear in the modeling panel. Modeling user interface. Figure 3-right shows the basic modeling operations supported by our system. The user draws two 2D lines on the screen to specify a new rectangular plank (a-c) of predefined thickness (12 mm in our setting). The first line is drawn by mouse dragging and is placed on a selected plank. The end point of the first line becomes the starting point of the second line and its end point is indicated by a mouse click. The second line is either projected to an existing plank or aligned to the canonical x-y-z axes. The newly created plank is then connected to the selected plank and the existing planks on which the first and second line are placed. The user can translate, rotate, and scale a plank using 3D widgets (d-f). When an edge of a plank is placed near another plank, these planks are automatically connected (g). Finally, the user places a weight by clicking on a plank in the weight mode (h). Note that the exact placement of the weight on the selected plank is not important. Validity visualization and suggestions. In Figure 4, we show the different scenarios when the current configuration becomes invalid. (a) When a joint becomes disconnected, the system highlights the joint in red. (b) When the model breaks at a joint, the system also highlights the joint in red. (c) When the model falls down, the system shows a red arrow. These warnings automatically appear and are continuously updated as the user interacts with the design, so... that the user can move back to a valid state by direct manipulation based on the feedback. In addition to checking whether or not the current configuration is valid, the system computes the valid range of the parameter (degrees of freedom, DOF) being manipulated and shows it to the user during direct manipulation (mouse drag). When the current configuration is valid, the system shows the valid range in black. When the current configuration is invalid, the system shows the valid range in red (see Figure 5). Explicitly showing the valid range reduces the need for trial and errors to stay within or return to a valid state during direct manipulation editing. When necessary, after each mouse release, the system provides suggestions (capped to a maximum of 8 in our setting) on how to resolve an invalid state. When a joint becomes disconnected, the system shows how to reconnect it (Figure 7a). When the model is non-durable or unstable, the system shows how to make it durable and stable (Figure 7b, 7c). Each suggestion consists of a representative configuration and an optional coordinated edit mode. When the user clicks on a suggestion, the representative configuration appears in the modeling window together with arrow marks indicating the coordinated edits (Figure 7a). The user can use one of these arrows to make coordinated editing, thus allowing the user to control multiple DOFs of a model simultaneously while satisfying the required constraints. These multiple DOFs are coupled together, i.e., the user cannot fix the non-durability or instability moving each DOF individually. For example, in Figure 6, if the user slides the top board of the table toward the left, the angle of the left leg becomes perpendicular to the ground to compensate for the increase of the bending force on the left joint (Figures 6b, 6c). ![Figure 6: Example of coordinated editing using suggestions. The table is non-durable and the system gives multiple suggestions (a). The user clicks on a suggestion and it appears in the modeling window (b). The user can change the position of the top board and left leg simultaneously by dragging any of the arrow handles (c).](image) ## 4 Algorithm Overview As the user edits the model (i.e., adds, removes, translates, rotates, or scales a plank), we first try to satisfy geometric constraints, i.e., joint connectivity and ground contact, by adjusting the length of the other planks. If we fail to satisfy the geometric constraints, we suggest discrete changes to fix the design. After the model satisfies the geometric constraints, we check the physical validity of the current shape and present the result to the user. We test for durability and stability, which amounts to checking for inequality constraints on joint and contact forces, respectively. In addition to indicating that the design is valid or not, we also analyze how the validity changes with respect to further geometric modifications, i.e., what changes make the invalid model valid, and vice versa. The result of the analysis is used to compute valid ranges and make suggestions. Section 5 describes how we measure and analyze the physical validity, while Section 6 describes how we compute the valid range and make suggestions based on the analysis. Note that frictional contacts with the ground pose a challenge to the sensitivity analysis, and we present a method to address this issue. ## 5 Physical Validity In our interactive framework, we continuously analyze the current design to provide feedback to the user about the physical validity of the current shape during the user’s editing. Specifically, the system checks two types of physical validity: (i) whether or not the nail joints are connected, and (ii) whether or not the structure is stable. In this section, we first describe how to measure durability of a current design by solving constrained rigid body dynamics to obtain forces on the joint. Next, we propose a sensitivity analysis to analytically estimate changes in static equilibrium under infinitesimal perturbations of the current design. This analysis helps to generate editing suggestions as well as accelerate the computation of the validity. ### 5.1 Durability measurement In any nail-jointed wooden structure, the joints form the weakest links, i.e., such structures primarily break at the joints rather than at other sections [Parker and Ambrose 1997]. Hence, in our framework, we model components of wooden furniture as assemblies of unbreakable rigid bodies, while focusing on the joint and their joint forces. We next describe joint forces and explain how to compute joint and contact forces for a given model. Next, we describe how to examine durability based on the obtained joint forces. Although most of the techniques explained in this section are standard in physical simulation, we describe them for completeness. An exception is the treatment of frictional contact. It is not trivial to handle frictional contact within the framework of sensitivity analysis and we present a novel method. Definition of joint forces. We characterize each nail-joint connection as a constraint between the participating plank pairs. We describe static rigid body equilibrium under joint constraints using standard notation (see Figure 8 and [Geradin and Cardona 2001]). Let planks $P_i$ and $P_j$ be connected by a nail joint $N_{ij}$. Further, say that each plank $P_i$ has an initial center position $c_i \in \mathbb{R}^3$ and we apply a rotation $R_i \in SO(3)$ followed by a translation $u_i \in \mathbb{R}^3$. Note that, although plank pairs are connected using several nails at a nail-joint, for simplicity, we represent such nail positions using a single point $p_{ij}$. The corresponding joint constraints are: (i) a translational part that keeps the participating planks together and (ii) a rotational part that prevents bending. Let, $$\tilde{d}_{ij} := \|R_i(p_{ij} - c_i) + c_i + u_i\| - \|R_j(p_{ij} - c_j) + c_j + u_j\|$$ $$\tilde{d}'_{ij} := \text{vect}(R_i^T R_j),$$ where $\text{vect}$ is an operator that extracts the axial rotation vector of a rotation matrix. Note that since both $R_i, R_j \in SO(3)$ are rotation matrices, $R_i^T R_j$ is also a rotation matrix. At each nail-joint $N_{ij}$ the joint constraints are: $$d_{ij} = 0 \quad \text{and} \quad d'_{ij} = 0.$$ The set of such constraints for a piece of furniture can be redundant (e.g., if a set of planks is connected in a loop) leading to an over-constrained system. As a solution, we allow for deviations from the exact constraints using a penalty method. Specifically, we measure deformation energy at joint $N_{ij}$ as $E^{\text{joint}}(N_{ij}) := 0.5 \\|d_{ij}\\|^2/\varepsilon^t + 0.5 \\|d'_{ij}\\|^2/\varepsilon'$, which we include as the potential energy of the system (see Equation 3). The scalar values $\varepsilon^t$ and $\varepsilon'$ are small constants (both set to $10^{-5}$ in our tests). The derivative of penalty function $E^{\text{joint}}$ with respect to $d$ and $d'$ are $$h' = d'/\varepsilon' \quad \text{and} \quad h'' = d''/\varepsilon',$$ and can be seen as constraint forces. We call such forces translation forces and bending forces (in engineering, commonly referred to as the bending moment), respectively. Note that these deviations $d'$ and $d''$ are influenced by the values of $\varepsilon^t$ and $\varepsilon'$, but $h'$ and $h''$ are not. The $h'$ and $h''$ have physical meaning relating to the equilibrium of the forces between planks. Computation of joint and contact forces. In this work, we focus on the behavior of shapes under static equilibrium rather than dynamic motion of rigid bodies. We therefore compute forces applied to each joint by directly minimizing the total potential energy of the system with respect to $u$, $R$, and $h$: $$E^{\text{total}}(u, R, h) = -\sum_i M_i c_i^T g + \sum_{ij} E^{\text{joint}}(N_{ij}) + \sum_k \|N_{\text{contact}}\| E^{\text{contact}}_k,$$ where $M_i$ is the mass of plank $P_i$ and $g$ is acceleration due to gravity. The first term captures the gravitational potential energy; the second term models the joint energy, while the last term is due to contact forces (as described later we weigh the terms equally). With the total potential energy $E^{\text{total}}$ being nonlinear, we iteratively minimize the potential energy using the Newton-Raphson method. Since the Hessian of the penalty term $E^{\text{joint}}$ is ill-conditioned, we treat the constraint forces $h'$ and $h''$ as independent variables and explicitly solve for them. Specifically, we simultaneously minimize with respect to $h'$ and $h''$ along with $u_i$ and $R_i$ (see Equation 2). Note that since the Hessian of the total potential energy is indefinite, we damp the iteration by adding an identity matrix scaled by a small value (we use $10^{-5}$) to the diagonal component of the translation and rotation for each plank. We continue the iteration until variables $u$ and $R$ stabilize. The solution to this minimization problem yields deformed plank positions $u$, $R$, and the joint force $h$. Joint durability. Having the translation $h'$ and the bending force $h''$ at each joint, we check for the durability of the nail-joint under the given forces. Mechanical properties of nails are well understood and have long been standardized with precise specifications on their load-bearing capacities (see [Bergman 2010]). At any joint, the loads on the nails are of two types: (i) a pulling force, which acts along the axis of the nail, and (ii) a shearing force, which acts vertical to the nail axis. We express force $h$ (i.e., $h'$ and $h''$) in a local coordinate system: $h_n$ represents the component normal to the joint face for plank $P_i$, $h_s$ the component in a direction along the normal of $P_s$, and the remaining component is $h_t$ (see Figure 9). Each component of $h'$ denotes the torque to twist the plank $P_i$ with an axis of rotation in each direction. We assume the plank’s thickness is smaller than the width of the joint between $P$ and $P_s$. Hence, the bending force $h_s$ dictates the collapse of the joint. In Figure 9, we show how the nail-pulling force arising from bending force $h'_s$ is modeled. The joint forms a lever with the length of the lever arm equal to $0.5 l_z$. Specifically, we model the pulling force as $$f_{pull} = \frac{1}{N_{\text{nail}}} \left(2\|h'_s\|/l_z - h'_n\right),$$ where $l_z$ represents the thickness of the plank (12 mm in our tests) and $N_{\text{nail}}$ denotes the number of nails at the nail joint $N_{ij}$. Then, the shear force is given by $$f_{shear} = \frac{1}{N_{\text{nail}}} \sqrt{h'_s^2 + h''_s^2}.$$ Finally, we mark a joint as durable if both forces are within allowable threshold margins [Bergman 2010]. ### 5.2 Sensitivity analysis We now investigate how design changes affect the physical validity of a shape as this helps to accelerate the force computations (solving Equation 3) as the user changes the design. More importantly, when needed, the sensitivity analysis helps in generating suggestions for changing the design to restore validity by making the model durable and stable. Specifically, we locally compute a linear approximation to study how forces in equilibrium change with respect to changes to the current design, i.e., we perform a sensitivity analysis [van Keulen et al. 2005]. Let $\gamma$ represent a shape configuration (see also Section 6). Using implicit rigid body analysis, the static equilibrium can be expressed as a linear system: $\mathbf{A}(\gamma)\mathbf{x}(\gamma) = \mathbf{b}(\gamma)$, where $\mathbf{A}$ is a square matrix and $\mathbf{x}$ is a vector encoding the positions and orientations of all the planks along with the forces $\mathbf{h}$ at the different joints. Vector $\mathbf{b}$ stores the generalized external forces, i.e., forces due to gravity, contact, and friction acting on the planks. The sensitivity analysis gives $$\frac{d\mathbf{x}}{d\gamma} = \mathbf{A}^{-1} \frac{d\mathbf{b}}{d\gamma}.$$ Although the configuration $\mathbf{x}$ changes nonlinearly with respect to any initial design change $\delta \gamma$, we found it sufficient to use $\mathbf{x} \rightarrow \mathbf{x} + d\mathbf{x}/d\gamma \cdot \delta \gamma$ as an initial guess to bootstrap the nonlinear iteration and achieve faster convergence. Frictional contacts. We assume that the design structure is casually placed on the ground and not bolted to it. Hence, friction is essential to prevent sliding under horizontal force. For example, a table depends on friction to resist sliding under horizontal forces, say when we push the table sideways. Although a table with vertical planks as legs can easily support vertical loads, it is fragile even under slight horizontal perturbation, which is undesirable. Performing an accurate sensitivity analysis with frictional contacts is challenging because frictional forces depend on the direction of the tangent velocities at the contact points. Sensitivity analysis, however, assumes static equilibrium with zero velocity at the contact points and hence cannot be used to determine friction force directions. Further, redundancy among frictional forces poses additional challenges [Klarbring 1990], e.g., even if a chair stands still, the combination of frictional forces is unknown, making it difficult to determine the internal forces (see Figure 10-left). We propose a simple penalty-based method to address the above problems. In a standard dynamic setting, friction anchors are placed at the impact location and are relocated as the contact points slide with kinetic friction [Ehrlein et al. 2005]. However, since our setting is static, we assume that (i) contact points are always on the ground and (ii) the contact states do not change during interactions. This allows us to uniquely determine the anchor position with respect to the initial configuration (see Figure 10-right) and analyze frictional force under design changes. Specifically, we place the contact points at the corners of planks that touch the ground. When the user sketches a plank, we detect the plank corner that touches the ground, and mark it as a contact. Note that during design changes we ensure that the contacts touch the ground without penetration or floating in the air (see Section 6). For sliding, we relocate friction anchors so that the (friction) springs do not generate excessive force beyond the limit of Coulomb friction. 6 Exploration of Valid Spaces In this section, we describe how our framework guides the user towards the valid subspace of the configuration space $\Gamma$. If the current design is valid, we indicate the set of user manipulations that keeps the design validity. On the other hand, when the current design becomes invalid, we make multiple suggestions to restore validity. Note that even though the (unconstrained) configuration space is high-dimensional, our computational framework only exposes meaningful (i.e., valid) suggestions, thus greatly simplifying the user’s task. We make both continuous and discrete suggestions: while continuous suggestions leave the inter-plank joint topology unchanged, discrete suggestions involve adding support materials. 6.1 Geometric constraints Aside from the physical validity of the shape, i.e., its durability and stability, shapes designed in our system are geometrically restricted by two constraints: (i) geometrical joint constraints and (ii) contact constraints (see Section 5). We first restrict the design space where the shape satisfies these geometrical constraints and then investigate the physical validity. Each plank has 8 degrees of design freedom: 3 for translation, 3 for rotation, and 2 for edge lengths around the plank faces (the plank thickness is fixed). For each degree of design freedom of the planks, we ensure that the contact constraints and joint constraints are satisfied by adjusting the length of the planks (Figure 12-left). Further, some degrees of freedom are invalid, e.g., if both sides of a plank are nailed, the plank length cannot be adjusted (Figure 12-right). We identify and remove such invalid degrees of freedom from the design space. Note that if there are $C$ number of plank components and $\#DOF_{invalid}$ number of invalid design degrees of freedom, the constrained design space $\Gamma$ has dimensions of $N_c := 8C - \#DOF_{invalid}$. Each basis corresponds to one plank’s translation, rotation or length change and the adjacent plank’s length change. We scale the translation and length change basis with the inverse of the size of the maximum bounding box edge length to make the translation and length change DOFs dimensionless, like that of rotational DOFs. Next, we enable exploration in a physically valid subspace of a constrained design space $\Gamma$. 6.2 Valid space Recall that a shape is physically valid if two conditions are satisfied: (i) the shape is durable, which amounts to each joint having both pulling and shear forces below allowed thresholds, written as $$\|f_{pull}\| \leq f_{pull\ max} \text{ and } \|f_{shear}\| \leq f_{shear\ max} \quad \forall N_j,$$ and (ii) the shape is stable (i.e., it does not topple), which amounts to each contact point having a non-negative contact force $f_{cont}$ in the direction normal to the ground, written as $$f_{cont}^t \geq 0 \quad \forall \text{ contact points } l.$$ Let the corresponding subspaces of the configuration space $\Gamma$ be $\Gamma^{durable}$ and $\Gamma^{stable}$, respectively. Thus, the valid shape space is $\Gamma^{valid} := \Gamma^{durable} \cap \Gamma^{stable}$. When the current design becomes invalid, the goal is to provide multiple suggestions to return back to the valid shape space (see Figure 11). The valid space typically has a complex boundary since it is characterized by non-linear inequality constraints. Further, since the configuration space is high-dimensional, computing the exact boundary is difficult and time consuming. Also, it is nearly impossible to arbitrarily pick a valid shape directly from the high-dimensional space $\Gamma^{\text{valid}}$. Instead, we first pick several meaningful search directions to pursue, i.e., directions such that the invalid shape becomes valid under small manipulations. For each such direction, we use line search to identify configuration intervals where all the validity conditions are satisfied. Since the boundaries of $\Gamma^{\text{durable}}$ and $\Gamma^{\text{stable}}$ are characterized by force inequalities, we consider the valid shape space boundary in the \textit{force space}, i.e., a coordinate space with the forces as the axes. This simplifies the problem as the boundary is then geometrically prescribed by the corresponding inequality. For example, with two contact points, the stable region is 2D and Equation 8 simply indicates that the first quadrant is the stable region (see Figure 11). To efficiently characterize the joint durability force space, we make two approximations: (i) the translation force $h^t$ in Equation 4 remains constant with respect to small design changes and only the bending force $h^b$ varies and (ii) the shearing force in Equation 5 does not change under small design changes. These approximations are true when the bending force $h^b$ is dominant and more sensitive than $h^t$ under design changes. Thus, Equation 7 becomes $$\|h^t_i\| \leq 0.5 f_{\text{pull max}} N_{\text{pull}} + h^b_0 = A_{\text{max}}.$$ (9) Geometrically, the stable region $\Gamma^{\text{stable}}$ is approximated as a high-dimensional, axis-aligned cuboid with edge lengths of $A_{\text{max}}$ and centered at the origin in the joint bending force space (see Figure 11). Note that the dimensions of the contact force space and the bending force space are lower than the configuration space dimension ($\|\Gamma\| \approx 8C$). Specifically, the contact force space has a dimension of the number of contact points, while the joint bending space has a dimension of the number of joints $N_j$. Next, we describe how to efficiently search for directions in this simplified representation. We denote the boundaries of the stable and durable force space as $\Gamma^{\text{stable}}$ and $\Gamma^{\text{durable}}$, respectively. ### 6.3 Visualization of the valid range During direct editing, we display the valid range of the parameter being manipulated. To do this, we evaluate the validity by changing the parameter. When the current configuration is already valid, the search proceeds in both directions until it becomes invalid to identify the bounds. When the current configuration is invalid, we first select the direction of the search using the result of the sensitivity analysis and then run a bisection search along that direction to identify the valid range, as explained next. ![Figure 12: Constrained design modes: (a) the lengths of neighboring planks of the edited planks are adjusted so that joints stay connected; (b) a translation mode is invalid if both sides of the planks are jointed.](image) ![Figure 13: Comparison of a stable shape and a durable space with and without approximation.](image) ### 6.4 Continuous shape suggestions When the current configuration becomes invalid, we compute several suggestions: (i) if only stability is violated, the system finds search directions to restore stability by analyzing the boundary of $\Gamma^{\text{stable}}$; (ii) if only durability is violated, the system finds search directions to restore durability by analyzing the boundary of $\Gamma^{\text{durable}}$; and (iii) if both stability and durability are violated, the system first proposes directions to restore stability and then restore durability. Under local changes, we assume forces to vary linearly according to the design variations. Note that we use linearization only to select good directions (see Yang et al. [2011] for use of higher-order derivatives). After selecting a direction, we run a bisection search along the direction using all the nonlinear constraints without any approximation for actually computing valid designs. Figure 13 shows a sample comparison with and without linear approximation. If we cannot find valid shapes in the direction, we simply omit it from the suggestions (see Algorithm 1). We found that simultaneously exploring the full design space involves searching over $\|\Gamma\| \approx 8C$ dimensions, which is impractical for real-time performance. Also, users can find suggestions involving variations across many parts to be confusing. Instead, we focus on suggestions involving at most $M$ degrees of freedom for any suggestion (3 in our examples). We try all the possible combinations of selecting $m$ design DOF-s ($m \leq M$), denoted by $\{y_1, \ldots, y_m\}$. We parametrize a search direction as a unit vector $s \in \mathbb{R}^M$ with coordinates $s_i$ such that $\sum_{i=1}^{M} s_i^2 = 1$ and the direction is $s := \sum_{i=1}^{M} s_i y_i$. Algorithm 1 Generating durability-restoring suggestions - Generate design modes $\{y_0, \ldots, y_n\}$ - Compute $A^{-1} / \rho$ in Equation 6 // - Generate sensitivity of $h, f_{\text{contact}}$ against all Dofs in $\Gamma$ - $C$: set of combination of integer value - for* $m = 1$ to $M$ do - for $m$ number combination of modes $c = \{i_1, \ldots, i_m\}$ do - if all subset of $c$ is not in $C$ then - Compute $K_0$ and $y^$ / Equation 11 / - Compute $t^$ /* Equation 10 / - if $t < 1$ then* - $C \leftarrow C \cup c$ - end if - end if - end for - end for - For $c \in C$, find range of durable shapes using bisection method - Order the suggestions based on the computed range Durability-restoring suggestions. A desirable search direction $s$ should quickly make the design durable, i.e., reach the boundary $\tilde{\Gamma}^{\text{durable}}$. Thus, for any direction $s$ we look for $$t^* := \arg\min_t \\|K_0 s + h'_{t\|0} \in \tilde{\Gamma}^{\text{durable}},$$ \hspace{1cm} (10) where matrix $K_0 \in \mathbb{R}^{N_f \times m}$ defines sensitivities of joint forces with respect to design changes $K_0 := \nabla h = [\partial h'_i / \partial y_i \ldots \partial h'_i / \partial y_m]$ evaluated at the current joint bending force $h'_{t\|0}$. For interactive performance, instead of finding the minimum step $t$ along direction $s$, we compute the search direction $s$ that takes us closest to the origin. Specifically, we choose a direction such that $$y^* := \arg\min_y \\|K_0 y + h'_{t\|0}\\|, \quad y \in \mathbb{R}^m,$$ \hspace{1cm} (11) and use $s = y^/\\|y^\\|$ to compute $t$ using Equation 10. We use a brute force method and try all the possible $M!$ combinations in the configuration space taking advantage of the simple axis-aligned cuboid approximation of the durable region. Specifically, finding the search direction can be seen as detecting collisions of rays with the durability cuboid where sensitivity of the bending force $K_0 s$ acts as a ray with its source at $h'_{t\|0}$. Hence, we cull a direction if either the norm of the sensitivity $K_0 s$ is small ($\leq 1$ in our tests) or the ray faces away from the cuboid. Stability-restoring suggestions. We compute stable shape suggestions similar to the durability case. Specifically, $$t^* := \arg\min_t \\|L_0 s + f_{\text{cont}} \in \tilde{\Gamma}^{\text{stable}},$$ \hspace{1cm} (12) where $L_0 \in \mathbb{R}^{N_{\text{cont}} \times m}$ is a sensitivity matrix of contact forces with respect to design changes $L_0 = \nabla f_{\text{cont}} = [\partial f_{\text{cont}} / \partial y_1 \ldots \partial f_{\text{cont}} / \partial y_m]$ evaluated at the position of the current contact force $f_{\text{cont}\|0}$. We choose a direction $s$ such that the shape quickly becomes stable. First, we project the current contact force vector $f_{\text{cont}\|0}$ on the stable region to obtain $f_{\text{cont}}$ (i.e., clamped to zero) and choose the direction that gets us closest to $f_{\text{cont}}$ using a least squares minimization, i.e., $s = y^/\\|y^\\|$ such that $$y^* := \arg\min_y \\|L_0 y + f_{\text{cont}} - f_{\text{cont}\|0}\\|, \quad y \in \mathbb{R}^m.$$ \hspace{1cm} (13) 6.5 Discrete shape suggestions When the structure is not durable, we try to make it durable by adding a support plank as a reinforcement around a joint that is under excessive force. Typically, nail joints connect two planks nearly at a right angle, making it difficult to attach any support material between the planks connected by the non-durable joint. Instead, we try to connect two planks that are parallel to each other and put the supporting plank orthogonal to the planks. We use a greedy strategy. First, we choose a combination of two planks $P_i, P_j$ such that (i) they are nearly parallel (we use $\|\mathbf{n}_i \cdot \mathbf{n}_j\| < 0.5$ where, $\mathbf{n}_i$ is the face normal of plank $P_i$, and the same for $\mathbf{n}_j$), (ii) between the two planks there is a third plank $P_k$ connected to $P_i$ and $P_j$ by joints, and (iii) one or both joints $N_{ik}$ and $N_{jk}$ are non-durable. We suggest adding support material between $P_i$ and $P_j$ at a location chosen from several (rule-based) candidate positions so that the support material does not intersect with other planks (see Figure 15). We check for durability of the joint by running a physical simulation to make sure that the support plank is effective. The system tries many combinations of planks until it finds effective supporting planks based on standard rules used in woodwork [Bergman 2010]. Smarter strategies should be investigated in the future. 7 Results In our system we consider furniture designs using 12 mm medium density fiberboard (MDF) with 32 mm nails, spaced at interval of 20 mm. Such a placement can take a maximum shear force of $f_{\text{shear max}} = 190$N and maximum pull force of $f_{\text{pull max}} = 35$N. We consider a coefficient of friction $\mu$ equal to the coefficient of static friction to 0.5 in our tests. In our current implementation, we can regularly handle up to 10-15 plank designs at interactive speed. In each exploration session, the user progressively adds planks and proposes an initial configuration with the target load-bearing capacity. For example, in Figure 2, we put 50 kg weight on the horizontal plank and 15 kg on the supporting back plank. The final design was found after several iterations of suggestions and design explorations. We built a physical prototype (the construction took around 4 hours) and found it to behave satisfactorily under the target load (see video). In Figure 16, we use our system to design non-conventional bookshelves. The computational support is critical as we have little intuition in such unusual situations and cannot benefit from prior experience. Guided exploration helps the user to explore the design limits while not having to worry about physical validity. Figure 17 shows additional design sessions with our system. Note that we show only a few representative suggestions, while we refer the readers to the supplementary video and demo for details. The user is provided with corrective suggestions only when the design becomes invalid. Further, each suggestion comes with a range where the shape remains valid. Thus, even when the sugFigure 17: Typical nail-jointed furniture design sessions in our guided exploration framework. Only a few suggestions are shown in each example. Please refer to the accompanying video and demo for further explanation. Note that suggestions often involve synchronous manipulation of multiple planks, which is difficult to perform without computational support. tion modes involve multiple planks, the user simply has to adjust a single parameter along the suggested deformation direction. For example, in the chair 1, we show 3 different suggestions each involving a pair of planks to be simultaneously manipulated to restore validity. In case of chair 2, the situation is similar, but we have 3 specified weights. In the case of shelf 1, we note that geometrically the initial and final configurations are not very different. Even then, the validity-restoring path is non-trivial to find by trial and error, especially since there are different interactions involving simultaneous rotation and anisotropic scaling of multiple components. In the case of shelf 2, the top and the big side planks get adjusted over the course of the guided exploration to result in a shape that can withstand the three vertical loads. Note that the complexity of the configuration space rapidly grows with the number of planks, making it increasingly difficult to design valid shapes manually without computational support and guidance. We observe that while it is possible to restore validity by using thicker planks with more weight-bearing capacity (see Figure 18), this unfortunately results in higher cost, lower efficiency, and unnecessarily bulky designs. Table 1 presents typical continuous and discrete suggestion generation times. For generating 50 suggestions, we can explore $\sum_{i=1}^{N_p} \binom{N_p}{i} = O(N_p^3)$ directions in real-time even for $N_p$=20 planks using linear approximation with the line search step taking the majority of the time. We recall that each additional plank increases $N_p$ by roughly 8 (see Section 6.1). Validation. We validated the durability of our nail-joint model (see Equation 4) in a simple cantilever beam example with the same material assumed in our system. We observe that the maximum weight cantilever beam closely follows our model (see supplemental material). Analogous to yielding, we observed a rapid increase in shape deformation around the maximum predicted weight. User study. We performed a user study to obtain feedback from users. Recreating a typical design scenario, we asked the user to design a piece of furniture freely following their initial concept. Nine test users (novice designers, CS graduates, 1 female) designed furniture with three types of systems: (i) a system without feedback from the physical simulation (i.e., the participants were not informed about which joints were undurable or whether the furniture toppled during design) and without suggestions, (ii) a system with feedback from the simulation (validity check and valid range visualization) but without suggestions, and (iii) a system with feedback and suggestions (our system). While using system (i), the user was allowed to see the result of simulation up to five times whenever she liked, assuming the use of a traditional parametric modeling software along with a simple CAD software. Each participant started by creating a concept design on paper. Then she created 3D furniture models with the three systems to realize their concept design. To counter-balance learning effects, we separated the nine participants into two groups: five participants used the system in the order (i, ii, iii), while the rest used the system in the reversed order (iii, ii, i). On an average, the participants took roughly 30 minutes per successful design. We present session histories in the supplementary materials. In Figure 19, we show a session where the participant, who was proficient at Google SketchUp, used the systems in order (i, ii, iii). The participant simply failed to design a valid shape using system (i). With system (ii), he managed to design a valid piece of furniture, but he complained that the shape of the furniture was boring and far from his initial design concept. Using system (iii), he successfully designed a valid piece of furniture closely following his initial concept. Other sessions had similar results (see supplementary materials for the other user sessions). All nine participants successfully created valid pieces of furniture close to their initial concepts with our system. Note that even the participants who used the system in the order (iii, ii, i) mostly failed to recreate the design with system (ii) or (i) although they had seen successful designs while using system (iii). Intuitively a validity-restoring suggestion often involves synchronous editing of multiple parts, which is challenging without suitable computational support. A participant commented that displaying the range of edits was very useful for fine-tuning a design. We note that a more rigorous quantitative comparative study of such creative design support is needed. Limitations. We consider planks to be perfectly rigid and unbreakable. In practice, however, planks deform under heavy loads, influencing their nail-joint behavior and ultimately they can break. This is especially true in the context of shelves or other furniture with long segments without any supporting structures. We also do not consider curved planks or shifting loads in our framework. Further, our linear approximations for computing durability and stability constraints can be violated in highly non-linear regions. Although it is possible to consider higher-order approximations, we decided against such a choice in favor of interactivity. Finally, we restricted $M = 3$, thus limiting the range of design possibilities. In certain cases, it is desirable to explore the range of meaningful suggestions especially in designs with many components, or when the initial design is far from the valid space. Exploring valid design spaces is difficult, especially when the constraints are non-linear. While characterizing the valid space itself is difficult, exploring high degrees of freedom design spaces is challenging as the valid regions maybe disjoint forming islands or have narrow connections leading to invalid final shapes, posing further challenges. In such cases, our technique can fail to find durable configurations, even when they exist. Finally, we do not consider aesthetics in our framework. Ideally, aesthetic considerations should come from designers while our goal is simply to computationally assist the form-finding process by guiding the designer away from invalid or uninteresting parts of the shape space. 8 Conclusion In this paper, we presented an interactive computational design framework for guided exploration of physically valid shapes for nail-jointed furniture. Our system provides intuitive real-time guidance to the user to help her avoid invalid designs, either due to stability violations, or due to excessive joint bending forces. We propose a novel force-space analysis for both bending forces and frictional constraints to generate multiple suggestions, along with valid deformation ranges, involving both continuous and discrete geometric changes. We used our system to design a range of furniture and also demonstrated the utility of the system by building a physical prototype. \| \| Figure 17 right \| Figure 16 right \| Figure 16 middle \| Figure 1 right \| \|----------------\|-----------------\|-----------------\|------------------\|---------------\| \| #planks \| 9 \| 10 \| 20 \| 28 \| \| #joints \| 13 \| 13 \| 33 \| 49 \| \| #continuous suggestion \| 8 \| 8 \| 8 \| 6 \| \| candidate generation (ms) \| 13.2 \| 22.3 \| 169 \| 758 \| \| line search (ms) \| 92.3 \| 83.1 \| 670 \| 1512 \| \| #discrete suggestion \| 1 \| 1 \| 2 \| 1 \| \| discrete suggestion (ms) \| 3.8 \| 5.6 \| 48 \| 52 \| \| total time (ms) \| 110 \| 123 \| 880 \| 2420 \| Table 1: Performance statistics on a laptop computer with an Intel Core i7 2.8GHz CPU with 4Gb RAM. A lot remains unexplored in this area. In the future, we want to ensure validity for dynamic furniture, e.g., designing a physically valid rocking chair. A possible approach is to treat the problem as a coupled exploration of multiple shapes based on the contact points to the ground and the relative (upright) orientation of the shape. Subsequently, we can simultaneously explore the multiple shapes while addressing similarity terms that are not consistent across all shapes (since no correspondence is known). Finally, we plan to support exploration of shape design involving a large number of components, e.g., designing a building, etc. Acknowledgements. We thank Lars Hesselgren, Helmut Pottmann, Anthony Steed, and Michael Wand for their comments, and the anonymous reviewers for their thoughtful and useful suggestions. The work was supported in part by a KAUST visiting student grant, the Marie Curie Career Integration Grant 303541 and JSPS. We also thank Chiragun Amati for the video voiceover and Shuitian Yan for rendering the teaser image. References ALEXA, M., AND MATUSIK, W. 2010. Reliefs as images. ACM TOG (SIGG), 29, 60:1–60:7. 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Toward navigation ability for autonomous mobile robots with learning from demonstration paradigm: A view of hierarchical temporal memory Xinzheng Zhang¹, Jianfen Zhang¹ and Junpei Zhong² Abstract Learning from demonstration, as an important component of imitation learning, is a paradigm for robot to learn new tasks. Considering the application of learning from demonstration in the navigation issue, the robot can also acquire the navigation task via the human teacher’s demonstration. Based on research of the human brain neocortex, in this article, we present a learning from demonstration navigation paradigm from the perspective of hierarchical temporal memory theory. As a type of end-to-end learning form, the demonstrated relationship between perception data and motion commands will be learned and predicted by using hierarchical temporal memory. This framework first perceives images to obtain the corresponding categories information; then the categories incorporated with depth and motion command data are encoded as a sequence of sparse distributed representation vectors. The sequential vectors are treated as the inputs to train the navigation hierarchical temporal memory. After the training, the navigation hierarchical temporal memory stores the transitions of the perceived images, depth, and motion data so that future motion commands can be predicted. The performance of the proposed navigation strategy is evaluated via the real experiments and the public data sets. Keywords Cortical learning algorithm, hierarchical temporal memory, learning from demonstration, navigation, sparse distributed representation Date received: 14 May 2017; accepted: 27 April 2018 Topic: AI in Robotics: Human Robot/Machine Interaction Topic Editor: Nak-Young Chong Associate Editor: Kiju Lee Introduction Learning from demonstration (LfD), as an important issue in imitation learning,¹ is a paradigm for robot to learn new tasks. It is inspired from the fact that the human being learns the new skills or obtains the experiences under the guidance of the human experts. In contrast to the traditional scenario, LfD does not require analytically programming a detailed behavior, and allows the users to take the appropriate showing and to “teach” the robot how to perform the new tasks. With observing more demonstrations and... repetitions, LfD provides the robot the ability to acquire the means of behaving new skills. Considering the application of LfD in the navigation issue, a person follows the tour guide to move from any position to the destination when he first visits an unknown place. After the person remembers the path which the guide showed, he learned the navigation skill on how to go to the destination in that place. As the human being learns the navigation behavior above, the robot can also acquire the navigation task via the human teacher’s demonstration. This natural communication way between the human teacher and robot learner releases the complex couple of perception and planning in the navigation process, and therefore, LfD for autonomous navigation has become an attractive topic in robotics area. Related work The comprehensive surveys on LfD are studied by Argall et al.\textsuperscript{2} and Billard et al.\textsuperscript{1} These works, respectively, phrased that the LfD can follow the machine learning and computational neuroscience approaches. Nehaniv and Dautenhahn\textsuperscript{3} analyzed four key issues of LfD, where “What to imitate” and “How to imitate” in our opinion are the two most important problems for the navigation task. Learning the relationship between the perceptual information and actions is dominant in the literatures. We call this as end-to-end learning. The difference in previous research works is on the representations of this relationship. The first paradigm is learning the mapping of the perceptual data and action commands\textsuperscript{5–8} directly. To learn this mapping, De Rengervé et al.\textsuperscript{5} used artificial neural network to recognize the places according to the panorama. The recognized places combined with odometry and compass data are applied to learn the motion commands by Gaussian mixture models. Similarly, in the study by Choi et al.,\textsuperscript{7} leveraged Gaussian process regression, another statistical technique, was presented to get the navigation policy from sequences of sensor data and action pairs. This method also allows demonstrations from casual or novice users not limited to experts. The associations between percepts and actions can be described by a set of fuzzy rules,\textsuperscript{6} and predictive sequence learning (PSL) algorithm\textsuperscript{8} is used to learn these associations and to predict expected sensor events in response to executed control commands. In addition, with PSL and simulation theory, the robot can generate the experience of novel sequences of events according to the learned relationships.\textsuperscript{8} The second paradigm is to represent the relationship as a planning cost function.\textsuperscript{9–12} Learning this cost function is implemented by LEArning to searCH algorithm,\textsuperscript{9, 11} which is a proper technique for imitating a nonlinear cost function, and by Optimal Rapidly-exploring Random Trees planner.\textsuperscript{10} Suleman and Awaiss\textsuperscript{12} proposed to find a translatable map function of teachers’ and learners’ actions by shared circuits model theory. It is a comprehensive and multidiscipline representative theory explaining imitation and other related social functions. Konidaris et al.\textsuperscript{14} described a value function as the cost to link the trajectory segments/chains and the sequential motion commands and applied constructing skill tree algorithm which incorporates the pros of hierarchical reinforcement learning and statistical change-point detection algorithm to learn this value function. To make a summary from the literatures above, the main methods for “How to imitate” are from the statistical theory,\textsuperscript{5, 12} machine learning,\textsuperscript{6, 8–11, 13} and their incorporations.\textsuperscript{5, 14} Why hierarchical temporal memory As futurist Ray Kurzweil described in his book,\textsuperscript{17} the neocortex contains a hierarchy of pattern recognition circuits and they are responsible for most aspects of human thought. He also explains that if there exists a design of the digital neocortex, it could be used to create the same capabilities as the human brain. Hierarchical temporal memory (HTM) theory,\textsuperscript{19} first proposed by Hawkins,\textsuperscript{18} is an implementation version of Kurzweil’s view of digital neocortex. It attempts to model the brain at a functional level rather than at a neuron or molecular level. HTM is a bioinspired model that captures the predominant characteristics of the neocortex. It mimics the neocortex’s abilities of learning, inference, and prediction from sequential input patterns that are represented in sparse distributed forms and, therefore, it can describe a complex model of the world. Additionally, HTM uses the sparse distributed representations (SDRs) to represent the complex input data and lend the HTM so much flexibility, which is similar to the idea that the brain is a recursive probabilistic fractal whose line of code is represented within the 30–100 million bytes of compressed code in the genome.\textsuperscript{15} The core of the Kurzweil’s book is the pattern recognition theory of mind. Its main idea is that the hierarchical structure is treated as pattern recognizer and is not just for sensing the world but for nearly all aspects of thought. It is natural that HTM was first successfully applied for pattern recognition system.\textsuperscript{18–20} The reasons stated above indicate that HTM can be considered as a promising approach for implementing LfD-based navigation task. Therefore, in this study, we designed an LfD navigation paradigm from the view of HTM. It is also a type of end-to-end learning form. The relationship between perception data and motion commands will be learned and predicted by using HTM. This framework first perceives images to obtain the corresponding categories information; then the categories incorporated with depth and motion command data are encoded as a sequence of SDR vectors. The sequential vectors are treated as the inputs to train the navigation HTM (Nav-HTM). After the training, the Nav-HTM stores the transitions of the perceived images, depth, and motion data so that future motion commands can be predicted. The performance of the proposed navigation strategy is evaluated via the real experiments and the public data sets. The contribution of this work is not to appraise the literature above but just to provide a promising solution from the view of mimicking the neocortex capabilities. Materials and methods As a memory system, HTM is essentially a type of neural network. It first models the cells, interconnects and arranges cells in columns, organizes columns in a two-dimensional (2-D) array to constitute the HTM region, and finally establishes a hierarchical neural network, as shown in Figure 1. The network learns from the time-varying inputs. These inputs have the format of SDR, which is either transformed from the environmental sensory data by an encoder or received from the outputs of the lower-level region. The HTM network is trained by a simple learning algorithm, namely, the cortical learning algorithm (CLA). It learns and stores sets of distributed input pattern sequences (including the sensory or sensory-motor patterns) and their transitions in the hierarchical organization through spatial and temporal pooling. With the remembered sequences and transitions, the HTM network performs inference (i.e. recognition) and prediction for the new coming inputs. The proposed HTM-based LiD navigation system follows the HTM workflow and is illustrated in Figure 2. The detailed explanation and properties of HTM and SDR can be found in technique reports.\textsuperscript{16} We describe the crucial contents related to our application in the following section. HTM network model The HTM network is composed of numerous interconnected HTM cells, which are organized in a column paradigm. HTM cells extract the most important capabilities of biological neurons, and as shown in Figure 3, they have more complex structures than conventional artificial neurons. A typical HTM cell has three output states: the active state activated from feed-forward input, the predictive state activated from lateral input, and the inactive state. Each HTM cell in one column shares a single proximal dendrite segment (closest to the cell body) and has a list of distal dendrite segments (farther from the cell body). The proximal dendrite segment receives all feed-forward inputs, including the environmental sensory data and outputs of the lower-level region, via active synapses marked by green dots. These active synapses have a linear additive effect at the cell body. Distal dendrite segments receive the lateral inputs from nearby cells through active synapses marked by blue dots. Figure 3 shows that each distal dendrite segment is a threshold detector. The segment will be activated if the number of active synapses on a segment is above a threshold $Th_{seg}$. An OR operation is executed on all active distal dendrite segments to make the associated cell become the predictive state. Synapses of the HTM cells have binary weights and are formed by a set of potential synapses, which are axons that are sufficiently close to a dendrite segment and may become synapses. For the proximal dendrite, a potential synapse consists of a subset of all inputs to a region; and for the distal dendrite, the potential synapses are predominantly from the nearby cells in a region. Each potential synapse is assigned a scalar value ranging from 0 to 1. This scalar value is named as permanence, which represents a closeness or connection degree between an axon and dendrite segment. A larger permanence yields a stronger connection. If the permanence is above a threshold $Th_{per}$, the potential synapse becomes a valid synapse, and the weight of this valid synapse is set as 1. The cell body receives the inputs of synapses from proximal and distal segments and provides two outputs along the axon: one is in an active state, which is horizontally sent to other adjacent cells, and the other is the OR of the active and predictive states sent to the cells of the next region. Because the perception and action are integrated in the HTM network, distal dendritic input can also be the external input. That is, lateral connections between cells will typically be turned off in sensorimotor inference. Sparse distributed representation SDR is an efficient information organization in the HTM. Sparse indicates that a small percentage of cells among the large interconnected cells are activated at one time. “Distributed” indicates that active cells are spread out across the region and will be involved in representing the activity of the region.\textsuperscript{16} In HTM, the binary SDR converted from a certain encoder is considered because the binary representation is more biologically plausible and highly computationally efficient. Although the number of possible inputs is greater than that of possible representations, the binary SDR does not generate a practical loss of information because the SDR has the following crucial properties. Semantic overlap: Each cell can be thought of as capturing some “feature” in the inputs; therefore, every active cell in an SDR has semantic meaning assigned from the structure in the inputs. Different active cells at different columns in a region can produce exponential combinations of representation for the various inputs, even if any two inputs look similar. SDR possesses the property of mapping similar inputs to similar representations, which can be identified by comparing the overlap of bits with $$\text{overlap}(x, y) \equiv \|\|x \land y\|\|$$ (1) where $x$ and $y$ are binary SDRs of input vectors or the stored vectors in a region; $\|\|\cdot\|\|$ is the vector length operator, and it is simply the total number of “1” bits; and $\land$ denotes the bit-wise AND operator. Union: Given a set of SDRs, they can be reliably stored in a single fixed representation by the OR operation following equation (2). This is important for HTM, as it holds a dynamic set of elements and underlies the prediction process in the temporal pooling. As such, a fixed set of cells and connections can operate on a dynamic list, and the union is also used to represent invariance or check a given prediction by searching the union containing its SDR. $$U_{SDR} = \bigvee_{i=1}^{k} x_i$$ (2) where $\bigvee$ is the bit-wise OR operator. CLA dynamic process The CLA is a mechanism for explaining the operation in a single region of the neocortex. It has a simple framework and mathematical descriptions. The HTM uses the CLA dynamic process to learn the spatial and temporal variability commonly occurring in sequential input data and then to make predictions. The typical CLA is composed of two subprocesses: spatial and temporal pooling. The detailed explanations are described in the following subsections. Spatial pooling. The essential function of spatial pooling is to form an SDR of the inputs. When an input appears on a region, each bit in the input signal will be assigned only to a subset of columns. The number of columns is computed by $p_{pos}$, which is the percentage of inputs that a column can be connected to within a given column’s potential radius $r_{pos}$. The potential synapses associated with cell proximal dendrites on these columns will be activated when their permanence values are above a threshold $Th_{syn\_per}$. The number of active synapses is multiplied by a boost factor (bf), which is dynamically determined by how often a column is active relative to its neighbors. This is the phase of overlap, as shown in equation (3) $$\text{overlap}(x'_{in}, sdr_c) = \begin{cases} 0, & \text{if } \text{overlap}(x'_{in}, sdr_c) < \text{ol}_{\text{min}} \\ \text{bf}_c \times \text{overlap}(x'_{in}, sdr_c), & \text{others} \end{cases}$$ (3) where $x^t_{in}$ is the input SDR vector at time $t$, sdr$_c$ is the stored SDR in column $c$, bf$_c$ is the boosting factor for column $c$, and ol$_{min}$ is the minimum overlap. The columns with the highest activations after boosting disable a fixed percentage of the columns within an inhibition radius. The result of the inhibition is to form a sparse set of active columns that are treated as the inputs of the temporal pooling subprocess in the same region. The mathematical inhibition process is $$C_{act}(t) = C_{act}(t) \cup \{c\},$$ if overlap $(x^t_{in}, \text{sdr}_c) > 0$ and overlap $(x^t_{in}, \text{sdr}_c) \geq \text{LA}_{min}$ (4) where $C_{act}(t)$ is the set of the active column index at time $t$ and $\text{LA}_{min}$ is the minimal number of winning columns. A Hebbian-like learning procedure is implemented for each of the active columns. Permanence values of synapses aligned with active input bits are increased, and those aligned with inactive input bits are decreased, which is represented in equation (5) $$\text{pm}^c_{ps_j} = \begin{cases} \min(1.0, \text{pm}^c_{ps_j} + \text{pm}_{syn\_inc}), & \text{if ps}_j \text{ is active} \\ \max(0.0, \text{pm}^c_{ps_j} - \text{pm}_{syn\_dec}), & \text{others} \end{cases}$$ (5) ps$_j$ denotes the $j$th potential synapse in active column $c$, and its permanence value is denoted by pm$_{ps_j}$. pm$_{syn\_inc}$ and pm$_{syn\_dec}$ are the increment and decrement permanence values, respectively. The changes in permanence values make some synapses become valid or invalid accordingly. Simultaneously, the bf and inhibition radius are both updated according to equation (6) $$\begin{cases} \text{bf}_c = f_{bf}(\text{ADC}^c_{avg}, \text{ADC}^c_{min}) \\ r_{inh} = \frac{(\text{CS}_{avg} \times \text{Pl}_{col} - 1)}{2} \end{cases}$$ (6) ADC$_{avg}$ (active duty cycle) is a sliding average that represents how often column $c$ has been active after inhibition, for example, over the last 500 iterations. ADC$_{min}$ represents the minimum desired firing rate for column $c$. $f_{bf}$ is the update function, which linearly interpolates the bf between the points (0, bf$_{max}$) and (DC$_{min}$, 1), as shown in Figure 4. In general, the bfs for all columns are updated simultaneously. For the inhibition radius updating, the number of inputs to which a column is connected (denoted by CS$_{avg}$) should first be determined, and then, this number is multiplied by the total number of columns that exists for each input (denoted by Pl$_{col}$). For multiple dimensions, the aforementioned calculations are averaged over all dimensions of inputs and columns. Figure 4. Function for updating the bf. bf: boost factor. Temporal pooling. The key to CLA is the ability to learn and predict how the patterns in the world change over time and how these changes have a sequential structure that reflects transitions of the real world. The temporal pooling is more complex than spatial pooling because it combines the learning and inference procedures. It consists of three phases, and the inputs are the $C_{act}(t)$ obtained from the spatial pooling dynamic. Phase 1: Determining the active state of cells. For each active column obtained in spatial pooling, the cells that are fired to a predictive state from a previous time are activated (referring to equation (7)). Simultaneously, the distal dendrite segment on each of these cells is marked as active when the number of synapses is over a threshold Th$_{act}$. The learning cells are chosen by equation (10). Additionally, if a segment is activated from the learning cells during the previous time, the cell to which this segment connects is set as the learning cell (see equation (8)). If no cell is in a predictive state, all of the cells in the column are activated, which is defined in equation (9). For this case, the segment that has the largest number of active synapses is found in column $c$ of cell $i$ at time $t-1$, and then, the related cell to which this segment connects is chosen as the learning cell. If no cell has such a segment, we select the cell that has the fewest number of segments as the learning cell (see equation (10)). In phase 1, the resulting set of active cells consists of the current input in the context of prior inputs. For the perception–action integration case, there is an optional “Learn-On-One-Cell (LOOC)” hysteresis mode. This mode is switched in the following situation: When a column is not predicted but activated by the sensory input, cells that were previously selected as the learning cell would still act as the learning cell at the current time. If no such cell exists, the learning cell is also determined by equation (10). If the LOOC mode is triggered, a copy of the motor signal is added to the input of the distal dendrites \[ \begin{cases} \text{na}_c^i(t) = 1 \\ \text{nl}_c^i(t) = 0 \end{cases}, \quad \text{if} \quad \begin{cases} \text{np}_c^i(t-1) = 1 \\ \text{sga}_c^i(t-1) = 1 \end{cases} \] (7) \[ \begin{cases} \text{na}_c^i(t) = 1 \\ \text{nl}_c^i(t) = 1 \end{cases}, \quad \text{if} \quad \begin{cases} \text{np}_c^i(t-1) = 1 \\ \text{sga}_c^i(t-1) = 1 \end{cases} \quad \text{and} \quad \begin{cases} \text{sgl}_c^i(t-1) = 1 \end{cases} \] (8) \[ \text{na}_c^i(t) = 1, \quad i = 1, ..., n_c \] (9) \[ \text{nl}_c^i(t) = 1, \quad \text{if} \quad \begin{cases} \text{cell } i \text{ has the segment with the largest number of active synapses} \\ \text{OR} \\ \text{cell } i \text{ with the fewest number of segments} \end{cases} \quad \text{at time } t-1 \] (10) \[ \text{np}_c^i(t) = 1, \quad \text{if} \quad \text{sga}_c^i(t) = 1 \] (11) On column $ c $ of cell $ i $, the current active segment is added to the update list $ \text{SU}_c^i(t) $, which will be used in phase 3. To extend the prediction back in time, another distal dendrite segment that has the largest number of active synapses at the previous time is also considered to add to the update list. Phase 3: Updating synapses. Similar to the synapse updates of the proximal dendrite in the spatial pooling dynamic, whenever a distal dendrite segment becomes active, the permanence values of its associated potential synapses are modified by the Hebbian rule only if the cell correctly predicted the feed-forward input. Thus, the synapse permanence values for the segments in update list will be reinforced positively or negatively by \[ \text{pm}_{s_j^i}^c(t) = \begin{cases} \min(1.0, \text{pm}_{s_j^i}^c(t) + \text{pm}_{\text{inc}}), & \text{if } \text{nl}_c^i(t) = 1 \\ \max(0.0, \text{pm}_{s_j^i}^c(t) - \text{pm}_{\text{dec}}), & \text{if } \text{np}_c^i(t) = 0 \text{ and } \text{np}_c^i(t-1) = 1 \end{cases} \] (12) where $ \text{pm}_{s_j^i}^c(t) $ represents the $ j $th synapse permanence value of a segment on column $ c $ of cell $ i $, and $ \text{pm}_{\text{inc}} $ and $ \text{pm}_{\text{dec}} $ are the incremented and decremented permanence values in temporal pooling dynamics, respectively. Finally, a vector representing the OR of the active and predictive states of all cells in a region becomes the input to the next region in the hierarchy. With the prediction, the HTM network can estimate approximately when the inputs... will likely arrive next as well as invoke and separate the motor information. Results To examine the performance of the HTM-based navigation strategy, we designed two experiments using the TurtleBot 2 mobile robot in a typical indoor environment of our department. One is a simple navigation in a typical office indoor environment. The robot loaded two motion sensors, odometry and gyro, and moved at translational and rotational speeds of $200 \text{ cm s}^{-1}$ and $20^\circ \text{ s}^{-1}$, respectively. The perceptual image data were acquired from a Kinect RGB-D camera loaded on the top of the robot. In these two experiments, we stored RGB images with sizes of $640 \times 480$ per second. To make the computation efficient, the depth information within a region of interest (ROI) was extracted. The ROIs were selected as individual $64 \times 48$ rectangles around the image center. Simultaneously, the motion data, including the translational and rotational speeds, were collected from the interior motion sensors. The RGB-D and motion information were incorporated for HTM network training and prediction. The other experiment is designed by using the public data set of outdoor environments to further evaluate our proposed navigation methods. The HTM was designed based on the open-source project NuPIC (available at https://github.com/numenta/nupic), and its settings were identical for both experiments. The network has a hybrid structure. As shown in Figure 5, the image data were first processed by another vision HTM (VHTM) network, which is an earlier version of HTM implementation, and its output combined with the depth and motion data was encoded to send to the upper one-region Nav-HTM network for motion prediction. We treated the VHTM as a recognition system and set it as a four-region network. Each region has a form of a 2-D cell matrix. The input region has $640 \times 480$ cells, which is equal to the image size; region 1 is an $80 \times 80$ cell matrix, region 2 is $10 \times 10$, region 3 is $2 \times 2$, and region 4 has only one cell, and it is also the output cell for the recognized category. For the Nav-HTM, the number of cells in each column was set to 32, and the size of the columns was set to 2048 (arranged as $64 \times 32$ in a 2-D plane). This configuration maintains the diversity of SDR inputs and a low probability of a false match between any two SDR inputs. We applied a scalar encoder\textsuperscript{16} to organize the motion data as the two 256-bit one-dimensional (1-D) SDR vector and a custom encoder to represent the depth data as the 8-bit 1-D SDR vector. For the output of VHTM, we also used a scalar encoder to encode the image category as the 16-bit 1-D SDR vector. As shown in equation (13), all encoded 1-D SDR vectors were integrated as a 1024-bit binary string, where the image category and depth bits consisted of perception bits and the wheel velocities were motion bits. This binary string will be sent to the Nav-HTM network for training and prediction. ![Figure 5. Structure of hybrid HTM network for perception–action application. HTM: hierarchical temporal memory.](image) Note: tran. = translational, rota. = rotational. We set three valid bits of 16 bits for the scalar encoder of the image category. The number of 1s represents the category to which the input image belongs. For example, the encoded SDR 0111000000000000 indicates that the input image is in category 1, whereas 0011100000000000 indicates that it is in category 2. The length of the image category bits is designed for our evaluation cases, and it can be tuned adaptively according to different experimental settings. The custom encoding mechanism for depth bits is determined by the minimal distance extracted within the ROI. If the minimal distance is less than a threshold, that is, 40 cm in our experiments, the least significant bit of the depth bits is set as 1. The motion bits consist of two groups of speeds on the wheels, one for translational speed and the other for rotational speed. Because the maximal translational and rotational velocities of TurtleBot 2 are 70 cm s$^{-1}$ and 110° s$^{-1}$, respectively, we set the velocity range for both translation and rotation as $[-50, 50]$ (cm s$^{-1}$ or ° s$^{-1}$) based on Table 1. Parameters of the CLA dynamic process. \| Parameters \| Description \| Value \| \|---------------------\|-----------------------------------------------------------------------------\|-------\| \| $Th_{seg}$ \| Threshold for the number of active synapses on a segment \| 15 \| \| $Th_{per}$ \| Threshold for the permanence of potential synapse \| 0.2 \| \| $bf_{ini}$ \| Initial value of the $bf$ \| 1.0 \| \| $bf_{max}$ \| Maximal $bf$ \| 2.0 \| \| $o_{min}$ \| Minimum overlap \| 5 \| \| $r_{inh\_ini}$ \| Initial value of the inhibition radius \| 0 \| \| $LA_{min}$ \| Minimal number of winning columns \| 1 \| \| $r_{pot}$ \| Potential radius, the number of the input bits that are visible to each column \| 16 \| \| $\beta_{pot}$ \| The percentage of the inputs within a column’s potential radius to which a column can be connected \| 0.8 \| \| $pm_{syn\_inc}$ \| Incremented permanence value in spatial pooling \| 0.05 \| \| $pm_{syn\_dec}$ \| Decremented permanence value in spatial pooling \| 0.05 \| \| $Th_{syn\_par}$ \| Any synapse whose permanence value is above this threshold will become an active synapse \| 0.1 \| \| $ADC_{min}$ \| Minimum active duty cycle \| 0.001 \| \| $Th_{act}$ \| Threshold used to determine whether a distal segment is activated \| 14 \| \| $pm_{inc}$ \| Incremented permanence value in temporal pooling \| 0.1 \| \| $pm_{dec}$ \| Decremented permanence value in temporal pooling \| 0.1 \| CLA: cortical learning algorithm; $bf$: boost factor. Five sets of data were recorded in two separate demonstrating executions. Each included 140 RGB-D images and motion data. We used the first 140 captured demonstrated data to train the vision and Nav-HTM networks. After the training, the remaining groups of data were sent to the trained networks for offline evaluation. Offline validation is a batch testing, that is, the images collected at all sampling times were first sent to the VHTM to obtain a batch of image category information, then the image categories, depth, and motion data sampled at $t_i (i = 1, \ldots, 139)$ were sent to Nav-HTM, and finally the Nav-HTM outputs the predicted inputs of Nav-HTM at $t_j (j = 2, \ldots, 140)$. The motion commands can be split from these predictions. The offline evaluation results by using the second demonstrated data set are shown in Table 2 and Figure 8. Table 2 shows that the VHTM outputs for all testing data sets are identical with our desired values, which maintains the valid inputs for the Nav-HTM network. Figure 8 lists one-step ahead sequential action predictions of wheel translational and rotational speeds. It can be found that the predicted commands for the next sampling time are consistent with the practical ones captured by the motion sensors. In particular, when a command switch occurs (highlighted by the black arrows in Figure 8), this prediction mechanism still works well and produces correct motions. These offline examination results demonstrate that our proposed navigation method provides the correct motion predictions according to the different perceived environmental input data. In online examination, the real-time captured RGB images were sent to the trained VHTM network and the depth data were fed to the Nav-HTM network. Only the motion data taken at the first sampling time were sent to the Nav-HTM network. The Nav-HTM itself predicts a command for the next sampling time according to the current RGB-D and motion data. The predicted action is executed and fed back to the Nav-HTM to integrate with the new RGB-D data so that the next action prediction can be generated. Figure 9 provides the online navigation routine compared with the demonstrated routine. The current routine (marked in red line) recreates the learned routine (marked in blue line). The difference between these two lines is caused by odometer noise and accumulated error of dead reckoning. This result suggests that our proposed approach can be used for online autonomous LTD navigation. In fact, once the robot starts to move, it will maintain velocities received at the initial time, and therefore, the feedback of motion data at every sampling time exactly is used to update the previous actions. The learned motion data in the demonstration process are remembered in the Nav-HTM, and they are treated as the reference for the predicted actions. If the prediction is abnormal, these stored actions can be used for anomaly detection, which will be discussed in the “Conclusion” section. The computational platform is a Pentium M 1.73 GHz, with a 2G RAM laptop. The time for training the Nav-HTM network is 80.9 s, whereas the VHTM training time is much Figure 6. Typical objects in the simple experiment setting. Figure 7. Hand-measured map and predefined navigation routine. longer (370.7 s). The online evaluation process, which consists of loading trained networks, encoding RGB-D and action data, implementing spatial and temporal pooling, and predicting output, consumes 0.27 s. The cost of validation is considerably less than that of the training because the training is a batch processing. Categorizing all of the RGB images comprises nearly half of the training time. In comparison, only one image frame, depth, and motion data have to be processed in online evaluation; hence, the time cost is reduced considerably. Considering the results in Table 2. Offline evaluation results for VHTM. \| Object \| Desired image category (encoded) \| Test data set 1 \| Test data set 2 \| Test data set 3 \| Test data set 4 \| \|------------\|----------------------------------\|-----------------\|-----------------\|-----------------\|-----------------\| \| Open door \| 0111000000000000 \| 0111000000000000\| 0111000000000000\| 0111000000000000\| 0111000000000000\| \| Closed door\| 0011100000000000 \| 0011100000000000\| 0011100000000000\| 0011100000000000\| 0011100000000000\| \| Chair \| 0001110000000000 \| 0001110000000000\| 0001110000000000\| 0001110000000000\| 0001110000000000\| VHTM: vision hierarchical temporal memory. Figure 8. Offline evaluation results of the predicted actions. Figure 9. Navigation routine in online evaluation. In terms of computational time, it is logical to use the proposed method for real-time LfD navigation tasks. The case study on “Barcelona Robot Lab Dataset” The Barcelona Robot Lab Dataset (this data set is available at http://www.iri.upc.edu/research/webprojects/pau/data sets/BRL/index.php) is applied in this section to further evaluate the performance of the proposed navigation paradigm. This data set is intended to benchmarking algorithms for robust outdoor navigation in robotics community covers $10,000 \text{ m}^2$ of the UPC Nord Campus in Barcelona and include multiple sensor information. The interested data in this article are a time-stamped sequence of action/motion command from the odometry, impressively rich three-dimensional (3-D) laser data, and the sequential stereo images obtained with the custom-built 3-D scanner. Since the trajectories (i.e. the demonstrations) of days 1 and 2 are different, it is not convenient to train the HTM network with the data of day 1 and test the HTM with those of day 2. In this article, we only used the day 1 data to validate our navigation method. The training set is comprised of the data obtained at the odd sampling time ($t_s = 1, 3, 5, \ldots, n; n = 649$, where $t_s$ is the sampling time and $n$ is the total number of data), that is, the training data are selected every two sampling time; in addition, the data corresponding to the motion command switches have to be included in the training set. The stereo images are the inputs of VHTM, the velocities are from the odometry, and the depth is extracted from the stereo images within the ROI $128 \times 96$ (the size of original image is $1280 \times 960$). After the HTM network is trained, the online motion prediction process, similar to the first experiment, is executed for every sampling time. The difference between this online experiment and the first one is that the image and depth data are not captured in real-time form. We send the stereo images and related depth data to the HTM network frame by frame according to the time stamp. With this configuration, the robustness of our proposed navigation method can be further examined. Figure 10(a) and (b) shows the predicted motion commands compared with the practical commands of data sets. It can be found that there exist errors between the predicted and practical commands which are different from the results in Figure 8. Since, in the first experiment, all the data are used to train and only a part of data are selected as the training set in this experiment, the sequential commands predicted based on the partial demonstration data generate the errors. However, the time interval for training data is short, and especially, the data corresponding to the motion command switches sometimes follow the data grabbed at the odd time sample. This makes the training set almost the continuous data. In online experiment, most motion commands and stereo images have been used in training procedure, and Figure 10. The errors between the practical and predicted motion commands. The input data sent to HTM networks are recalled from the data set one by one and not the practical data acquired from the real sensors which lack the parameters of sensor uncertainty. Therefore, the calculated robot poses according to the motion commands have small accumulated errors. The mean and variance for the translational and rotational commands are $\mu_{\text{tran}} = 0.0077$, $\sigma_{\text{tran}} = 1.08$ and $\mu_{\text{rot}} = -0.24$, $\sigma_{\text{rot}} = 0.021$, respectively. These errors have little influence on the robot pose estimation, which is illustrated in Figure 11. The predicted navigation routine (dash-dot line with circle marker) is close to the demonstrated robot poses (dash line with cross marker). Table 3 lists the precision and recall rates of our proposed method compared to PIRF-Nav 2.0 algorithm.\textsuperscript{22} For the PIRF-Nav 2.0, we used the first motion command to calculate the initial robot pose and then estimated the next pose according to the next motion command and stereo image data. The errors between the estimated pose by using two different methods and practical pose computed from the motion commands of day 1 data set are obtained. With these errors, mean and variance for robot pose can be calculated, as shown in Table 3. The recall rate is the average detection rate at the loop-closure Figure 11. Online evaluation results of the robot poses. Table 3. Our proposed results compared to PIRF-Nav 2.0. \| Method \| Robot pose precision \| Recall (%) \| \|-------------------------------\|----------------------\|------------\| \| \| Mean \| Variance \| LC 1 \| LC 2 \| \| HTM-based navigation \| $-0.481, -0.490$ $^T$ \| $(0.0817, 0.0816)$ $^T$ \| 91.3 \| 90.7 \| \| PIRF-Nav 2.0 \| $(0.378, 0.383, 0.710)$ $^T$ \| $(0.174, 0.167, 0.206)$ $^T$ \| 89.1 \| 87.6 \| HTM: hierarchical temporal memory; LC: loop closure. parts which is marked in Figure 12. For our proposed method, loop-closure recognition is implemented by VHTM module. From the comparison results, it can be found that the recall rate of our proposed method is a little bit higher than PIRF-Nav 2.0 with the similar robot pose precision. These results state that our proposed LfD navigation can also be applied for an outdoor complex environment. Discussion Anomaly detection There is an important issue to be considered in the online evaluation. If the predicted actions deviate from those expected, the robot likely fails in the autonomous tasks, such as the navigation of our experimental environment. This situation is referred to in the terms of NuPIC as an anomaly. It is valuable to detect anomalies in real time for many applications. CLA takes the anomaly likelihood computed from an anomaly score, a powerful anomaly detection analysis approach, to address this problem.$^{23}$ The anomaly likelihood enables the CLA to provide a metric representing the degree to which each record of the input sequence is predictable. It is relative to the data stream rather than an absolute measurement of abnormal behavior and is thus a critical reference to detect whether the pattern with a high anomaly score is actually anomalous. Anomaly likelihood creates an average of the error score and then compares the current average error to a distribution of what the average error has been over the past data stream. This allows us to identify anomalies based on probability. As shown in Figure 13, if the anomaly likelihood is in the green section, this suggests that the record is normal. If it is in the red section, this record shows an abnormal value, which indicates that the pattern is a novel one not seen in any sequence. The yellow section indicates that the pattern is somewhat unusual and that we do not have high confidence. In our application, we consider a pattern anomalous if its likelihood is in the yellow section. Based on the concept of anomaly detection, we calculated the anomaly likelihood for each predicted action in the online navigation experiment. If the anomaly likelihood of any action is above a predefined probability threshold $P_{\text{th\_ano}}$ (0.90 in our experiment, i.e. the probability or accuracy of the green section is 90%, which is equivalent to a 1.65$\sigma$ tolerance interval for a normal distribution), we designed a simple action retrieval strategy, that is, recalling the remembered action sequence stored in Nav-HTM to replace that which has a higher anomaly likelihood. The retrieved action is treated as the prediction for the next time. We did not detect any abnormal predicted actions in the online navigation experiment above. To validate the performance of the proposed action retrieval strategy, we added an impulse noise with an amplitude of 15 on the 65th predicted translational speed. The anomaly likelihood for this predicted action is 0.954, which is over 0.90. We replaced this anomalous speed with the stored speed and sent it back to Nav-HTM as the prediction for the next time. With this replacement procedure, the following predicted actions after the 65th sampling time were correctly maintained. Because the CLA prediction mechanism in our experiment is one step ahead, we only retrieved one predicted action. If a multistep ahead prediction mechanism is adopted, the number of action retrievals is determined by the number of prediction steps and anomaly likelihoods. New image encoder In the present study, we used the earlier generation of HTM implementation to design a VHTM network so that the obtained images could be recognized or classified as a special category, and we further encoded the categories. However, some disadvantages exist for this implementation mechanism. The learning algorithm of the old generation HTM is a partial CLA, which only includes the key CLA components, that is, spatial and temporal pooling, and has simpler learning dynamics. Additionally, the old generation HTM has no concept of encoders, no completed structure of cells, and only one-cell-per-column network. All of these factors negatively impact the learning performance, making this process only suitable for solving the pattern recognition problem. Hence, the VHTM is not an image encoder but rather a classifier system. Additionally, it is a complex programming implementation to incorporate two different generations of HTM under different compiling platforms. In our experiments, we transferred large parts of the old generation HTM code to the new HTM compile platform. However, the compiling platform transformation decreases the computational efficiency. To address the problems above, it is necessary to design a new encoder to convert the image data to SDR. In our previous work, we attempted to use a visual vocabulary technique to encode the images. Unfortunately, it cannot always maintain the sparse distributed property. A promising work is from Rinkus’ research. He proposed a hierarchical sparse distributed coding and quantum computing technique, which has been successfully used to solve the visual processing problem. The future work of our present study can be directed to address how to integrate Rinkus’ work into the current CLA algorithm. Biological evidence for action prediction. The actions incorporated into the perceived inputs are able to contribute to predict the future consequences of the current actions. This is an important cognitive function in the perception–action integration system, which has been examined by Knoblich and Flach. They also proved that this type of prediction becomes more accurate when one obtains the knowledge from one’s own actions rather than those of others. Their research provides the biological evidence to support the action prediction mechanism of HTM and its application for robot navigation tasks. However, the current HTM only implements a simple consequence prediction. It provides a sequence of predicted actions, including one-step or multi-step predictions, but does not consider the potential information behind these predictions. From a biological viewpoint, the present version of HTM does not link the perceptual input with the action system to predict the future outcome of actions; that is, it does not explain the perception of intentionality for goal-related actions or implement the understanding of the intention hidden in the sequential predicted actions. Additionally, how the predicted actions guide the future perception process is not considered. Therefore, both of these two issues above will be the topics of our future work. Conclusion This study is the first attempt to explore the perception–action integration from the view of HTM, which mimics the substantial functions of the human neocortex. The main concept is that sequential perceptual information combined with motion data simultaneously contributes to predicting one-step future actions. The perceived images were first sent to a VHTM network to obtain corresponding categories. The categories were then incorporated with depth and motion data to be encoded as a sequence of 1-D SDR vectors. By using spatial and temporal pooling dynamics of CLA, the sequential vectors were treated as the inputs to train the Nav-HTM network; after the training, the Nav-HTM stored the transitions between the perceived images, depth, and motion so that the future actions could be predicted. Acknowledgment The authors thank the NuPIC open-source project and all the contributors of the NuPIC codes. Declaration of conflicting interests The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article. 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THE LOCAL VERTICAL DENSITY DISTRIBUTION OF ULTRACOOL DWARFS M7 TO L2.5 AND THEIR LUMINOSITY FUNCTION S.J. Warren$^1$, S. Ahmed$^2$, and R.C. Laithwaite$^1$ $^1$Astrophysics Group, Imperial College London, Blackett Laboratory, Prince Consort Road, London SW7 2AZ, UK and $^2$Centre for Electronic Imaging, School of Physical Sciences, The Open University, Walton Hall, Milton Keynes, MK7 6AA, UK We investigate the form of the local vertical density profile of the stars in the Galactic disk, close to the Galactic plane. We use a homogeneous sample of 34000 ultracool dwarfs M7 to L2.5 that all lie within 350 pc of the plane. We fit a profile of the form $\text{sech}^\alpha$, where $\alpha = 2$ is the theoretically preferred isothermal profile and $\alpha = 0$ is the exponential function. Larger values of $\alpha$ correspond to greater flattening of the profile towards the plane. We employ a likelihood analysis that accounts in a direct way for unresolved binaries in the sample, as well as for the spread in absolute magnitude $M_J$ within each spectral sub-type (Malmquist bias). We measure $\alpha = 0.29^{+0.12}_{-0.13}$. The $\alpha = 1$ (sech) and flatter profiles are ruled out at high confidence for this sample, while $\alpha = 0$ (exponential) is included in the 95% credible interval. Any flattening relative to exponential is modest, and is confined to within 50 pc of the plane. The measured value of $\alpha$ is consistent with the results of the recent analysis by Xiang et al. Our value for $\alpha$ is also similar to that determined for nearby spiral galaxies by de Grijs et al., measured from photometry of galaxies viewed edge on. The measured profile allows an accurate determination of the local space density of ultracool dwarfs M7 to L2.5, and we use this to make a new determination of the luminosity function at the bottom of the main sequence. Our results for the luminosity function are a factor two to three lower than the recent measurement by Bardalez Gagliuffi et al., that uses stars in the local 25 pc radius bubble, but agree well with the older study by Cruz et al. Keywords: Cool stars, Galactic structure 1. INTRODUCTION The variation of the space density of stars in the disk of the Milky Way, in the vertical direction, i.e. perpendicular to the plane of the disk, and at the solar radius, approximates to an exponential distribution (Gilmore and Reid 1983) up to heights of 1 kpc. What happens close to the plane? Is there a sharp density peak, or does the exponential soften? We do not have a clear answer to this question for the Milky Way, but the density profile is often modelled by a sech$^2$ distribution (e.g. Gould et al. 1996; Siegel et al. 2002; Ferguson et al. 2017; Bennett and Bovy 2019), which softens by a factor four relative to an exponential. A self-gravitating isothermal sheet has this equilibrium solution (Spitzer 1942; Cann 1950; van der Kruit and Searle 1981), and this may be why the sech$^2$ distribution is popular, even though it is well known that the velocity dispersion of the stars in the disk depends on age. In considering this question a useful flexible functional form for the density distribution as a function of height $z$ from the plane, is the generalised sech distribution proposed by Van der Kruit (1988): $$\rho(z) = 2^{-2/n} \rho_c \text{sech}^{2/n}(nz/2z_c) ,$$ where $z_c$ is a scale height. With this parameterisation, the exponential, sech, and sech$^2$ distributions correspond to $n = \infty$, 2, and 1 respectively. For data analysis this representation is unsatisfactory, because we want to constrain the value of the parameter $n$, but it has an infinite range, causing difficulty in defining the prior. For this reason we prefer the form used by Dobbie and Warren (2020), who substitute $\alpha = 2/n$, so the function becomes: $$\rho(z) = 2^{-\alpha} \rho_c \text{sech}^\alpha(z/\alpha z_c) ,$$ and now the exponential, sech, and sech$^2$ distributions correspond to $\alpha = 0, 1, 2$. In this form, with different values of $\alpha$, the functions all have the same density at large values of $\|z\|$ where they each asymptote to the exponential distribution with scale height $z_c$. The term $2^{-\alpha}$ is therefore the degree of softening in the centre relative to the exponential distribution. This shows that the sech$^2$ distribution softens by a factor four, as quoted above. Example functions, with $\rho_c = 1$, are plotted in Fig. 1 for values of $\alpha = 0, 0.5, 1, 2$, (top to bottom, respectively) and for a scale height $z_c = 300$ pc, which is the canonical value for the Milky Way (e.g. Gilmore and Reid 1983; Juric et al. 2008; Bochanski et al. 2010; Chang et al. 2011). Beyond a few scale heights there is an excess in the tail, requiring a second population, of larger scale height. However in the current paper we are only concerned with the density distribution close to the plane, at heights $\|z\| < 350$ pc, so we will assume a single population. In the remainder of this paper we will use the following equivalent parameterisation of the density function: $$\rho(z) = \rho_0 \text{sech}^\alpha(z/\alpha z_c) = \rho_0 \text{sech}^\alpha((z' + z_\odot)/\alpha z_c) .$$ Here $\rho_0$ is the density in the Galactic plane, $z_\odot$ is the height of the Sun above the Galactic plane, and $z' = z - z_\odot$ is the vertical height measured from the Sun. Because our analysis is confined to distances $< 350$ pc we ignore any effect of variation of the stellar density with Galactic radius, because the scale length for this is so large, $\sim 3$ kpc. Dobbie and Warren (2020) summarise the status of measurements of $\alpha$ in external galaxies and in the Milky Way. The best study of $\alpha$ in external galaxies is the analysis by de Grijs et al. (1997) who measured the surface brightness profiles of edge-on spiral galaxies in the $K$ band, to minimise the effects of extinction. From a sample of 24 galaxies they found a distribution of values of $\alpha = 0.5 \pm 0.2$ (corrected for seeing and extinction), and they argue that the true value may be even lower due to a bias because the galaxies are not viewed perfectly edge on. In the Milky Way itself there have been very few quantitative studies that contribute to this question. Using observations in the near-infrared Hammersley et al. (1999) state that “Analysis of one relatively isolated cut through an arm near longitude 65 degrees categorically precludes any possibility of a sech$^2$ stellar density function for the disc.” In a footnote Jurić et al. (2008) state that the exponential profile provides a better fit than sech$^2$ close to the plane. Using Gaia DR1 Bovy (2017) draws a different conclusion. He measured the vertical density distribution separately for different spectral types A to K, and states “All vertical profiles are well represented by sech$^2$ profiles, with scale heights ranging from $\sim 50$ pc for A stars to $\sim 150$ pc for G and K dwarfs and giants”. However, he does not fit $\alpha$ as a free parameter, but instead takes the canonical value of 2, which he says ‘well represented’ here means. Furthermore for the later-type stars the profile fits are not compelling. It is noteworthy that the measured scale heights are much smaller than the canonical value for the thin disk of 300 pc, even for the later-type stars for which one might expect agreement. The most detailed information on the vertical density distribution is provided by the recent study by Xiang et al. (2018) using LAMOST spectroscopic observations. They are able to divide stars into several age bins. The measured values of $\alpha = 2/n_1$ (their Table 3b) show significant differences between age bins, both up and down, but averaging over several bins one can see that the younger populations, ages $< 8$ Gyr, have smaller scale heights and average $\alpha \sim 1$, while the older populations, ages $> 8$ Gyr, have larger scale heights and $\alpha \sim 0$. Combining all ages together their best fit value is also $\alpha \sim 0$. The selection function for this survey is exceedingly complex, and minimisation of $\chi^2$ was not a primary aim of the project. The significant variations in $\alpha$ between different age bins may indicate that the uncertainties have been underestimated, which is why we have not quoted uncertainties here. Nevertheless the overall trend of $\alpha$ decreasing with age seems clear and this is the first time that this has been shown. In their own study, Dobbie and Warren (2020) used the large samples of K and M stars from SDSS collated by Ferguson et al. (2017) to study the problem. They found that there is moderate evidence (specifically meaning $2 < \ln B < 5$, where $B$ is the Bayes factor) for the exponential and sech models over the sech$^2$ model, but concluded that a sample that reaches closer to the Galactic plane is needed. This is in fact the problem with the majority of samples of the vertical structure of the Galactic disk, that they sample a conical volume, with the Sun at the apex, so the space density at small heights $\|z\| < 300$ pc is not sufficiently well sampled, if at all. This may be compounded by the problem that the images of nearby stars are saturated. The results on $\alpha$ of Xiang et al. (2018) and Dobbie and Warren (2020) are not in agreement with the finding of Bovy (2017) that $\alpha \sim 2$. As with the study of Xiang et al. (2018), the selection function for the sample of Bovy (2017) is rather complex. This makes it very difficult to investigate the origin of the disagreement. These results motivate a new measurement of $\alpha$ using a survey with good sampling of the local volume, distance $< 500$ pc, with a simple selection function, and ideally selected at near-infrared wavelengths to minimise extinction. In this paper we analyse such a sample: we combine 33 942 M7 to M9.5 dwarfs from Ahmed and Warren (2019) with 1 016 L0 to L2.5 dwarfs from Skrzypek et al. (2016), all selected from UKIDSS, to measure an accurate value of $\alpha$. This in turn provides a measurement of the space density of each spectral type in the plane of the disk, which can be transformed to the luminosity function at the bottom of the main sequence. The layout of the remainder of the paper is as follows. In Sect. 2 we describe the samples used in the analysis. In Sect. 3 we analyse the vertical density distribution using firstly a binned estimate, and then a maximum-likelihood fit using every star individually. We provide a discussion of these results on the vertical density distribution in Sect. 4. In Sect. 5 with use the results to determine the stellar luminosity function over the spectral range M7 to L2.5. We provide a summary of the main points in Sect. 6. All magnitudes in this paper are on the Vega system. The $J$ band refers to the MKO $J$ passband (Tokunaga et al. 2002), unless specifically stated otherwise. 2. SAMPLES By combining the samples of Ahmed and Warren (2019) and Skrzypek et al. (2016) we create a large homogeneous sample of 33 958 M7 to L2.5 dwarfs $13.0 <$ Fig. 2.— Distribution of distances for the sample of 33,885 M7 to L2.5 dwarfs, where for this plot sources are treated as single (unresolved binaries are ignored). Objects have been plotted at a random horizontal coordinate within each spectral-type box. For each spectral type the upper and lower distance limits correspond to the sample magnitude limits $13.0 < J < 17.5$. The sample is complete over all spectral types between distances $d_{\text{min}}(M7)$ and $d_{\text{max}}(L2.5)$, which is the range $41.3 < d < 109.5$ pc. The thin horizontal line is drawn at a distance of 40 pc, to make clear the relative contributions of the different spectral sub-types to measuring the space density at very small distances. $J < 17.5$, at distances $< 350$ pc (except for unresolved binaries as explained below). The hydrogen burning limit is believed to be reached after spectral type L2.5 (Dieterich et al. 2014), meaning that L3 dwarfs and later are brown dwarfs, while L2.5 dwarfs and earlier are predominantly main sequence stars, but can also include young brown dwarfs. In the field the proportion of young brown dwarfs is small, and therefore the sample of M7 to L2.5 dwarfs is representative of the bottom of the main sequence. The numbers of dwarfs of different spectral types are listed in Table 1. As detailed in the above catalogue papers these samples are well suited to measuring the density profile and the luminosity function. The samples are highly complete, and the spectral classifications are unbiased except for rare peculiar blue or red sources, comprising an estimated $\sim 1\%$ of the sample. The two samples cover the same area of sky and were selected by essentially identical methods using the phototype method of Skrzypek et al. (2015). The method classifies objects using multicolour photometry. For the L dwarfs the bands $iZJHKW1W2$ were used, while for the M dwarfs the W1 and W2 bands were omitted. They add no significant useful information for these types. The accuracy of the spectral types is competitive with spectroscopy. For the M dwarfs the classification is accurate to better than 0.5 sub-types rms, and is tied to the optical spectroscopy of the BOSS sample of Schmidt et al. (2015). For the L dwarfs the classification is accurate to one sub-type rms, and is anchored to the optical system of Kirkpatrick et al. (1999). The sample is presented in Fig. 2, where each star has been plotted at the distance computed assuming that the object is single (ignoring unresolved binaries). Distances are computed based on the absolute magnitudes listed for each spectral type in Table 1. The selected absolute magnitudes are discussed extensively below, in this section. The sample is plotted in a different way in Fig. 3, as a histogram showing heights from the Galactic plane, assuming the Sun lies at a height of 10 pc above the plane. This plot illustrates the fact that the sample includes a large number of objects at heights $\|z\| < 100$ pc, and therefore is well suited to investigating the softening close to the Galactic plane. The survey covers an effective area of 3031 deg$^2$ (7.3% of the sky), and the solid angle as a function of Galactic latitude $\Omega(b)$ is provided in Table 1 of Ahmed and Warren (2019), in wedges of angular extent $1^\circ$. The sample defined in this way has excluded from the slightly larger total sample two small areas of larger reddening, totalling $39\deg^2$. The photometry for this sample is very precise and extinction is very low. In the $J$ band the median photometric uncertainty is 0.016, and the 90% quantile is 0.028. We quantify the extinction using the results from Green et al. (2018), for a distance of 400 pc. This is an overestimate of the effects of dust on the sample, but the method of Green et al. (2018) becomes too inaccurate at smaller distances to be useful. On this basis in the $J$ band the median extinction is < 0.02 mag, and for 90% of sources the extinction is < 0.06 mag. For only 0.3% of the sources is the extinction at 400 pc greater than 0.13 mag. Therefore we make no corrections for extinction. Laithwaite and Warren (2020) have made a detailed study of the unresolved binaries in the Ahmed and Warren (2019) sample of M7 to M9.5 dwarfs. They find that unresolved binaries comprise 16.2% of all the systems, and that the binaries are almost exclusively equal mass systems. This means that we can assume that per unit volume 16.2% of the sources are twice as bright as single stars. We will assume that the same properties apply to the L0 to L2.5 dwarfs. In this respect we note that Reid et al. (2008) find a similar fraction of unresolved binaries in their sample of L dwarfs. Laithwaite and Warren (2020) also redetermined values of the absolute magnitude $M_J$ for spectral types M7 to M9.5, based on Gaia DR2 parallaxes for 2706 systems, with typical parallax/error of 30.\footnote{We have checked these results using the more recent Gaia EDR3 release, finding essentially identical values.} The results therefore are very accurate, but the values are on average some 0.5 mag. brighter than those of Dupuy and Liu (2012) for these spectral types (although the two relations converge at L0). The new values are listed in Table 1. The distances quoted in Ahmed and Warren (2019) used the absolute magnitudes of Dupuy and Liu (2012) and are therefore wrong. The large difference in $M_J$ for spectral types M7 to M9.5 compared to Dupuy and Liu (2012) requires further comment. The matter was considered in detail by Laithwaite and Warren (2020), in their Section 6.1. The reason for the discrepancy is not due to incorrect parallaxes in Dupuy and Liu (2012) but is apparently due to differences in spectral classifications between the two samples. The sample of Ahmed and Warren (2019) is homogeneous and the classifications are accurately calibrated to the classifications of the BOSS spectroscopic sample of Schmidt et al. (2015), which itself is homogeneous and was subject to careful checks for systematics. Laithwaite and Warren (2020) found 10 stars in common between Schmidt et al. (2015) and Dupuy and Liu (2012), and the classifications of Schmidt et al. (2015) are on average 0.7 spectral types later. Some additional evidence is that the Schmidt et al. (2015) M7 to M9 classifications are later than older classifications comes from the recent CARMENES paper by Cifuentes et al. (2020). Although there are no CARMENES M7 to M9 stars in common with Schmidt et al. (2015), it is evident that over this spectral range the $G - J_{2MASS}$ colours in Cifuentes et al. (2020) are substantially redder than the $G - J_{MKO}$ colours in Laithwaite and Warren (2020). Over this spectral range a star has $J_{2MASS} - J_{MKO} \sim 0.1$ mag. (Stephens and Leggett 2004). Using this, their average colours for M7 and M8 are $G - J_{MKO} = 4.15, 4.42$ respectively. Laithwaite and Warren (2020) measure $G - J_{MKO} = 4.15, 4.47$ for spectral types M8 and M9, respectively, indicating an offset by approximately one spectral type. The absolute magnitude scale of Cifuentes et al. (2020) is also quite close to that of Dupuy and Liu (2012). To summarise, there is now good evidence that the differences in absolute magnitude between the relation of Laithwaite and Warren (2020) and the other two samples are due to differences in spectral classifications between the BOSS sample of Schmidt et al. (2015) and older samples.\footnote{Beware that others, e.g. Bardalez Gagliuffi et al. (2019), use 20, 23 for L0, L3.} The advantage of using the M7 to M9.5 sample of Ahmed and Warren (2019) is that it is large and homogeneous, and the relation between $M_J$ and spectral type has been accurately calibrated with Gaia with a large sample of 2706 systems. It would of course be incorrect to apply the relation between $M_J$ and spectral type derived from a different sample to the sample of Ahmed and Warren (2019). The sample of Schmidt et al. (2015), to which the spectral types of Ahmed and Warren (2019) are calibrated, has become the de facto standard in this field, so this apparent offset in spectral classifications compared to older samples needs to be borne in mind when comparing science results derived from different samples. For the L0 to L2.5 stars the absolute magnitudes in Table 1 were calculated using the polynomial relation between $M_J$ and spectral type of Dupuy and Liu (2012), derived from ground-based parallaxes. We checked these values by first matching to GAIA DR2 all the L0 to L3 dwarfs in the sample of Skrzypek et al. (2016), then limiting to sources with parallax/error > 10. We then fit a linear relation between absolute magnitude and spectral type, allowing for binaries by fitting a double Gaussian profile to the distribution of absolute magnitudes at fixed spectral type. The method is very similar to that employed by Laithwaite and Warren (2020) for the M7 to M9.5 stars, except they used $G - J$ colour rather than spectral type. The result for single stars is the linear relation $M_J = 0.359 \text{SpT} + 7.882$ where SpT denotes spectral type and L0, L3 are 10, 13.\footnote{Comparing against the values in Table 1 we find agreement at the level $\|\Delta M_J\| < 0.1$ for all sub-types L0 to L2.5, confirming that the absolute magnitudes of Dupuy and Liu (2012) are reliable over the whole spectral range.} Comparing against the values in Table 1 we find agreement at the level $\|\Delta M_J\| < 0.1$ for all sub-types L0 to L2.5, confirming that the absolute magnitudes of Dupuy and Liu (2012) are reliable over the whole spectral range. this spectral range. A final point to consider is the possibility of bias in the distances, due to the application of spectroscopic parallaxes i.e. a single absolute magnitude for all the stars of a particular spectral type. This could lead to biases in the derived structural parameters i.e. the scale height $z_c$ and the value of $\alpha$. We present an analysis of this point in the Appendix, finding that any systematic errors introduced are significantly smaller than the random errors on parameters. 3. FITTING THE VERTICAL DENSITY DISTRIBUTION It is usual to measure the density distribution by first binning the data and then fitting to the counts. This is useful because the binned counts give a visual impression of the shape of the variation in density. There is an important drawback to this approach however, in that it is unclear how to deal with the unresolved binaries: in Fig. 2 the binaries (which cannot be identified individually) should be plotted at a distance a factor $\sqrt{2}$ larger. Here we first present a binned analysis of the M7 and M7.5 stars only, which includes a large fraction of all the stars, and we then provide results of an optimal method that fits to all the data points simultaneously, without binning, and correctly accounts for binaries. 3.1. Binned analysis In this section we simply ignore the fact that a fraction of the sources are unresolved binaries, and treat all the sources as single. The results are illustrative and used as a guide to the more complete analysis presented in the next subsection. Referring to Fig. 2 the lower and upper distance limits for each spectral type correspond to the magnitude limits of the survey $J = 13.0$ and 17.5, given the absolute magnitude for any particular spectral type. Therefore we can form a volume-complete sample of M7 and M7.5 stars by using distance limits $d_{min}(M7)$, and $d_{max}(M7.5)$, which are 41.3 pc and 287.1 pc respectively. The sample comprises 20 849 stars and is plotted in Fig. 4 using polar coordinates. The blue histogram plots the solid angle of the survey at each value of $b$, in 1° wedges. Therefore to compute the space density we sum the number of sources in each slice, of height 10 pc, and sum the volume contributed by each wedge along the slice, accounting for the solid angle as it varies with $b$. For this calculation we assume the Sun lies at a height $z_\odot = 10$ pc above the Galactic plane. The results of this calculation are plotted in Fig. 5. The blue points are the binned estimates of space density at heights above the plane, and the red points are the same for below the plane. The uncertainty on each point is plotted as a fractional uncertainty of $1/\sqrt{N}$, where $N$ is the number of points in the slice, and we have only used bins with > 20 points. The grey points are the blue points reflected about the Galactic plane, and allow a comparison of the variation in space density above and below the plane. There are no strong differences between the two curves, indicating consistency. It is well known that at larger distances from the plane differences are seen when comparing measurements above and below the plane (e.g. Widrow et al. 2012; Ferguson et al. 2017). It is possible that density fluctuations exist at a similar level in our data but they would be relatively less important. close to the Galactic plane where the space densities are higher. Given the good agreement between the red and the grey points we are justified in averaging the results for above and below the plane. The averaged results are presented in Fig. 6. In fitting a model to the data, we assume Gaussian errors for each bin i.e. we approximate the Poisson distribution by Gaussian. Then if the model predicts $m_i$ points in bin $i$, and the observed number is $n_i$, the logarithm of the likelihood is given by: $$\ln \mathcal{L} = - \sum_i \frac{(n_i - m_i)^2}{2m_i} - \frac{1}{2} \sum_i \ln m_i,$$ which is Eqn 8 in Dobbie and Warren (2020). Because the likelihood is strongly peaked in the space of the parameters, the posterior is not sensitive to the form of the priors. We adopt broad uniform priors, which for the shape parameter covers the range $0 < \alpha < 3$. The function $\text{sech}^\alpha(z/\alpha z_c)$ can be awkward$^3$ to evaluate for small values of $\alpha$, so we employ the identity $$\text{sech}^\alpha(x/\alpha) = 2^\alpha e^{-x}(1 + e^{-2x/\alpha})^{-\alpha},$$ and ensure that when $\alpha = 0$ the function is set equal to $e^{-z}$. Fitting Eqn 3, we measure $\alpha = 0.23 \pm 0.13$, and $z_c = 222^{+15}_{-10}$ pc. This quantifies that the density profile is consistent with exponential all the way to the Galactic plane and that any flattening is modest.$^4$ The best-fit profile is plotted in Fig. 6, where it is compared to the best-fit exponential, which has a scale height $z_c = 227^{+15}_{-9}$ pc. This indicates that any softening is confined to within 50 pc of the plane. The data are inconsistent with not only the $\text{sech}^2$ profile, but also the $\text{sech}$ profile. Interestingly fitting a $\text{sech}^2$ profile, which is a bad fit, yields a scale height of 126 pc which makes no sense when compared to the fiducial scale height of the thin disk of 300 pc. This calculation shows that force-fitting the wrong profile, one that flattens too much in the centre, leads to an underestimate of the correct scale height. The problem of the $\text{sech}^2$ profile may be illustrated in another way. Because we have not accounted for binaries the binned analysis underestimates the true scale height somewhat. If we suppose that the scale height, uncorrected for binaries, could be as small as $z_c = 200$ pc, and fit a $\text{sech}^2$ profile with this scale height the result is the very flattened and clearly incorrect profile plotted as the dotted line in Fig. 6. This binned analysis indicates that the profile is peaky near the centre, but the values of the fitted parameters are not correct because we have ignored the presence of unresolved binaries. It is well known that the presence of unresolved binaries in a sample causes the scale height to be underestimated, and conceivably it could affect the estimate of $\alpha$ as well. The effect of unresolved binaries is usually quantified by modelling (e.g. Covey et al. 2008; Juric et al. 2008; Bochanski et al. 2010). For example in the current case a synthetic catalogue would be created, one that includes unresolved binaries and that matches the selection criteria of the actual catalogue. The catalogue would be created with a scale height that is a guess for the true scale height and would be analysed in the same way as the actual sample. The catalogue scale height would then be adjusted until the measured (biased) scale height matches the measured value in the actual catalogue. In this way the true scale height is recovered. In the next subsection we describe a likelihood analysis that instead accounts for unresolved binaries in a direct way, and makes additional improvements over the binned analysis presented in this section. ### 3.2. Full likelihood analysis #### 3.2.1. Method We now implement four improvements compared to the above binned analysis. These are: 1. Using stars individually without binning. 2. Accounting correctly for the presence of unresolved binaries. 3. Accounting for the intrinsic spread in absolute magnitude $M_J$ of each spectral type, which in a magnitude-limited sample means that intrinsically brighter sources are over-represented – the Malmquist bias. 4. Including all stars in the sample from M7 to L2.5 over the full distance range of each type (displayed in Fig. 2). We wish to calculate the likelihood $\mathcal{L}$ of observing the sample in question. In deriving this we will assume a Poisson point process, and follow a similar procedure to that presented by Marshall et al. (1983). Consider firstly a single spectral sub-type $t$. The data comprise the list of sources of observed Galactic latitude $b$ and apparent magnitude $J$. Ignoring binaries, the expected number of sources $\mu$ in an infinitesimal element $dbdJ$ is: $$\mu = \rho(z(d(J), b, z_\odot))d^2(J)\Omega(b)db\frac{dd}{dJ}dJ . \quad (6)$$ Here, and throughout this section, $d(J)$ refers to the distance of a single star computed from $J$ using the absolute magnitude for the particular sub-type, listed in Table 1. The height above the plane is calculated as $z(d(J), b, z_\odot) = d(J)\sin(b) - z_\odot$. The angle $b$ is in degrees, since $\Omega(b)$ is the solid angle defined in wedges of angular size $1^\circ$ (see Sect. 2). The term $\rho(z(d(J), b, z_\odot))$ should be understood to include the dependence on the model parameters $\rho_0(t)$, $z_\odot$ and $\alpha$. The probability of finding one source in the element is $\mu e^{-\mu}$, and of finding none is $e^{-\mu}$. Therefore the likelihood is the product of the probabilities of observing the $N$ sources with their particular $b, J$, and of observing no sources in all the other elements. Consequently the likelihood for this type $t$ may be written: $$L_t = \prod_i \mu_i e^{-\mu_i} \prod_j e^{-\mu_j}, \quad (7)$$ where the first product is over elements containing sources, and the second product is over all the other elements within the volume surveyed. Taking the logarithm and dropping terms that are independent of the model parameters we obtain: $$\ln L_t = \sum_i \ln(\rho(z(d(J_i), b_i, z_\odot))) - \iiint_V \rho dV , \quad (8)$$ and the volume integral is the expected number of sources in the survey, given the density function $\rho$, which depends on $\rho_0(t), z_\odot, \alpha$ and $z_\odot$. The likelihood as defined above uses all the stars of a particular sub-type individually, and deals with the first item above. We now consider the treatment of binaries. It is relatively easy to treat the binaries correctly through the likelihood because we can assume that each binary is exactly twice as bright as a single, based on the detailed study of binaries in this sample by Laithwaite and Warren (2020). This means that the survey is in fact two surveys, one for singles, and a second for binaries, where the distance limits for the binary survey are $\sqrt{2}$ larger than for the single survey. For a total number of systems comprising a fraction, $f_b$, of unresolved equal-mass binaries, and so a fraction $1-f_b$ singles, if the space density of stars at any point is $\rho$, the space density of single stars is $\rho(1-f_b)/(1+f_b) = \rho_s$, and the space density of binary systems $\rho f_b/(1+f_b) = \rho_b$. The binary systems are unresolved sources that are twice as bright as single stars, and we assume $f_b = 0.162$ (Laithwaite and Warren 2020). Returning now to equation 6, in computing the expected number of sources in an element $dbdJ$ we must include the expected number of binary systems, and the equation becomes: $$\mu = [r_s \rho(z(d(J), b, z_\odot)) + 2\sqrt{2}r_b \rho(z(\sqrt{2}d(J), b, z_\odot))]$$ $$\times d^2(J)\Omega(b)db\frac{dd}{dJ}dJ , \quad (9)$$ where the term $2\sqrt{2}$ in front of $r_b$ derives from the larger volume element at the larger distance (from the terms $d$ and $dd/dJ$). Propagating through to the logarithm of the likelihood, we obtain the final expression $$\ln L_t =$$ $$\sum_i \ln[r_s \rho(z(d(J_i), b_i, z_\odot)) + 2\sqrt{2}r_b \rho(z(\sqrt{2}d(J_i), b_i, z_\odot))]$$ $$- \iiint_V r_s \rho dV_s - \iiint_V r_b \rho dV_b , \quad (10)$$ where the first triple integral is over the volume occupied by singles, given the sample magnitude limits, and the second volume integral is the same for the binary systems, for which all distances are $\sqrt{2}$ larger. In this way binaries are correctly included in the calculation of the likelihood. We now consider how to treat Malmquist bias. Our sample is magnitude limited $13.0 < J < 17.5$. But (single or binary) stars of a particular spectral type have a spread in absolute magnitude (due to e.g. variations in age and/or metallicity). Therefore the more luminous sources are detected to larger distances, and are overrepresented in the sample, and vice versa for less luminous sources. If stars of a particular sub-type are treated as having a unique absolute magnitude the measured parameters of the density distribution will be biased, and this is what we mean when using the term Malmquist bias in this paper. Laithwaite and Warren (2020) found a Gaussian distribution of absolute magnitude of dispersion $\sigma_M = 0.21$ mag. at fixed $G-J$ colour. Over the colour spread of half a spectral sub-type the dispersion increases to $\sigma_M = 0.24$ mag. which is the value we adopt. The additional dispersion comes from the relation between absolute magnitude and colour. Eqn 10 shows us how to deal with the spread in the absolute magnitudes $M_J$ of each spectral type. In Eqn 10 we are dealing with two populations, singles and binaries, where the binaries are twice as bright and occupy a different volume to the singles, where the distances are $\sqrt{2}$ larger. In the sample, each of these two populations comprises a set of sub-populations of different absolute magnitude: the more luminous sources occupying a volume where all distances are multiplied by a factor $f > 1$, compared to the average, and the less luminous sources occupying a volume where all distances are multiplied by their own factor $f < 1$. To implement this we divide each population (singles or binaries) into a small number of sub-populations, i.e. we model the Gaussian distribution of $M_J$ as a coarse histogram. Each sub-population of absolute magnitude $M_J - \Delta M_J$ has a distance correction $f = 10^{0.2\Delta M_J}$ and a volume correction $f^3$, analogous to the $\sqrt{2}$ and $2\sqrt{2}$ terms in the second term in Eqn 10. For a set of subpopulations defined by weights $w_j$ ($\sum_j w_j = 1$) and distance corrections $f_j$, then, for exTABLE 2 Best fit values and their uncertainties for the full likelihood analysis \| parameter \| sech$^a$ \| exponential \| \|-----------\|----------\|-------------\| \| $\rho_0$ M7 \| $2.37^{+0.14}_{-0.15} \times 10^{-3}$ \| $2.79^{+0.08}_{-0.06} \times 10^{-3}$ \| \| $\rho_0$ M7,5 \| $1.88^{+0.12}_{-0.13} \times 10^{-3}$ \| $2.22^{+0.04}_{-0.03} \times 10^{-3}$ \| \| $\rho_0$ M8 \| $1.09^{+0.06}_{-0.07} \times 10^{-3}$ \| $1.28^{+0.03}_{-0.03} \times 10^{-3}$ \| \| $\rho_0$ M8,5 \| $0.71^{+0.05}_{-0.05} \times 10^{-3}$ \| $0.84^{+0.02}_{-0.02} \times 10^{-3}$ \| \| $\rho_0$ M9 \| $0.71^{+0.03}_{-0.03} \times 10^{-3}$ \| $0.83^{+0.01}_{-0.01} \times 10^{-3}$ \| \| $\rho_0$ M9,5 \| $0.72^{+0.03}_{-0.03} \times 10^{-3}$ \| $0.85^{+0.01}_{-0.01} \times 10^{-3}$ \| \| $\sum \rho_0$ M7-M9,5 \| $7.48^{+0.07}_{-0.07} \times 10^{-3}$ \| $8.80^{+0.11}_{-0.11} \times 10^{-3}$ \| \| $\rho_0$ L0 \| $0.38^{+0.05}_{-0.05} \times 10^{-3}$ \| $0.44^{+0.02}_{-0.02} \times 10^{-3}$ \| \| $\rho_0$ L0,5 \| $0.19^{+0.02}_{-0.02} \times 10^{-3}$ \| $0.22^{+0.01}_{-0.01} \times 10^{-3}$ \| \| $\rho_0$ L1 \| $0.18^{+0.02}_{-0.02} \times 10^{-3}$ \| $0.21^{+0.01}_{-0.01} \times 10^{-3}$ \| \| $\rho_0$ L1,5 \| $0.20^{+0.02}_{-0.02} \times 10^{-3}$ \| $0.23^{+0.01}_{-0.01} \times 10^{-3}$ \| \| $\rho_0$ L2 \| $0.20^{+0.02}_{-0.02} \times 10^{-3}$ \| $0.23^{+0.01}_{-0.01} \times 10^{-3}$ \| \| $\rho_0$ L2,5 \| $0.14^{+0.02}_{-0.02} \times 10^{-3}$ \| $0.16^{+0.01}_{-0.01} \times 10^{-3}$ \| \| $\sum \rho_0$ L0-L2,5 \| $1.29^{+0.05}_{-0.05} \times 10^{-3}$ \| $1.50^{+0.05}_{-0.05} \times 10^{-3}$ \| \| $\sum \rho_0$ M7-L2,5 \| $8.77^{+0.07}_{-0.07} \times 10^{-3}$ \| $10.30^{+0.16}_{-0.16} \times 10^{-3}$ \| \| $z_e$ pc \| $258.6^{+19.2}_{-19.2}$ \| $269.5^{+6.6}_{-6.3}$ \| \| $\alpha$ \| $0.29^{+0.12}_{-0.12}$ \| ... \| \| $z_o$ pc \| $10.9^{+1.1}_{-1.6}$ \| $10.0^{+1.5}_{-1.5}$ \| ample, the first term in Eqn 10, $r_s \rho(z(d(J_i), b_i, z_O))$, is replaced by $r_s \sum_j w_j f_j^2 \rho(z(f_j d(J_i), b_i, z_O))$. There is a similar sum for the second term, and then a set of volume integrals for all the sub-populations, single as well as binary, over the relevant volume occupied by each sub-population. In principle photometric errors can have an effect that is similar to the effect of the spread in absolute magnitudes, but this can be safely ignored for this dataset as the photometric errors in the J band (Sect. 2) are considerably smaller than the dispersion in absolute magnitude. The final improvement we make ensures that all the stars in the full sample are used, over the full distance range of each spectral sub-type (see Fig. 2), rather than limiting to the distance range in common, as we did in the binned analysis for the M7 and M7.5s. This can be achieved straightforwardly by assuming that the density function has the same form for each spectral sub-type, meaning that the parameters $z_e, \alpha, z_O$ are in common, but the normalisations are different, i.e. the central space density of each spectral type is a free parameter $\rho_0(t)$. Then the likelihood is the sum of the individual likelihoods for each sub-type: $\ln \mathcal{L} = -\frac{1}{2} \ln \mathcal{L}_c + \ln \mathcal{L}_f$, where the individual likelihoods are computed using the full sample and full volume for that sub-type. This means that the total number of free parameters is 15: the 12 $\rho_0(t)$, and $z_e, \alpha, z_O$. To be completely clear: $\rho_0(t)$ is the summed number of stars (not systems) per unit volume for a particular sub-type. We adopt broad uniform priors on the parameters. Again, because the likelihoods are sharply peaked, the results are insensitive to the priors. 3.2.2. Results We have fit the function sech$^a$, as well as the simpler exponential function. We used the MCMC package emcee (Foreman-Mackey et al. 2013) to maximise the likelihood, and to measure the uncertainties. The results for both functions are summarised in Table 2, in each case accounting for binaries and Malmquist bias in the analysis. The uncertainties quoted correspond to the 16, 50, 84% quantiles in the marginalised distributions, and for all the $\rho_0(t)$ the fractional uncertainties are larger than $1/\sqrt{N}$. The uncertainties on the $\rho_0(t)$ parameters are considerably larger for the sech$^a$ function compared to the exponential function because they include the uncertainty in the flattening towards the plane. We use the sech$^a$ results when comparing against local measurements of space densities, and in calculating the luminosity function. The exponential function fit is included because of its simplicity, and it can be used for comparison against other surveys except close to the plane ($\|z\| < 50$ pc). The uncertainties on the $\rho_0(t)$ parameters are highly correlated. Therefore when we perform arithmetic on the space densities (e.g. the summed space density of spectral types M7-M9.5 listed in Table 2, and later the calculation of the luminosity function), to measure the uncertainties we first perform the arithmetic on the MCMC chains and then measure the dispersion in the resulting values. A corner plot for the parameters $\rho_0$ for the M7s, $z_e$, $z_O$, and $\alpha$ is presented in Fig. 7, produced using the GetDist package (Lewis 2019). We have included only one $\rho_0(t)$ in this plot as the correlations for $\rho_0(t)$ of the other spectral sub-types have a similar form. The most interesting result, and the principal result of this paper, is the distribution for $\alpha$. As listed in Table 2 we measure $\alpha = 0.29^{+0.12}_{-0.13}$. Although the $\alpha$ distribution is strongly peaked near 0.3, there is a shoulder to the distribution that extends to $\alpha = 0$. This shoulder reflects the fact that the data have almost no constraining power over the range $0 < \alpha < 0.1$ because within this range the density distribution varies only very close to the plane $\|z\| < 20$ pc, where there are very few sources, so the posterior is quite flat over this range. Quantifying the credible intervals by the posterior probability within a range between equal probability densities we find the 95% and 99% credible intervals are $0 < \alpha < 0.50$ and $0 < \alpha < 0.59$, meaning that the sech profile, $\alpha = 1$, is firmly excluded. We wish to quantify at what level the credible interval includes the exponential model. This is ambiguous because the posterior density rises slightly as $\alpha$ approaches zero (Fig. 7). A useful measure is to state the credible interval at which the range becomes one sided, i.e. once the full range of $\alpha$ from the peak down to $\alpha = 0$ is included, and this is the 95% interval. This means there is moderate evidence against the exponential model continuing all the way to the Galactic plane, or equivalently moderate evidence for some degree of flattening close to the plane. We compare the exponential and sech$^a$ fits in Fig. 8, plotting the summed density for the full spectral range M7 to L2.5. The two curves are essentially identical except at heights $\|z\| < 50$ pc. Any softening of the exponential profile is rather slight. We can quantify the effects of the different improvements implemented in the full likelihood analysis. For the binned data we had the pair of results for the scale height $z_e$ and the shape parameter $\alpha$ of [222, 0.23]. Implementing successively a) treating all points individually rather than binned, and over the full distance ranges for each sub-type, b) accounting for binaries, c) accounting... for Malmquist bias, these pairs become a) [227, 0.23], b) [252, 0.26], c) [259, 0.29]. We see that accounting correctly for binaries has a substantial effect. Without allowance for binaries the scale height is underestimated by 10%. The effect of Malmquist bias is considerably smaller. If not accounted for, the scale height is underestimated by 3%. We believe this is the first time that the corrections for binaries and for Malmquist bias have been made in this direct way, as opposed to using mock catalogues. The sign and the size of these biases are in very good agreement with the results of Jurić et al. (2008) for the SDSS, computed using mock catalogues. For example they found (we find) that for a binary fraction $f_b = 0.25$ (0.162) the scale height is underestimated by 15% (10%). For Malmquist bias they found (we find) that for $\sigma_M = 0.30$ (0.24) the scale height is underestimated by $\sim 5\%$ (3%). Using each source individually rather than binning the data increases how the data are used optimally. However, this has a large cost in terms of the computational time required for the fit, and the gain is actually probably rather modest. For much larger sample sizes than used here the computational cost could be prohibitive. In such cases a compromise is possible. The key would be to bin the data in $J$ and $b$, rather than in $z$, for each spectral sub-type. Then it would still be possible to implement a likelihood treatment for binaries and Malmquist bias analogous to the one employed here. 4. DISCUSSION OF THE MEASURED DENSITY PROFILE The measured value of $\alpha = 0.29^{+0.12}_{-0.17}$ for this population of stars corroborates the finding of Xiang et al. (2018) that $\alpha \sim 0$ for the thin disk, summing all ages together. The result is also in good agreement with the measurement by de Grijs et al. (1997) of the distribution of $\alpha$ in nearby edge-on spiral galaxies of $\alpha = 0.5 \pm 0.2$. Since these latter measurements were made in the $K$ band the light would be dominated by cooler stars.\footnote{There is a caveat that the $K-$band light will be dominated by giants, whereas our study analyses the distribution of dwarfs. Based on the data of Rix and Rieke (1993), de Grijs et al. (1997) argue that the contribution of young red supergiants to the $K-$band light is small, and that the profiles of cool dwarfs and giants will be similar.} Bovy (2017) found that the vertical profiles of A to K stars are ‘well represented by sech$^2$ profiles’, and he measured scale heights increasing from $\sim 50$ pc for (younger) A stars to $\sim 150$ pc for (older) G and K dwarfs. The latter value is much smaller than the canonical value for the thin disk of 300 pc which is hard to understand. However in contrast to the A stars, the vertical profiles of G and K dwarfs are not well sampled by the GAIA DR1 data. It may be possible to reconcile all these results in the following way. The results of Xiang et al. (2018) indicate that $\alpha$ is larger for young populations, so the profile for A stars might be satisfactorily fit by a sech$^2$ profile. However the G and K samples will be dominated by older stars so for these populations one would expect a value of $\alpha$ similar to our measurement of 0.29. If this is true, fitting the sech$^2$ profile to this steeper profile will result in a slight tendency to overestimate the scale height, as we found in Sect. 3.1 (the same effect is also visible as the anti-correlation between $z_e$ and $\alpha$ in Fig. 7). This might help explain the small scale heights measured by Bovy (2017) for G and K dwarfs. The measured value of $\alpha$ is interesting from a theoretical perspective because it is inconsistent with the value $\alpha = 2$ predicted for an isothermal distribution. Banerjee and Jog (2007) have argued that a steeper value would be expected as a consequence of the constraining effect of the mass in the thin gaseous disk. The measured scale height $z_e = 259$ pc for the sech$^\alpha$ profile, or $z_e = 269$ pc for the exponential profile, is broadly in line with previous measurements for the thin... disk. A useful comparison is against the result of Bochanski et al. (2010) who measured a scale height of $300 \pm 15$ pc from a large sample of early and mid M dwarfs, accounting for binaries and Malmquist bias. This is satisfactory agreement given the much larger distances sampled by their survey, the different analysis method, and the uncertainty in the photometric parallaxes used by them. The measured height of the Sun above the plane of $10.9^{+1.7}_{-1.4}$ pc also deserves comment. There have been several measurements of this quantity. One of the most recent and most detailed is the study of Bennett and Bovy (2019) who find a height $20.8 \pm 0.3$ pc. They emphasise the influence of asymmetries in the vertical density distribution, and they define the Galactic plane as the centre of the symmetric part of the density profile. The main asymmetry manifests itself at heights of 500 pc, beyond the limit of our survey. Since our data look symmetric we might expect the two results to agree somewhat better. Nevertheless as shown in Sec. 3.1, a difference at this level has only a small effect on the estimate of $\alpha$. 5. THE LUMINOSITY FUNCTION The sech$^\alpha$ fits produce an estimated space density at the Galactic plane for each spectral type, Table 2. We can now compare against measurements of the local space density, in particular the measurements by Bardalez Gagliuffi et al. (2019) who have made a comprehensive survey of ultra-cool dwarfs at distances < 25 pc. Referring to Fig. 8, with the Sun located 10 pc above the plane, the space density in the local bubble of radius 25 pc will be almost identical to the value at the mid plane. We compare our measurements of the local space density with those of Bardalez Gagliuffi et al. (2019) in Table 3 and Fig. 9. Because Bardalez Gagliuffi et al. (2019) use a full spectral sub-type, for e.g. M7 we have combined our results for M7 and M7.5.\footnote{This could in principle lead to small differences. A full sub-type bin effectively covers M6.5 to M7.5. Adding two half sub-type bins effectively covers M6.75 to M7.75.} There is mostly fair agreement between the two determinations, although the points for M7, L1, and L2 are not in statistical agreement (outside 2$\sigma$). For the M7 to M9 dwarfs, recall (Sect. 2) that Laithwaite and Warren (2020) noted an apparent discrepancy between spectral classifications in the homogeneous BOSS sample of Schmidt et al. (2015) and classifications collected from older literature. The difference is in the sense that older measurements found earlier spectral types than measured by Schmidt et al. (2015). If the classifications in Bardalez Gagliuffi et al. (2019) are systematically different to the BOSS classifications for M7 to M9 this would translate to differences in their measured space densities compared to ours. The differences in space density at L1 and L2 where we measure values a factor two smaller than Bardalez Gagliuffi et al. (2019), are harder to understand. The uncertainties plotted on our sample are very small compared to theirs. Any systematic differences in the spectral classifications between samples would not necessarily translate into differences in the measured luminosity function, as \| spectral type \| this paper \| Bardalez Gagliuffi et al. (2019) \| \|---------------\|------------\|----------------------------------\| \| M7 \| $4.25^{+1.25}_{-1.17} \times 10^{-3}$ \| $3.20^{+1.40}_{-1.30} \times 10^{-3}$ \| \| M8 \| $1.80^{+0.47}_{-0.45} \times 10^{-3}$ \| $2.34^{+0.30}_{-0.28} \times 10^{-3}$ \| \| M9 \| $1.43^{+0.99}_{-0.95} \times 10^{-3}$ \| $1.58^{+0.24}_{-0.23} \times 10^{-3}$ \| \| L0 \| $0.57^{+0.04}_{-0.04} \times 10^{-3}$ \| $0.75^{+0.15}_{-0.14} \times 10^{-3}$ \| \| L1 \| $0.39^{+0.03}_{-0.03} \times 10^{-3}$ \| $1.02^{+0.26}_{-0.25} \times 10^{-3}$ \| \| L2 \| $0.34^{+0.03}_{-0.03} \times 10^{-3}$ \| $0.78^{+0.17}_{-0.17} \times 10^{-3}$ \| Table 4 Comparison of the luminosity function pc$^{-3}$ from this paper against the same from Bardalez Gagliuffi et al. (2019) \| $M_J$ \| this paper \| Bardalez Gagliuffi et al. (2019) \| \|-------\|------------\|----------------------------------\| \| \| $J_{MKO}$ \| $J_{2MASS}$ \| \| 10.25 – 10.75 \| $2.14^{+0.08}_{-0.08} \times 10^{-3}$ \| $6.57^{+0.32}_{-0.32} \times 10^{-3}$ \| \| 10.75 – 11.25 \| $1.53^{+0.08}_{-0.08} \times 10^{-3}$ \| $3.62^{+0.44}_{-0.44} \times 10^{-3}$ \| \| 11.25 – 11.75 \| $1.03^{+0.04}_{-0.04} \times 10^{-3}$ \| $1.90^{+0.27}_{-0.27} \times 10^{-3}$ \| \| 11.75 – 12.25 \| $0.58^{+0.03}_{-0.03} \times 10^{-3}$ \| $1.50^{+0.23}_{-0.23} \times 10^{-3}$ \| long as absolute magnitudes have been determined correctly for each sample (this would not be the case if the same relation between spectral type and absolute magnitude were used for both samples). To calculate the luminosity function we consider the bins of size 0.5 mag listed in Table 4 and compute the space density in each bin.\footnote{These have been chosen to match the bins in Bardalez Gagliuffi et al. (2019). We have been informed that where they list a bin as 10.25, this means the range $10.25 - 10.75$.} It is important to allow correctly for the spread in absolute magnitude of each spectral sub-type, to include all sub-types that contribute to a bin (given the spread), and to ignore bins where sub-types not considered here would contribute significantly. The last is true for example for the bin $9.75 - 10.25$, where M6.5 stars would contribute. We assume the absolute magnitudes of each of the twelve spectral sub-types are centred on the values listed in Table 1 with Gaussian distributions with $\sigma_M = 0.24$ (Sect. 3.2.1). We then integrate the space densities in the MCMC chains into the relevant absolute magnitude bins to compute the luminosity function and uncertainties. For the highest luminosity bin $10.25 - 10.75$ any contribution from spectral type M6.5 will be negligible. For the lowest luminosity bin $11.75 - 12.25$ we have added in a small contribution from L3 dwarfs of 0.02 pc$^{-3}$, estimated by assuming the space density of L3 dwarfs is the same as that of L2.5 dwarfs. The results are listed in Table 4, where they are compared against the luminosity function results of Bardalez Gagliuffi et al. (2019). Again we find that the uncertainties quoted by Bardalez Gagliuffi et al. (2019) are smaller than a fractional uncertainty of $1/\sqrt{N}$, and so the values quoted in Table 4 use $1/\sqrt{N}$. Our values for the luminosity function are a factor of two to three lower than those of Bardalez Gagliuffi et al. (2019). Substantially lower space densities in each bin could have been anticipated, since the estimated space densities are lower for most spectral types, Fig. 9, and in addition the range of absolute magnitudes for what we call M7 to M9 is larger than their range, so the space density per 0.5 mag. bin is further lowered for our sample. The two estimates of the luminosity function are plotted in Fig. 10. Our results use the MKO $J$ band whereas they use the 2MASS $J$ band. As noted earlier, over this spectral range a star has $J_{2MASS} - J_{MKO} \sim 0.1$ mag. (Stephens and Leggett 2004). Therefore we have shifted their points 0.1 mag to the left in Fig. 10 to represent their results on the MKO system. In Fig. 9 we also plot the older results on the luminosity function from Cruz et al. (2007) (their Table 11) which the Bardalez Gagliuffi et al. (2019) results supersede. These also use the 2MASS $J$ band and so the points have also been offset to the left by 0.1 mag (their locations are plotted incorrectly in Bardalez Gagliuffi et al. (2019), offset by 0.25 mag.). Interestingly our results and those of Cruz et al. (2007) agree well. 6. SUMMARY The main points in this paper are the following: 1. We have used a homogeneous sample of 34,000 ultracool dwarfs of spectral type M7 to L2.5, all at distances < 350 pc, to measure the local vertical density distribution of stars in the disk of the Milky Way. The sample was selected in the $J$ band and benefits from high photometric precision and low extinction. We have developed a likelihood analysis that uses all the stars in the sample optimally, accounting directly for the proportion of unresolved binaries in the sample, and treating Malmquist bias. 2. Fitting the function sech$^\alpha$ to the density distribution as a function of height from the Galactic plane, we measure $\alpha = 0.29^{+0.12}_{-0.10}$. The exponential profile $\alpha = 0$ is contained within the 95\% credible interval. Any softening of the density distribution towards the plane relative to an exponential profile is modest. The flatter sech and sech$^2$ profiles are ruled out at high confidence. 3. Because of the good sampling of the peak of the density distribution the sample is useful for measuring the location of the Galactic plane for this population, and we find the Sun lies at a height $10.9^{+1.1}_{-0.9}$ pc above the plane. 4. We have used the results of the fit of the density profile to measure the stellar luminosity function at the bottom of the main sequence over the absolute magnitude interval $10.25 < M_J < 12.25$. Our results for the luminosity function are a factor two to three lower than the measurement by Bardalez Gagliuffi et al. (2019) that uses stars in the local 25 pc radius bubble, but agree well with the older study of Cruz et al. (2007). ACKNOWLEDGEMENTS We are grateful to Daniel Mortlock for a number of helpful discussions on data analysis, and to Daniella Bardalez Gagliuffi for comments on an earlier version of the manuscript. We thank the anonymous referee for comments that led to a number of improvements in the presentation. A. SYSTEMATICS FROM SPECTROSCOPIC PARALLAXES In this appendix we quantify possible systematic errors in the analysis of the vertical density profile due to the adoption of the absolute magnitudes listed in Table 1, for each spectral type. The fitting of the vertical density profile assumes that, for example, a M7 star has an absolute magnitude of $M_J = 9.92 \pm 0.24$. For the spectral types M7 to M9.5 the values of $M_J$ were taken from Laithwaite and Warren (2020). They were determined using a volume complete sample of stars with GAIA DR2 parallaxes, where the upper and lower distance limits were a function $G - J$ colour. These distance limits ensured that the sample was representative of the multiplicity of the population. Then the relation between $M_J$ (for single stars) and $G - J$ was determined by fitting the mode of the distribution, assuming a Gaussian distribution in $M_J$, at fixed colour, with a population of equal-mass binaries offset by 0.75 mag., with the same dispersion. Finally $M_J$ for each spectral type was selected as the value on this relation corresponding to the median colour for that spectral type, and the dispersion of $M_J$ for the population was also measured. The question then arises of how well this model represents the population or whether it could lead to systematic errors in distances because it is too simple. We can answer this question directly using the original dataset from which the absolute magnitudes were measured. Specifically there are 1737 sources classified M7 in the volume-complete sample of Laithwaite and Warren (2020). Using the double Gaussian model of singles and equal-mass binaries we can assign a probability any source is single or binary, and we select as singles the 1498 sources for which $p(\text{single}) > 0.5$. Each source has an accurate parallax, with typical parallax/error of 30. We characterise the (true) distribution of distances of this sample by the mean, dispersion, and skewness, measuring respectively $\mu = 123.8 \text{ pc}$, $\sigma = 23.9 \text{ pc}$, and $\gamma_1 = -0.15$. Now we ask how accurately do the spectroscopic parallaxes represent this distribution. Estimating the distances based on the apparent magnitude $J$ and the adopted $M_J$, we measure $\mu = 126.0 \text{ pc}$, $\sigma = 28.5 \text{ pc}$, and $\gamma_1 = 0.05$. The mean distance estimated using spectroscopic parallaxes is 1.7% larger than the correct value. This fractional difference is significantly smaller than the random uncertainty on the measured disk scale height (Table 2) and so may be disregarded. 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Knowledge Based Educational Framework for Enhancing Practical Skills in Engineering Distance Learners Venkatesh Chennam Vijay, Mel Lees, Parmjit Chima, Craig Chapman, Pathmeswaran Raju Faculty of Computing, Engineering and the Built Environment School of Engineering, Design and Manufacturing Systems Birmingham City University Millennium Point, Curzon Street Birmingham, UK, B4 7XG firstname.lastname@example.org Abstract—This paper presents a concept of knowledge-based education (KBEd) framework and method in capturing, mapping, reusing and automating the knowledge of on-campus engineering laboratory instructor for imparting and assessing practical skills in engineering distance learners. The concept of distance learning in engineering science subjects like mechanical and automotive is still in its infant stage. As laboratory plays a vital role in engineering curriculum, delivering these programs and evaluating them have been the two major challenges for universities offering distance learning programs. This paper aims to address these challenges; an instructional system automated through experts knowledge with more granularity in monitoring the learners transition throughout the learning process is required. Keywords—engineering laboratory; distance learning; tutor knowledge; knowledge capture; automation. I. INTRODUCTION The importance of practical experiment in the engineering course has significantly increased from the 19th century, as the mode of teaching shifted towards constructivist pedagogy, which emphasized the importance of knowledge through experience [1]. This was due to the increasing demand from the industries for engineering graduate equipped with theoretical knowledge and practical hands-on skills [2]. In university education, the concept of online learning has encouraged the participation level of learners who are physically away from on-campus environment, by providing them with improved access [3] [4]. The concept of distance learning in engineering science subjects like mechanical and automotive is still in its infant stage [5] [6], as laboratory environment plays a vital role in engineering curriculum for developing practical skills. Teaching practical is different from teaching theory; in an educational domain learning practical skills are associated with lab instructor and workshop equipped with special equipment involving long blocks of time to practice or rehearse the technique [7]. The knowledge of the laboratory instructor plays an integral part in developing and assessing the practical skills of the learner. Where in distance-learning environment ‘imparting practical experience’ and ‘assessing them’ becomes two major challenges [8] [9]. Although, there are several new advancement in education through technology like “virtual/remote learning”, one has to note that this has been extensively developed for disciplines like management and computer science, but are relatively underdeveloped in engineering science disciplines [10] [11]. As hands-on and know-how practical skills are critical for engineering disciplines, acquiring them from a distance learning mode turn out to be a challenge. This research focuses on developing a method that captures and maps the on-campus tutors knowledge into a framework in automating engineering virtual laboratory for enhancing the practical skills in distance learners. The proposed framework provides the environment, guidance and the assessment for the distance learners in practicing, learning and acquiring the practical skills. This paper presents a knowledge capture method in capturing on-campus tutors’ knowledge with respect to procedure, product and diagnostics. Further explains how the captured knowledge are modelled and mapped into a knowledge-based educational (KBEd) framework for imparting and assessing the practical skill in a virtual environment. II. HISTORY OF ENGINEERING LABORATORIES In the past, engineering learning placed greater emphasis on practical work, engineers who graduated at that time were more practical oriented but lacked the underpinning theoretical concepts [12] [13]. Later the emphasis shifted more towards teaching theoretical concepts, which also let to an inconsistent learning outcome, since they lacked practical knowledge required for the industrial job. To overcome the above inconsistency, universities, industries and researchers constructed their own pedagogy [14] [15] [16]. For example: the Kolb [17] experimental learning theory, which helps in achieving the right balance between theory and practical skills. During the middle of nineteenth century universities like Cornell, Union college, Yale, MIT and many others emphasised laboratory instruction and practical experience for new-generations of engineers [18]. The first engineering taught course that involved practical aspects and fieldwork was from the American Society of Civil Engineers [19]. One of its early technical divisions was surveying, which provided a practical work environment [20]. Then laboratories and fieldwork were made mandatory for engineering education [21] [22]. Further the engineering accreditation process increases the quality of delivering engineering modules; these accreditations define a set of learning objectives that need to be achieved [23] [24]. The first among the engineering education accreditors was the American Institute of Chemical Engineers (AIChE) in 1925 and then followed by the Engineers Council for Professional Development (ECPD) in 1932, which is now known as ABET (Accreditation Board for Engineering and Technology) [25] [26]. In UK, the Engineering Council accreditation helps to ensure that the engineering education meets the world-class standard and helps them in acquiring industry-relevant skills. Fig.1 provides the set of learning outcomes that needs to be achieved by the engineering student in UK in order to qualify as a professional engineer. ![Fig.1: UK Standard for Professional Engineering Competence, Source: [27]](image) This research will focus mainly on the ‘know-how’ learning outcome, which is more on knowing how to perform hands-on activities in solving the problem. Hands-on experience is one of the fundamental skills required from an industry point-of-view [28]. Hands-on experience is more achievable on an on-campus environment compared to that of the distance-learning environment [29] [30]. As this ‘know-how’ practical skills in engineering courses like mechanical and automotive are set to be vital, imparting and assessing these practical skill turn out to be the two major challenge for the distance learning institutes [31] [32] [33] as the learners are spread around different geographical locations. A. Engineering Distance Learning During the past 200 years there has been number of revolution towards automation, mainly in three main sectors: agricultural, industrial and service sector [34]. The goal of automation is to reduce cost and increase efficiency, reliability and stability. For automation irrespective of the field there are three basic requirements that need to be satisfied: the availability of technology that replaces human, need for large number of similar items and low automation cost compared to that of traditional one [35]. At present, education sector are undergoing a revolution in automating instructional delivery using Intelligent Tutoring Systems (ITsSs) at a minimal cost. In improving accessibility and achieving better learning outcomes by providing individualized learning experience as compared to traditional method involving teacher and classroom[36] [37] [38]. To date, engineering in distance learning mode uses three main approaches in teaching laboratory skills [39]. The first approach involves study centres, where the practical skills are imparted and assessed. Usual these test centres are Engineering College or Polytechnic those are located within assessable distance for the distance learners. Moreover, these centres are mostly not under full control of the distance education institute, hence the support or assessment carried out may not be up to the standard compared to that of the distance education institute’s on-campus standard [40]. The second approach involves physical lab that provides remote access by using remote sensing known as remote labs. Remote lab is similar to traditional lab, they require space and physical equipment, and thus the cost of implementing and maintaining them are more or less the same as traditional lab. The characteristics that separate a remote lab form traditional one is the distance between the learner and the equipment in performing the experiment [41]. The third approach involves replacing physical laboratory by a digital software-based laboratory known as virtual labs. Where the virtual lab, which has been the latest, differs from the other two approaches through two distinguish characteristic: Here neither the equipment nor the environment exist in real, making the student and the equipment in no danger of being hurt or damaged [42]. In addition, apart from observing and performing practical task with the equipment students have the ability to visualize the internal mechanism of the performed task [43]. In an engineering education, development of subject knowledge along with practical skills is set to be vital, as these skills makes the student ready to undertake real world problem [44]. Engineering practical skills means physical hands-on skills required in performing activity using engineering equipment, tools and technique. In an on-campus environment, learning practical skills are associated with physical laboratory, equipment and lab instructor. Where, the laboratory instructor is the source of knowledge for the students in explaining and demonstrating the experiment and assesses their performance in providing feedback to them [45] [46]. Different practical skills taught have different complexity level and require varying level of knowledge in executing them (Fig.2). Apart from that, learning these practical tasks also depends upon the learning style of each individual. For instance: some students may be tentative in grasping and acquiring the practical skills with few iteration and some may observe, analyse and repeat several times before achieving it. In a traditional environment the lab instructor alters the procedure and the teaching style depending upon the complexity of the task and provides feedback for each individual in improving their practical skill [47]. When it comes to delivering these in a virtual environment it becomes complex, as the learner and teacher are physical separated from each other. Although with the use of new technology like virtual/remote laboratories, teaching and assessing can be automated by capturing the knowledge from the instructor. But these captured knowledge have to be mapped to the right rules in provide right feedback. ![Taxonomy of psychomotor domain, Source: [48]](image) B. Remote and Virtual Laboratories There are several remote and virtual laboratories in the literature [49] [50] [51] [52]. The Situation Engine [53] at The University of New South Wales, iLab [54] at Massachusetts Institute of Technology, Advance Science and Automation Corp. (ASA) [55] [56] at US, Lab-Share [57] at Curtin University and the WebLab- DEUSTO [58] at University of Deusto, are important virtual/remote laboratories. Apart from that [59] companies have developed virtual environment to learn practical skills through latest technology like “Haptic” in providing a better hands-on experience. In [60] the authors provide the present benefits and challenges of virtual learning environment. In [61] the authors provide the literature review for characteristics of the next generation of remote laboratories, in [62] study provides assessment model for present virtual laboratories by adapting Felder and Silverman in generating customized learning objects for different learning styles. In [63], after an overview on the historical role of engineering instructional laboratory presents the coherent learning objectives for modern laboratories and development for future research, in [64] [65] [66] studies provide the challenges in the current virtual/remote laboratory environment. All these study highlights the need for enchantment in imparting and assessing the practical skill among the engineering distance learners. It is clear that, there are several virtual/remote-learning frameworks that assess the student knowledge and learning preferences and provide them a customized learning path. In addition to that, there are few frameworks, which are capable of providing dynamic learning path by performing the assessment check at the end of each learning outcome. However, this study is not about critically reviewing these ideas or technologies, but to possibly generalize and extent these ideas in enhancing the practical learning outcome by improving the teaching and assessing system in a virtual environment. Having said that, not many researchers have explored in providing much granularity for imparting and assessing the engineering distance learners by exactly identifying what and where the students have gone wrong and providing them with appropriate assistance in learning the practical skill. In a traditional environment the laboratory instructor is able to provide the students with much granularity in the feedback by observing the students’ performance. The granularity is achievable in a virtual environment by constantly monitoring the learner’s transition throughout the learning process by an artificial intelligent (AI) system, automated through the knowledge and rules captured from engineering laboratory experts. Additionally, there isn’t any defined method on how to capture the knowledge from laboratory instructors in automating the instructional design for engineering practical learning. This study aims to provide a knowledge-based educational (KBEd) framework and method that adds value in imparting and assessing practical skills for engineering distance learning students in a virtual environment. The rest of the paper will discuss in detail on how the knowledge from the engineering laboratory instructor is captured and mapped into the framework for automation. III. USE CASE This study uses Birmingham City University, UK as the case organisation in validating the proposed method and framework. The case organisation runs mechanical engineering course, where first year students learn several fundamental practical tasks related to the subject (Table I). \| Topic \| Practical Task Taught \| \|------------------------\|---------------------------------------------------------------------------------------\| \| Applied Mechanics \| Strain gauge application on beam E by Bending of Aluminium beam Bend Stress of beam Damped Vibration of beam Photo-stress experiment Boundary Stress of Beam \| \| Materials and Manufacture \| Meta_ joining exercise - manufacturing and programming on CNC machine Meta_ joining exercise - Tensile testing on Testometric machine Tensile testing of Carbon steel materials and microstructures Corrosion of Metals Creep test Basic Welding \| \| Thermodynamics \| Heat exchangers Temperature calibration Engine Test cell demo \| Among these taught practical task, basic welding is not part of the real academic assessment and does not influence the academic score of the student, which was selected as the case study in testing the framework. Although the welding task was not part of the main assessment, the acquired skill was vital for their third year practical work, where the students team up in building a student formula car. The case organisation’s laboratory instructor, where students observe and practice in acquiring the skill, taught how to perform a basic welding safely. This task consists of four learning topics: health and safety, flat plate welding, t-joint welding and saucer welding. At first the laboratory instructor guides them through the health and safety procedures, followed by a brief introduction about the tools and equipment required for the task. In addition, the instructor pauses and clears the doubts for the students during his explanation. Then the instructor shows how to weld two flat plates, while performing welding the instructor pauses and provides information about the key checks that needed to be carried out. After observing how to execute flat plate welding, students have-a-go at it while the instructor monitors them by creating a checklist in this mind and observes their action against it, in providing relevant feedback. The students then have-a-another go, in avoiding the mistakes that they have committed in the previous attempt. Once the students have completed the task, the instructor demonstrates how to execute a t-joint welding, followed by a demonstration for saucer welding. To automate the above instructional system in a virtual environment, the knowledge from the laboratory instructor need to be captured. A. Knowledge capture from laboratory instructor The proposed method for capturing knowledge from the laboratory instructor adapts knowledge-based engineering techniques that are been applied in manufacturing industries for capturing knowledge from the concern experts in automating the system [80] [81]. The value of knowledge-based engineering lies in the way the captured data and rules are mapped to a greater granularity through classes and sub-classes. The knowledge from on-campus tutor (in this case they are mostly lab instructors) where captured through a knowledge-based engineering method, which was adapted and modified according to the research scope (Table II). The first column refers to the sequence of procedure that needs to be carried out while executing the practical task; the second column refers to the aesthetics of the product corresponding to the procedure and the third column refers to the knowledge in providing what could have possibly gone wrong. The process of knowledge capturing started with a semi-structured interview in gathering the data for procedural and product requirement (column 1&2) for each taught task followed by the possible diagnostics (column 3). The gathered data were then filled in the respective column (Table III), for a set of sequence or a single sequence has a corresponding product check that needs to be made. For the chosen practical task (Welding) there are three different product checks: soft-check, hard-check and self-check. The soft-check and the hard-check are performed by the tutor, whereas the self-check is to be performed by the learners. Learners, who fail to meet the product check for the performed procedural sequence, will be diagnosed by the tutor in capturing what could have possibly gone wrong by mapping them to the appropriate diagnostic knowledge. \| Procedural \| Product \| Diagnostics \| \|------------\|---------\|-------------\| \| Select your metal plate \| Soft-check: ‘Check the selection of plate and whether the plate is cleaned’ \| Lack of fundamental knowledge \| \| Degrees the plate \| \| \| \| Remove any burns \| \| \| \| Position the plate \| Soft-check: ‘Check whether the magnet positioned proper’ \| Lack of preparation knowledge \| \| Hold it with magnets \| \| \| \| Setup the equipment & safety measures: \| Hard-check: ‘Check for appropriate setup and safety’ \| They can’t proceed to the next step if safety measures are not satisfied (if failed – will generate immediate learning object). \| \| Personal protection (app) \| \| \| \| Safety equipment (app): Overalls: Apron \| \| \| \| Gloves: Light duty Mask: Both \| \| \| \| Welding: Both \| \| \| \| How to use Safety equipment: (app) \| \| \| \| How to check Safety equipment: (app) \| \| \| \| Other people protection (app): \| \| \| \| Safety equipment (app): both \| \| \| \| How to check the standard both \| \| \| \| Equipment protection (app): Mig: \| \| \| \| Set the amps – depends of think of the metal he uses (1.6mm) – setting 3 – about 60-80Amps \| \| \| \| Tack weld the corner \| Self-check: ‘Check corner edge, try to pick it up - the two pieces should stay together, after taking out the magnet.’ \| Improper weld (Disarrangement of magnet) (Wrong angle of the torch) Not cleaned the plate properly Impact on other task and output \| \| Remove the magnet \| \| \| \| Weld from outside to 20mm inside \| Self_check: ‘Check for gap or bend on the plate’ \| Improper weld (Wrong angle of the torch) (Not selected the right amps) Cause of improper tack weld Impact on other task and output \| \| Main middle welding \| Backend check: ‘Check for nice and flat welded plate, Other side of the pate for depth of penetration.’ \| Inaccurate execution of welding skills(Wrong angle of the torch) Amps to low or high Lack of penetration of tack weld (plates move apart) \| B. Knowledge modelling using ontology The gathered data were stored under an ontological structure through classes and sub-classes consisting of learning object, learning structure, learning mode and assessment. In this case study, we have one learning object ‘Welding’ which consist of three sub-learning objects: flat plate welding, t-joint welding and saucer welding which encapsulates learning structure, learning mode and the assessment applicable to it. The applicability is provided by the rules that are been assigned to each of the sub-learning objects, which maps them to its appropriate content under learning structures, learning mode and assessment (Fig. 3). Learning structure consists of three sub-classes: Introduction, Preparation and Execution and Evaluation. Under Introduction fundamental information like, overview about the practical task, relevant procedures, tools, health and safety were stored. Preparation consist of information about how to set-up the required equipment. Execution&Evaluation provided information on how to perform and test the output of the task. The learning mode consists of three sub-classes: Tell me, Show me and Have-a-Go, which were mapped to their respective assessment. The data from Table III where stored under the assessment, which consists of three sub-classes: Procedural, Product and Diagnostics. Procedural sub-class consist the sequence of procedures required to perform a task. The output achieved through the performed procedure is monitored by the Product sub-class, which consist information to check whether the output-achieved satisfies the required aesthetics. Diagnostics sub-class consists of knowledge in what could possibly go wrong and why. ![Fig. 3. Arrangement of gathered data under class and sub-class with assigned rules](image) IV. KNOWLEDGE-BASED EDUCATIONAL FRAMEWORK (KBED) The proposed KBEd framework (Fig. 4) consists of three major blocks: The Artificial intelligent (AI) Tutor, Environment and the Assessment. The AI Tutors and Assessment block provide the automation for imparting and assessing the practical skill, the environment block provides the virtual laboratory environment where the students practice their skill. The captured knowledge that is classified under ontological structure through classes and sub-classes (Fig. 3) is stored in AI Tutor block under the Knowledge-Engine (KE) and its respective rules were stored under the Mapping-Engine (ME). The Learning-Object-Engine (LOE) in AI Tutor generates the learning objects that are required for the learners through Generate-Learning-Object algorithm (GLOa) by calling the classes and rules mapped to it. These generated learning objects are visualized through the Run-Time-Engine (RTE) under the Environment block, which provides the applicable learning modes; Tell-Me (TM), Show-Me (SM) and Have-a-Go (HG), where, the student learns by seeing, listening and by doing the task. Learner’s performance and preference are assessed by the Assessment-Engine (SE) under Assessment block in generating their individual portfolio. The Assessment-Engine (AE) assesses the learner’s performance and provides feedback, which is considered to be the backbon of the proposed framework. The feedback system is automated though Level, Depth and Rigour axis algorithm (ADRa) where, the level represents the complexity of the task that the learner is performing, the depth represents the depth of knowledge that the learner has to impart in executing the task and the rigour represents the measuring scale. The concept of ADRa is the extension of Hess cognitive rigor matrix, which suggests two axes: the level and the depth in measuring student’s performance. This study, in the course of automating the assessment process has added rigour as the third axis in assessing the performance of the students. The output from the assessment-engine is sent to output unit in triggering the next learning objects required for the learner from the LOE. Unknown sequence or learners actions that are not part of the AI’s knowledge are captured as new instances, which could possible turn as a new knowledge. ![Fig. 4. KBEd framework](image) V. DISCUSSION The distance learners visualizes and practice their welding skills in the Environment, this study used UNITY3D game development software in creating a virtual laboratory (Fig. 5 (a)&(b)). The action or a query that has been instantiated by the learner in the Environment is guided, monitored and assessed by the AI Tutor through the captured rules and knowledge that are encapsulated under the learning objects. For example, in the virtual environment distance learners who are intended in learning how to welding are provided with the learning objects associated under welding (Fig. 5 (c)&(d)), where, they interact with these learning objects in practicing different welding task. Learner’s transition is monitored and assessed by the AI Tutor through the procedural, product and diagnostics class in achieving much granularity in imparting and assessing the practical skills in a virtual environment. A detail discussion on how the AI Tutor communicates and captures the learner’s actions that take place in the Environment will be presented in the future work. The method that been proposed in capturing the knowledge from laboratory instructor through a three column approach, provide a simple and efficient way in gathering and classifying tutors knowledge under classes and subclass in automating the instructional system for a virtual environment. Further, the knowledge capture template provides a clear view on the data that needed to be gathered in order to build an AI Tutor in imparting and assessing the practical skills of the distance leaners in a virtual environment. The virtual laboratory build on the proposed framework will be tested with the case organisations first year mechanical engineering students in enhancing the performance of the proposed framework. ![Fig. 5. The Environment developed in Unity3d](image) VI. CONCLUSION In engineering education laboratory know-how skills is set to be one of the primary learning outcomes, imparting and assessing them turn up to a major challenge for engineering distance learning providers. Although there are several advancements in engineering distance learning such as virtual/remote laboratories, no significant work has been carried out for providing much granularity in imparting and assessing the distance learners in a virtual environment. 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College Catalog 1902-03 St. Norbert College Follow this and additional works at: https://digitalcommons.snc.edu/yearbooks_1900s Recommended Citation St. Norbert College, "College Catalog 1902-03" (1903). College Catalogs 1902-1918. 3. https://digitalcommons.snc.edu/yearbooks_1900s/3 This Book is brought to you for free and open access by the College Catalogs and Des Peres Yearbooks at Digital Commons @ St. Norbert College. It has been accepted for inclusion in College Catalogs 1902-1918 by an authorized administrator of Digital Commons @ St. Norbert College. For more information, please contact firstname.lastname@example.org. ST. NORBERT'S COLLEGE. WEST DE PERE, WIS 1902-1903 A. M. D. G. PROSPECTUS OF ST. NORBERT'S COLLEGE, WEST DE PERE, WISCONSIN. 1902-1903. DEMOCRAT PRINT, DE PERE, WIS CALENDAR FOR 1902-1903. 1902. September 2. Students return. September 3. Formal opening. Solemn High Mass. Reading of Statutes. September 4. Classes begin. October 28. First quarterly examinations. October 30. About this time the annual retreat begins. November 27. Thanksgiving day. December 23. Christmas vacation. 1903. January 7. Classes resume. January 28-31. Semi-annual examinations. February 1. New term begins. Holiday. February 22. Washington's Birthday. March 19. St. Joseph's day. Patron feast of the Church. April 7-8. Third quarterly examinations. April 9. Easter recess. May 30. Memorial day. June 6. St. Norbert's day. Patron feast of the College. June 15-20. Final examinations. June 22. Commencement exercises in College Hall. June 23. Summer vacation begins. BOARD OF TRUSTEES. VERY REV. B. H. PENNINGS, O. Praem. President. REV. S. C. MICKERS, O. Praem. REV. L. J. BROENS, O. Praem. REV. G. RYBROOK, O. Praem. Secretary. The building is a large, multi-story structure with a prominent central tower and several smaller towers on either side. The roof is steeply pitched with multiple gables and dormer windows. The facade features numerous windows arranged in a grid pattern, with some larger windows near the center. The building has a classic architectural style, possibly Victorian or Gothic Revival, characterized by its ornate details and symmetrical design. There are trees visible in the foreground, suggesting an outdoor setting. OFFICERS AND FACULTY. VERY REV. B. H. PENNINGS, O. Praem. President. Evidences of Religion. REV. L. P. HURKMAN'S, O. Praem. Director. Fifth Latin, Geometry, Modern and Church History, Elocution. REV. M. J. ELSEN, O. Praem. Fourth Latin, Algebra, Greek. REV. J. J. GLOUDEMANS, O. Praem. Third Latin, German, French, Drawing. REV. G. RYBROOK, O. Praem. Second Latin, Greek, Bible History. REV. M. R. LANG, O. Praem. First Latin, Prefect of Studies. MR. F. A. DUGUAY. English, Arithmetic, Elocution. MR. E. BERKEMEYER. English, Geography, Prefect of Discipline. (To be appointed.) Bookkeeping, Commercial Law. (To be appointed.) Shorthand, Typewriting, Banking. ST. NORBERT'S COLLEGE. St. Norbert's College was opened to a small number of students in October, 1898, by the Premonstratensian Fathers, who had located in De Pere the month previous. The immediate object of the College was, to prepare boys for the holy priesthood. During the summer of 1899, St. Norbert's Convent was erected and thus accommodations were provided for several more students, who attended the College as day-scholars. In September, 1900, boarders were also admitted and in a short time the Convent building proved inadequate to the demands of the increasing number of students. On this account the Fathers called a meeting on May 9th, 1901, at which the Right Reverend Bishop S. G. Messmer, Monsignor J. J. Fox and a number of the diocesan clergy were present, to discuss the advisability of erecting a building suited to the needs of a Catholic college, and the means of providing the necessary funds to carry out the project. As the result of a thorough and deliberate discussion of the matter, it was decided to erect a commodious new building to be equipped with all modern improvements and the necessary educational apparatus. The aim is to make the College one of the best institutions of its kind, offering to Catholic boys an excellent opportunity to obtain a higher education. There will be two courses of instruction—the Classical and the Commercial. The object of the Classical Course is the preparation of Catholic boys for the holy priesthood, by imparting to them a thorough religious and classical education. The Commercial Course is added to give to Catholic boys an opportunity of acquiring such educational training as will fit them for business and the higher professions in the world and at the same time confirm them in their Faith. It is intended to add a Preparatory Course as soon as circumstances will permit. While it is unnecessary to point out the advantages of such an institution for Catholic boys, who may have a vocation for the priesthood, it may not be useless to call the attention of all persons interested in Catholic education to the great and pressing need of educated Catholic laymen. There are not enough Catholic institutions right among our Catholic people and near enough to our boys coming out from the parochial schools, to give them an easy opportunity for a high school and commercial training, fitting them for more prominent and influential positions among their fellowmen and at the same time fostering the Catholic faith in them. Without an institution of this kind, most of our Catholic boys looking towards a better place and position in the world, are forced to go to high schools and colleges, where their Catholic faith and loyalty receive, to say the very least, no encouragement whatever, if they are not positively endangered. It is sad indeed to think that, while nearly all the larger cities have Catholic academies and high schools for girls, the Catholic boys are mostly left to themselves unless they study for the priesthood. St. Norbert's College proposes to care for these Catholic boys, who are one day, as loyal Catholic laymen, destined to be the strength and power of the Catholic church in this country. As the College is without endowment and has not, as yet, been the object of beneficiary bequests, it will depend entirely for its support on the tuition fees of the students, the returns of which will doubtless be insufficient to meet the expenses annually incurred in making improvements and repairs. We therefore extend an earnest appeal to the friends of the College and to all who are interested in the spread and advancement of Catholic education for help in obtaining the funds necessary for this laudable undertaking. It is only just that the burden of expense in the work of education should be lightened by those who possess means to do so, and it is sincerely hoped that the friends and patrons of St. Norbert's College will render generous and prompt assistance. The form of bequest will be found elsewhere in this catalogue. We wish also to call the attention of interested friends to scholarships, as a means of successfully promoting and establishing the welfare of the College. A scholarship is said to be founded when an endowment is made, sufficient to yield an annual interest that will cover the yearly expenses of a student, for board and tuition. The scholarship thus becomes perpetual and may be founded as a memorial of the donor or of anyone whom he may choose. The Faculty will always be grateful for any scholarships which may be founded for the benefit of the College, as they will be a permanent factor for its welfare. BUILDING AND GROUNDS. The College is situated in the picturesque Fox river valley on the western bank of the river, commanding an extensive view of that beautiful stream and the surrounding country. It occupies two blocks on the west side of the city of De Pere, which is accessible by the Chicago and North-Western and the Chicago, Milwaukee and St. Paul railroads and which is connected by the Electric Railroad with Green Bay. The new building now in course of erection, and which will be ready for use on September 1st, 1902, has a total length of one hundred and twenty feet by sixty seven in width. The building will be commodious, perfectly ventilated, heated throughout with steam and lighted by electricity. The classrooms, study hall, dormitories, dining room and recreation hall will be arranged with a view to the greatest comfort and convenience of the students. It will be supplied with modern toilet and bath-rooms, reading and music rooms and library. The grounds give ample room for outdoor games and health-giving exercises, while a bowling-alley and billiard room will be equipped to furnish places of exercise in the winter and in rainy or stormy weather. Large base ball grounds at a short distance from the College, provide students with ample amusement on recreation days. QUALIFICATIONS FOR ADMISSION. Applicants for admission to the College must bring satisfactory testimonials from their pastors or other trustworthy persons known to the Faculty. Students coming from other colleges will not be received without a certificate of good standing in the institution they have left and they are expected also to bring their last report or statement, indicating their class and rank in the college from which they come. No one shall ever be admitted, who has been dishonorably dismissed from any other college, or who cannot present satisfactory references. All students on entering the College are examined and assigned to the classes for which the Faculty deems them fit. COLLEGE SESSIONS. The sessions of the College begin the first Wednesday of September and the first day of February, lasting five months each. At the termination of each session a thorough examination of all the different classes in their respective branches is held by the Faculty. A vacation of two weeks is given during the Christmas holidays, beginning December 23rd and ending January 7th. No student will be permitted, except for reasons of absolute necessity, to absent himself from College at any other time during the year, while classes are in progress. Monthly reports in regard to conduct and application are sent to the parents or guardians. The commencement exercises are held the fourth Monday of June. The new comers wishing to be examined for a higher than the first Latin class, should come in time to make their examination on the Tuesday before the opening. DISCIPLINE AND REGULATIONS. 1. All students are under strict obligation to attend the exercises of public worship with punctuality and decorum. 2. Students must show themselves obedient and respectful to their professors, always being punctual, never entering any forbidden place, unless the permission has been obtained from the proper authority. 3. Translations or keys of authors and text books with copious notes are forbidden. 4. No branch of studies, once commenced, shall be discontinued without the permission of the Reverend Rector and the respective professor. 5. Students will be permitted to smoke on stated times; but only on written request or permission of parents or guardians. 6. When a student is to be withdrawn from the College, due notice should in time be given to the Rector of the College. 7. All books brought to the College by students or received afterwards, must be submitted for approval, otherwise they are liable to confiscation. Periodicals and newspapers are likewise subject to approbation. 8. All the letters of the students sent or received, are subject to the inspection of the Reverend Rector. 9. Permission to go into the city will only be given for grave reasons and when accompanied by a Professor. 10. Any student damaging the property of the College, will be obliged to make compensation. 11. Wednesday afternoon is the time set apart for receiving visitors. Parents may see their children at any time; yet it is much desired, that they call only at the appointed time, if it be not too inconvenient. Permission to be absent from class or study during the visits of parents or guardians, should not be requested. ADDITIONAL REGULATIONS FOR DAY SCHOLARS. Day scholars attending the College are obliged, while on the premises, to observe the foregoing rules as strictly as the boarders, and in addition they must comply with the following: 1. All day scholars must be punctual in their attendance and be present at the hour appointed, both in the morning and the afternoon. 2. Day-scholars are strictly forbidden to bear any message whatever to or from the boarders without due authorization from a professor. NOTE—Any serious transgression of these essential points, renders the offender liable to effective correction and even to dismissal, if this is deemed necessary by the Faculty. APPAREL OF STUDENTS. Each student on entering the College should be provided with the following outfit: 6 Shirts. 4 Complete changes of underwear. 6 Pairs of stockings. 12 Pocket handkerchiefs. 6 Towels. 2 Suits of clothes. 1 Overcoat. 2 Pairs of boots or shoes. 1 Hat and one cap. 6 Napkins. 1 Napkin ring. Combs, brushes, and other necessary articles for toilet. All articles must be marked with a number to be given at the time of the admission of the student. TERMS. Matriculation fee................................................................. $ 5.00 Board, tuition, bed and bedding for the year........... 150.00 When two brothers, as boarding students, attend the College, a reduction of $20.00 a year is made for the second one. Tuition for day scholars, per term ....................... 20.00 Washing extra................................................................. 10.00 Lessons on piano or organ and use of instrument. 40.00 Library fee................................................................. 1.00 Private room for whole year................................. 50.00 Dinner (per month)...................................................... 6.00 Class books, stationery, etc. are furnished by the College at current prices. Lessons on mandolin or violin at professor's charges. A sufficient sum to defray these and incidental ex- penses should be deposited with the Treasurer of the Col- lege, and all moneys intended for the students should be sent to him. Semi-annual payments must invariably be made in advance. No reduction will be allowed on account of the ab- sence of a student, unless for ill-health protracted more than a month. Should parents or guardians for any cause decide to withdraw a student from College before the end of a term, they must inform the President or Rector of their inten- tion, and settle all accounts. COURSES OF INSTRUCTION. There are two Courses of Instruction, the CLASSICAL and the COMMERCIAL. I. CLASSICAL COURSE. FIRST CLASS. PREPARATORY. CHRISTIAN DOCTRINE. De Harbe's Catechism. LATIN. 1st Term—Schultz' Grammar, as far as the deponent verbs. Schultz' Exercises. 2nd Term—Same matter repeated and up to the irregular verbs. Schultz' exercises. Historia Sacra. ENGLISH. Brown's Institutes of English Grammar. Analyses of sentences. Choice selections and dictations by the professor. Fifth National Reader, daily practice. ARITHMETIC. 1st Term—Milne's complete. Common and Decimal Fractions. Metric system. 2nd Term—Metric system reviewed. Percentage begun. ACCESSORY BRANCHES. HISTORY—Schuster's Bible History. Old Testament. U. S. History, McMaster. GEOGRAPHY—Natural Advanced. North and South America. READING AND ELOCUTION—Selections. PENMANSHIP—Daily Practice. SECOND CLASS. FRESHMAN. CHRISTIAN DOCTRINE. De Harbe's Catechism. LATIN. 1st Term—Schultz' Grammar: irregular verbs. Schultz' exercises. Viri Romae. 2nd Term—From defective verbs to Syntax. Easier rules of Syntax. Schultz' exercises. Nepos. GREEK. Yenni's Grammar. Breitter's exercises. Historia Sacra. ENGLISH. Brown's Institutes of English Grammar. Daily exercises. Poems analysed and punctuated. Studies in Irving's Sketch Book. ARITHMETIC. Milne's Complete Arithmetic. 1st Term—Percentage repeated, up to Ratio and Proportion. 2nd Term—From Ratio to the end. ACCESSORY BRANCHES. HISTORY—Modern, Fredet. Beginning to Crusades. Schuster's Bible History. New Testament. GEOGRAPHY—Natural Advanced Geography. Europe, Asia, Africa and Australia. READING AND ELOCUTION—Selections. PENMANSHIP—Daily Practice. THIRD CLASS. SOPHOMORE. CHRISTIAN DOCTRINE. De Harbe's Catechism. LATIN. 1st Term—Schultz' Syntax begun. Rockliff exercises. Caesar. (4 books.) 2nd Term—Schultz' Syntax continued. Rockliff. Caesar. (Completed.) Latin dictations and conversations. GREEK. Yenni's Grammar and Breitter's Exercises. St. Luke's Gospel. C. H. Keene's Tales from Xenophon. ENGLISH. Coppens' Practical Introduction, from beginning to Letter-writing included. Daily exercises and easier compositions. Wordsworth's selected poems. MATHEMATICS. 1st Term—Milne's Algebra, from beginning to Fractions included. 2nd Term—Milne's Algebra, from Fractions up to Ratio and Proportion included. ACCESSORY BRANCHES. HISTORY—Modern, Fredet. From Crusades to the end. CHURCH HISTORY—Birkhaeuser. First Period. BOTANY—Gray's "How plants grow." READING AND ELOCUTION—Selections. FOURTH CLASS. JUNIOR. CHRISTIAN DOCTRINE. Catechismus Concilii Tridentini. LATIN. 1st Term—Schultz' grammar repeated with all notes. Sallust. Jugurtha and Catiline. 2nd Term—Prosody. Cicero's letters. Rockliff exercises. Horace, "Ars Poetica." Written essays. Off-hand translations. GREEK. Yenni's Grammar and Breitter's exercises. St. Chrysostome and other Greek authors. ENGLISH. Coppens' Elements of Rhetoric, from Narration and Description to the end. Versification included. Literature, Jenkins' handbook. Selections from Shakespeare, W. Irving and N. Hawthorne. Exercises and compositions. MATHEMATICS. 1st Term—Milne's Plane Geometry. 2nd Term—Milne's Solid Geometry. ACCESSORY BRANCHES. HISTORY—Ancient, Fredet. CHURCH HISTORY—Birkhaeuser. Second period. ASTRONOMY—Steele's. READING AND ELOCUTION—Selections. FIFTH CLASS. SENIOR. CHRISTIAN DOCTRINE. Catechismus Concilii Tridentini. LATIN. 1st Term—Cicero. In Catilinam (4). Pro Milone. Horace, Select epistles and satires. 2nd Term—Cicero. Pro lege Manilia. Pro Marcello. Pro Ligario—Virgil, Aeneid. Rocklift, Latin Themes and Compositions. Off hand translations. GREEK. Yenni’s Grammar, Exercises and Translations. Demosthenes. St. Gregory Nazianzen. ENGLISH. Rhetoric. Coppens’ Art of Oratorical Composition. Literature. Jenkins’ Handbook. Exercises and compositions in Prose and Verse. Rhetorical analyses of Webster’s great speeches. MATHEMATICS. 1st Term—Milne’s Algebra. Ratio repeated to the end. 2nd Term—Plane Trigonometry. ACCESSORY BRANCHES. HISTORY—Constitution and government of U. S. Townsend. CHURCH HISTORY—Birkhaeuser. Third period to the end. BOOKKEEPING—Business Guide for Priests. PHYSICS—Appleton. READING AND ELOCUTION—Selections. II. COMMERCIAL COURSE. FIRST COMMERCIAL. CHRISTIAN DOCTRINE. De Harbe's Catechism. ENGLISH. Goold Brown. Syntax and Analysis of sentences. Daily exercises and dictations given by the Professor. Easier Compositions. Fifth National Reader. ARITHMETIC. Milne's High School Arithmetic. 1st Term—Common and Decimal Fractions. Metric system. 2nd Term—Metric system received. Percentage begun. ACCESSORY BRANCHES. HISTORY—Schuster's Bible History. Old Testament. United States, McMaster. GEOGRAPHY—Natural advanced geography. North and South America. ELOCUTION—Selections. PENMANSHIP—Daily practice. SECOND COMMERCIAL. CHRISTIAN DOCTRINE. De Harbe's Catechism. ENGLISH. Coppens' Practical Introduction. Beginning to letter-writing included. Daily exercises and easier compositions. Special attention to punctuation and Business Letters. Wordsworth's selected poems. ARITHMETIC. Milne's High School Arithmetic. 1st TERM—From Fractions to the end, especially applied to business transactions. 2nd TERM—Special Business Arithmetic. ACCESSORY BRANCHES. HISTORY—Bible History, Schuster. New Testament. Modern, Fredet. Beginning to Crusades. GEOGRAPHY—Natural advanced. Europe, Asia, Africa, Australia. BOOKKEEPING—Ellis. COMMERCIAL LAW—Ellis. ELOCUTION—Selections. PENMANSHIP—Daily Practice. THIRD COMMERCIAL. CHRISTIAN DOCTRINE. De Harbe's Catechism. ENGLISH. Coppens' Elements of Rhetoric. From Narration and Description to the end. Literature. Jenkins' Handbook. Selections from W. Irving and N. Hawthorne. Exercises and Compositions. MATHEMATICS. 1st Term—Milne's High school Algebra. Beginning to Fractions included. 2nd Term—Fractions reviewed to the end. ACCESSORY BRANCHES. HISTORY—Modern, Fredet. From Crusades to the end. STENOGRAPHY—Pitman. TYPEWRITING— ELOCUTION—Selections. PENMANSHIP—Daily Practice. OPTIONAL STUDIES. GERMAN, FRENCH, DRAWING. GERMAN. Four-year course, corresponding to the four German Grammars of Ahn-Henn. Special translations from Modern Authors. Ahn's German Reader. FRENCH. Four-year course. 1st Course—Fasquelle's Introductory Grammar. 2nd Course—Fasquelle's French Course, page 1-150. French Reader. Recueil Choisi. 3rd Course—From page 150 to 282. Written exercises. Fenelon's Fables. 4th Course—From page 283 to the end. French Compositions Télémaque. Choice selections from Modern Authors in prose and verse. 1. VIEW ON THE FOX RIVER FROM COLLEGE GROUNDS. 2. DE PERE PARK. 3. APPROACH TO COLLEGE. 4. ST. JOSEPH'S SHRINE. 5. VIEW ON FOX RIVER. 6. VIEW TOWARDS COLLEGE GROUNDS. MUSIC. VOCAL—All the students of each class, unless entirely unfit, receive instruction in music, both in theory and practice, which is given to them free of charge. INSTRUMENTAL—Opportunity is offered to all those students, who wish to learn instrumental music. Bi-weekly lessons, which by no means interfere with the regular order of studies, are given to students. The charges for instrumental music are mentioned above. ST. AUGUSTINE'S LITERARY SOCIETY. This society, by means of declamations, essays and debates, accustoms its members to speak with ease and readiness OFFICERS. REV. L. P. HURKMAN, Spiritual Director. MR. F. DUGUAY, Director. WILLIAM HARRINGTON, President. JOSEPH STEMMER, Vice-President. THEODORE SMITS, Secretary. FRANK VAN DYKE, Treasurer. CHARLES URBAN, Librarian. COLLEGE BAND. REV. J. J. GLOUDEMANS, Instructor and Leader. Rev. J. J. Gloudemans, Joseph Wolf, Renni Gits, Howard Crooks, William Harrington, Leo Hannan, Joseph Stemmer, Tenor. Edward Janssen, Baritone. Philip Armstrong, Bass. Charles Urban, Charles Savageau, John De Both, Snare Drum. John Van Beckum, Bass Drum. Robert Dory, Cymbals. THE LEGAL FORM OF A BEQUEST. I give and bequeath to the "Premonstratensian Fathers," of West De Pere, Wisconsin, duly incorporated under the laws of Wisconsin, the sum of...........................................
AN ANALYSIS OF THE SPALLATION OF CARBON PHENOLIC ABLATORS By Brian J. O'Hare Thesis submitted to the Graduate Faculty of the Virginia Polytechnic Institute in candidacy for the degree of MASTER OF SCIENCE in AEROSPACE ENGINEERING June 1967 AN ANALYSIS OF THE SPALLATION OF CARBON PHENOLIC ABLATORS by Brian J. O'Hare Thesis submitted to the Graduate Faculty of the Virginia Polytechnic Institute in candidacy for the degree of MASTER OF SCIENCE in AEROSPACE ENGINEERING APPROVED: _______________________ ______________________________ ______________________________ ______________________________ June 1967 Blacksburg, Virginia \| CHAPTER \| PAGE \| \|---------\|------\| \| I. TITLE \| 1 \| \| II. TABLE OF CONTENTS \| 2 \| \| III. LIST OF FIGURES AND TABLES \| 3 \| \| IV. INTRODUCTION \| 4 \| \| V. LITERATURE REVIEW \| 6 \| \| VI. LIST OF SYMBOLS \| 8 \| \| VII. FULL-SCALE MATERIAL TESTS \| 10 \| \| VIII. ANALYSIS \| 13 \| \| IX. COMPARISON OF HYPOTHESIS WITH OBSERVATIONS \| 19 \| \| X. PERMEABILITY TESTS \| 21 \| \| XI. CONCLUSIONS \| 25 \| \| XII. ACKNOWLEDGMENT \| 26 \| \| XIII. REFERENCES \| 27 \| \| XIV. VITA \| 28 \| ## III. LIST OF FIGURES AND TABLES \| FIGURE \| PAGE \| \|------------------------------------------------------------------------\|------\| \| 1. Malta test facility - pit 4 \| 29 \| \| 2. Full-scale test arrangement \| 30 \| \| (a) Test model configuration \| 30 \| \| (b) Test conditions \| 31 \| \| 3. Models under test \| 32 \| \| (a) Particles \| 32 \| \| (b) Gases \| 33 \| \| 4. One-dimensional model of ablator \| 34 \| \| 5. Internal pressure distribution \| 35 \| \| 6. Pressure dependence upon permeability \| 36 \| \| 7. Permeability test apparatus \| 37 \| \| 8. Typical test data \| 38 \| \| 9. Permeability measurements NARMCO 4028 \| 39 \| \| 10. Permeability measurements NARMCO 4088 \| 40 \| \| 11. Permeability measurements NARMCO 4088-1 \| 41 \| \| 12. Hot spots resulting from blockage of transpiration gases \| 42 \| \| TABLE \| PAGE \| \|-----------------------------------------------------------------------\|------\| \| I. COMPARISON OF MATERIALS \| 11 \| IV. INTRODUCTION The development to date of ablating heat shield materials has made it possible for vehicles to reenter the earth's atmosphere at speeds up to 36,000 feet per second. In the not too distant future, heat shields capable of withstanding the heat loads generated at speeds corresponding to return from an interplanetary mission (up to 50,000 feet per second) will be required. Since the heating rates increase dramatically as speed is increased from 36,000 to 50,000 feet per second, (according to ref. 1, for $V < 36,000 \text{ ft/sec}$, $\dot{q}_{\text{TOT}} \propto V^{3.15}$, for $36,000 < V < 50,000 \text{ ft/sec}$, $\dot{q}_{\text{TOT}} \propto V^{15.45}$) an interplanetary return vehicle will require a highly efficient thermal protection system in order to confine the heat shield weight to a manageable level (i.e. less than approximately 35 percent of total reentry weight). The carbon phenolic materials, probably the most promising ablation materials in existence today, have a demonstrated ability to form and retain a high strength, high temperature char layer. The char layer, by virtue of its ability to withstand temperature in the neighborhood of 5000° R or more, contributes to the efficiency of the heat shield by: (1) reradiating heat at rates up to 1000 Btu/ft$^2$-sec, (2) lowering the convective heat input by reducing the temperature difference across the boundary layer (i.e., $T_{aw} - T_w$), (3) reducing the heat conducted to the virgin ablator by virtue of its low thermal conductivity, and (4) in extreme temperature applications by subliming and thereby absorbing additional heat. Thus, char layer integrity is the key to a high performance thermal protection material. Although the carbon phenolic materials exhibit char retention properties which are superior to those of other materials, they suffer from a serious problem of spallation. Spallation is a process by which large pieces of char "pop off" the heat shield in an apparently random fashion. When spallation occurs it reduces the efficiency of the ablator and large mass losses are incurred. The purpose of this thesis is to obtain a better insight into the nature and causes of the spallation phenomenon and to suggest a technique to substantially reduce the level of spallation. V. LITERATURE REVIEW The phenomenon of spallation in charring ablators is a topic on which surprisingly little has been written. Aside from the analysis presented by Scala and Gilbert (ref. 5) the principal analysis is that of Mathieu$^1$. This thesis differs from the first mentioned analysis principally in that the author rejects the form of the momentum equation used by Scala and Gilbert. The reasons for this are given in the text, but it is worthwhile to note here that the internal pressure distribution which Scala and Gilbert obtain has a maximum at some point in the char. Physically, this means that the flow model they postulate requires pyrolysis gases to travel against a pressure gradient until the maximum pressure location is reached. Since the gases have a negligibly small initial velocity, this flow model does not appear consistent with reality. This contrasts with the result obtained in this thesis, namely a favorable pressure gradient at every point in the char. Mathieu, although apparently using the proper form of the momentum equation, concerns himself primarily with a shear removal mechanism (it is to be noted that carbon phenolic ablators form strong chars which are highly shear resistant). In neither of the above mentioned analyses is the permeability considered to be as low as the values measured and reported herein. --- $^1$Mathieu, R. D.; Theoretical Analysis for the Mechanical Spallation of a Typical Charring Ablator During Reentry. R63SD53 General Electric Missile and Space Division, Dec. 1963. In addition, neither author considers the effect of a varying permeability. Finally, it should be noted that the literature does contain a hypothesis not yet mentioned. This hypothesis$^2$ states that as pyrolysis gases flow through the hot char, they crack and deposit carbon on the char skeleton. This deposition of carbon causes a blockage of flow and a consequent spallation. To the author's best knowledge, this "cracking" hypothesis has yet to be proven. The present analysis suggests that, rather than by cracking of hydrocarbons, the permeability reduction occurs by a process of solid particle entrapment. This explanation appears the more logical to anyone who has worked with charred ablators and has seen the copious amounts of "coal dust" which are characteristic of these materials. $^2$ Robbins, D. L.; Thermal Erosion of Ablative Materials, ASD-TR-61-307, Aerojet General Corp., 1962. VI. LIST OF SYMBOLS A frequency factor, 1/sec $C_p$ specific heat at constant pressure, Btu/lb_m $\Delta E$ activation energy, cal/mol $\vec{g}$ local gravity vector, ft/sec$^2$ $g_o$ reference gravitational constant, ft/sec$^2$ $H^$ parameter defined in equation 14 $H_p$ heat of pyrolysis, Btu/lb_m k permeability, ft$^2$ K thermal conductivity, Btu/ft$^2$-sec-$^0$R/ft $m_g$ mass flow rate per unit area, lb_m/ft$^2$-sec $\bar{M}$ molecular weight, lb_m/lb mol n experimentally determined exponent in (equation (8)) p porosity P pressure, lb_f/ft$^2$ $q$ heating rate, Btu/ft$^2$-sec R universal gas constant, 1545.32 ft-lb_f/lb mol $^0$R $Q$ universal gas constant, 1.1038 cal/mol $^0$R s surface distance measured from hemisphere-cone tangent point (fig. 2(a)) t time, sec T temperature, $^0$R V speed, ft/sec W weight, lb_f x distance measured from interface, ft (see fig. 4) \| Symbol \| Description \| \|--------\|-------------\| \| $\nabla$ \| vector differential operator \| \| $Z$ \| distance defined in figure 2(a) \| \| $\delta_c$ \| char thickness, ft \| \| $\rho$ \| mass density, lb$_m$/ft$^3$ \| \| $\bar{\rho}$ \| apparent density, lb$_m$/ft$^3$ \| \| $\mu$ \| viscosity, lb$_f$-sec/ft$^2$ \| Subscripts:* \| Subscript \| Description \| \|-----------\|-------------\| \| aw \| adiabatic wall \| \| c \| char \| \| g \| gases \| \| i \| interface \| \| o \| virgin material \| \| p \| plastic \| \| TOT \| total \| \| w \| wall \| VII. FULL-SCALE MATERIAL TESTS Since spallation appears to be a phenomenon which takes place primarily on large models (as opposed to arc jet models which are normally 1 to 3 inches in diameter), there are few ground facilities in which it can be observed. One such facility is the General Electric Company's Malta Test Station at Malta, N.Y. The Pit 4 facility at Malta consists of a 26,000 pound thrust rocket engine which has a shockless flow nozzle with an exit diameter of 15 inches. The heat shield model is mounted on a water-cooled model holder which holds the model in a vertical position. The engine is mounted in a gimbal arrangement which allows the test conductor to initiate and terminate engine ignition and shutdown in a "model off" position. Nominal run conditions for the Pit 4 facility are as follows: \| Parameter \| Value \| \|----------------------------------\|----------------\| \| Oxidizer/fuel ratio \| 2.00 lb\textsubscript{m}/lb\textsubscript{m} \| \| Mass flow rate \| 115 lb\textsubscript{m}/sec \| \| Combustion chamber pressure \| 540 psia \| \| Model stagnation pressure \| 147 psia \| \| Exit Mach number \| 2.86 \| \| Maximum stagnation temperature \| 5300° F \| Figure 1 shows the Malta Pit 4 facility. For the purpose of evaluating their relative performance, three carbon phenolic materials were tested in the Malta Pit 4 environment. The materials and their formulations are shown in Table I. TABLE I.- COMPARISON OF MATERIALS \| Material \| Reinforcement \| Resin \| \|----------------\|--------------------------------\|------------------------------\| \| NARMCO 4028 \| 50 percent 1/4 inch carbon fibers \| 50 percent phenolic \| \| NARMCO 4088 \| 64 percent 1/4 inch carbon fibers \| 36 percent phenolic \| \| NARMCO 4088-1 \| 64 percent 1/4 inch carbon fibers \| 36 percent filled phenolic (6-10 percent carbonaceous filler by wt) \| The materials described above were molded into conventional Pacemaker configuration heat shields (see fig. 2(a)). The Pacemaker configuration is a spherically blunted $10^\circ$ half-angle cone having an overall length of 13-1/2 inches and a base diameter of 10 inches. The stagnation point heating rates on these models (calculated on the basis of measurements made previously at Malta) was 1700 Btu/ft$^2$-sec. The measured heating rate and pressure distributions on the conical portion of the models are shown in figure 2(b). Figures 3(a) and 3(b) show the models under test. The pockmarked surface produced by the spallation process should be noted. Several observations may be made from these photographs, notably: (1) The spalled pieces of char leave the surface with considerable velocity; this enables them to travel normal to the flow for several inches before they are swept away. (2) The spallation is accompanied by the release of gases. (3) These gases appear to have high particle concentrations since they are visible in the photographs. Although not apparent from the photographs shown in figures 3(a) and 3(b), the author has made these additional observations based upon examination of the films. (4) Spalled particles emanating from the hemispherical nose are smaller in size and occur more frequently than those emanating from the conical portion of the model. (5) There appears to be a "spallation front" which, although not always well defined, moves, with time, toward the base of the conical section. (6) Spallation can and does take place in areas which have previously undergone spalling. (7) There exists a pronounced difference between the rates at which the different materials spall. Most notably, NARMCO 4088-1 spalls approximately 1-1/2 times as often as does 4088, while the 4028 material spalled the least of the three materials tested. VIII. ANALYSIS The photographs shown in figures 3(a) and 3(b) imply that spallation results from a buildup of internal pressure within the char; this culminates in failure of the char and release of the gases. According to reference 2 the pyrolysis of phenolics under extremes of pressure (to at least 60 atmospheres) occurs at essentially the same temperature as pyrolysis under atmospheric pressure. Assuming this is true, the problem is to determine the pressure drop across the char and identify those conditions which cause the pressure drop to increase to the point at which spallation occurs. The momentum equation for flow through a porous matrix is given by Darcy's Law (ref. 3) which may be written as \[ \vec{V} = -\frac{k}{\mu} \left[ \nabla p - \left( \frac{\rho}{g_o} \right) \vec{g} \right] \] where $ \vec{g} $ is the local gravitational vector (i.e. directed downward), $ g_o $ is the reference gravitational constant, and $ k $ is the permeability of the porous medium. The second term on the right hand side of equation (1) represents static head and, for the purposes of this paper, is negligible. Reference 3 mentions the equation \[ \vec{V} = -\nabla \left( \frac{k}{\mu} p \right) + \frac{k}{\mu} \left( \frac{\rho}{g_o} \right) \vec{g} \] as an alternate expression of Darcy's Law. This form, however, indicates that in the absence of a pressure gradient or static head, either a permeability gradient or a viscosity gradient is a sufficient condition for flow. On an intuitive basis, this is not physically realistic. Furthermore, to the author's best knowledge, there is no experimental evidence reported in the literature to substantiate this form. With these arguments in mind, equation (1) has been used for this analysis. At this point, we must refer to the one-dimensional model of the pyrolyzing ablator shown in figure 4. In this model of the ablator, there are three separate and distinct zones. The material in the first zone is virgin plastic. In the second zone, the virgin plastic is pyrolyzed. The third zone contains char and pyrolysis gases. The continuity equation for this model may be written as (ref. 5) \[ p \frac{\partial p}{\partial t} + \nabla \cdot \rho \vec{V} = 0 \] (2) where $ p $, the porosity, is the ratio of the void volume in the char to the total volume of the char. By considering the virgin plastic as being composed of an irreducible, inert char skeleton filled with pyrolyzable material, we may write \[ \overline{\rho}_p = (1 - p) \rho_c + p \rho_g \] (3) where $ \rho_c $ and $ \rho_g $ are the mass densities of the irreducible char and the pyrolyzable material, respectively, and $ \overline{\rho}_p $ is the apparent density of the plastic (i.e., instantaneous mass divided by initial volume). By taking the partial derivative of equation (3) with respect to time, we obtain \[ \frac{\partial \overline{p}}{\partial t} = p \frac{\partial \rho}{\partial t} \] where the derivatives of the constant terms $ p $ and $ \rho_c $ are equal to zero. Upon substitution of equation (4) and insertion of the proper subscripts, equation (2) becomes \[ \left( \frac{\partial \overline{p}}{\partial t} \right)_g + \nabla \cdot (\rho \vec{v})_g = 0. \] Combining equations (1) and (5) and incorporating the equation of state \[ P = \rho \left( \frac{R}{M} \right) T \] yields \[ \nabla \cdot \left( \frac{M_k}{\mu RT} \rho \vec{v} P \right)_g = + \left( \frac{\partial \overline{p}}{\partial t} \right). \] Friedman, in reference 3, presents a method which permits the pyrolysis reaction to be represented by the Arrhenius equation \[ -\frac{1}{W_o} \frac{dW}{dt} = A \left( \frac{W - W_c}{W_o} \right)^n e^{-\Delta E/RT} \] where $ W_o $ is the initial weight of virgin material, $ W_c $ is the weight of char remaining after complete pyrolysis and $ A, n $ and $ \frac{\Delta E}{Q} $ are experimentally determined constants. Examination of equation (8) reveals that, since the rate of pyrolysis is dependent upon the instantaneous weight fraction of pyrolyzable material, pyrolysis will occur at some small finite rate in the zone shown in figure 4 as the char layer. In the presence of a strong temperature gradient, however, the density profile will approximate that shown in figure 4 and result in a reasonably well defined interface with negligible pyrolysis rates in the char layer. In this analysis, we shall take the interface as the origin for the x coordinate, with x increasing in the direction of the virgin material as shown in figure 4. Equation (8) may be rewritten on a per unit initial volume basis as \[- \frac{1}{\bar{\rho}_o} \frac{d\bar{\rho}}{dt} = A \left( \frac{\bar{\rho} - \bar{\rho}_c}{\bar{\rho}_o} \right)^n e^{-\Delta E/RT} \] and incorporated into equation (7) \[ \nabla \cdot \left( \frac{\bar{M}_k}{\mu RT} PVP \right)_g = - \bar{\rho}_o A \left( \frac{\bar{\rho} - \bar{\rho}_c}{\bar{\rho}_o} \right)^n e^{-\Delta E/RT}. \] For the one-dimensional model, this can be rewritten \[ \frac{\bar{M}_k}{\mu RT} P \frac{dP}{dx} = - \int_0^{\infty} \bar{\rho}_o A \left( \frac{\bar{\rho} - \bar{\rho}_c}{\bar{\rho}_o} \right)^n e^{-\Delta E/RT} dx = - \dot{m}_{g_1}. \] As stated previously, it has been assumed that \[ \int_0^{-\delta_c} \bar{\rho}_o A \left( \frac{\bar{\rho} - \bar{\rho}_c}{\bar{\rho}_o} \right)^n e^{-\Delta E/RT} dx = \dot{m}_{g_{bc}} - \dot{m}_{g_1} = 0. \] If it is assumed that thermal gradients dominate in the char layer and diffusion within the char is neglected, then the temperature distribution (through the char layer) may be written as (see ref. 5) \[ T = T_1 + \left[ \frac{T_w - T_1}{H^} \right] \left[ (1 + H^)^{-x/\delta_c} - 1 \right] \] where the surface of the char is at $ x = -\delta_c $ and \[ H^* = \left( \frac{W_o - W_c}{W_o} \right) C_{P\text{eff}} \left( \frac{T_w - T_1}{H_p} \right) \] where $ H_p $ is the heat of pyrolysis and $ C_{P\text{eff}} $ is the effective specific heat of the gas-char medium. The mass flow rate of gases, $ \dot{m}_{g_1} $, is related to the char thickness, $ \delta_c $, by (ref. 4) \[ \dot{m}_{g_1} \delta_c = \left( \frac{K}{C_P} \right)_{\text{eff}} \ln (1 + H^) . \] Now, rewriting equation (11) and substituting equation (15), yields \[ \int_{P_1}^{P_w} P \, dP = -\int_0^{-1} \left( \frac{K}{C_P} \right)_{\text{eff}} \ln (1 + H^) \frac{\mu RT}{Mk} \, d\left( \frac{x}{\delta_c} \right) \] which integrates to \[ P_1^2 = P_w^2 + 2 \left( \frac{K}{C_P} \right)_{\text{eff}} \ln (1 + H^*) \frac{R}{k} \int_0^{-1} \frac{\mu T}{M} \, d\left( \frac{x}{\delta_c} \right) . \] For equation (17), the temperature, $ T $, is given by equation (13). The quantity, $ \mu/\bar{M} $, may be approximated from the method of reference 6 provided the constituent gases are known as a function of temperature. For the present study, the component gas fractions were obtained from an equilibrium chemistry program (ref. 7) based upon the empirical chemical formula of the NARMCO 4028 ablator. Equation (17) was integrated using a digital computer, for five different combinations of assumed wall and interface temperatures. The results, plotted in figure 5, show the following: (1) a favorable pressure gradient exists at all points in the char layer; (2) interface temperatures have little effect on the pressure at the interface; and, (3) the internal pressure increases with increasing wall temperatures. The effect of increasing temperature, however, is not sufficient to account for the spallation phenomenon since, in ground tests, temperatures equilibrated rapidly while the "spalling front" moved, with time, down the length of the test cones. Furthermore, the effect of large wall temperature changes ($3500^\circ - 5000^\circ$ R) does not substantially increase pressure. A reexamination of equation (17) shows that the only other means of producing large internal pressures is somehow to vary the permeability. Figure 6 presents the internal pressure as a function of char permeability. From this figure it is apparent that for a sufficiently low permeability, the char can spall regardless of wall or interface temperature. Consider the following hypothesis: as pyrolysis occurs, small particles of carbon are carried out of the reaction zone by the escaping gases. These particles, in traveling through the porous char matrix, become entrapped, causing the permeability of the char to decrease with time. Since the rate of gas production is a function of heating rate, it may be expected that the rate of entrapment of particles will also be a function of the heating rate. IX. COMPARISON OF HYPOTHESIS WITH OBSERVATIONS The preceding hypothesis, if true, must explain the observations described in the section on Full Scale Model Tests. Observation (3) indicated that the pyrolysis gases at the interface did, indeed, have high particle concentrations. Observation (4) may be attributed to the very high heating rates experienced on the hemisphere. The high heating rates cause high blowing rates and rapid blocking; this causes the char to spall before it becomes very thick. Since heating rates are higher on the hemisphere than on the conical section, spalling occurs more frequently there. The "spalling front", noted in observation (5), can be explained as a line of constant permeability where permeability is given by an expression such as \[ k = k_0 - \int_0^t f(\dot{m}) \, dt \] The movement of the "spalling front" is, then, due to decreasing heating rates (with distance) and increasing time. Observation (6) serves to point out that spallation results from a continuous phenomenon, such as has been hypothesized, rather than a phenomenon associated with say the original condition of the ablator surface. Observation (7) adds real weight to the hypothesis. Note that NARMCO 4086-1 differs from 4086 only in that it has a filled resin (i.e., the resin contains carbon or graphite particles). The filler particles at the time of pyrolysis have little structural or chemical affinity for the char forming about them; and under the hypothesis they act as built-in contaminants which block the char. The high spalling rates, characteristic of NARMCO 4088-1, thus, bear out the hypothesis. X. PERMEABILITY TESTS In order to establish that permeabilities are sufficiently low to cause high internal pressures and that the permeability of the char changes with time, measurements of char permeability were made. These tests employed half-inch diameter specimens of char, removed from each of the three nose cones. Char specimens were taken at varying distances from the rear of the cone in order to determine whether a variation of permeability with distance existed. The apparatus used to measure permeability is shown in figure 7. In practice, use of the permeability test apparatus is quite simple. The sample to be tested is positioned at the outlet of the high pressure chamber. Air, at a controlled pressure, undergoes a pressure drop in passing through the specimen and another pressure drop in passing through the flow meter and out to the atmosphere. Prior to testing, the pressure drop across the flowmeter is measured as a function of flow rate. These data are then used to determine the downstream pressures in subsequent tests. The permeability measurements are made by varying the upstream (high) pressure from 0 to 100 psig in increments of 5 and 10 psi and recording the flow rate for each pressure. Upstream and downstream temperatures were also measured but the differences proved to be insignificant (2° to 3° F). Darcy's law (in the form of eq. 11) may be integrated at constant temperature and written as \[ \frac{\dot{m}}{P_{avg}} = \frac{kM}{\tau \mu RT} \Delta P \] where $\tau$ is the char thickness. Plotting the quantity $\frac{\dot{m}}{P_{avg}}$ as a function of $\Delta P$ provides a curve whose slope is $\frac{\bar{M}_k}{\tau \mu RT}$. Since "slip flow" has been found to occur at low pressure gradients, the asymptotic limit of the slope should be used to determine permeability. A typical plot of permeability test data is shown in figure 8. Figures 9-11 show the measured permeabilities as a function of distance from the rear surface of the cone. On each figure the approximate location of the "spalling front" is noted. Since the char in spalled areas is too thin to be tested, the specimens taken from locations forward of the "spalling front" were taken from unspalled areas. In the areas aft of the "spalling front", the measured permeabilities all show a pronounced trend. The permeability can be seen to drop, very sharply, as the "spalling front" is approached. All specimens removed from locations forward of the "spalling front" exhibit higher permeabilities than would be expected from an extrapolation of the data trend aft of the front. This higher permeability, in fact, explains why they did not spall. The data, however, do not indicate why these locations had such high permeabilities. A close examination of the nose cones in the areas from which these specimens were taken revealed many minute cracks in the char. It would appear that these cracks provided the pyrolysis gases a low pressure drop path to the surface and thereby, retarding the clogging process locally. It is interesting to note that upon reexamining the $3500^\circ R$ curve of figure 6 one finds that these materials develop internal pressures of 1000 to 3000 psi before spalling. Thus, having established that the spalling is caused by occlusion of the char and a resultant pressure buildup, the following inference can be made: (1) At least in high heating rate areas, the occlusion of the char should produce a noticeable increase in surface temperature, locally. Since the reduction in permeability causes a reduction in flow rate of the pyrolysis gases, the amount of heat blocked by transpiration of these gases will be reduced. This reduction in heat blockage will result in higher local net heating rates and a consequent increase in surface temperature. Having made this inference, the films were reexamined. Figure 12 shows this phenomenon and add, further, to the evidence indicating occlusion of the char with time. (2) Control of the char permeability will alleviate spalling. The molding process used to fabricate the Malta test nose cones produced a preferred fiber orientation. In the as-molded state, the majority of fibers lie in planes parallel to the local surface. This fiber arrangement produces the minimum permeability configuration. If, instead, the fibers were oriented so that they lay in planes normal to the surface a dual benefit should accrue. First, this fiber arrangement is conducive to higher permeabilities, and second, the resultant char is less resistant to cracking and, hence, has a greater ability to relieve internal pressures. By molding a cylindrical billet and then machining a nosecap from the billet, it is possible to get this selective orientation. Two different nosecaps with fibers oriented primarily in planes perpendicular to the axis of rotation have been tested, one at Malta and one in flight on the Pacemaker vehicle. Both nosecaps show spalling in the areas where the fibers are parallel to the surface, but none in those areas where the fibers are nearly normal to the surface. This technique, then, has provided at least a partial solution to the spallation problem. XI. CONCLUSIONS The foregoing analysis has resulted in the following conclusions: 1. The spallation of the carbon phenolic materials, as witnessed in the Malta Pit 4 tests, results from internal pressure buildup within the char layer. 2. The pressure increase within the char is caused by contamination of the porous char which, in turn, causes a decrease in permeability and a consequent increase in the pressure drop across the char layer. 3. The spallation process can be alleviated by selectively orienting the reinforcing fibers so that they are aligned in planes normal to the local surface. 4. The fiber orientation most conductive to spalling is that which orients the fibers so that they lie in the plane of the surface. Molding processes appear to produce this type of orientation. XII. ACKNOWLEDGMENT The author wishes to express his appreciation to the following people for their considerable assistance in the preparation of this thesis: , who programmed the equations used; to and , who permitted the author to use their permeability test apparatus and provided both advice and encouragement; and to , the author's thesis advisor, whose understanding and encouragement provided the author with the necessary impetus to complete this project. XIII. REFERENCES 1. Allen, H. Julian; Seiff, Alvin; and Winovich, Warren: Aerodynamic Heating of Conical Entry Vehicles at Speeds in Excess of Earth Parabolic Speed. NASA TR R-185, 1963. 2. Madorsky, Samuel L.: Thermal Degradation of Organic Polymers. Interscience Publishers, 1964. 3. Scheidegger, Adrian E.: The Physics of Flow Through Porous Media. Rev. ed., The Macmillian Company, 1960. 4. Friedman, Henry L.: Kinetics of Thermal Degradation of Char Forming Plastics from Thermogravimetry. Application to a Phenolic Plastic. Journal of Polymer Science: Part C, No. 6, pp. 183-195. 5. Scala, Sinclaire M.; and Gilbert, Leon M.: Thermal Degradation of a Char-Forming Plastic During Hypersonic Flight. ARS Journal, June 1962, pp. 917-924. 6. Svehla, Roger A.: Estimated Viscosities and Thermal Conductivities of Gases at High Temperature. NASA TR R-132, 1962. 7. Zeleznik, Frank J.; and Gordon, Sanford: A general IBM 704 or 7090 Computer Program for Computation of Chemical Equilibrium Composition, Rocket Performance and Chapman - Jouquet Detonations. NASA TN D-1454. Figure 1.-- Malta test facility - pit 4. (a) Test model configuration. Figure 2.- Full-scale test arrangement. (b) Test conditions. Figure 2.- Concluded. (a) Particles. Figure 3.- Models under test. (b) Gases. Figure 3.- Concluded. Figure 4.- One-dimensional model of ablator. Note: For $T_w = 5000$ and $T_i = 1500$ Pressure falls between (1) and (2) Figure 5.- Internal pressure distribution. Figure 6.- Pressure dependence upon permeability. Figure 7.-- Permeability test apparatus. Key 1. Pressure gauge, 0-100 Psi 2. Flowmeter, 0-300 cc/min 3. Flowmeter, 0-1000 cc/min 4. Flowmeter, 0-1000 cc/min Figure 8.- Typical test data. \[ \frac{\dot{m}}{P_{\text{AVG}}} = \left( \frac{L B M - f t^2}{\text{Sec} - L B f} \right) \] \[ \Delta P, \quad L B f / f t^2 \] Figure 9.- Permeability measurements NARMCO 4028. Figure 10.- Permeability measurements NARMCO 4088. Figure 11.- Permeability measurements NARMCO 4086-1. Figure 12.- Hot spots resulting from blockage of transpiration gases. AN ANALYSIS OF THE SPALLATION OF CRABON PHENOLIC ABLATORS By Brian J. O'Hare ABSTRACT The phenomenon of spallation, a process by which pieces of char "pop off" a heat shield, has been investigated as it occurs in carbon-reinforced phenolic ablators. Spallation is shown to be the result of a pressure buildup within the char. This pressure increase results from occlusion of the char and the consequent blockage of flow. By selective fiber orientation, the spallation process can be alleviated.
RICHARD BURDON HALDANE was born in Edinburgh on 30 July 1856. His father, Robert Haldane, Writer to the Signet, and head of a legal firm in that city, married in 1853, as his second wife, Mary Elizabeth Burdon Sanderson, and Richard was the eldest surviving son of this marriage. The Haldanes were connected ancestrally with Perthshire, where the estate of Gleneagles had been in their family for many centuries, and Robert Haldane had purchased the neighbouring property of Cloan (also for many years called Cloanden), which was the summer home of his family and the centre of their youthful associations. Miss Burdon Sanderson belonged to a well-known Northumberland family, and her father was an important landowner in that county. Two of her grand-uncles had held high legal office: Lord Eldon had been Lord Chancellor for the best part of twenty-five years, and Lord Stowell, his brother, had been a great jurist and judge. The succession of her son to the Woolsack, greatly as it pleased her in her later years, seemed to her therefore quite in the family tradition and the natural order of things. But perhaps the most significant fact to be gleaned from the genealogical record is the intense preoccupation with religion which characterized the immediately preceding generations, both on the father’s and the mother’s side. The father, Robert Haldane, was a son of James Alexander Haldane who, as a young man, resigned the command of one of the East India Company’s ships, to devote himself entirely to evangelistic work. In 1796 he made a tour of Scotland with Simeon of Cambridge, the well-known leader of the English Evangelicals. Although at first shrinking from public utterance, he soon after proved his powers as an impressive speaker; and during the next year he made repeated missionary journeys of the same description, preaching to large audiences, mostly in the open air, in all parts of Scotland and even beyond its borders. About the same time his elder brother, Robert, was selling the greater part of his fine estate of Airthrey in Stirlingshire, in order to provide funds for the evangelization of India. His proposition was that he with certain friends should 'go to Bengal and spend the remainder of their lives in endeavouring to communicate the precious truths of the Gospel to the Hindoos who were living under the British Government'.¹ When the Directors of the East India Company refused to sanction this scheme, Robert Haldane found scope for his missionary zeal in the formation of a 'Society for the propagation of the Gospel at Home'. This Society was to support such mission-preachers, to build chapels (or 'tabernacles' as Whitfield called them) for the congregations thus formed in different towns, as well as seminaries in which young men could be educated for the work. Henceforward the two brothers worked hand in hand. In the course of the next twelve years Robert expended upwards of £70,000 in support of these objects. James, besides continuing his preaching tours till old age overtook him, was ordained in 1799 as permanent but unpaid pastor of the tabernacle established in Edinburgh, a post the duties of which he discharged for fifty years. Both brothers also laboured unweariedly in the press—in pamphlets and letters as well as in many solid treatises—in defence of what they held to be 'the truth as it is in Jesus'. Robert Haldane the elder extended his activities even to Geneva and Montauban, where he lectured in 1816 and 1817 to theological students of the French Protestant colleges. If we pass to the next generation, we find that Robert Haldane of Cloan inherited, though in a more unobtrusive fashion, the missionary zeal of his father and uncle as well as their rigid Calvinistic theology. 'He was very devout,' his son writes, 'and had ¹ Memoirs of Robert and James Haldane, by Alexander Haldane, p. 97. fitted up a barn, where he used once a fortnight to preach to a considerable audience of old-fashioned Scottish country folk, who came to hear the word of God in all its strictness. On alternate Sundays he used to ride miles to various villages and preach there.$^1$ The same traits are observable in Richard Burdon Sanderson, the grandfather on the maternal side. He had a distinguished career at Oxford, where he was the contemporary of Keble. He there became ‘very much concerned about Divine things’, his daughter writes in her reminiscences of her young days, ‘used to attend early services, and indeed never allowed anything to stand in the way of his presence at chapel twice a day. He also hurt his health by fasting every Wednesday and Friday. He was nicknamed ‘the Methodist Parson’ by his acquaintances.... After leaving Oxford his close study of the Scriptures brought him to a further point than he had so far reached; and he was also greatly influenced by reading the letters of the Rev. Mr. Romaine.’$^2$ The narrow Evangelicalism in which he finally settled cast a deep shadow over an otherwise happy home. ‘If it had not been for the atmosphere of introspective religion,’ writes his daughter, ‘I should have enjoyed my life.’ ‘I was often kept awake by thought of the sinfulness of my nature, and with the sense that at any moment judgement might be passed upon me. I knew and felt that I was a great sinner and that God was my Judge and must sentence me. I used to try to keep the Commandments of God, which I learned by heart, but constantly failed, and I was miserable.’$^3$ As time went on, her father became, like the Haldane brothers, more and more immersed in the writing of religious pamphlets. He was a correspondent and friend of James Alexander Haldane, and it was indeed the identity of their religious creeds which --- $^1$ Autobiography, p. 9. $^2$ Mary Elizabeth Haldane: a Record of a Hundred Years, edited by her Daughter, p. 34. $^3$ Ibid., p. 62. commended Robert Haldane to him as a suitor for his daughter’s hand. Widely as Richard Haldane’s view of the world soon came to differ from what we may describe, in a current phrase, as the ‘Fundamentalism’ of his parents and grandparents—philosophy taking for him the place which traditional theology had held in their theory of God and man and human salvation—I cannot but feel that the family history helps us to understand how much philosophy meant to him, how central it remained for him to the end of his own life, and how time after time he returned to expound to an untoward generation the fundamental features of the spiritual idealism in which he had found an anchorage. He philosophized to satisfy a religious need, and the philosophical conclusions in which he rested were held by him with all the intensity which religious convictions possess for the ordinary man. Abstract as the reasoning may be, he writes throughout as a philosophical evangelist. Philosophy is offered by him in Fichte’s phrase as ‘die Anweisung zum seligen Leben’—the Way of the Blessed Life. Lord Haldane in his Autobiography gives an attractive picture of the family life at Cloan during his boyhood. The winters were spent in Edinburgh, where he received his school education at the Edinburgh Academy; but school, he says, ‘was never an interesting period to me’. To his years at the University, on the contrary, he always continued to look back with gratitude as to a seminal period in his life. He matriculated in the University of Edinburgh, in the autumn of 1872, as a lad of sixteen, an early but then not unusual age. The Edinburgh professors of that day, celebrated some ten years later by Barrie in his An Edinburgh Eleven, were a distinguished band. To Sellar and Masson in particular, Haldane refers in terms of personal affection, as well as to the stimulus he derived from Campbell Fraser. From Sellar, ‘a great scholar’ as he justly calls him, he learned to appreciate the roll of the Lucretian hexameters, and to Fraser he owed his first introduction to philosophy. 'It was Sellar', he writes, 'who influenced me most. He was kind to me and used to ask me to his house, when he had men like Jowett and Matthew Arnold staying with him there. I learned so something of the wider outlook on life which literature could give, and his own influence was always strongly in that direction.' In the 'seventies of last century the Zeitgeist (to use Matthew Arnold's favourite phrase) was very active in Edinburgh as elsewhere. The historical criticism of the Old and New Testament documents, as its results penetrated to wider circles, reduced to an absurdity the doctrine of plenary inspiration on which Haldane's grandparents and parents had so confidently founded their theological scheme. In another quarter the Darwinian theory of biological evolution, so recently given to the world and then being preached with apostolic zeal by Huxley, seemed to cut at the root of any kind of theistic belief. Small wonder then, that the young man, at that time, as the Autobiography tells us, 'much under the influence of religion of an emotional kind,' became disquieted and depressed as he felt the foundations of his inherited faith crumbling beneath him. He could find no guidance from those to whom he applied for help, and it was in these circumstances that his parents, on the advice of Blackie, the Professor of Greek, sent him to Göttingen with a letter of introduction to Lotze, then probably the most eminent and the most spiritual of German philosophers. This was in April 1874, at the end of his second winter at Edinburgh University, and he spent the summer semester at Göttingen, entering into the life of the students there and perfecting his knowledge of German, while Lotze, with sympathetic understanding of his needs, set him to read Fichte's popular works (the Vocation of Man and others) as well as those of Berkeley, with which he had already some acquaintance. Under the same advice he began a thorough study of Kant, and when he returned to Scotland at the end of three months, his religious depression had entirely passed away. ‘My attention had become concentrated on a search for light about the meaning of God, Freedom, and Immortality. Lotze’s influence had set me to pursue the search in a new spirit, and with a fuller consciousness of the vast theoretical obscurity in which these subjects were buried.’ Lotze’s was not the philosophy destined to capture Haldane’s allegiance; much of Lotze’s work is indeed a protest against what he deemed the extravagant claims of the Hegelian Idealism. But in an address on ‘The Soul of a People’ thirty-six years later, Haldane paid a noble tribute to the memory of his early teacher. ‘Göttingen was in these days full of great men. Yet the figure that stood out above all the others was that of my old master, Hermann Lotze. I had the privilege, boy as I was, of seeing him often in his study, as well as listening in his lecture-room, and to the end of my life I shall hold the deep impression he made on me—of a combination of intellectual power and the highest moral stature. It seems to me but yesterday that he used quietly to enter the lecture-room where we students sat expectant, and, taking his seat, fix his eyes on space as though he were looking into another world remote from this one. The face was worn with thought, and the slight and fragile figure with the great head looked as though the mind that tenanted it, had been dedicated to thought and to nothing else. The brow and nose were wonderfully chiselled, the expression was a combination of tolerance with power. The delivery was slow and quiet, but the command of language was impressive. Our feeling towards him, as we sat and listened, was one of reverence mingled with affection.’ During the two years that remained of his Arts course in Edinburgh, Haldane continued with a rare tenacity of purpose to pursue the search thus began. The study of Kant led on to a fuller study of Fichte, and finally to a grim wrestle with Hegel’s Phänomenologie des Geistes and Wissenschaft der Logik, as the culmination of the great idealistic movement. Contemporaries used to tell with bated breath how he was accustomed to rise and light his own fire between --- 1 Selected Addresses and Essays, pp. 136–7. five and six o'clock in the dark winter mornings to carry on his reading of the latter work. Whether this be fact or legend I cannot say, but in any case we have his own testimony that after his labours on these philosophers, nothing in his legal experience seemed to present any difficulty. The intelligent study of German philosophy was then only beginning in Edinburgh University, as throughout the country generally. Pioneer work had been done in the previous decade by Hutchison Stirling in his Secret of Hegel (1865) and the translation, with notes, of Schwegler's History of Philosophy with which he followed it up in 1867. During the years that followed, the substance of Hegel's teaching was being absorbed at Oxford by T. H. Green, Edward Caird, and William Wallace. Since 1866, Caird had been teaching in Glasgow, more or less on Hegelian lines, but as yet he had given nothing to the general public. Green's massive 'Introduction' to Hume, and Wallace's translation, with introductory essays, of Hegel's smaller Logic appeared together in 1874, Caird's Philosophy of Kant not till 1877: so that up to these dates the student of Kant or Hegel had to attack his author's text almost unaided by commentary or any trustworthy exposition. For the next twenty years philosophy at the English and Scottish Universities was to consist largely of such expository work, but at the date we are considering no lectures had as yet been given in Edinburgh on the Critical Philosophy, and of course none on Hegel and his system. Nevertheless there was at Edinburgh University in the 'seventies an active and growing interest in philosophical questions, and there passed through the classes a number of men who afterwards held Chairs in one or other of the Universities. Fraser, the Professor of Logic and Metaphysics, had just completed (in 1871) his monumental edition of Berkeley's Life and Works, and in his hands the Berkeleian Idealism was made an effective instrument of philosophical analysis. The subjective idealism of Berkeley, when purged, as it was in later versions by Berkeley himself, of the sensationalism and nominalism of his original statement, forms indeed no bad propaedeutic for the rational and objective idealism which British thinkers were then beginning to distil from Kant and his successors. Fraser possessed a genuine power of awakening and stimulating the philosophical instinct in the best students. Most of these, after their initiation in the Junior Class, used to join the University Philosophical Society, and the weekly debates and essays there were in themselves a tribute to the stimulus of the class-teaching. Haldane was an active member of this Society as long as he remained in Edinburgh, and it was there that I first made his acquaintance, though it was only later, after my own return from two years’ study in Germany, that our acquaintance ripened into intimacy and a life-long friendship. Haldane graduated M.A., with First Class Honours in Philosophy in April 1876, and in the autumn of the same year carried off the Ferguson Philosophical Scholarship open to the four Scottish Universities. During the winter that followed, he began the study of Law in the offices of two Edinburgh firms, eating dinners at the same time at Lincoln’s Inn. He had been destined from the first for the English Bar, and after his father’s death in 1877, he went to live in London, where he began, he tells us, to feel something like a passion for law. His powers of work were prodigious, and barristers in whose chambers he worked as a pupil soon began to hand over to him their most difficult cases to look into and to draft an opinion. In the end of 1879 he was called to the Bar and took chambers himself at 5 New Square, Lincoln’s Inn. In his first year as a Junior he acquired valuable experience, ‘devilling’ for Horace Davey, who was then probably the keenest lawyer of his day and overwhelmed in consequence with briefs in the most important cases. Two cases in which Haldane had to appear on short notice in Davey’s place, before the Judicial Committee of the Privy Council and the Court of Appeal, brought him into prominence, and he soon became fully employed. After working ten years as a Junior, he took silk in 1890, and from that time onward his work consisted mainly of appeals to the House of Lords or the Judicial Committee of the Privy Council. 'My mind,' he says, 'which had not been really well suited to work in the Courts of First Instance, went along much more smoothly with those of the judges of the Supreme Tribunals'; and he became increasingly interested in the constitutional cases which came to him from Canada, India, and other parts of the Empire. The function of the Judicial Committee of the Privy Council (on which he afterwards sat as a judge) he regarded as specially important, from the point of view of the Empire, as an embodiment and acknowledgement of imperial unity.$^1$ At the end of 1905, on his appointment as Secretary of State for War, Haldane gave up his practice at the Bar finally. He had by that time been twenty years in the House of Commons, and the demands of public life had been becoming more and more exacting. During his last year at the Bar, his income from fees was at the rate of at least £20,000 a year, and might have been more but for the claims made upon his time by his parliamentary duties and other activities. It will not be expected that I should recapitulate here the details of his political career; it will be enough to indicate the main 'causes' which enlisted his sympathy and in what direction his efforts were successful in realizing his own conceptions. A Liberal by heredity as well as by conviction, he won a notable victory for his party when, in the election of 1885, he wrested from Lord Elcho the representation of East Lothian, till then considered a safe Conservative seat. He held it through five subsequent elections till his elevation to the peerage in 1911. Before his election $^1$ This formed the subject of an interesting paper on 'The Appellate Courts of the Empire' in his first volume of addresses, Education and Empire (1902). He returned to the subject in 1923 in a paper contributed to The Empire Review, reprinted in the volume, Selected Addresses and Essays (1928). to Parliament Haldane had already been politically active as one of the founders of the Eighty Club, so named after the year of Gladstone’s Midlothian triumph. He was its first Honorary Secretary and its Chairman during several years. He had also formed a close friendship with Mr. Asquith, then also a rising barrister, four years his senior. Asquith entered Parliament in 1886 as member for East Fife, and immediately made his mark in the House. He soon became the informal leader of a small group of the younger Liberal members, including Haldane and Sir Edward Grey. Later on, during the Boer War, the group came to be known as the Liberal Imperialists from the position they took up on that question in opposition to that of Campbell-Bannerman and the majority of their party. But in 1886 Gladstone’s Home Rule policy had rent the Liberal party in twain, and with the exception of a short period in the ’nineties, they remained out of office for nearly twenty years. Till 1905, therefore, or at all events till the turn of the century, Haldane’s activities were mainly devoted to objects of a non-party character, in particular to the development and organization of higher education in this country. Education was, for him, from first to last, as he says, ‘a subject of nearly paramount importance’; and as he found no particular enthusiasm for it among the Liberals, he worked freely with men of all parties in its support. Thus we find him in the ’nineties in active co-operation with Arthur Balfour and Sidney Webb in drafting and carrying through Parliament the London University Act of 1890, which transformed the old University, till then merely an Examining Board, into a teaching University which should be worthy of the metropolis of the Empire. When the Bill was in imminent danger in the Commons from a combination of its adversaries, an impassioned speech by Haldane saved the situation, and carried the second reading without a division. Speaking from the fulness of his knowledge he impressed upon the House his conviction how far, in matters of education, we were behind Continental nations, and how grave a menace this constituted to our scientific and industrial prospects in the near future. The effect of his intervention was such that both Chamberlain and Asquith referred to it as almost the only case they had seen of the House being turned round by a single speech. A little later, as Chairman of the Departmental Committee which prepared the charter of the new Imperial College of Science and Technology, Haldane had the satisfaction of seeing the constitution of the new college so framed as to ensure its ultimate entry into the reconstituted University. Meanwhile, in a series of addresses delivered in different parts of the country, he proceeded to develop for a wider public the arguments he had used in his speech in the House. Two of these, ‘Great Britain and Germany: a Study in Education’, and ‘Universities and the Schools in Scotland’, delivered towards the end of 1901, are included in the little volume Education and Empire published in the following year. Taken together with the later address on ‘The Civic University’,¹ delivered on his installation as Chancellor of the University of Bristol in 1912, these papers give us the clearest and most convincing statement of his educational policy and of the noble faith both in knowledge and democracy by which it was inspired. ‘Educate your people’, he says, ‘and you have reduced to comparatively insignificant dimensions the problems of temperance, of housing, and of raising the condition of your masses. These things solve themselves if you only get the right spirit into your people.’ ‘What is really essential’, he says again, ‘is that every one should have a chance, and that there should be the nearest possible approach to equality of educational opportunity. Without this the sense of injustice will never be eliminated, and we shall in addition fail to secure for our national endeavours the help of our best brains.’ Reviewing in this spirit the educational institutions of the ¹ Included in the volume The Conduct of Life and other Addresses (1914), and reprinted in Select Addresses and Essays (1928). country, he notes, as Matthew Arnold had done before him, the lamentable insufficiency of the secondary education provided for the great body of the people, and, largely as a consequence of this, the isolation of the older Universities, their failure to exercise a directive influence on national education as a whole. Much had been done for elementary education since the Act of 1870 first made it compulsory; but there was too great a tendency—a disposition, he notes, in the elementary teachers themselves—to treat elementary teaching as if it were a thing in itself, as if it could be separated from the whole of knowledge and from the rest of culture. There existed, in fact, no conception of the process of education as a single and indivisible whole. Hence the central contention of these papers is the necessity of the ‘linkage’ and ‘coordination’ of the different stages—‘the welding of the educational system of this country into one complete whole, in which elementary education, secondary education, and the University shall be indissoluble parts of one system’. In this system the Universities are to be the dominating influence, permeating from above downwards. But if they are to exercise this function they must evidently be largely increased in number, and the new Universities must be established in centres of population. If they are to shape the spirit of the schools in their districts, every great town in England should have a teaching University of its own, with the academic spirit and standard which can only be maintained in the atmosphere of such an institution. This explains the importance which Haldane attached to the idea of ‘the civic University’. The movement for the provision of education at a university level had begun in the great towns some time earlier. University colleges existed, as we have seen, in London, and had been founded more recently in Birmingham, Manchester, Liverpool, Leeds, Sheffield, and Bristol. But these institutions, though they did excellent work, and formed in the end the nucleus of independent Universities, suffered from the poverty of their endowment. and in some cases from the restricted nature of their curriculum, which resembled that of a technical college rather than that of a fully equipped University. In any case they had not yet evoked the local pride and enthusiasm so strikingly manifested later, when they one after another applied for and were granted university status. The University of London, as a teaching institution, was founded as we have seen in 1898, and Birmingham with Chamberlain’s support followed suit in 1900. But the rapid extension of the movement may be said to date from 1902 when the Liverpool University College (then federated with Owens College, Manchester, and University College, Leeds, together constituting the Victoria University) applied for a charter as an independent university. Owens College acquiesced, making a similar request for Manchester; but the Liverpool petition was strongly opposed by Leeds, and the case was argued for three days before a Committee of the Privy Council. Haldane gave valuable evidence before the Committee in support of the Liverpool petition, and an Order in Council of 10 February 1903 pronounced that Liverpool and Manchester had made out their case for the grant of university charters. ‘The date of this Order in Council’, said Haldane, in his Chancellor’s address at Bristol, ‘is, I think, a memorable one. It gave State recognition to a new policy but for which we might not have been assembled here to-night. The principle was accepted that the number of the English Universities was to be increased, and their head-quarters were to be in cities. The conditions were that the chief responsibility was to be entrusted to the cities themselves, and that the cities should be large enough and keen enough to ensure that the required local resources for the maintenance and development of the Universities should be forthcoming.’ The multiplication of university centres (which is still proceeding), it must in fairness be admitted, has justified none of the gloomy anticipations of its opponents, who prophesied as its results an inevitable deterioration of university standards. On the contrary, it has been the index, if not the cause, of a keener interest in the things of the mind in the districts concerned. Although Haldane in his campaign took full advantage of the argument supplied by the menace to our industrial future as a nation from the systematic application of science to industrial processes, as exemplified in Germany, he insisted throughout that the education he had in view ‘must not be merely technical or designed as a means to material ends. That is a narrow aim which in the end defeats its own accomplishment. . . . Applied science is in its best form only possible on a wide foundation of general science. And the fruitful scientific spirit is developed to-day on a basis of high intellectual training, the training which only the atmosphere of the fully developed University can completely provide.’ In this respect he criticized the separation made in Germany between the Universities and the ‘Technische Hochschulen’. ‘You cannot without danger of partial starvation separate science from literature and philosophy. Each grows best in the presence of the other.’ In 1902 and the years that followed, the question of Imperial Preference became the dominating political issue. Enthusiastically championed by Chamberlain as a means of welding the Empire together, and more haltingly supported by Mr. Balfour, then Prime Minister and Leader of the Unionist party, the policy was discussed on every platform, raising as it did the old issue of Protection and Free Trade. The group of Liberal Imperialists took a prominent part in the discussion. While agreeing with Chamberlain in his aims, they sought, as convinced Free Traders, to demonstrate the impracticable nature of the means by which he proposed to realize them. ‘Asquith and I’, says Haldane, ‘made speeches not only in Parliament but all over England. Our cardinal point was that what was threatening our industrial position was want of science among our manufacturers. . . . The campaign in which we were engaged against the policy of Protection was our opportunity for pressing the counter-case for science and organization.’ Three of his speeches are preserved in the volume he afterwards published, Army Reform and Other Addresses. During the same years he was delivering his Gifford Lectures in St. Andrews. When we remember the volume of his practice at the Bar at that time and the variety of his political activities, we hardly need to be told that those lectures were difficult to prepare. The mode of preparation and of delivery was in fact so different from that of most Gifford Lectures that it deserves to be put on record. 'I used to go on', he says, 'with the fruits of research made at odd times, and of the meditations in periods spent every autumn at Guisachan, the Highland home of my great friends, Lord and Lady Tweedmouth. There I occupied during the day, while the others were stalking and fishing, a ruined cottage, and composed elaborate notes for the Gifford Lectures. They were delivered extempore from the results of those notes and taken down in shorthand, and so fashioned into the two volumes which were published under the title The Pathway to Reality.' In 1905 the long spell of Unionist ascendancy came to an end, and Sir Henry Campbell-Bannerman, as the recognized leader of the Liberal Party, was sent for by the King to form a new Government. As regarded the personnel of the new Ministry the group of Liberal Imperialists held strong views and felt themselves strong enough to insist upon conditions. They accepted the Premiership of Campbell-Bannerman as inevitable in the circumstances, rather than desirable in itself; but they were strongly of opinion that he should take a peerage, and that Asquith should lead in the Commons as Chancellor of the Exchequer. Asquith, Grey, and Haldane were at first prepared to insist on this arrangement as a condition of their joining the Ministry. Grey, in that case, was clearly marked out as Foreign Secretary, while Haldane would naturally have become Lord Chancellor. Campbell-Bannerman, however, although he offered Asquith the Chancellorship of the Exchequer, refused to be thus in a manner shelved. He was resolved at least to start in the House of Commons, and for the Lord Chancellorship he had another man in view. Grey, in these circumstances was equally resolved not to become a member of the Ministry. Haldane, in his Autobiography, relates in detail how a compromise was ultimately arrived at, Grey and himself entering the Cabinet as Foreign Secretary and Secretary for War respectively. Campbell-Bannerman had originally offered Haldane the Attorney-Generalship, which he did not want. He now offered him the Home Office. ‘I said, “What about the War Office?” “Nobody”, answered C.-B., “will touch it with a pole.” “Then give it to me. I will come in as War Secretary, if Grey takes the Foreign Office.”’ And so, almost as it might seem by accident, there came to him the opportunity of which he was to make such splendid use. The appointment was naturally received by the public with some surprise, tinged perhaps with amusement. A successful career as a Chancery lawyer, and the continuous study of German metaphysics, seemed an odd preparation for the problems awaiting the Minister of War. ‘We shall now see how Schopenhauer gets on in the Kailyard’, is said to have been Campbell-Bannerman’s sub-acid comment. He had been himself at the War Office and knew the difficulties. But after little more than a year, we find him writing: ‘Let me most sincerely and warmly congratulate you upon the great success you have wrought out of your complicated problem and your worrying labours over it. It is a great triumph to have carried such a large body of opinion with you, and I hope you will have as much satisfaction when you proceed to carry out and superintend the details of your magnum opus.’ This is not the place to retell the story of that opus, the state in which Haldane found the British Army, how he transformed it into an efficient instrument of modern warfare by the creation of an Expeditionary Force of six divisions in instant readiness to sail, with the Second Line of the Territorial Army behind it, and by the creation at the same time of a General Staff. He had, of course, his professional advisers, whom he chose with a fine instinct, but the fabric as a whole was his own conception. It was a remarkable result of clear and resolute thinking applied to a concrete situation of admitted difficulty; and as the author of it—as the man who, almost unaided, carried the scheme through Parliament, not to speak of his countless meetings all over the country to stimulate the organization of the new Territorial Force—so great an authority as Lord Haig did not hesitate to describe Haldane as ‘the greatest Secretary of State for War England had ever had’. The quality of his work was only too soon put to the test. Whereas, in 1906, a careful inquiry disclosed the fact that to put even 80,000 men on the Continent, preliminary preparations involving at least two months would be required, in August 1914, when the call came, the whole Expeditionary Force was mobilized and safely transported to France within nine days from the declaration of war. This was the Army of the Old Contemptibles, whose presence in France in the first weeks of the war did so much to save Paris and to drive back the Germans in the Battle of the Marne. Haldane found his work at the War Office of enthralling interest, and he was very popular with his subordinates and on the best of terms with the generals and others with whom he was brought in contact. The reorganization of the army was completed by 1911. During these years of growing tension between England and Germany, Haldane had also on more than one occasion figured prominently as an intermediary—an apostle of goodwill—between the two nations. This was a natural consequence of his frequently expressed admiration of German literature and philosophy and his appreciation of German thoroughness generally. His annual holiday-visits to Germany for a number of years with his friend Professor Hume Brown—to his old University of Göttingen, or to Weimar, Ilmenau, and other haunts of Goethe—were also sufficiently well-known. In 1906, during his first year at the War Office, he was present by the Emperor’s invitation at the annual army manoeuvres near Berlin, and had conversations with various German ministers, as well as an opportunity of studying the organization of the German War Office. In the following year the Emperor paid King Edward a State visit at Windsor, accompanied by several of his ministers; and again there were conversations on pending political questions, more especially the question of the Baghdad Railway, in which Haldane took an active part. And when the Emperor again visited the country in 1911, after the accession of King George, he was a guest, by his own proposition, at a luncheon given by Haldane in his own house in Queen Anne’s Gate. Finally, in January 1912, when relations between this country and Germany had reached a critical stage, owing to the continuous increase of the German Fleet, Haldane was deputed by the Cabinet to go to Berlin in a semi-official capacity, in the hope that personal contact and a frank interchange of opinion might ease the situation and promote a better understanding between the two peoples. This mission was practically without result, for Tirpitz and the war party were in the ascendant at Berlin, and they proved immovable on the question of the new Fleet Law. Perhaps the British Cabinet ought to have taken the public fully into its confidence regarding the negative result of a mission which had been undertaken with their authority and at their request—though it is not easy to see what end could have been served by such a step. So far as one can see, it could have tended only to precipitate the crisis. But for Haldane the obscurity in which the Mission of 1912 was left, had most unfortunate results of a personal nature. When war actually broke out eighteen months later, the character of the mission came to be misrepresented, and he was accused of having misled the Cabinet as to the true state of affairs. In March 1911, while still Secretary of State for War, Haldane had been sent to the House of Lords, in order that he might act as Liberal Leader there, while Lord Crewe, the official leader, was absent with the King in India. Although he had not held judicial office, he was invited about the same time to become a member of the Judicial Committee of the Privy Council, and in June 1912 he succeeded Lord Loreburn as Lord Chancellor. For an estimate of his legal work in these capacities I am happy to be able to refer the reader to the appended Note by his old friend and colleague, Lord Dunedin, than whom no one is better qualified to judge. Haldane has himself given some account (in chapter VIII of the Autobiography) of the measures in which he was specially interested, as well as of his hurried but interesting visit to the United States and Canada to deliver an address to the American and Canadian Bar Association at Montreal, the first occasion on which a Lord Chancellor had been out of the United Kingdom during his term of office as Keeper of the Great Seal. As befitted the occasion, the address, published under the title, The Higher Nationality: a Study in Law and Ethics,$^1$ is sustained throughout at a high level of thought and feeling. Taking the conception of ‘Sittlichkeit’ as something more than legal obligation—‘the instinctive sense of what to do and what not to do in daily life and behaviour, which is the chief foundation of society’—it urges the extension of this conception to international relations as the ultimate sanction of international obligations and the only sure foundation of a world-peace. ‘There is apparent at least a tendency’, the address concludes, ‘to seek for a higher standard of ideals in international relations. . . . There are signs that the best people in the best nations are ceasing to wish to live in a world of mere claims, and to proclaim on every occasion “Our country, right or wrong”.’ But, quoting the prayer with which Grotius concludes his great work on ‘War and Peace’, Haldane warned his audience that the prayer had not yet been fulfilled, ‘nor do recent events point to the fulfilment as being near’. ‘All seemed smooth at the time,’ he says in the Autobiography, ‘but I was haunted somehow by an uncomfortable feeling. The Balkan War had disclosed how unstable the inter- $^1$ Included in the volume The Conduct of Life and other Addresses (1914); reprinted in Select Addresses and Essays (1928). national situation really was, and how much vigilance was required.' Within less than a year of his own eloquent plea for the cultivation of a better spirit, the World War was upon us. The campaign of calumny against Haldane in certain sections of the Press after the outbreak of war has already been referred to. Now that the passage of time and the flood of documents relating to the war and the eventful years that preceded it have so signally vindicated his patriotism and the inestimable services he rendered to his country, it would serve no purpose to dwell on an episode so discreditable to all concerned, the victim alone excepted, were it not that his attitude through it all illustrates strikingly the character of the man. In her short preface to the Autobiography, Miss Haldane says truly of her brother and the story of his life: 'There were times when the whole-hearted esteem of the world was present and times when it was absent. . . . To those who looked on with inner knowledge it seemed that the latter were the periods which more certainly revealed the character of the writer.' That he felt keenly the injustice of the treatment meted out to him there can be no doubt; he would not have been human otherwise. But he uttered no word of bitterness or complaint. Conscious of his own integrity he took no steps to defend himself, however gross the misinterpretation of an act or incident might be. It might have been better perhaps if he had met his enemies in the gate—if, for example, he had made public the actual text of the letter sent him by Herr Ballin on the very eve of the declaration of war, which was made the basis of such grave insinuations. But explanations were in general not easy to make without touching on Cabinet secrets, and he was chivalrously anxious not to expose his colleagues to the same kind of criticism to which he had himself been subjected. Doubtless too he felt that, in the excited state of public feeling, any explanation he might make would be so distorted by his enemies as to serve only as the foundation for some fresh attack. So he held on the even tenor of his way, and when the clamour against his continued presence in the Government reached such a pitch that it threatened to endanger the successful conduct of the war, he placed his resignation unreservedly in the Prime Minister’s hands. ‘It is best that I should have gone,’ he wrote to a friend just after doing so, ‘to secure national unity is a paramount obligation just now.’ What his friends, looking back upon these days, find it not easy to pardon is the action of his colleagues in the Cabinet, especially of such an old friend as Asquith, in accepting this self-effacement. Knowing, as they did, the true state of the facts and the grotesque injustice of the charges brought against him,¹ it was surely an exhibition of moral cowardice to throw him thus to the wolves. Haldane himself, one would think, must have felt it as something of the kind; but neither at the time nor in the after years did any expression of resentment cross his lips. Characteristically he quietly set to work to rearrange his scheme of life, according to his sense of public duty on the one hand, and the dominant interests of his life on the other. He held strongly the view that an ex-Lord Chancellor’s pension of £5,000 carried with it the moral obligation of continued service in the judicial work of the House of Lords. That he resolved, therefore, to make the first claim upon his time. Four days of the week were usually thus occupied, and he also continued to act as a member of the Committee of Imperial Defence and Chairman of some of its Sub-Committees. There were other important committees over which he was called to preside, such as the Committee on the Machinery of Government in 1918, and ¹ He was represented, for example, as anxious to delay the departure of the Expeditionary Force. ‘Haldane at the War Office’ was one of the sensational placards of the newspapers of the day. So far was this from being the case that, as Lord Grey of Fallodon has testified, ‘he alone among civilians was at once unreservedly for sending the whole of the Expeditionary Force abroad immediately, showing himself thereby as prompt and courageous in action as he had been energetic and wise in preparation’. (Speech reported in The Times, 23 August 1928.) the Expert Committee appointed in 1922 to report upon the reforms required by the proposed union of the two great Scottish Churches. But, as the main channel for his surplus energy, he turned naturally towards the old subject of Higher Education which he had made throughout so specially his own. Much, as we have seen, had already been accomplished in the foundation of new Universities and the further multiplication of University Colleges. But there still remained the question of Adult Education for industrial workers and others who had had, and could have, no opportunity of becoming University students. The question was already being tackled by the Workers' Educational Association, founded as far back as 1903 by Albert Mansbridge. It was a question of enabling and inducing the Universities to provide teaching of a University character in the evenings for working men and women who were willing to take advantage of them, and Haldane threw himself with all his old enthusiasm into the movement. The important thing to do, he saw, was to rouse the workers themselves to an interest in the idea, and at the same time to convince the general public of the value of such instruction and the practicability of organizing it. With this end in view he undertook long journeys to speak at meetings held in likely centres throughout the country, addressing as many as fifty or sixty meetings in a single year. The journeys and meetings reminded him, he remarks incidentally, of the similar campaign which he undertook as a younger man when the Territorial Force was originally being raised. He met with a ready response from the workers and succeeded also in enlisting the interest of the University authorities. As a result there was founded the British Institute of Adult Education, of which he was active President for a number of years, indeed as long as his strength permitted. Besides the public activities with which he filled his time, he returned in these years with a fresh zest to the philosophical meditations which had been thrust, to some extent at least, into the background by the engrossing claims of his public work between 1905 and 1915. He had published nothing of a directly philosophical nature since his Gifford Lectures in 1903 and 1904 beyond a paper on Hegel in the Contemporary Review for 1905, but now there appeared in rapid succession The Reign of Relativity in 1921, The Philosophy of Humanism in 1922, and Human Experience in 1926. The years between 1915 and 1923 witnessed his gradual drift away from the Liberal Party in the direction of Labour. He had never been a party man in the ordinary sense of the term. In 1902 he had supported Mr. Balfour’s Education Bill because in his view it represented an important advance in the national conception of school education. The Liberal Party, on the contrary, opposed the Bill hotly on account of the grants which it involved to increase the efficiency of the Church schools; and even the other members of the Liberal Imperialist group felt bound to the Nonconformists in the matter. Later on, when he was at the War Office, it was only by an appeal which passed beyond party limits that he succeeded in carrying through his scheme of reconstruction. The rank and file of his own party were more concerned about keeping down the Army estimates than about any scheme of Army reform. After the War it was again on the subject of Education that he felt himself estranged from his party. ‘On educational policy’, he writes in the Autobiography, ‘the Liberal Party had for long been very defective. In 1902 they had been unduly dominated by pressure from the Nonconformists over elementary and secondary education. In the movement for the establishment of more Universities they had shown no interest. It was the same thing with the development of adult education. This interested individuals away in the country, but the Liberal politicians in Parliament not at all.’ On the other hand one of the most promising features of the Labour party was precisely the genuine keenness of the leaders about the education of the people. The ideal of equality of chance in life, as we have seen, had been from the first a leading motive in Haldane's educational work; and now his meetings up and down the country brought him into sympathetic contact with the Labour rank and file, whom he found responsive to his appeal because they were inspired by the same ideal. In this way a gradual rapprochement took place. The Liberal Party was split into factions, and so reduced in numbers as to be, at least for the time being, politically impotent. Haldane noted in it too the want of fresh ideas, and gradually came to feel that Labour was the party with whose ideals at least he had most in common, and with which, therefore, he could most successfully work. In this spirit he began to speak at Labour meetings, not as toeing the line in regard to any of the party programmes put forth from time to time—items in which he frankly criticized in his speeches—but as an expression of general sympathy with the policy of social amelioration for which the party stood. It was in the same spirit that he replied to Ramsay Macdonald's invitation to become a member of the first Labour Government (the letter is given in full in the Autobiography, pp. 321–3), and on that understanding he became for the second time Lord Chancellor at the close of 1923, taking at the same time the Chairmanship of the Committee of Imperial Defence and acting in general as 'Constitutional Adviser' to an inexperienced Cabinet. The Labour Government lasted rather less than a year. Looking back on his short tenure of office Haldane wrote: 'I have never ceased to be glad that I accepted his [Ramsay Macdonald's] invitation to serve him in the office I held, and I think that during his administration the public got rid of many prejudices and rose to a fuller comprehension of the duty of the well-to-do towards the less fortunate. . . . Macdonald was a Socialist, but a moderate one. He did not believe in any sudden revolution, and he never, as far as I could observe, gave countenance to any such plan. But he did much to make the ideals which underlay Socialism understood, and to win over to his views Liberals and Conservatives alike. They may repudiate the suggestion that to-day they have pronounced socialistic leanings. But the study of the Statute Book and the debates and public speeches since 1924 suggests another view. It seems pretty clear that in twenty years' time the Conservatives will be socialistic in just the same sense as Ramsay Macdonald is to-day.' In the new Parliament Haldane continued to act as spokesman of the Labour Party in the House of Lords and therefore as Leader of the official Opposition there. He was also constantly at work in a judicial capacity either in the House or on the Judicial Committee of the Privy Council. But the strain upon his physical strength was harder than he would himself admit. Through his long career he had taxed too imperiously an originally strong constitution. He felt deeply the death of his mother in 1925. She had celebrated her hundredth birthday a few months before. Mrs. Haldane was a very remarkable woman and the serene beauty of her mind and character impressed every one who had the privilege of knowing her. The bond between mother and son was an unusually close one. When they were separated by distance, he wrote to her every day, even in his busiest times, from 1877 to the time of her death. In the religious domain the relation between the two recalls rather strikingly the attitude of Thomas Carlyle to his mother, as we note it in his correspondence. Mrs. Haldane had retained throughout her life the Evangelical faith of her youth, but purged of all its gloom and exclusiveness; and her son took pleasure in assuring her that although the symbols of their belief might differ, yet 'in essentials' they were at one. 'She passed in the spiritual splendour of her personality,' he wrote to me after her death, 'the highest level not let down. That is reason for rejoicing. But the void created is hard to bear. She and I were very close to each other. My sister had devoted her life to care for her. And now it is gone, and I feel very old.' But his mental energy was far from being exhausted. $^{1}$ Autobiography, pp. 333-4. He was, of course, still regularly carrying on his judicial work, and he was also busy with what he intended to be a final statement of the philosophical conclusions in which he had come to rest—a statement in comparatively short compass and as far as possible intelligible to the general reader. It appeared in 1926 with the title Human Experience. ‘It represents’, he said in the preface, ‘what I myself believe in and its description contains a confession of faith.’ And even as late as 1928 there appeared in the Hibbert Journal two characteristic articles from his pen, the one on ‘The Churches and Higher Education’, called forth by the increasing shortage of candidates for the ministry, especially in the Church of England—a very fresh and thoughtful and, at bottom, eminently practical paper—and the other on ‘East and West’, drawing attention to the need, even in view of the practical problem of governing India, of a more sympathetic study of Indian philosophy and religion. As in most of Haldane’s writing, the thinker and the statesman are seen moving hand in hand. But by far the most valuable legacy from these closing years is the Autobiography, the survey of his crowded years which he was induced to write during the vacation-intervals at Cloan in 1927 and 1928. Much of his work was unknown to the public because it was done, in a sense, behind the scenes; but here all his various interests and activities are coordinated and set in their proper perspective. Written with an ease and animation of style for which his other writings hardly prepare us, and with a power of self-detachment extremely rare, it disarms criticism at the outset by the unaffected modesty of its claims and the frankness with which the writer acknowledges, and indeed emphasizes, the absence of ‘certain gifts physical and social’, which are necessary if one is to achieve the highest political success as the accepted leader of great masses of men and women. He claims for himself almost nothing beyond ‘an inclination to work hard’. ‘I have no sense of success on any very large scale in things achieved,’ he writes almost on the concluding page, 'but I have the sense of having worked and of having found happiness in doing so.' The record of work is indeed amazing, and the success which crowned it was of the order which lasts. He has an assured place in the history of his country at one of the greatest crises of her fate. The volume is of the utmost value for the student of affairs during the period it covers. It is equally valuable as the revelation of a singularly sincere and lovable personality. I think one may say that in the whole volume there is not a single harsh judgement or ill-natured criticism. The last weeks were spent at Cloan. He had left London before the end of the session seriously ill, in the hope that in the quiet of his Perthshire home he might once more regain something of his former strength. But it was not to be, and on the afternoon of Sunday, August 19, 1928, he passed peacefully away. Four days later he was laid to rest in the old family burial ground at Gleneagles. It gave him pleasure in these last weeks to know that he had been unanimously elected Chancellor of the University of St. Andrews. He had delivered his Gifford Lectures there more than a quarter of a century before, and it was a spontaneous act of recognition such as he valued. He had been Chancellor of the University of Bristol, as we have seen, since the establishment of that University. The students of his own University of Edinburgh had elected him as their Lord Rector in 1905, and when he came to deliver his Rectorial Address on 'The Dedicated Life' they listened in respectful and appreciative silence to his high-toned discourse—a marked contrast to the rowdy interruptions to which the speaker on such occasions was in those days too commonly subjected. It would be useless to enumerate the academic degrees showered upon him by different Universities, but mention may be made of the Order of Merit conferred upon him in 1915. He had been Privy Councillor since 1902 and was also Knight of the Thistle, Fellow of the Royal Society and Fellow of the British Academy. It remains only to give some account of the philosophical gospel which he preached so insistently and to which through life he turned for spiritual sustenance. Something has already been said about the beginning of his philosophical studies at Göttingen and Edinburgh. After he went to London in 1877 and became absorbed in reading Law, Philosophy, he says, ‘receded’. But that can have been only relatively and temporarily so, for in the years that followed he translated, in collaboration with a friend, Schopenhauer’s The World as Will and Idea. His first independent paper of a philosophical nature was contributed to the volume of Essays in Philosophical Criticism which he and I edited together. This appeared in the first days of 1883, dedicated to the memory of T. H. Green. A Preface by Edward Caird indicated that the volume was of the nature of a manifesto by a number of the younger men who were in general sympathy with the line of thought opened up by Kant and developed by Hegel. The second essay in the volume, on ‘Philosophy and Science’, was written by Haldane in collaboration with his brother, now Professor J. S. Haldane, who had then already begun to work out the conclusions as to the nature of Life, with which his name is so prominently associated. The essay shows that Haldane had already formulated for himself the main principles which he expounded so persuasively on a larger scale in his two Gifford volumes twenty years later. The method followed in the essay is that which was more or less common to the earlier English exponents of German Idealism and of which Edward Caird was the typical representative. Accepting from Kant the synthetic activity of thought in the constitution of experience, Haldane rejects Kant’s arbitrary limitation of the organizing conceptions or categories to the well-known table of twelve, which yield us only the scheme of mechanical interaction to which physical science reduces the world. There are obviously many aspects of human experience of which the physicist, as such, takes no note. There is the behaviour of the living organism as a self-determining whole; there is the world of the Beautiful and the world of moral action. And, accordingly, Kant himself is found supplementing his first Critique by the Critique of Practical Reason and the Critique of Judgment, in which he seeks to determine the conditions of the possibility of such further experiences. Haldane’s argument runs that we have no right to restrict the term knowledge to the physicist’s scheme, and thereby to treat that scheme as the ultimate account of the real world. So far from being such an account, the mechanistic scheme is to be regarded as an abstraction, made by the physicist for the purposes of his own science, from the concrete world of our experience. It is that experience in its totality which has to be explained; and in the world as we know it, the aspects of beauty and life are as real as the mechanical aspects. The true conclusion, therefore, is rather the idea of ‘a sort of scale of modes of existence’, and a corresponding series of categories which may be arranged in an ascending scale according to the degree of adequacy with which they interpret the complex whole. In such a scale we rise from the categories of mechanism to those of organic life, and from the categories of life to those of Consciousness in all its varieties. This idea of a stairway of categories by which we mount from lower to higher aspects of the world supplies a key to the meaning of the title chosen twenty years later for the Gifford Lectures. The Pathway to Reality is not intended to suggest that the real world is like a distant realm to which we can only penetrate by turning our back on the familiar world of ordinary experience. The author takes early occasion to disabuse us of such an idea by referring to the incident in Wilhelm Meister in which Wilhelm learns that ‘here or nowhere is his America’. The problem of philosophy is simply to account for the actual world of the plain man,—to get the most adequate and complete conception of it; and no conception can be adequate which does not take account of all its phases. If we do include all the phases, we end by seeing them, higher and lower, in their due proportion or value; and by interpretation through the highest we come nearest to a true account of the ultimately real. 'We ought to be prepared to believe in the different aspects of the world as it seems—life for example as much as mechanism; morality as much as life; religion as much as morality—for these belong to different aspects of the world as it seems, aspects which emerge at different standpoints, and are the results of different purposes and different categories in the organization of knowledge. And if Philosophy gives us back what Science threatens to take away, and restores to plain people their faith in the reality of each of these phases of the world as it seems, then Philosophy will have gone a long way to justify her existence.' (i. 119.) Such a passage, and the recurring use throughout the lectures of the expression 'the world as it seems', suggests that the title of the Lectures was probably intended to convey an allusion to Bradley's Appearance and Reality, published some ten years previously. For Bradley also makes prominent use of the conception of 'Degrees of Truth and Reality'; but whereas, under his sceptical analysis, all the degrees of 'appearance' are exhibited as alike riddled by contradictions—the conclusion eventually arrived at being that to reach Reality or the Absolute we must discard relational thought altogether—Haldane declares that 'if the standpoint of these lectures be a true one, we are free to believe in the world as it seems, and not driven to sacrifice any aspect of it on one altar or another'.¹ It is in these Gifford volumes, it should be noted, that we find, on Haldane's part, the strongest and most unqualified statements of his Hegelian discipleship. 'All that is in these lectures', he says at the conclusion of the first year's course, 'I have either taken or adapted from Hegel, and in Hegel there is twice as much again of equal importance which these lectures cannot even touch.' Aristotle and Hegel are mentioned together throughout as the two supreme thinkers of the world; and Hegel, it is said, 'first taught the world ¹ vol. i, p. 169. how to read the Aristotelian philosophy’. Hence ‘it seems as if the best preparation for the would-be philosopher must still be to find out what Hegel really meant and to learn to read him’. The last few words are an accurate description of his own practice. He once told Professor J. H. Morgan that he had read the Phänomenologie des Geistes nineteen times.$^1$ I cannot speak to any definite number of times, but whenever we met, one was sure to find that he had just been re-reading one or other of the Master’s works, perhaps the Phänomenologie most frequently of all. It is hardly out of place to speak of them as his bedside companions; they were certainly the books to which he most frequently turned for relaxation, if one may so speak, at the close of many a busy day. This constant communion with the Master, though in Haldane’s case, with his enormous capacity for work, it was far from excluding attention to anything of importance that appeared in contemporary thought, was, I think, not without certain disadvantages to himself as a writer. In the first place, the excessive abstractness of Hegel’s usual style tended to infect that of his expositor; and secondly, the very familiarity with the formulae in which Hegel stereotyped his doctrines perhaps obscured for Haldane the difficulties which phrases that meant so much to himself might present to other minds, and the ambiguities, real or possible, which they might cover. He himself remarks upon the disadvantage under which philosophy suffers from the nature of its subject-matter. It moves professedly in the region of abstract thought, whereas religion and poetry—art generally—express themselves in images and appeal to the emotions. He was himself very accessible to the poetic appeal, as is shown by the quotations he makes in the course of his lectures. ‘Something of direct insight’, he says, ‘would seem to have come to great men, to great artists, to great poets.... In the poets, when at their best, we have the discernment of $^1$ See the second of two interesting articles on ‘The Riddle of Lord Haldane’ in the Quarterly Review for 1929. what has been the last and perhaps the highest result of the greatest speculative thinking in the history of philosophy.' But when he sits down to write as a philosopher, he seems resolved, as a matter of conscience, to eschew all use of image or symbol and to talk only the language of the 'Begriff'. This seems to me to be especially true of his later writing, and it is perhaps particularly the case when he is avowedly striving to be as simple and direct as possible. The result makes very difficult reading. The spoken word of the Gifford Lectures with its more vivid personal appeal and more natural flow of language is easy in comparison, and the two volumes of The Pathway to Reality are likely, in my opinion, to remain the most attractive and representative of his philosophical writings. The second volume of the Gifford Lectures contains his exposition of Hegel's doctrine of God and man, as he understood it and was prepared to accept it. If we start from the position reached in the first volume that Mind or Self-consciousness is the highest category known to us, then it is to our experience as knowers or thinkers that we must turn for the most adequate conception of God. The universe in its ultimate reality must in fact be conceived as an Absolute Mind, that is to say, a Mind, in its fundamental structure resembling our own, but freed from those features of our experience which we can see to be due to our limitations and imperfection. Now the fundamental structure of Mind—of Knowledge or of Thought as such—consists in the subject-object relation. This relation is all-comprehensive, for existence is meaningless out of relation to knowledge. When we speak of anything as existing, we mean its existence as an object of actual or possible knowledge. It is in this sense that Haldane so often uses the expression 'Knowledge is foundational'. Knowledge does not supervene upon a world of self-existent things; it is itself the supreme and all-embracing Fact within which all our distinctions fall. It is, accordingly, as the universal and all-inclusive Subject or Self that we may, at the outset, best conceive of God. The term Self is habitually used in a double sense. We men, whose experience is mediated by our organic equipment, exist, each of us with our individual history, in a world which contains innumerable other such individual selves. In that sense our individual self is for us an object correlated with other objects within the total world of knowledge. Yet we are more than that object-self. We are also the subject for which this individual self is object, for, as knowers, we each of us place ourselves at a super-individual standpoint, as spectators of all time and all existence. And in this latter sense Hegel says there is only one Mind, one Thinker, the single subject which has the universe for object, and sees in it all nothing but its own manifestation. Hence, Haldane, summing up the result of his second volume defines God as ‘Mind that comprehends itself completely’.¹ Its comprehension is complete because its ‘object can only be itself’.² ‘Mind as it is in man is this same self-comprehension but at a plane or stage which is imperfect.’ And it is the imperfection of our finite comprehension which gives to the world of nature its ‘hard-and-fastness’, as if it were something external to mind, with an element of contingency irresoluble by intelligence.³ Some interpreters of Hegel have taken his doctrine of Absolute Mind as meaning no more than the formal unity of knowledge wherever knowing comes to pass, and have sought accordingly the ultimate reality of the universe in the abstract universals or categories which Hegel analyses in his Logic, and which they suppose somehow to focus themselves in the human organism into concrete persons that think and act. The Absolute, on this view, first comes to consciousness of itself in men, and the process of its life is identified with the course of human history. Nothing, however, could be farther from Haldane’s conception of the Master’s meaning. He brushes aside the idea of impersonal self-subsisting thoughts as a contradiction in terms. The abstract universal has no subsistence. Reality, he ¹ p. 170. ² p. 156. ³ p. 133. argues constantly, is throughout singular or individual—the concrete unity of universal and particular, which are both but abstractions from it. And this is pre-eminently true of Absolute Mind, the ultimately Real; it is ‘individual, unique and singular’,¹ ‘living, concrete, self-conscious mind’.² God is therefore certainly ‘in some sense a Person’,³ though the limitations associated with finite personality suggest that superpersonal (in the sense not of impersonal, but of personality and much more than what we know as such) would be the more appropriate term. Emily Brontë’s Last Lines, which he quoted so often in life, to his friends as well as in his books, do in fact best express his own intimate sense of this Supreme Reality: O God within my breast, Almighty, ever present Deity! Life that in me has rest, As I—undying Life—have power in Thee. Philosophy in short is necessarily abstract, and although ‘for the intellect of God the conceptions of philosophy can be no abstractions, for us they will always be such.’ Hence, as he says in his concluding pages, ‘we turn quite naturally to Art and Religion for the direct sense of the presence of what is truly closer to us than breathing and nearer than hands and feet’. The language we meet there may be only symbolical, but it is none the less practically true. ‘Abstract reason’, he says elsewhere, ‘has no monopoly of the means of access to reality, although I hold it to be the only competent guardian of the pathway.’⁴ ‘It is for Philosophy to pursue the narrow path to the summit, and there to join hands with Art, and Morality, and Religion. The accomplishment of this is for her the test of success. It is only when he finds that the world as it seems to the artist, to the good man, to the godly man, seems real to him also, that the Philosopher has done his work.’⁵ Hence the characteristic tenderness with which he habitually treats ‘the faith of simple minds’.⁶ There is such a thing as ‘the undue ¹ p. xvii. ² p. 70. ³ p. xx. ⁴ p. xiv. ⁵ p. 32. exaltation of the abstract mind’, which, if persisted in, is no better than ‘pedantry’. Those who are supposed to regard highly the faith of simple minds would do well, he says, to bear this in remembrance. ‘For that faith is in itself a correction of abstractions: it is the sense of the fuller significance of experience.’¹ ‘Art and Religion’, he says in the concluding chapter of the Autobiography, ‘are never superseded by metaphysics.’ The Reign of Relativity is in substance a fresh presentation on a large scale of the same fundamental philosophical position. After fifteen years’ silence he had begun such a restatement in the long and careful paper on ‘The Doctrine of Degrees in Knowledge, Truth, and Reality’, read to the British Academy in 1919. The gist of this reappears in the Reign of Relativity, together with critical chapters on contemporary philosophical thought, as represented by Bergson, the New Realists, and others. The volume is connected by its title with the mathematico-physical theories of Relativity put forward by Einstein in 1905 and 1915, which were then the subject of eager debate. Haldane was greatly interested in these far-reaching scientific developments, and several chapters in this volume (as well as in its successor, The Philosophy of Humanism) are devoted to an exposition of the new theories and a historical survey of the advances in modern mathematics, which led up to them. These chapters are a striking testimony to the tireless energy of the writer in keeping himself abreast of the latest developments of science, and they undoubtedly attracted many readers to the book, which went through a number of editions and was translated into French. But, so far as I can judge, Einstein’s theory does not throw any fresh light on the doctrine of different degrees or levels of knowledge, while Haldane’s basic doctrine of the ‘relativity of all existence to knowledge’² and the consequent interpretation of the real as ultimately spiritual, is essentially independent of any change ¹ Reign of Relativity, p. 413. ² Philosophy of Humanism, p. 35. in physical theory. The fact is that ‘relativity’ has proved in the history of thought a fatally ambiguous term. Originally intended to signify the subjectivity of our judgements, and the impossibility of reaching an objective standard of truth, it is used approximately in that sense by Haldane in his Gifford Lectures, when he describes the chief topic of his first course as ‘the complete relativity of our knowledge in everyday life and in physical science’.¹ That is to say, our knowledge in these regions is stated in terms which depend upon the end we have in view. One set of terms serves the purposes of everyday life; another set of terms may serve the purpose of the physicist, who deliberately in the interest of his own science abstracts from important aspects of reality; and so on. But when we talk, with Haldane or with Hegel, of ‘the principle of relativity in its comprehensive form’ as ‘the all-embracing scope of mind’,² what we have in view is not any partial or ‘relative’ truth in the sense just indicated, but precisely, as Haldane says, ‘the final and complete truth’, which ‘cannot be less than a systematic whole of knowledge within which all particular and partial outlooks have their places as levels or degrees in knowledge’.³ Relativity in this comprehensive form is in fact the very thesis of Absolute Idealism, and as far removed as possible, therefore, from the associations of the term in its original and still most common use. And, as Haldane points out, it is only so far as we are confident of having reached ultimate philosophical truth—the idea of ‘a perfect entirety’ as he calls it⁴—that we can establish the doctrine of degrees or levels of knowledge. ‘All forms of knowledge are reconcilable, if construed as aspects within one entirety.’⁵ And that may perhaps explain the use of the same term to cover two precisely opposite meanings. It is only because we have a glimpse at least of such an entirety that we can arrange our degrees or levels in an ascending scale and sum up our philosophy, as Haldane did, in the doctrine that ‘the more ¹ vol. ii, p. x. ² Reign of Relativity, p. 384. ³ Ibid., p. 419. ⁴ Ibid., p. 401. ⁵ Ibid., p. 409. things are interpreted spiritually, the more they are found to be real'. In that faith he lived and died. 'Truth', said Berkeley, in a well-known passage, 'is the cry of all, but the game of few. Certainly, where it is the chief passion, it doth not give way to vulgar cares and views, nor is it contented with a little ardour in the early time of life; active perhaps to pursue, but not so fit to weigh and revise. He who would make a real progress in knowledge must dedicate his age as well as youth, the later growth as well as first fruits, at the altar of Truth.' I know of no one in our own time who realized this description of the unwearied seeker more fully than Haldane. A. SETH PRINGLE-PATTISON. Note on Lord Haldane's legal work in the House of Lords and the Judicial Committee of the Privy Council. BY VISCOUNT DUNEDIN I have been asked to write a few lines as to Lord Haldane's life so far as passed in the legal work of the House of Lords and the Judicial Committee of the Privy Council. My only qualification for so doing—for I have no literary aptitude—lies in the fact that I am the only one of his colleagues who combined close personal friendship with presence in the two Tribunals during his whole career there. Though our early professional experiences were in different countries, yet after 1891 when I got into the House of Commons, he being already there, we saw a great deal of each other. After he went Special I met him from time to time in Scottish cases before the House of Lords. We were generally opposed to each other, for those who employed him naturally wished him to lead and that was incompatible with my position as Solicitor-General and Lord Advocate from 1895 to 1903. But I was well aware of his professional career and, in particular, knew what an attraction he found in the constitutional questions which were being fought out in Canada and reached the Judicial Committee. After he definitely left the Bar and went to the War Office, he, although a Privy Councillor, was not qualified to sit on the Judicial Committee for he had never held high judicial office, which is the necessary condition for membership. It was felt by his friends, and particularly by Asquith, that it was a pity that his talents should not at times be available. Accordingly, advantage was taken of a clause in an old Act of 1833, which allowed the King to nominate not more than two members to sit on the Judicial Committee although they had not the ordinary qualification. By this time I had myself become qualified to sit, so that I was a member when he made his début. He did not sit very often, but he did take occasion to follow out cases on his favourite subject. I may pass at once to his first Lord Chancellorship. I remember distinctly his speaking to me shortly after his appointment. He was very keen to turn out thoroughly good work, for he had a very high idea of what the Supreme Tribunal ought to be. This was, of course, his début in the House of Lords. He certainly did his very utmost to carry out his ideal. I remember quite well how, with a certain feeling of pride, he sent to his friend Asquith, by this time Prime Minister, a sample of the cases we had been deciding. Shortly after his appointment as Chancellor, my own appearances in the two Tribunals, which had up to that time been sporadic, became continuous and, after that to the end of his first Chancellorship and throughout the whole of his second, I was in close touch with all his work. Very naturally, he maintained an especial interest in his old special subject, constitutional cases, and, as Lord Chancellor and so having the arrangement of business in his own hands, he arranged whenever such cases came up to sit if possible in the Judicial Committee. But his efforts were not at all confined to one class of case. As I have already said, he had a real ambition that the two Tribunals, being the Supreme Tribunals, should turn out superior work, and he spared no efforts to attain that object. If he could have had his own way, he would have liked to combine the two bodies in one Supreme Imperial Court; but the difficulties were many, including the building of a new Court House, and though he held to his opinion firmly, the matter never came within the range of practical politics. It is a little difficult and a little invidious for a colleague who valued and enjoyed a close friendship with him to play the critic. It would be foolish to claim for him too high a place. He will not go down in Lawyers’ history as a Baron Parke or an Earl Cairns; but I think it will be found, and more generally acknowledged as time goes on, that he was thoroughly sound in his judgements. He was, I think, very seldom wrong. In style he was perhaps too much of the philosopher, but he was very painstaking and not at all obstinate, and these two qualities generally lead to good results. Quite apart from personal affection for him, I found him always easy to deal with, for he would always listen if one had anything to say worth listening to. He was not abnormally quick, but he was very sure. I think his judgements will be found to wear very well. One little matter I have hesitated to mention, but I think it is kinder to do so because I know that he has suffered from a false impression. When he was thinking he had a way of shutting his eyes, with the result that he was often accused of being asleep when he was not asleep at all but merely following out the train of his own thoughts. Counsel are often given to repeating themselves; it is not altogether their fault for they have more minds than one to which they must address themselves, but during these periods of repetition there is room from a Judge’s point of view for periods of reflection and, as I say, it was a trick he had to shut his eyes when so reflecting. There certainly never was a judge who more consistently tried, not only to secure justice to the litigants, but to do his utmost both by individual effort and by stimulation of his colleagues to raise to the highest level possible the quality of law which it is the task of the highest Tribunals to pronounce.
Factors influencing the occurrence and distribution of neonicotinoid insecticides in surface waters of southern Ontario, Canada John Struger, Josey Grabuski, Steve Cagampan, Ed Sverko, Daryl McGoldrick, Christopher H. Marvin Water Science and Technology Directorate, Environment and Climate Change Canada, 867 Lakeshore Road, Burlington, Ontario, L7S 1A1, Canada HIGHLIGHTS - Conducted a survey of neonicotinoids used in full range of agricultural activities in surface waters of Ontario. - Statistical correlation of individual compounds with land use was investigated. - Relationship between neonicotinoid occurrence and hydrology of water courses was assessed. - Imidacloprid, clothianidin, and thiamethoxam detection frequency over 90% at over half the sites sampled. - At 2 sites, the Canadian freshwater guideline value for imidacloprid (230 ng/L) was exceeded in 75% of samples. ARTICLE INFO Article history: Received 12 August 2016 Received in revised form 2 November 2016 Accepted 8 November 2016 Handling Editor: Klaus Kümmerer Keywords: Neonicotinoid insecticides Imidacloprid Thiamethoxam Clothianidin Surface water Water quality guidelines ABSTRACT The widespread use of neonicotinoid insecticides and recent increased regulatory scrutiny requires the generation of monitoring data with sufficient scope and resolution to provide decision makers with a better understanding of occurrence and distribution in the environment. This study presents a wide-scale investigation of neonicotinoid insecticides used across the range of agricultural activities from fifteen surface water sites in southern Ontario. Using statistical analysis, the correlation of individual compounds with land use was investigated, and the relationship between neonicotinoid occurrence and hydrologic parameters in contaminated water courses was also assessed. Of the five neonicotinoids studied, imidacloprid, clothianidin and thiamethoxam exhibited detection rates above 90% at over half the sites sampled over a three year period (2012–2014). At two sites in southwestern Ontario, the Canadian Federal freshwater guideline value for imidacloprid (230 ng/L) was exceeded in roughly 75% of the samples collected. For some watersheds, there were correlations between the occurrence of neonicotinoids and precipitation and/or stream discharge. Some watersheds exhibited seasonal maxima in concentrations of neonicotinoids in spring and fall, particularly for those areas where row crop agriculture is predominant; these seasonal patterns were absent in some areas characterized by a broad range of agricultural activities. Crown Copyright © 2016 Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/). 1. Introduction In the past decade, the use of organophosphorous insecticides has been superseded by neonicotinoid insecticides (Hladik et al., 2014; Hillier and Kolpin, 2015; Morrissey et al., 2015; Anderson et al., 2015). Neonicotinoids are active against a wide range of insects, are effective at low concentrations, are systemic, and can be applied using a variety of methods (Anderson et al., 2015). Registered uses of neonicotinoids in Canada include control of insects on field and greenhouse crops, orchards and nurseries, woodlots, flea control in household pets, and control of turf pests in urban areas, sod farms and golf courses. Neonicotinoids are regulated nationally by Health Canada's Pest Management Regulatory Agency (PMRA) with additional provincial restriction under the Province of Ontario's 2009 ban on cosmetic use of pesticides on lawns and gardens under the Ontario Pesticides Act (Ontario, 2016). Neonicotinoid formulations are also used for seed treatment of row crops such as corn, soybeans and canola, which has led to widespread use in Ontario (McGee et al., 2010; Farm and Food Care... There has been growing concern about use of neonicotinoid pesticides and possible ecological and ecotoxicological effects on pollinators and invertebrates, and possible indirect effects on songbirds and waterfowl (Anderson et al., 2015). Anderson et al. (2015) recently reviewed fate, exposure and biological effects of neonicotinoids in the environment, and concluded that while Mossey et al. (2014) reviewed neonicotinoid contamination in surface waters globally and potential risk to aquatic invertebrates. The United States Geological Survey (USGS) has conducted both national- (Hladik and Kolpin, 2015) and regional-scale (Midwestern United States, Hladik et al., 2014) reconnaissance studies of neonicotinoids in streams in the United States. Imidacloprid, clothianidin and thiamethoxam were the most frequently detected; in the U.S. national study, clothianidin and thiamethoxam were positively correlated with percentage of land use in cultivated crop production, while imidacloprid was positively correlated with percentage of urban area (Hladik and Kolpin, 2015). To make informed decisions with respect to use, registration, and effects guidelines, there is a requirement for knowledge of occurrence and distribution of neonicotinoid insecticides across jurisdictions. The purpose of this study was to assess occurrence and distribution of neonicotinoids in surface waters in different agricultural and urban areas of southern Ontario as part of a comprehensive pesticide monitoring program. The neonicotinoids analyzed were thiamethoxam, clothianidin, imidacloprid, thiacloprid and acetamiprid. Registration for the first three compounds is currently being re-evaluated by the PMRA. Mossey et al. (2014) identified a scarcity of neonicotinoid insecticide data globally that enables inferences regarding the fate of these compounds in relation to water body features and land use. Using statistical analysis, the correlation of individual compounds with land use was investigated and the relationship between neonicotinoid occurrence and hydrologic parameters in calibrated water courses. This study presents the first wide-scale investigation of neonicotinoid insecticides in surface waters across the range of agricultural activities in southern Ontario. 2. Methods Fifteen sites in southern Ontario consisting of nine streams near agricultural areas (drainage area <100 km²), and six larger streams/rivers (drainage area >100 km²) were sampled (Fig. S1). These stream sites reflected a range of agricultural activities including row crops, fruits and vegetables, orchards and grapes, greenhouses, ornamental nurseries, and turf. The sites also included an urban stream (Spring Creek) and a reference stream (Spring Creek) located adjacent to a national park removed from agricultural activities. All neonicotinoid insecticide concentrations in samples from Spring Creek were below the method detection limits (Table S1). Precipitation was sampled at one additional site (Bear Creek). 2.1. Sampling methods Whole water samples were collected by submerging sample bottles (1L amber glass with Teflon® lids) at mid-stream to a depth of 10–20 cm, and stored in coolers with ice packs for transport. Samples were collected bi-weekly through the growing season (May–September) with monthly sampling in April, October, November and December. Duplicate field samples and field blanks were collected for QA/QC purposes. General water quality characteristics including temperature, pH, conductivity and dissolved oxygen were also measured during each sampling event using a YSI® sonde. 2.2. Sample preparation Surface water and precipitation samples (800 mL stored at 4 °C) were extracted at 5 mL/min using a Waters OASIS HLB (0.5 g) solid phase extraction (SPE) cartridge. The cartridge was rinsed with 5 mL of 5% methanol in water (v/v) and then dried on-line with nitrogen gas at 1 mL/min. The cartridge was eluted with 10 mL of methanol at a flow rate of 2 mL/min. The final extract was concentrated to ~0.9 mL and 50 μL of internal standard (acetamiprid-d₅ at 0.97 μg/mL, imidacloprid-d₄ at 1.3 μg/mL and thiamethoxam-d₃ at 10 μg/mL) was added and the extract volume-adjusted with water to a 1.5 mL final volume. 2.3. Analysis The five neonicotinoids analyzed were acetamiprid, clothianidin, imidacloprid, thiacloprid and thiamethoxam. An Agilent 1100 series HPLC system equipped with a Phenomenex Synergi Hydro-RP analytical column (3 × 100 mm i.d., 2.5 μm particle size) was used at a column temperature of 40 °C and mobile phase flow rate of 250 μL/min. The mobile phase solvents were water (A) and 90% methanol (v/v) in water (B), each containing 5 mM ammonium formate used in a gradient elution program; initial composition 90% A:10% B; 90% A:10% B at 0.1 min; 5% A:95% B at 5.0 min and then held for duration of the 12 min run. The column was equilibrated for 5 min between all sample injections. Neonicotinoid compounds were analyzed using an Applied Biosystems/Sciex API 2000 tandem mass spectrometer (MS) using an electrospray ionization (ESI) source in positive ion mode. The optimized positive ESI-MS conditions were: curtain gas (CUR) 35 psi, collision gas (CAD) 4 psi, Turbolon Spray source voltage (IS) 3000 v, heated nebulizer temperature 500 °C, nebulizing gas (G1) at 80 psi and auxiliary/heater gas (G2) at 80 psi. The dwell time for each ion-pair was 50 ms. Resolution was set to achieve unit mass resolution for quadrupoles 1 and 3. 2.4. Statistical analysis Summary statistics were estimated using the Kaplan-Meier method to account for values below detection limits using the NADA package in R (Helsel, 2012; R Core Team, 2016). Principal components analysis (PCA) was used to identify relationships between land-use, crop type, and neonicotinoid concentrations (Helsel and Hirsch, 2002). Prior to analysis by PCA all data were transformed to standard scores (z-score) as variables included have different units of measure. Association of individual neonicotinoids and association with precipitation and stream discharge were assessed using the Kendal rank correlation coefficient (Kendall's tau, τ). The PCA and correlation analyses were performed using JMP® Version 10 (SAS Institute Inc., Cary, NC). 3. Results and discussion 3.1. Occurrence and distribution of neonicotinoid insecticides in southern Ontario surface waters As observed in other North American studies of neonicotinoids, imidacloprid, thiamethoxam and clothianidin were the most ubiquitous; occurrence and distribution data including surface water concentrations and frequency of detection for southern Ontario surface waters are shown in Table S1 and Fig. S2. Table S1 also includes the number of samples that exceeded the Canadian Council of Ministers of the Environment (CCME) interim freshwater guideline for protection of aquatic life value for imidacloprid (230 ng/L, CCME, 2007); this guideline is currently the only Canadian federal freshwater guideline available for any neonicotinoids registered for use in Canada, and was used as a benchmark to compare with observed concentrations in this study. Registered uses of imidacloprid in Canada include control of insects on field and greenhouse crops, orchards and nurseries, and household and turf applications (PMRA, 2001, 2016). In Ontario, imidacloprid replaced diazinon for lawn care and aerial applications (Ontario Ministry of Agriculture, 2002). Prior to the Province’s 2009 ban on cosmetic use of pesticides on lawns and gardens, imidacloprid is applied to control insects across the entire range of agricultural activities using a variety of application methods including soil application, foliage spray treatment, and seed treatment (PMRA, 2001, 2016). Typical application rates to foliage or soil range are determined by crop, but typically range from 42 to 480 g a.i./ha (PMRA, 2016). However, the application rate for imidacloprid on fruiting vegetables for control of the Colorado potato beetle and aphids can be as high as 560 g a.i./ha (PMRA, 2016). The range of applications for imidacloprid result in potential for entry into aquatic systems through a variety of vectors, including spray drift, atmospheric deposition, soil erosion and runoff (CCME, 2007). Imidacloprid was detected in all samples at 8 sites, which was the highest level of occurrence for all compounds (Table S1). In general, very high occurrences of detection were observed across the entire study area, presumably due to the broad range of applications of imidacloprid. There was routinely a wide range in measured concentrations from 3 ng/L to 10,400 ng/L (Table S1). Imidacloprid was particularly prevalent in southwestern Ontario along the Lake Erie shoreline (Lebo Drain and Sturgeon Creek, Fig. 1) and at Two Mile Creek in the Niagara Peninsula (Fig. 1). At Lebo Drain and Sturgeon Creek, roughly 75% of the samples contained imidacloprid at concentrations exceeding the CCME guideline value (230 ng/L). The watersheds of these water courses are characterized by high percentages of row crop agriculture; roughly 20% corn and 40% soybean for Lebo Drain and 26% corn and 33% soybean for Sturgeon Creek, Table S2. This area of southern Ontario is also home to the largest concentration of commercial greenhouses (representing 9% of the watershed, Table S2) in North America with roughly 1800 acres in vegetable production in 2012 (Ontario Greenhouse Vegetable Growers, 2012); cucumbers, peppers and tomatoes represent the majority of greenhouse crops in this area. In addition, 4.6% of the Sturgeon Creek watershed is dedicated to field tomato production. Two Mile Creek in the Niagara Region was the only other sampling station where concentrations of imidacloprid exceeded the CCME guideline (maximum value of 816 ng/L, Table S1). In contrast, watersheds in southwestern Ontario dominated by row crops, the Two Mile Creek watershed is represented by over 50% vineyards and orchards (Table S2). These observations indicated imidacloprid is preferred as an insecticide for a broad range of agricultural activities. These results contrasted with previous Canadian studies from 2000 to 2005 where imidacloprid was rarely detected. Acetamiprid was one of the less ubiquitous compounds with only 6 sites exhibiting detection rates greater than 50% (Table S1, Fig. S3). As with imidacloprid, the highest concentrations and frequencies of detection were associated with sites in southwestern Ontario (Sturgeon Creek, Lebo Drain) and the Niagara Peninsula (Two Mile Creek, Prudhomme Creek and Four Mile Creek). In four samples acetamiprid was detected at concentrations greater than the imidacloprid CCME guideline value of 230 ng/L; these samples were associated with Two Mile Creek (1 sample), Lebo Drain (2 samples) and Sturgeon Creek (1 sample). Crops on which acetamiprid is routinely applied include pome fruits, leafy vegetables and ornamental plants and flowers; these crops are widely grown in both regions. In addition, acetamiprid is applied to grapes, the Niagara Region represents the majority of the 17,000 acres of grapes in production in Ontario with lesser production in the southwestern and eastern parts of the province (Grape Growers of Ontario, [2016]). Grapes comprise 35% of the value of Ontario commercial fruit crops. The Two Mile Creek and Four Mile Creek watersheds are characterized by roughly 26% orchard/33% vineyard and 13% orchard/16% vineyard, respectively (Table S2). Prudhomme Creek has watershed characteristics similar to those of Two Mile Creek and Four Mile Creek. Thiacloprid exhibited the lowest levels of occurrence, distribution, and rate of detection (Table S1 and Fig. S4); Prudhomme Creek was the only site where thiacloprid was detected in greater than 50% of samples. The concentration of thiacloprid exceeded the imidacloprid CCME guideline value (230 ng/L) in only three samples; all of these occurrences were in Prudhomme Creek in the Niagara Region. The occurrence and distribution of thiacloprid is limited by its relatively narrow range of applications; in the case of its detection at sites in southwestern Ontario (Sturgeon Creek and Lebo Drain) and the Niagara Peninsula (Prudhomme Creek, Two Mile Creek and Four Mile Creek), application on pome fruits represents the most likely source, as registration in Canada is restricted to use on these crops. Although designated as the urban control site, thiacloprid was detected at 17% of samples collected at Indian Creek (Table S1, Fig. S4). Thiacloprid is not registered for domestic use in Canada; these detections may be the result of some limited agricultural activity in the watershed that includes orchards (Table S2). Although clothianidin is registered for a fairly broad range of applications in Canada, it is commonly used as a seed treatment for canola and corn, and on grains and soybean. Of the twelve clothianidin commercial products registered for use in Canada, nine are for field crops; the remaining three are for turf grass, orchards and vegetables. The widespread prevalence of row crop agriculture in southern Ontario has resulted in clothianidin being ubiquitous as evidenced by its detection in over 80% of samples at 10 of the 15 sites in the study (Table S1, Table S2, Fig. S5). In addition to its frequent detection at sites in southwestern Ontario and the Niagara Region, clothianidin was prevalent in central and northern parts of southern Ontario where row crop agriculture is predominant (Fig. S5). For example, the Nissouri Creek (100% detection rate) watershed is roughly 40% corn production (Table S2). The concentration in only one sample in Two Mile Creek in the Niagara Peninsula exceeded the imidacloprid CCME guideline value of 230 ng/L; in general mean clothianidin in concentrations were in the tens of ng/L range. Clothianidin is also the primary metabolite of thiamethoxam, although the current study provided no insights into the relationship of these compounds from a parent – breakdown product perspective. Thiamethoxam is similar to clothianidin in that many registered commercial products are specifically for seed treatment; as a result there are similarities in the occurrence and distribution for both compounds (Figs. S5 and S6). However, thiamethoxam is registered for a broader range of applications compared to clothianidin, including control of house flies, ornamentals, greenhouse, and fruits and vegetables. As with clothianidin, typical mean concentrations for thiamethoxam are in the tens of ng/L range. Mean concentrations for thiamethoxam were highest at Twenty Mile Creek, Lebo Drain and the Sydenham River (Table S1); these mean concentrations also exceeded the 230 ng/L CCME guideline value. The measured concentrations in the current study can be compared with those reported in other areas of North America and globally. Geometric means for average and maximum concentrations of all neonicotinoids in surface waters based on 29 studies carried out in 9 countries world-wide were 130 ng/L and 630 ng/L respectively (Morrissey et al., 2015). For imidacloprid in the current study, the mean average and maximum concentrations at the thirteen sites where the rate of detection was greater than 70% were 190 ng/L and 1210 ng/L, respectively. Morrissey et al. (2015) also presented a summary of ecological quality reference values for neonicotinoid insecticides, including the Canadian benchmark of 230 ng/L. The USEPA average (1050 ng/L) and maximum (35,000 ng/L) reference values are much higher than the Canadian CCME guideline value; however, the most recent benchmark for an average concentration adopted by the Netherlands (8.3 ng/L) is roughly 30-fold lower than the Canadian guideline. A study of neonicotinoids in the Province of Quebec (Canada) determined that 3.2%–48% of surface water samples collected from watercourses where corn and soybean were the predominant agricultural crops exceeded the Netherlands reference value of 8.3 ng/L (Quebec, 2014). Morrissey et al. (2015) proposed reference values for average and maximum concentrations of 35 ng/L and 200 ng/L, respectively; these values were developed in consideration of weighting and standardizing all neonicotinoid insecticides to imidacloprid. 3.2. Correlation of land use with occurrence and distribution of neonicotinoid insecticides in southern Ontario The occurrence and distribution of neonicotinoid insecticides in southern Ontario surface waters were presumably primarily influenced by agricultural activities. To assess the importance of land use, we performed a Principal Components Analysis (PCA) to identify correlations between land use and neonicotinoids (Fig. 2). In general, results of the PCA corroborated our previous interpretations of the data; as expected thiamethoxam and clothianidin were positively correlated with row crops, particularly soybeans and corn, while imidacloprid and acetamiprid were strongly correlated with greenhouse activity, vegetables and other agriculture including vineyards and orchards. Thiacloprid was more associated with fruit production, as was expected given this insecticide is commercially registered in Canada for use on pome fruits (apples and pears). The most recent survey of pesticide use in Ontario (Farm and Food Care Ontario, 2016) reported that both corn and soybean acreage increased by over 20%, while associated pesticide usage increased by 38% for corn and 32% for soybeans; as a result, use of neonicotinoid insecticides for these two crops can be expected to continue to be robust. In a small-scale field experiment, non-occurrence of neonicotinoids in the USA, Hladik and Kolpin (2015) found a positive statistical relationship between row crops and both clothianidin and thiamethoxam, while imidacloprid exhibited a positive relation to urban land-use. In terms of the co-occurrence of clothianidin and thiamethoxam, Hladik and Kolpin (2015) also identified transformation of thiamethoxam to clothianidin as a potential factor. Sampling sites in the PCA were generally grouped according to geography, and correspondingly, land use (Fig. 2). One grouping contained sites in the Niagara Peninsula (Prudhomme Creek, Two Mile Creek, Four Mile Creek, Fig. 2) and the urban control site (Indian Creek), while the other contained the sites in southwestern and southcentral Ontario. Twenty Mile Creek was also in the latter grouping as a result of this watershed representing primarily row crop agricultural activities, in contrast to the other sites in this area that exhibit a diversity of agricultural activities that include orchards and vineyards (Table S2). Interestingly, the Lebo Drain and Sturgeon Creek sites are significantly separated in the PCA; these two watercourses are adjacent to each other and routinely monitored for water quality. As both Lebo Drain and Sturgeon Creek, intensive horticultural activities, not exclusively limited to greenhouses, have contributed to elevated nutrient levels at the mouths of both watercourses (OMOE, 2012). The relatively greater influence of greenhouse activity in the Sturgeon Creek watershed (roughly 3-fold greater on a percentage basis, Table S2), and differences in maximum and mean neonicotinoid concentrations due to differences in the physical characteristics of these watersheds, is apparent. 3.3. Seasonal trends in occurrence and distribution of neonicotinoid insecticides in southern Ontario Multi-year monitoring of neonicotinoid insecticides during field season (April to December) allows for assessment of seasonal trends in occurrence and distribution. In general, we observed two types of distributions dependent on insecticide and/or crop type. We selected Four Mile Creek and Prudhomme Creek, and Lebo Drain and Sturgeon Creek as representative examples of these different seasonal distributions. In all cases, we observed high rates of detection and high concentrations of neonicotinoid insecticides in spring in concert with snow melts, spring rains and subsequent crop planting; this “spring flush” phenomenon has been observed in other studies (e.g., Hladik et al., 2014). In the case of Four Mile Creek and Prudhomme Creek, there was no apparent seasonal trend in the occurrence of imidacloprid, with high rates of detection throughout the spring/summer/fall time periods (Fig. 3). We attribute the lack of a seasonal trend at the Niagara sites to a wide range of agricultural activities potentially requiring multiple applications across a broader period of time and throughout the growing season. For example, imidacloprid can be used for preventative purposes in mid-summer; in addition, this compound is applied using a variety of techniques including soil treatment and foliar spray application that in turn increases the number of potential vectors for entry into watercourses. A similar temporal distribution was observed at the Four Mile Creek and Prudhomme Creek sites for acetamiprid (data not shown). In contrast, the occurrence of imidacloprid at Sturgeon Creek and Lebo Drain exhibited a bimodal distribution with maxima in late spring and late summer/early fall (Fig. S7). We attribute this observation to greenhouse and/or vegetable applications; these watercourses have the highest level of greenhouse activity of all watersheds surveyed (Table S2, Fig. 2). Typical application periods for insecticides on row crops include spring and fall; however, it has also been reported that imidacloprid, clothianidin and thiamethoxam can be detected at significant concentrations (>100 ng/L) five-to-six months after use as seed treatments (Mineau and Palmer, 2013). Therefore, the bimodal distributions we observed at some sites could be the result of seasonal application, release of residues several months after application, or a combination of both circumstances. Seasonal patterns for detection of neonicotinoid insecticides applied primarily for protection of row crops were more definitive; the occurrence of thiamethoxam at Four Mile Creek and Prudhomme Creek in the Niagara Region is shown in Fig. S8. The distribution of occurrence was bimodal and exhibited maximum concentrations in the late spring and fall time periods. We observed similar distributions for both thiamethoxam and clothianidin at other sampling sites, including Lebo Drain and Sturgeon Creek (data not shown). However, at Casey’s Creek at Four Mile Creek and Prudhomme Creek, we observed a unimodal distribution corresponding to maximum concentrations primarily in the spring (Fig. S8). We are unsure of the reasons for the lack of detections of clothianidin at the Niagara Region sites later in the year, compared to other areas of southern Ontario, but presume that preventative and/or curative applications in summer and fall were generally not required using this compound in these areas over the period of the study. Over the course of the three-year sampling program, we observed a broader time period when soybeans were being planted (e.g., into late-June), compared to corn which is not planted after May in Ontario. 3.4. Correlation of precipitation with occurrence and distribution of neonicotinoid insecticides in southern Ontario The high water solubility of some neonicotinoid insecticides, including imidacloprid, was a primary impetus for investigating the relationship between precipitation and occurrence, as runoff is an important vector for entry of neonicotinoid insecticides into the aquatic environment. In their national-scale reconnaissance of neonicotinoids in the USA, Hladik and Kolpin (2015) identified precipitation as an important driver of neonicotinoid runoff to watercourses. Sampling in conjunction with rain events has been identified as a crucial factor in interpreting both peak and mean concentrations of neonicotinoids in surface waters, and the associated exposure of aquatic species (Morrissey et al., 2015). The occurrence and fate in surface waters are influenced by light, pH, temperature, formulation and microbial processes (Anderson et al., 2015). Three watercourses (Sydenham River, Four Mile Creek, Twenty Mile Creek, Fig. S1) were selected for assessment of the relationship among occurrence, and rainfall events and water flow/stream discharge; supplemental monitoring of these sites resulted in availability of precipitation data of sufficient frequency and resolution to enable statistical analysis. However, it should be noted that precipitation measurements were not conducted at the exact location of surface water sampling. A statistical analysis of the correlations among neonicotinoid insecticides and stream discharge, precipitation on the day preceding sampling, and stream discharge on the day of sampling was performed (Table 1). In addition, the correlations between the individual compounds were calculated (Table S3). There were no correlations between neonicotinoids and precipitation on the day of sampling; all significant correlations were associated with stream discharge and/or precipitation on the day preceding sampling. Table 1 Non-parametric correlation coefficients (Kendall's $\tau$) of concentrations of selected neonicotinoid insecticides with precipitation on day of sampling, precipitation on the day preceding sampling, and stream discharge on day of sampling measured at three locations (2012–14). Correlation coefficients in italics designate p-values <0.10 while bold designates p-values <0.05. \| Insecticide \| Stream discharge (m$^3$/s) \| Precipitation - sampling day (mm) \| Precipitation - day preceding sampling (mm) \| \|-----------------\|----------------------------\|----------------------------------\|---------------------------------------------\| \| Imidacloprid \| \| \| \| \| Sydenham River \| $-0.085$ \| $-0.045$ \| $0.177$ \| \| Four Mile Creek \| $0.136$ \| $-0.048$ \| $0.197^$ \| \| Twenty Mile Creek \| 0.346 \| $0.080$ \| $0.149$ \| \| Clothianidin \| \| \| \| \| Sydenham River \| 0.345 \| $-0.003$ \| $0.002$ \| \| Four Mile Creek \| $0.105$ \| $0.120$ \| $0.217$ \| \| Twenty Mile Creek \| 0.255 \| 0.251 \| $0.143$ \| \| Thiamethoxam \| \| \| \| \| Sydenham River \| $0.022$ \| $-0.063$ \| $0.042$ \| \| Four Mile Creek \| 0.219 \| $0.077$ \| 0.341 \| \| Twenty Mile Creek \| 0.264 \| 0.280 \| $0.195$ \| \| Acetamiprid \| \| \| \| \| Sydenham River \| $-0.025$ \| $0.145$ \| $0.133$ \| \| Four Mile Creek \| $0.150$ \| $0.121$ \| $0.157$ \| \| Twenty Mile Creek \| $0.150$ \| $0.045$ \| $0.220$ \| \| Thiacloprid \| \| \| \| \| Sydenham River \| $0.168$ \| $-0.201$ \| $0.083$ \| \| Four Mile Creek \| $0.096$ \| $0.086$ \| $0.167$ \| \| Twenty Mile Creek \| $0.079$ \| $-0.108$ \| 0.337 \| sampling (Table S3). In terms of correlations between individual neonicotinoids, thiamethoxam and clothianidin were correlated in all three watercourses due to similarities in crop types to which they are applied (Table S3). For the Sydenham River, two significant positive correlations were observed; precipitation on the day preceding sampling for imidacloprid ($p < 0.10$) and stream discharge for clothianidin ($p < 0.10$). As shown by the hydrograph for the Sydenham River (Fig. S10), we anticipated difficulty in attributing occurrence of neonicotinoids with precipitation events due to the fact this watercourse is a major tributary characterized by high flow volumes and discharge; as a result any runoff from the watershed could be rapidly diluted. For the Sydenham River, there was no correlation between precipitation and stream discharge. In the case of Four Mile Creek, precipitation on the day of sampling and stream discharge were significantly correlated; as a result precipitation has a significant impact on stream discharge throughout the year (Fig. S11). Clothianidin was positively correlated ($p < 0.10$) with precipitation the day preceding sampling while thiamethoxam was more strongly correlated ($p < 0.05$) for both precipitation the day preceding sampling and stream discharge, indicating that precipitation events and the associated runoff are significant contributors of loadings of neonicotinoids primarily associated with row crop agriculture to watercourses (Table 1). For Twenty Mile Creek, precipitation preceding the day of sampling and stream discharge were significantly correlated (Fig. 4). Compared to Four Mile Creek, Twenty Mile Creek exhibited high stream discharges in the late winter – early spring time period. Imidacloprid ($p < 0.05$) and clothianidin ($p < 0.10$) were both correlated with stream discharge for this watercourse, while thiamethoxam ($p < 0.05$) was correlated with precipitation the day preceding sampling (Table 1). The observations of neonicotinoid occurrence in ![Fig. 4. Hydrograph showing stream flow (m$^3$/s), precipitation (mm) and neonicotinoid insecticide concentrations (ng/L) for sampling in 2013 in Twenty Mile Creek.](image-url) the Niagara Region show that in cases where precipitation and stream discharge are correlated, sampling associated with precipitation events is important for assessing the influence of agricultural activities on smaller watercourses in that runoff can exhibit relatively high concentrations and represent significant loadings, compared to base flow conditions. In the case of thiamethoxam in Twenty Mile Creek, the hydrograph also showed the influence of precipitation events in the late spring and summer months that can result in release of neonicotinoids to watercourses (Fig. 4). Neonicotinoids were rarely detected in precipitation at Bear Creek in 2013; most detections were during the period of 14–31 May 2013. While detections of imidacloprid, thiacloprid and acetamiprid were within a factor of two of the method detection limit, concentrations in precipitation of thiamethoxam and clothianidin on May 14th, 2013 were 114 ng/L and 120 ng/L, respectively. We speculate these detections may have been the result of drift of dust generated during application on row crops, or planting of treated seeds during the spring planting period, given that the Bear Creek site is in proximity to the Lebo Drain and Sturgeon Creek stations, both of which are characterized by greater than 60% row crop agriculture. 4. Conclusions The most widely used of the neonicotinoid insecticides; imidacloprid, thiamethoxam and clothianidin, were detected in over 90% of samples from over half of the sites surveyed during the three years of the study (2012–2014). Based on usage information for the Province of Ontario, the ubiquity of these compounds was not unexpected, and our data corroborate findings of studies conducted elsewhere in Canada and the United States. In the case of imidacloprid, the broad range of registered uses combined with multiple methods of application resulted in a high frequency of detections in surface waters across southern Ontario; however, there was a roughly 6000-fold range in concentrations detected. In addition to high frequencies of detection of neonicotinoids in spring samples, at some sites in the Niagara Peninsula area of southern Ontario imidacloprid was detected over the breadth of the spring – summer – fall timeframe, which indicated multiple applications during the planting and growing seasons. In one area of southwestern Ontario, three quarters of the samples exceeded the Canadian guideline value for imidacloprid (230 ng/L) indicating this compound is environmentally relevant and should continue to be the focus of further research and monitoring activities. As expected, the occurrence and concentrations of thiamethoxam and clothianidin were also correlated with row crop agriculture resulting from their wide use as seed treatments for canola, corn, grains and soybean. Seasonal patterns of detection for the two compounds were bimodal in nature, with maximum concentrations observed in late spring and fall. Recent information from the Province of Ontario indicates continued increases in acreage devoted to row crop agriculture which could significantly influence use of neonicotinoids. The results of the current study in southern Ontario also emphasize the importance of greenhouse activity in influencing the occurrence and distribution of neonicotinoids in surface waters. In terms of the impact of precipitation and watercourse characteristics on the occurrence of neonicotinoid insecticides, the results of our study were more definitive in cases where precipitation and discharge were linked, i.e., for smaller watercourses; in these cases precipitation events and subsequent runoff and increased discharge resulted in higher concentrations and loadings. The results of our study emphasize the need for targeted event-based sampling to determine maximum concentrations and their duration in surface waters, and the requirement for ecotoxicological studies to investigate potential acute and chronic effects on a range of aquatic biota. Acknowledgements The authors thank John Kraft, Tina Hooey, Mandi Clark, Zach Leslie, Lisa Bradley, Mary Lou Archer, Lucas Neilson and Joanne Driuba of Environment and Climate Change Canada, Georgina Kaltenecker of the Ontario Ministry of the Environment and Climate Change, Anton Van Eerd of Dresden, Ontario and Jim Smith of Pelham, Ontario for technical assistance. We also thank Scott Kirby, Janice Vellenueve, Philip Sangster and Émilie Lariviere of Health Canada for their expert review comments. Appendix A. Supplementary data Supplementary data related to this article can be found at http://dx.doi.org/10.1016/j.chemosphere.2016.11.036. References Anderson, J.C., Dubetz, C., Fadace, V.P., 2015. Neonicotinoids in the Canadian aquatic environment: a literature review on current use products with a focus on fate, exposure, and biological effects. Sci. Total Environ. 409—422. CCME, 2007. Canadian water quality guidelines for the protection of aquatic life: invertebrates. In: Canadian Environmental Quality Guidelines, 1999. Canadian Council of Ministers of the Environment, Winnipeg, Manitoba, Canada. Food and Farm Care Ontario, 2016. Survey of Pesticide Use in Ontario, 2013: Estimates of Pesticide Used on Field Crops and Fruit and Vegetable Crops. Farm and Food Care Ontario, Guelph, Ontario. Grape Growers of Ontario, 2016. Ontario’s Grape and Wine Industry. http://www.grapegrowersofontario.com/ontarios-grape-and-wine-industry. Helsel, D.R., Hirsch, R.M., 2002. Statistical Methods in Water Resources: Techniques of Water Resources Analysis, Volume 4, 2nd ed. United States Geological Survey, 522 pp. Helsel, D.R., 2008. Statistics for Censored Environmental Data Using Minitab® and R, second ed. John Wiley & Sons Inc., Hoboken, New Jersey. Hladik, M.L., Kolpin, D.W., 2015. First national-scale reconnaissance of neonicotinoid insecticides in streams across the USA. Environ. Chem. http://dx.doi.org/10.1071/EN15001. Hladik, M.L., Kolpin, D.W., Kuivila, K.M., 2014. Widespread occurrence of neonicotinoid insecticides in streams in a high corn and soybean producing region, USA. Environ. Pollut. 193, 185–196. McCue, S., Beaudry, L., Bertrand, D., 2008. Survey of Pesticide Use in Ontario, 2008: Estimates of Pesticides Used on Field Crops, Fruit and Vegetable Crops, and Other Agricultural Crops. Ontario, Ministry of Agriculture, Food and Rural Affairs, Toronto, Ontario, ISBN 978-1-4437-1738-6. Miner, M.A., Palmer, M.T., 2014. Effects of the Nation’s Most Widely Used Insecticides on Birds (American Bird Conservancy). Morrissey, C.A., Mineau, P., Devries, J.H., Sanchez-Bayo, F., Liess, M., Cavallaro, M.C., Libet, K., 2015. Neonicotinoids in the environment: risks to wildlife and associated risk to aquatic invertebrates: a review. Environ. Int. 74, 291–303. Ontario Class 9 pesticides, 2016. Classification of Pesticides Set Out under Ontario Regulation 63/09. http://www.ontario.ca/page/class-9-pesticides. Ontario Greenhouse Vegetable Growers, 2012. Fact Sheet. http://ontariogreenhouse.com/. OMOE, 2012. An Analysis of Nutrients and Select Metals in Urban Wastewater (Pond Discharge) (2007) and Final Greenhouse Operations in and Around Leamington Technical Memorandum. Ontario, Ontario Ministry of the Environment, Southwestern Regional Office, Technical Support Section, PIBS 8888, Queens Park, Toronto. PMRA, 2008. Integrated Regulatory Note, REC2008–11, Health Canada, Pest Management Regulatory Agency. Ottawa. http://publications.gc.ca/collections/Collection/H113-7-2008-11E.pdf. PMRA, 2016. Re-evaluation of Imidacloprid — Preliminary Pollinator Assessment, Review Status Note, REV2016–05, Health Canada Pest Management Regulatory Agency, Ottawa, ISBN 1925-0630. Québec, 2014. Presence of Pesticides in Water in Quebec Orchards and Potato Crops, 2010–2012. Québec Ministry of Sustainable Development, the Environment, and Climate Change. ISBN 978-2-5501-7167-8. Québec Library and National Archives; Government of Quebec. R Core Team, 2016. R: A Language and Environment for Statistical Computing. R Foundation for Statistical Computing. Austria. Vienna. https://www.r-project.org/. Struger, J., Fletcher, T., 2002. Occurrence of lawn care and agricultural pesticides in the Don River and Humber River watersheds. J. Gr. Lakes. Res. 33, 887–905.
Metagenomic Nanopore Sequencing of Influenza Virus Direct from Clinical Respiratory Samples Kuama Lewandowski, Yifei Xu, Steven T. Pullan, Sheila F. Lumley, Dona Foster, Nicholas Sanderson, Alison Vaughan, Marcus Morgan, Nicole Bright, James Kavanagh, Richard Vipond, Miles Carroll, Anthony C. Marriott, Karen E. Gooch, Monique Andersson, Katie Jeffery, Timothy E. A. Peto, Derrick W. Crook, A. Sarah Walker, Philippa C. Matthews Public Health England, National Infection Service, Porton Down, Salisbury, United Kingdom Nuffield Department of Medicine, University of Oxford, John Radcliffe Hospital, Headington, Oxford, United Kingdom Department of Infectious Diseases and Microbiology, Oxford University Hospitals NHS Foundation Trust, John Radcliffe Hospital, Headington, Oxford, United Kingdom Peter Medawar Building for Pathogen Research, Nuffield Department of Medicine, University of Oxford, Oxford, United Kingdom Oxford NIHR BRC, John Radcliffe Hospital, Headington, Oxford, United Kingdom Kuama Lewandowski, Yifei Xu, and Steven T. Pullan contributed equally to this work. ABSTRACT Influenza is a major global public health threat as a result of its highly pathogenic variants, large zoonotic reservoir, and pandemic potential. Metagenomic viral sequencing offers the potential for a diagnostic test for influenza virus which also provides insights on transmission, evolution, and drug resistance and simultaneously detects other viruses. We therefore set out to apply the Oxford Nanopore Technologies sequencing method to metagenomic sequencing of respiratory samples. We generated influenza virus reads down to a limit of detection of $10^2$ to $10^3$ genome copies/ml in pooled samples, observing a strong relationship between the viral titer and the proportion of influenza virus reads ($P = 4.7 \times 10^{-5}$). Applying our methods to clinical throat swabs, we generated influenza virus reads for 27/279 samples with mid-to-high viral titers (cycle threshold [C$_t$] values, <30) and 6/13 samples with low viral titers (C$_t$ values, 30 to 40). No false-positive reads were generated from 10 influenza virus-negative samples. Thus, Nanopore sequencing operated with 83% sensitivity (95% confidence interval [CI], 67 to 93%) and 100% specificity (95% CI, 69 to 100%) compared to the current diagnostic standard. Coverage of full-length virus was dependent on sample composition, being negatively influenced by increased host and bacterial reads. However, at high influenza virus titers, we were able to reconstruct >99% complete sequences for all eight gene segments. We also detected a human coronavirus coinfection in one clinical sample. While further optimization is required to improve sensitivity, this approach shows promise for the Nanopore platform to be used in the diagnosis and genetic analysis of influenza virus and other respiratory viruses. KEYWORDS influenza, Nanopore, metagenomic, diagnosis, epidemiology, sequencing, DNA sequencing, diagnostics, metagenomics, molecular epidemiology Influenza A virus is an RNA orthomyxovirus of approximately 13 kb in length, with an eight-segment genome. It is typically classified on the basis of hemagglutinin (HA) and neuraminidase (NA), of which there are 16 and 9 main variants, respectively (1). Genetic reassortment underpins the potential for transmission between different host species (2) and for the evolution of highly pathogenic variants (3–6), recognized in the WHO list of “ten threats to global health” (7). Seasonal influenza causes an estimated 650,000 deaths globally each year, and the H3N2 variant alone kills 35,000 people each year in the United States (1, 8). Certain groups are particularly at risk, including older... adults, infants, young children, pregnant women, those with underlying lung disease, and the immunocompromised (9). The burden of disease disproportionately affects low-/middle-income settings (10). Influenza virus diagnostics and surveillance are fundamental to identify the emergence of novel strains, to improve the prediction of potential epidemics and pandemics (4, 8), and to inform vaccine strategy (11). Diagnostic data facilitate real-time surveillance, can underpin infection control interventions (12, 13), and can inform the prescription of neuraminidase inhibitors (NAI) (9). Currently, most clinical diagnostic tests for influenza virus depend on detecting viral antigen or on PCR amplification of viral nucleic acid derived from respiratory samples (14). These two approaches offer trade-offs in benefits, as follows: antigen tests (including point-of-care tests [POCT]) are typically rapid but have low sensitivity (15–17), while PCR is more time-consuming but more sensitive (9). Irrespective of the test used, most clinical diagnostic facilities report a nonquantitative (binary) diagnostic result, and the data routinely generated for influenza diagnosis have limited capacity to inform insights into epidemiological linkage, vaccine efficacy, or antiviral susceptibility. On these grounds, there is an aspiration to generate new diagnostic tests that combine speed (incorporating the potential for POCT [18, 19]), sensitivity, detection of coinfection (20, 21), and generation of quantitative or semiquantitative data that can be used to identify drug resistance and reconstruct phylogeny to inform surveillance, public health strategy, and vaccine design. The application of Oxford Nanopore Technologies (ONT) sequencing to generate full-length influenza virus sequences from clinical respiratory samples can address these challenges. ONT offers a “third-generation,” portable, real-time approach to generating long-read single-molecule sequence data, with demonstrated success across a range of viruses (20, 22–24). To date, Nanopore sequencing of influenza virus has been reported using high-titer virus from an in vitro culture system, producing full-length genome sequences through direct RNA sequencing (25), or using targeted enrichment by either hybridization of cDNA (26) or influenza virus-specific PCR amplification (27). We therefore aimed to optimize a metagenomic protocol for detecting influenza viruses directly from clinical samples using Nanopore sequencing. We determine its sensitivity compared to that of existing diagnostic methods and its accuracy compared to short-read (Illumina) sequencing, using clinical samples from hospital patients during an influenza season and samples from a controlled laboratory infection in ferrets. Further optimization is required before the Nanopore method can be rolled out as a diagnostic test, but we highlight the potential impact of this technology in advancing molecular diagnostics for respiratory pathogens. MATERIALS AND METHODS Study cohort and sample collection. We collected respiratory samples from the clinical microbiology laboratory at Oxford University Hospitals NHS Foundation Trust, a large tertiary referral teaching hospital in Southeast England. We worked with anonymized residual material from throat and nose swabs generated as a result of routine clinical investigations between January and May 2018. Samples were collected using a sterile polyester swab inoculated into 1 to 3 ml of sterile viral transport medium (VTM), using a standard approach described on the CDC website (28). During the study, respiratory samples submitted to the clinical diagnostic laboratory were routinely tested by a PCR-based test using the GeneXpert assay (Cepheid) to detect influenza A and B viruses and respiratory syncytial virus (RSV). The workflow is shown in Fig. 1. Samples from patients in designated high-risk locations (hematology, oncology, and critical care) were used using the BioFire FilmArray platform to detect an expanded panel of bacteria and viral pathogens. The viral load data (cycle threshold [Ct]) was generated by the GeneXpert assay, and we used the influenza virus C value to estimate the viral titers in clinical samples. Using the GeneXpert assay, up to 40 PCR cycles are performed before a sample is called negative (i.e., positives have a C\textsubscript{t} value of <40). Quantification was not available for the BioFire results. For methodological assessment, we focused on four categories of samples, as follows: positive pool, negative pools, individual positive samples, and individual negative samples. For the positive pool, we pooled 19 throat swab samples that had tested positive for influenza A virus in the clinical diagnostic laboratory to provide a large enough sample to assess reproducibility (Fig. 1B). For the negative pools, we pooled three pools of throat swabs and three pools of nasal swabs that tested negative for influenza virus (consisting of 24, 38, and 38 individual samples) (Fig. 1B). For the individual positive samples, we included 40 individual samples (35 throat swabs and 5 nasal swabs) that had tested positive for influenza A or B virus, selected to represent the widest range of GeneXpert assay $C_t$ values (13.5 to 39.3; valid test result range, 12 to 40). For the individual negative samples, we selected 10 individual throat swab samples that were influenza virus negative. Quantification of viral RNA in samples. We quantified viral titers in Hazara virus stocks and pooled influenza A virus-positive throat swabs by quantitative reverse transcription-PCR (qRT-PCR), using previously described assays and standards (29, 30). Optimization of methods. Prior to establishing the protocol detailed in full below, we assessed the impact of two possible optimization steps, centrifugation versus filtration and reduced time for cDNA synthesis. For centrifugation versus filtration, we investigated two approaches to deplete human/bacterial nucleic acids from the samples: filtration of the raw sample via 0.4-μm filters (Sartorius) before further processing versus using a hard spin (16,000 × g for 2 min). cDNA libraries for this comparison were produced as described previously (20). For the reduced time for cDNA synthesis, to assess the possibility of time saving in the cDNA synthesis steps, we compared performance of the previously described protocol (20) to that of a modified version with two alterations, first using SuperScript IV (Thermo Fisher) in place of SuperScript III (Thermo Fisher) for reverse transcription, with the incubation time reduced from 60 min to 10 min at 42°C, and second, reducing the cDNA amplification PCR extension cycling time from 7 min to 2 min. Positive controls. Prior to nucleic acid extraction, each sample was spiked with Hazara virus virions to a final concentration of 10^4 genome copies per cell as a positive internal control. This is an enveloped negative-stranded RNA virus (genus Orthomyxovirus, order Bunyavirales) with a trisegmented genome of 11,980, 4,575, and 1,677 nucleotides in length (GenBank accession numbers KP406723 to KP406725). It is nonpathogenic in humans and would therefore not be anticipated to arise in any of our clinical samples. Cultured virions from an SW13 cell line were provided by the National Collection of Pathogenic Viruses (NCPV, catalog no. 0408084v). Nucleic acid extraction. Swabs were centrifuged at 16,000 × g for 2 min. The supernatant was eluted from the centrifuge tube, pelleted material was used in nucleic acid extraction. Total nucleic acid was extracted from 100 μl of supernatant using the QIAamp viral RNA kit (Qiagen) eluting in 50 μl of H$_2$O, followed by a DNase treatment with Turbo DNase (Thermo Fisher Scientific) at 37°C for 30 min. RNA was purified and concentrated to 6 μl using the RNA Clean & Concentrator-5 kit (Zymo Research), following the manufacturer’s instructions. Randomly amplified cDNA was prepared for each sample using a sequence-independent single-primer amplification (SISPA) approach, adapted from our previously described workflow (20), based on the round A/B methodology (23). For reverse transcription, 4 μl of RNA and 1 μl of primer A (5'-GTITCCCLACTGGAGGATAA-N9-3', 40 pmol/μl) (23) were mixed and incubated for 5 min at 42°C and then cooled to room temperature. First-strand synthesis was performed by the addition of 2 μl SuperScript IV first-strand buffer, 1 μl of 12.5 mM dithiothreitol, diphosphate (DTp), 0.5 μl of 0.1 M dithiothreitol (DTT), 1 μl H$_2$O, and 0.5 μl SuperScript IV (Thermo Fisher) before incubation for 10 min at 42°C. Second-strand synthesis was performed by the addition of 1 μl Sequenase buffer, 3.85 μl H₂O, and 0.15 μl Sequenase (Affymetrix) prior to incubation for 8 min at 37°C, followed by the addition of 0.45 μl Sequenase dilution buffer and 0.15 μl Sequenase and a further incubation at 37°C for 8 min. Amplification of cDNA was performed in triplicate using 5 μl of the reaction mixture as input to a 50-μl AccuTaq LA (Sigma) reaction mixture, according to the manufacturer’s instructions, using 1 μl primer B (5'-GTTCCTCCACTGGAGGATA-3') (23), with PCR cycling conditions of 98°C for 30 s, 30 cycles of 94°C for 15 s, 50°C for 20 s, and 68°C for 2 min, followed by 68°C for 10 min. Amplified cDNA was pooled from the three reaction mixtures and purified using a 1:1 ratio of AMPure XP beads (Beckman Coulter, Brea, CA), and quantified using a Qubit high-sensitivity double-stranded DNA (dsDNA) kit (Thermo Fisher), both according to the manufacturers’ instructions. Nanopore library preparation and sequencing. Multiplex sequencing libraries were prepared using 250 ng of cDNA from up to 12 samples as input to the SQK-LSK108 or SQK-LSK109 kit and barcoded individually using the EXP-NBD103 Native barcodes (Oxford Nanopore Technologies) and a modified One-pot protocol ([https://www.protocolso.io/view/one-pot-ligation-protocol-for-oxford-nanopore-libr-k9qazc2e](https://www.protocolso.io/view/one-pot-ligation-protocol-for-oxford-nanopore-libr-k9qazc2e)). Libraries were sequenced on FLX-MINI106 flow cells on the MinION Mk1b or GridION device (Oxford Nanopore Technologies) using the ligation procedure for 48 h. Samples were batched according to the Sensitivity value (see File S1 in the supplemental material). Illumina methods. Nextera XT V2 kit (Illumina) sequencing libraries were prepared using 1.5 ng of amplified cDNA, as per the manufacturer’s instructions, and sequenced on a 2 × 150-bp paired-end Illumina MiSeq run by the Genomics Services Development Unit of Public Health England. Bioinformatic analysis. Nanopore reads were base called using Guppy (Oxford Nanopore Technologies, Oxford, UK). Output base called fastq files were demultiplexed using Porechop v0.2.3 ([https://github.com/rwick/Porechop](https://github.com/rwick/Porechop)). The reads were first taxonomically classified against the RefSeq database using Centrifuge v1.0.3 (31). The reads were then mapped against the influenza sequences selected from the influenza reference set Minimap2 v2.9 (32). A draft consensus sequence was determined using a majority voting approach to determine the nucleotide at each position. The resulting draft consensus sequences were subjected to a BLAST search against an influenza virus sequence database that included >2,000 H1N1 and H3N2 seasonal influenza virus sequences between 2018 and 2019 and were downloaded from the Influenza Research Database (33). The reads were again mapped against the reference sequence using Minimap2 v2.9, and the number of mapped reads was calculated using SAMtools v1.5 (34) and PySam ([https://github.com/pyam-devs/pysam](https://github.com/pyam-devs/pysam)). The subtype of the influenza A virus derived from each clinical sample was determined by the subtype of the HA and NA reference sequences. A consensus sequence was built using NanoCovar v1.0 (35, 36) and the NanoPhylo script (37) ([https://github.com/zibaproject/zika-pipeline](https://github.com/zibaproject/zika-pipeline)). For the Illumina data, reads were quality trimmed to a minimum score of Q30 across the read with Trimmomatic (38); BWA-MEM v0.7.15 (39) was used to align the reads to reference genomes using MEM defaults; SAMtools v1.4 was used to compute the percent reads mapped and coverage depth (34). Mapping consensuses for Illumina sequencing were generated using QuasiSam (40). Maximum likelihood phylogeny was generated for the HA gene segment using RAxML v8.2.10 (41), in which a general time-reversible model of nucleotide substitution and a gamma distribution of rate variation among sites were applied. Sequence alignments were performed by using MUSCLE v3.8 (42). Ferret study. We applied our sequencing approach to residual samples collected in a previous time course experiment undertaken in a controlled laboratory environment (43). We tested ferret nasal saline wash samples from three independent animals over an 8-day time course, from 3 days prior to first exposure with influenza H1N1 pdm09 virus and at days 1, 2, 3, and 5 postinfection. Sampling and plaque assays of the viral titer were described previously (43). Ethics approval. The study of anonymous anonymized clinical samples was approved by the London-Queen Square Research Ethics Committee (17/LQI/1420). Ferret samples were residual samples from an existing study (43) for which the project license was reviewed by the local Animal Welfare and Ethics Review Board of Public Health England (Porton) and subsequently granted by the Home Office. Data availability. Following the removal of human reads, our sequence data have been uploaded to the European Bioinformatics Institute ([https://www.ebi.ac.uk/](https://www.ebi.ac.uk/)) under BioProject number PRJEB32861. RESULTS Method optimization to increase the proportion of viral reads derived from throat swabs. Our method protocol is shown in Fig. 1A. We first sequenced five influenza A virus-positive and five influenza virus-negative throat swabs, each spiked with Hazara virus control at 10⁴ genome copies/ml. Using a sequence-independent single-primer amplification (SISPA) approach (20), followed by Nanopore sequencing, we produced metagenomic data dominated by reads that were bacterial in origin, with extremely few viral reads detected. Passing the sample through a 0.4-μm filter prior to nucleic acid extraction increased the detection of viral reads by several orders of magnitude (Fig. S1). Filtration is relatively expensive, so we also assessed the alternative approach of adding a rapid-centrifugation step to pellet bacterial and human cells, followed by nucleic acid extraction from the supernatant. We used a pooled set of influenza A virus-positive samples (concentration, 10⁶ genome copies/ml) to provide a large enough sample to assess reproducibility, with the Hazara virus control spiked in at 10⁴ genome copies/ml. Enrichment for influenza virus and Hazara virus was similar FIG 2 Characteristics of three pools of influenza virus-negative throat swabs and Nanopore sequence results following coiling with influenza A virus. (A) Total concentration of cDNA produced per pooled sample following amplification by the SISPA method, grouped by dilution series. The $10^6$ genome copies/ml sample in each pool is the original, undiluted material, represented by the black bars. Samples diluted to influenza virus titers of $10^4$, $10^3$, and $10^2$ contain more cDNA due to higher background material (bacterial/human) present in the diluent. Dilution series 1 and 2 contain comparable amounts of background material; dilution series 3 contains substantially more background. (B) Viral reads generated by Nanopore sequencing of samples with different titers of influenza A virus and a consistent titer of Hazara virus ($10^5$ genome copies/ml). Graphs show reads per million of total reads mapping to influenza A or Hazara virus genomes, across the three individual dilution series. Note the logarithmic scale on the y axis. for filtration versus centrifugation, based on read mapping to the viral genome (Fig. S2). As centrifugation is simpler and less expensive, we selected this approach for all further testing. Method optimization to reduce time for cDNA synthesis. Synthesis of tagged randomly primed cDNA and its subsequent amplification via SISPA (20) required lengthy reverse transcription and PCR steps (1 h and 3 h 45 min), respectively. Optimizing these stages upgraded the reverse transcriptase from SuperScript III to SuperScript IV (Thermo Fisher), reduced the incubation time to 10 min (processing time reduction, 50 min), and reduced the PCR extension time within each cycle from 5 min to 2 min (1 h 30 min processing time reduction). Comparing this final method with our original protocol, using triplicate extractions from the pooled set of influenza A virus-positive samples demonstrated no significant loss in performance in the more rapid protocol (Fig. S3), and we adopted this approach as our routine protocol, giving a wet-lab processing time of ~8 h. Consistent retrieval of Hazara virus by Nanopore sequencing. Starting with an influenza A virus-positive sample pool ($10^6$ genome copies/ml), we made three volumetric dilution series using three independent influenza virus-negative pools (Fig. 1B). The total quantity of cDNA after preparation for sequencing was consistently higher in all samples using negative pool 3 as the diluent (Fig. 2A), indicating the presence of a higher concentration of nonviral RNA within pool 3. This is likely due to host cell lysis or higher bacterial presence and demonstrates the variable nature of throat swab samples. We consistently retrieved Hazara virus reads from all three dilution series by Nanopore sequencing, independently of influenza virus titer in the sample (Fig. 2B). Sequencing from dilution series 1 and 2 gave a consistent proportion of total reads mapping to the Hazara virus genome, across dilutions and between the first two pools, with mean ± standard deviation values per pool of $1.4 \times 10^3 \pm 660$ reads per million (RPM) of total reads and $1.2 \times 10^3 \pm 350$ RPM, respectively. The pool 3 dilution series generated $260 \pm 340$ RPM Hazara virus reads across samples and showed a decreasing trend associated with increased dilution factor as increasingly more nonviral RNA was introduced from this high-background pool. Limit of influenza virus detection by Nanopore sequencing from pooled samples. Nanopore sequencing of the triplicate SISPA preparations of the influenza A virus-positive pool produced mean ± standard deviation of $5.3 \times 10^4 \pm 3.6 \times 10^4$ RPM mapping to the influenza A virus genome (Fig. 2B). Across the dilution series, the proportion of influenza virus reads was strongly associated with influenza virus titer ($P$ value = $4.7 \times 10^{-5}$) but was also influenced by which negative pool was used for dilution, consistent with the pattern observed for the Hazara virus control. Sequencing the negative controls (pools with no influenza virus spike) generated no reads mapping to influenza virus. At influenza virus titers of $<10^3$ copies/ml, influenza virus reads were inconsistently detected across the samples (Fig. 2B), suggesting that the limit of detection is between $10^2$ and $10^3$ influenza virus copies/ml. Retrieval and reconstruction of complete influenza virus genomes from pooled/spiked samples. For the Hazara virus control ($10^4$ genome copies/ml spike), genome coverage was 81.4 to 99.4% (at 1× depth) for pools 1 and 2. Coverage in the high-background pool 3 was more varied (21.5 to 96.5%; Fig. 3A). Influenza A virus genome coverage at $10^6$ copies/ml was ≥99.3% for each segment in all samples (Fig. 3A). At $10^4$ genome copies/ml of influenza virus, a mean 1× coverage per segment was 90.3% for pools 1 and 2 but was substantially reduced in the high-background pool 3 to 5.7% (Fig. 3A). At influenza virus titers of $<10^4$ copies/ml, coverage was highly varied across genome segments. However, when present at $10^3$ copies/ml, 2/3 pools had sufficient data for correct subtyping as H3N2 (Table 1). Influenza virus detection from individual clinical samples. Having demonstrated our ability to retrieve influenza virus sequences from pooled influenza virus-positive material diluted with negative samples, we next applied our methods to individual anonymized clinical samples, with 40 samples testing influenza virus positive and 10 samples testing influenza virus negative in the clinical diagnostic laboratory. Data yield varied between flow cells (range, $2.5 \times 10^6$ to $13.2 \times 10^6$ reads from up to 12 multiplexed samples). Within flow cells, barcode performance was inconsistent when using a stringent, dual-barcode, demultiplexing method (21). From each clinical sample, the range of total reads generated was $1.0 \times 10^4$ to $2.4 \times 10^6$ (median, $3.8 \times 10^5$ reads) (Table S1). Reads mapping to either the influenza A or B virus genome were present in all 27 samples with a $C_T$ of $<30$ (range, 6 to 274,955 reads). At a $C_T$ of $>30$, 6/13 samples generated influenza virus reads (range, 6 to 92,057 reads) (difference between sensitivity at a $C_T$ threshold of 30, $P < 0.0001$; Fig. 4). The highest $C_T$ value at which any influenza virus reads were detected was 36.8 (sample 37; 17 reads of influenza A virus). No reads classified as influenza virus were obtained from sequencing the 10 GeneXpert assay-negative samples (Table S1). Based on this small data set, sensitivity is 83% and specificity is 100% (95% CI, 67 to 93% and 69 to 100%, respectively). There was a strong correlation between $C_T$ value and both the reads per sample classified as influenza virus ($R^2 = 0.60$) and the number of influenza virus reads per million reads ($R^2 = 0.62$) (Fig. 4). The consensus genome sequences generated (at 10× minimum depth) covered over 90% of the influenza virus genome for 17 samples, with another two generating over 80% coverage. The highest $C_T$ value of a sample from which $>90\%$ of an influenza virus genome sequence was generated was 27.5 (Fig. S4). FIG 3 Coverage of influenza virus and Hazara virus genome segments achieved by Nanopore sequencing from pooled samples (A) Data from three dilution series of pooled influenza virus-positive samples, diluted with three separate negative-sample pools to generate different titers of influenza virus. Each individual dilution was spiked with Hazara virus at $10^4$ genome copies/ml. The proportion of genome covered at 1× depth is shown for each of the eight influenza virus genome segments (encoding PB2 [polymerase subunit 2], PB1 [polymerase subunit 1], PA [polymerase acidic protein], HA [hemagglutinin], NP [nucleocapsid protein], NA [neuraminidase], M [matrix protein], and NS [nonstructural protein]) across the three dilution series. For simplicity, the coverage of the Hazara virus genome is presented as the total of all three genome segments. (B) Representative coverage plots of influenza A virus genome segments from the dilution series 1 sample at $10^4$ influenza virus copies per ml. Detection of Hazara virus internal control. Detection of the control virus (Hazara virus at $10^4$ genome copies/ml) was highly varied, demonstrating that levels of background non-target RNA are a major source of intersample variation. The number of Hazara virus reads per sample ranged from 0 to $13.5 \times 10^3$ (0 to $3.5 \times 10^4$ RPM), with a median of 70 reads (160 RPM) and mean of 706 reads ($1.7 \times 10^3$ RPM) (Table S1). Four (8%) of 50 samples generated no detectable Hazara virus reads, two with high numbers of influenza virus reads (for sample 1, $C_p$ of 13.5 and $1.5 \times 10^4$ influenza B virus reads, and for sample 6, $C_p$ of 18.4 and $1.5 \times 10^4$ influenza A virus reads) acting to dilute the control signal. The other two samples contained no detectable influenza virus reads (for sample 34, $C_p$ of 35.9, and for sample 46, influenza virus negative). The lack of control detection therefore indicates a loss of assay sensitivity due to high levels of background nucleic acid present in some samples. Comparison of Nanopore and Illumina sequencing. We selected a subset of 15 samples from across the viral titer range and resequenced on an Illumina MiSeq platform. The proportions of reads generated that mapped to the influenza virus genome were similar between the two sequencing technologies (Fig. S5). From 4 of the samples, nearly complete genomes were obtained. A comparison of consensus sequences derived from Nanopore and Illumina sequencing showed 100% concordance, except one sample that showed 7 nucleotide differences (identity, 99.94%) (Table S2). Influenza virus phylogeny. We reconstructed the phylogeny using consensus sequences for the HA gene (Fig. 5). This demonstrates closely related sequences, as expected within one geographic setting in a single influenza season. Detection of other RNA viruses in clinical samples. Within the 50 clinical samples sequenced, we found limited evidence for the presence of other RNA viruses. Sample 6 produced 109 reads mapping to human coronavirus in addition to $>1.5 \times 10^4$ influenza A virus reads, suggesting coinfection. We also derived $>4.0 \times 10^4$ reads from human metapneumovirus from an influenza virus-negative sample, providing a nearly complete genome (99.8% coverage) from one sample (Fig. S1, sample 1), further detailed previously (44). Animal time course study. Finally, we used samples collected from a previous animal experiment (43) to test the reproducibility of our methods across a time course model of influenza A virus infection (three ferrets swabbed preinfection [day −3] and \| Influenza A virus titer (genome copies/ml) \| Dilution pool no. \| Total no. of reads \| No. of influenza A virus reads (reads per million) \| Influenza A virus subtypinga \| No. of Hazara virus reads (reads per million) \| \|-------------------------------------------\|-------------------\|--------------------\|--------------------------------------------------\|----------------------------\|---------------------------------------------\| \| $10^5$ \| 1 \| 473,718 \| 33,103 (6.9 × 10^3) \| H3N2 \| 527 (1.1 × 10^3) \| \| \| 2 \| 572,106 \| 6,997 (1.2 × 10^3) \| H3N2 \| 102 (1.78) \| \| \| 3 \| 526,852 \| 41,196 (7.8 × 10^3) \| H3N2 \| 534 (1.0 × 10^3) \| \| $10^4$ \| 1 \| 354,163 \| 280 (791) \| H3N2 \| 738 (2.1 × 10^3) \| \| \| 2 \| 433,033 \| 299 (690) \| H3N2 \| 691 (1.6 × 10^3) \| \| \| 3 \| 43,512 \| 2 (46) \| Not possible \| 9 (207) \| \| $10^3$ \| 1 \| 231,929 \| 7 (30) \| H3N2 \| 298 (1.3 × 10^3) \| \| \| 2 \| 461,281 \| 24 (52) \| H3N2 \| 638 (1.4 × 10^3) \| \| \| 3 \| 397,672 \| 2 (5) \| Not possible \| 38 (96) \| \| $10^2$ \| 1 \| 375,183 \| 1 (3) \| Not possible \| 453 (1.2 × 10^3) \| \| \| 2 \| 671,133 \| 0 (0) \| Not possible \| 598 (891) \| \| \| 3 \| 37,897 \| 0 (0) \| Not possible \| 2 (53) \| \| Negative \| 1 \| 903,430 \| 0 (0) \| NA \| 1,731 (1.9 × 10^3) \| \| \| 2 \| 900,471 \| 0 (0) \| NA \| 692 (768) \| \| \| 3 \| 818,549 \| 0 (0) \| NA \| 54 (66) \| aEach dilution is undertaken in triplicate (shown as 3 dilution pools). bNA, not applicable. then sampled at days 1, 2, 3, and 5 following laboratory infection with influenza A virus). The proportion of viral reads present at each time point was highly congruent with viral titer (titer is shown in Fig. 6A and sequencing reads in Fig. 6B). We generated consensus genome sequences from Nanopore data at days 2, 3, and 5 postinfection; these were 100% concordant with Illumina-derived consensus sequences from the same cDNA (Table S2). DISCUSSION To our knowledge, this is the first report of successfully applying metagenomic Nanopore sequencing directly to respiratory samples to detect influenza virus and generate influenza virus sequences. The approach demonstrates excellent specificity. Sensitivity varies by viral titer but is comparable to that of existing laboratory diagnostic tests for $C_T$ values of <30. Our optimized protocol depletes human and bacterial nucleic acids and reduces the time from sample to sequence. This method has the potential to be further optimized and validated to improve sensitivity for influenza virus, identify other RNA viruses, detect drug resistance mutations, and provide insights into quasispecies diversity (45, 46). At a population level, these sequence-based diagnostic data can, in addition, provide phyloepidemiological reconstruction, insights into transmission events, the potential to estimate vaccine efficacy (47), and approaches for public health intervention (48). Whole-genome viral sequencing, coupled with phylogenetic analysis and appropriate clinical metadata, can contribute to the accurate tracking of outbreaks across time and space (49). The metagenomic method employed here produced >90% complete genomes for 17/27 samples with a $C_T$ value of $\leq 30$ (Fig. S4), demonstrating the ability of metagenomics to produce sufficient data for influenza virus diagnostics and genome characterization, while also detecting and sequencing other common RNA viruses. Despite time reductions in wet-laboratory processing, this method requires further modification to simplify and accelerate the protocol if it is to become viable as a near-to-patient test. High error rates are a recognized concern in Nanopore sequence data, and cross-barcode contamination can create challenges when low- and high-titer samples are batched (21). To avoid these problems, we batched samples according to $C_T$ value and applied stringent barcode demultiplexing criteria; however, this reduces the total data available for analysis, typically by ~50% but with variation between sequencing runs (21). For future primary diagnostic use, it would be preferable to sequence samples individually using a lower-throughput flow cell, e.g., ONT Flongle. (each paired with a negative-extraction-control sample, for which a prior spike with Hazara virus, using the same methods described here, would remain appropriate). Careful optimization of laboratory and bioinformatic methods is required to resolve individual sequence polymorphisms, particularly for drug resistance alleles. Infectious Diseases Society of America (IDSA) guidelines (9) recommend nasal/nasopharyngeal specimens for influenza diagnosis, but throat swabs are easier to collect in clinical practice and therefore account for the majority of diagnostic samples processed by our clinical microbiology laboratory. Further work is needed to investigate the sensitivity and specificity of our protocol for a wider array of respiratory sample types (also including bronchoalveolar lavage fluid, sputum, and saliva), which may contain different degrees of contaminating bacterial and/or human reads. Loss of assay sensitivity due to the presence of high-level background DNA from either the host or bacterial origin is a fundamental issue for metagenomic approaches, even in cell-free sample types such as cerebrospinal fluid (50). This challenge is exacerbated in throat swabs, as seen in our data. Our use of Hazara virus as an internal positive control allows us to identify those samples in which sensitivity has dropped to $<10^4$ viral genome copies per ml. In our test set, 8% of samples showed insufficient sensitivity for Hazara virus; however, half of these contained a high titer of influenza virus, so only 4% were true sensitivity failures. This figure is in line with the reported 6% failure rate due to high background for RNA virus detection from a clinically validated metagenomic sequencing assay for pathogen detection in cerebrospinal fluid (50). At the higher $C_T$ values in our clinical samples ($C_T$ 30 to 40), the sensitivity of Nanopore sequencing was reduced compared to that of the current PCR-based test (GeneXpert assay; Cepheid). Further optimization will be required to maximize the diagnostic yield from this group of samples without sacrificing specificity. The correlation between $C_T$ value and Nanopore reads confirms semiquantitative FIG. 6 Time course experiment showing influenza A virus infection in three laboratory ferrets. Infection was introduced at day 0. Samples were collected 3 days prior to infection and at days 1, 3, and 5 postinfection. (A and B) Influenza virus titer (log scale) (A) and proportion of total Nanopore reads (linear scale) (B) mapping to influenza A virus from metagenomic sequencing of ferret nasal washes taken before and after influenza virus challenge. output. Using samples from the ferret influenza virus model, collected under standardized laboratory conditions, we demonstrated excellent reproducibility of viral read proportions at a given viral titer across biological replicates. However, we observed heterogeneity in output between clinical samples as well as between Nanopore flow cells, suggesting that the current platform is not yet sufficiently reliable for reproducibly generating quantitative data. In addition, the detection of positive controls can be impaired in high-background samples. Future application of this method will involve real-time laboratory testing of respiratory samples, running the platform head to head with existing clinical diagnostics to further assess sensitivity and specificity, and using influenza virus sequence data to investigate transmission events. Identifying instances of nosocomial transmission may shed light on health care-acquired infection, thus helping to improve infection control practice. Assessment of diversity within deep-sequence data sets provides an opportunity to investigate the relationship between within-host polymorphisms and clinical outcomes. Long-read sequences confer the potential advantage of identifying viral haplotypes and ascertaining the extent to which significant polymorphisms are transmitted together or independently (24). We have shown that the method is robust for the identification of commonly circulating influenza virus strains in human populations, but further investigation is required to ascertain the extent to which it performs reliably in other (avian and animal) strains. Comparison with existing/alternative approaches. The current standard assay for influenza diagnosis employed within the large tertiary referral teaching hospital in which this study was performed is the GeneXpert assay (Cepheid), which detects influenza A and B viruses and respiratory syncytial virus (RSV). Wider testing is performed on a subset of samples using the BioFire FilmArray respiratory panel (bioMérieux), targeted at 20 common respiratory pathogens (17 viruses and 3 bacteria). These assays have the advantages over a metagenomic approach of higher sensitivity, shorter handling times, simpler laboratory workflow, and very rapid time to result (30 and 65 min, respectively). Compared to a metagenomic approach, their limitations are that no sequence data informative for molecular epidemiology and drug resistance typing are generated for the target pathogens, and that the assay will only detect the small number of pathogens targeted. Periodic refinement of such assays is required in the event of newly emergent pathogens or diverse strains of established pathogens leading to assay escape. This is not an issue affecting metagenomic sequencing, which has the ability to detect all RNA viruses in a sequence-independent manner. At the time of undertaking this laboratory work, the materials costs of the metagenomic sequencing were ~£140 per sample when multiplexing six samples per flow cell and purchasing 48 flow cells together. The cost of the current influenza A/B and RSV GeneXpert test is ~£56, and the BioFire RP panel costs ~£139 per sample. The existing tests have the significant advantage of short handling times and simple processing, whereas the metagenomic sequencing requires ~8 h and skilled laboratory staff. Alternative approaches to generate sequence data include amplicon-based sequencing of the influenza virus genome (51, 52). However, this approach detects only the target pathogen, requiring multiple assays or more complex multiplex primer schemes to add targets and capture diverse strains of the original target. The use of short-read Illumina sequencing instead of Nanopore sequencing for metagenomic sequencing of influenza virus (53) provides the current gold standard of sequence quality and some potential cost savings per base of sequence generated. However, our data show that at a relatively modest minimum coverage depth of 10×, Nanopore-generated consensus viral genome sequences are 99.95 to 100% identical to Illumina sequences. Of the 13 samples compared, 12 samples were 100% concordant. The few bases that differed between the technologies in a single sample appear to be clear in each case and a genuine disagreement between the long- and short-read approaches, rather than simply being due to the higher per-base error rate of Nanopore per se. Larger and more diverse data sets will be required to set more rigorous thresholds for base calling. Currently, it is wise to bear such potential issues in mind when comparing genome sequences generated by different technological platforms. The per-read differences in base accuracy are also compensated for by the increased read length, providing further confidence in the case of individual read taxonomic assignment. Consideration of relative costs must also take into account other cost-saving attributes. These include the substantially lower infrastructure and startup costs of Nanopore sequencing, the unique ability to interrogate sequence data as they are generated in real time, and the potential for the portable MinION device to be utilized near to patient, potentially decreasing turnaround time, particularly for high-virus-load samples which may be identified within minutes. The throughput of the Nanopore flow cells allows for a small number of samples to be run immediately rather than requiring samples to be batched to reach a number sufficient to cost efficiently run a greater-throughput short-read sequencing device. In the future, the use of an even lower-throughput flow cell with the ONT Flongle adaptor may allow individual samples to be run per cell, offering quicker turnaround per sample and minimizing cross-sample contamination. A summary table comparing the different approaches is included in supplemental material (Table S3). Limitations of the method. The current limitations of metagenomic methods are their sensitivity in the context of low-pathogen-titer samples. PCR-based methods measure the absolute count of viral genome copies present within a sample. Metagenomic sequencing measures the proportion of total RNA that is viral. Metagenomic sequencing is therefore affected by the level of nontarget RNA within a given sample, whereas PCR is not. As demonstrated here (Fig. 2b and Table 1), detection of as little as $10^2$ genome copies per ml is possible from throat swab samples (a level comparable with PCR-based methods), but variation in the level of background nucleic acids between individual samples makes detection at this level inconsistent. Further development of methods to deplete host and bacterial RNA within the samples is required to improve the performance of the assay at $C_v$ values of >30. Enrichment of pathogen sequences within libraries through either target capture or amplification is also an effective method to reduce the limit of target detection (54, 55) but requires the same a priori knowledge of both which pathogens are to be targeted and the full range of circulating viral diversity as other targeted methods discussed above, albeit with increased tolerance for diversity over PCR-based methods. A further limitation compared to alternative sequencing technologies is the lack of confidence in determining the presence of minority variants due to the limited per-read accuracy, although we expect this to be addressed in future iterations of the ONT sequencing. In summary, while substantial further work is needed, our methods show promise for generating influenza virus sequences directly from respiratory samples. The “pathogen-agnostic” metagenomic sequencing approach offers an opportunity for simultaneous testing for a wide range of potential pathogens, providing a faster route to optimum treatment and contributing to antimicrobial stewardship. Longer term, this approach has promise as a routine laboratory test, providing data to inform treatment, vaccine design and deployment, infection control policies, and surveillance. SUPPLEMENTAL MATERIAL Supplemental material is available online only. SUPPLEMENTAL FILE 1, PDF file, 0.3 MB. ACKNOWLEDGMENTS The study was funded by the NIHR Oxford Biomedical Research Centre. Computation used the Oxford Biomedical Research Computing (BMRIC) facility, a joint development between the Wellcome Centre for Human Genetics and the Big Data Institute supported by Health Data Research UK and the NIHR Oxford Biomedical Research Centre. 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Electrical detection of dengue virus (DENV) DNA oligomer using silicon nanowire biosensor with novel molecular gate control M. Nuzaihan M.N.\textsuperscript{a,}\textsuperscript{}, U. Hashim\textsuperscript{a,b}, M.K. Md Arshad\textsuperscript{a,b}, S.R. Kasjoo\textsuperscript{b}, S.F.A. Rahman\textsuperscript{c}, A.R Ruslinda\textsuperscript{a}, M.F.M. Fathil\textsuperscript{a}, R. Adzhri\textsuperscript{a}, M.M. Shahimin\textsuperscript{b} \textsuperscript{a} Institute of Nano Electronic Engineering, Universiti Malaysia Perlis (UniMAP), 01000 Kangar, Perlis, Malaysia \textsuperscript{b} School of Microelectronic Engineering, Universiti Malaysia Perlis (UniMAP), 02600 Pauh, Perlis, Malaysia \textsuperscript{c} Chemistry Department, Faculty of Science, Universiti Putra Malaysia, 43400 UPM Serdang, Selangor, Malaysia \textbf{Article history:} Received 26 February 2016 Received in revised form 11 April 2016 Accepted 12 April 2016 Available online 14 April 2016 \textbf{Keywords:} Dengue fever (DF) Deoxyribonucleic acid (DNA) Silicon nanowire biosensor Electrical detection Molecular gate control Nanolithography \textbf{Abstract} In this paper, a silicon nanowire biosensor with novel molecular gate control has been demonstrated for Deoxyribonucleic acid (DNA) detection related to dengue virus (DENV). The silicon nanowire was fabricated using the top-down nanolithography approach, through nanostructuring of silicon-on-insulator (SOI) layers achieved by combination of the electron-beam lithography (EBL), plasma dry etching and size reduction processes. The surface of the fabricated silicon nanowire was functionalized by means of a three-step procedure involving surface modification, DNA immobilization and hybridization. This procedure acts as a molecular gate control to establish the electrical detection for 27-mers base targets DENV DNA oligomer. The electrical detection is based on the changes in current, resistance and conductance of the sensor due to accumulation of negative charges added by the immobilized target DNA and hybridization. The sensitivity of the silicon nanowire biosensor was attained at $45 \mu$A m\textsuperscript{-1}, which shows a wide-range detection capability of the sensor with respect to DNA. The limit of detection (LOD) achieved was approximately 2.0 fM. The demonstrated results show that the silicon nanowire has excellent properties for detection of DENV with outstanding repeatability and reproducibility performances. © 2016 Elsevier B.V. All rights reserved. \section{1. Introduction} Today, the increasing outbreaks of dengue fever (DF) have become a major global problem. Approximately 3.6 billion people in 124 countries (55% of the world's population) are at risk for DF, with the expectation of more than 100 million cases yearly [Lee et al., 2015; Rathakrishnan and Sekaran, 2013; Teoh et al., 2015]. This outbreak is seriously affected in the South East Asia and the Western Pacific (in the tropical and subtropical regions) [Darwish et al., 2015; De Paula and Fonseca, 2004; Gubler, 1998; Lee et al., 2015], which is a leading cause of hospitalization and death when compared with other diagnoses or diseases of humans [Cheah et al., 2014]. According to the data from Malaysia Ministry of Health (MOH), Malaysia is one of the worst affected countries, in which 59,365 cases of DF with 165 deaths have been reported from January to July 2015 in all states across the country. This is 33.4% higher compared with the same reporting period of 2014. Therefore, Malaysia MOH has implemented various measures (e.g., dengue vector control, awareness campaign and early treatment) to reduce the incidence of dengue cases and save human lives [Cheah et al., 2014; Lee et al., 2015]. In addition, the methods for diagnosing DF or detecting the dengue virus (DENV) at a very early stage are urgently needed to prevent the spreading of the outbreaks. In recent years, biosensor technologies play an important role in the detection of the DENV not only because of their excellent potential to satisfy the high detection specificity and sensitivity (Abdul Rashid et al., 2016; Izuau et al., 2014; Oliveira et al., 2011; Silva et al., 2015; Wu et al., 2005), but also because they are rapid (Dias et al., 2013; Huang et al., 2013; Rai et al., 2012; Chen et al., 2009a, 2009b), portable and cost-effective method (Baumermer et al., 2002; Figueiredo et al., 2015; Oliveira et al., 2015; Rashid et al., 2015; Zhang et al., 2010). Biosensor is an analytical device that transfers a biological (molecular) reaction into an electrical signal via two main components, which are the sensing device (transducer or detector elements) and the sensing molecule (biological or biochemical components) [Li et al., 2014; Shalev et al., 2013]. According to literature review, biosensors can be classified by types of transduction. The most common types of transduction... used in biosensors are electrical, electrochemical, piezoelectric, optical etc. (Monošik et al., 2012; Rashid et al., 2015; Teles et al., 2005). Presently, with the advancement in the transduction of analytical signals in molecular into electrical signals, many efforts in the electrical biosensor have been made to develop and improve the sensitivity in the detection of the DENV DNA (Huang et al., 2013; Zhang et al., 2010). These electrical biosensors have been designed by using transducers with nanoscale structures, such as nanowires, nanotubes and nanoparticles, since the dimension is comparable to the feature sizes of chemical and biological species to be sensed (Patolsky et al., 2015; Zhang and Nuzzo, 2014). Among these transducers, the nanowires have demonstrated great sensitivity to the detection of biomolecular species with limits of detection (LOD) can achieve down to femtomolar concentrations (Adhikari et al., 2016; Shalev et al., 2013). Silicon nanowires are fabricated either via bottom-up (Hahn and Lieber, 2004; Patolsky et al., 2006; Schmidt et al., 2010) or top-down approach (Agarwal et al., 2008; Chen et al., 2009a, 2009b; Kong et al., 2012; Md Nor et al., 2013; Noor and Krull, 2014; Ryu et al., 2010; Tian et al., 2011; Za’bah et al., 2012). Both approaches are able to produce silicon nanowires in the range of ~1–100 nm with their own unique properties (electronic, mechanical and optical), a good biocompatibility, and a large surface to volume ratio. In addition, silicon nanowires have demonstrated an excellent electrical detection with good holes or electrons transfer in the detection due to the accumulation or depletion of charge inside nanowire, resulting in a greater effect of the conductance, resistance and faster response of detection when compared with other devices (Abdul Rashid et al., 2013; Gao et al., 2007; Kong et al., 2012; Patolsky et al., 2004; Yang and Zhang, 2014). Furthermore, our preliminary studies showed that the electrical detection based on silicon nanowires has a good potential not only as a pH sensor (Nuzailah et al., 2015) but also in detecting Deoxyribonucleic acid (DNA) (Adam and Hashim, 2015, 2016). To the best of our knowledge, the development of p-type silicon nanowire biosensor for the detection of DENV has been so far largely unexplored. Because of the potentials and important applications of the electrical biosensor to reduce and diagnose large populations suffering from the outbreaks of DF, for the first time, we report herein an electrical detection of DENV DNA oligomer using p-type silicon nanowire biosensor (device) with novel molecular gate control. Our p-type silicon nanowire worked, as a sensing element of the device is sandwiched between the source (S) and the drain (D) electrodes. The device is then functionalized with a bio-receptor, which is served as a ‘molecular gate’ by the binding of a target DNA. The interaction of the target molecules with the bio-receptor has effectively been detected by monitoring electrical detection in response to the concentrations of DENV DNA with greatly enhanced of sensitivity and the detection limit as low as femtomolar concentrations. In addition, several gate concepts (i.e., gate-controlled, extended gate, stack-gate) are also reported for different applications (Adhikari et al., 2016; Chen et al., 2011a, 2011b; Dattoli et al., 2012; Li et al., 2015). 2. Material and methods 2.1. Materials and reagents Silicon-on-insulator (SOI) wafer was used as a substrate for the fabrication of silicon nanowires throughout this research. It was purchased from Soitec with 200 nm of buried oxide (BOX) and 50 nm of p-type Boron-doped silicon top layer (resistivity: 8.5–11.5 Ω cm). This fabrication process requires cleaning of the wafer using standard RCA 1 (mixing deionized (DI) water: 5, ammonium hydroxide (27%): 1 and hydrogen peroxide (30%): 1, RCA 2 (mixing DI water: 6, hydrochloric acid (30%): 1 and hydrogen peroxide (30%): 1), hydrogen fluoride (HF) and buffered oxide etch (BOE) from Mallinckrodt Baker. A positive resist (PR1-2000A), a negative resist (NR7-6000PY) and a resist developer (RD6), used for conventional lithography (pattern transfer) process, were purchased from Futurrex, Inc. Other required solutions including acetone, aluminum (Al) etch solution, ethanol and isopropyl alcohol (IPA) were purchased from Mallinckrodt Baker. An SU-8 negative resist and an SU-8 developer solution used for microfluidic channel were purchased from MicroChem. To achieve nano-scale dimensions, ma-N2400 series negative resist and ma-D352 developer from Microresist Technology GmbH were used for the pattern transfer in direct write electron beam lithography (EBL) process. The chemicals used for surface modification: 3-Aminopropyl triethoxysilane (APTES, 99%), glutaraldehyde and phosphate buffered saline (PBS; pH 7.4) were obtained from Sigma–Aldrich (M) Sdn Bhd. Moreover, all DNA oligomers related to dengue virus sequences were synthesized by AIT Biotech. A 27-mer amine-terminated probe (5'-NH$_2$-C$_6$-AAC ACC ATA TGT ACC CTG GGA GAG ACC-3') was used for DNA immobilization. To evaluate the specificity, sensitivity and control of DNA molecule detection, a 27-mer complementary target DNA (3'-TTC TCG TAT AAC TGC GAC CCT CTC TGG-5'), a 27 mer one-base mismatched DNA (3'-TTC TCG TAT AAC TGC GAC CCT TTC TGG-5') and a 27-mer non-complementary DNA (3'-CCT GTA CCC GGT CTA TGA TGT TGT CTT-5') were utilized. These DNA oligomers (100 µM) were prepared in a TE buffer solution (10 mM Tris-(hydroxymethyl) aminomethane-HCl (Tris-HCl)+1 mM EDTA (pH 8.0)) (Sigma, USA) and kept frozen. All chemicals used throughout the experiment were of analytical reagent grade and used without further purification. All rinse processes were prepared with DI water (18 MΩ cm) from an ultrapure water system Millipore Billerica. 2.2. Development of silicon nanowire biosensors integrated with microfluidic channel We previously reported the top-down nanofabrication approach of the silicon nanowires elsewhere (MN et al., 2016; Md Nor et al., 2013; Nuzailah et al., 2013, 2015). Here, we summarize the main steps of the fabrication process (EBL process, inductively coupled plasma-reactive ion etching (ICP-RIE), size reduction process, conventional lithography and metal electrodes pad formation) and followed by the development of microfluidic channel. Briefly, a p-type SOI wafer was cleaned using RCA1, RCA2 and HF to remove organic and inorganic contaminations and native oxide layer on SOI surface. After the cleaning process, the SOI wafer was cut into small pieces (2 cm by 2 cm), and followed by EBL process. A 40–80 nm line structure was patterned using ma-N2400 series negative resist on the SOI substrate. ICP-RIE (a silicon dry etching process) was applied to form the silicon nanowires. To achieve the smallest possible width, the silicon nanowires were further trimmed by size reduction process by self-limiting thermal oxidation as previously reported (MN et al., 2016; Md Nor et al., 2013). The rest of the silicon nanowires were fabricated after the size reduction process. Subsequently, 150 nm of gold (Au) on a 10-nm titanium (Ti) electrodes were patterned on two ends of the fabricated silicon nanowires using lift-off process which involved conventional lithography for transfer pattern (electrodes structure) and metal deposition (Au/Ti) by a thermal evaporator. However, before placing the fabricated silicon nanowires into the evaporator, a short-buffered HF dip was performed to remove any native oxide covering the silicon nanowire pad. The HF soak time is crucial and thus needs to be optimized to avoid any removal of the buried oxide (BOX) and to maintain a layer isolating the electrodes from the substrate. Afterward, the open chamber microfluidic channel was lithographically patterned and developed on the center of the fabricated silicon nanowire as previously reported (MN et al., 2016). Fabrication of the channel began with spin-coating the SU-8 resist at 300 rpm for 25 s on a cleaned silicon substrate surface and followed by a baking process at 90 °C for 75 min. The resulted thickness of the resist on top of the silicon substrate was approximately 100 μm. Then, the coated sample was exposed under ultraviolet (UV) light using a conventional lithography process for 240 s to transfer the channel geometry pattern onto the resist layer. Before developing process, the exposed sample was post baked at 90 °C for 15 min. The development of the sample was executed for various developing times using the SU-8 developer to determine whether the unexposed resist dissolved sufficiently. The dimensions of the open chamber microfluidic channel were 5 mm in length and 0.1 mm (100 μm) in width with 1.2-mm diameter inlet/outlet holes. The role of using microfluidic channel is to provide precision in delivery of various chemicals at small volume, thus serving indirectly as a passivation layer to protect the electrodes pad from short-circuiting the sensing current. The development of silicon nanowire device was completed after the integration of microfluidic channel as schematically illustrated in Fig. 1(a). 2.3. Functionalization of silicon nanowire surfaces for molecular gate control Functionalization of silicon nanowire surface with bio-recognition element (receptor molecules) is an important procedure for the development of biosensor, so that the device is capable and provides powerful set of tools for identifying a specific target molecule. The three steps involved in this functionalization are surface modification, DNA immobilization and DNA hybridization as schematically shown in Fig. 1(b). A chemical binding approach in the surface modification has been chosen in this research, to ensure that the targeted species are identified precisely, accurately and reliably. This approach is based on the binding of the probe. ![Fig. 1. Schematic illustration of (a) the silicon nanowire device integrated with microfluidic channel and (b) the surface functionalization, including surface modification by APTES and glutaraldehyde, DNA immobilization and DNA hybridization on the silicon nanowire surface.](image-url) molecule on the silicon nanowire surface by amine-based chemical bonds (Adam and Hashim, 2015). To activate the silicon nanowires in surface modification step, the native oxide layer (1–10 nm thick of SiO$_2$, naturally oxidized and covalently bonded with hydroxyl groups (OH$^-$) to form silanol groups (SiOH) with excellent proton donors (H$^+$) and acceptors (SiO$^-$)) present on the silicon nanowire surface was immersed in 2% 3-aminopropyltriethoxysilane (APTES (v/v)) in a mixture of 95% ethanol and 5% water for 2 h at room temperature to obtain surface-exposed-NH$_2$ (amine-terminated groups). In the meantime, the oxygen atom of the hydroxyl-terminated groups has performed a covalent bond with the silicon atom in the molecule of APTES. Then, the samples were cleaned using acetone to remove any unreacted APTES and dried on a hot plate at 120 °C for 10 min. Subsequently, the APTES-functionalized silicon nanowire surface was immersed in 2.5% of glutaraldehyde (with PBS solution) and kept in the solution for 1 h at room temperature, followed by PBS cleaning and DI water rinse for 5 min to remove excess of glutaraldehyde. Glutaraldehyde was introduced as a linker to ensure a chemical bond with the amine-terminated groups and present aldehyde groups (COH) on the surface (Wenga et al., 2013). Aldehyde groups can subsequently be used for DNA immobilization step. For DNA immobilization, a 27-mer amine-terminated probe was linked to the aldehyde-terminated groups as shown in Fig. 1(b). A 10-μM DNA probe solution (diluted with PBS solution (pH 7.4)) was injected into the open microfluidic channel flowing through the silicon nanowire sensing area, followed by incubation process at room temperature for 4 h. Next, any unbound probe was washed away with PBS solution. After immobilization step, a drop with 27-mer complementary DNA targets (10 fM to 10 μM concentrations) was injected into the sensing area to hybridize the immobilized DNA and kept hybridized sample by incubating at room temperature overnight. Then, the sample was washed again with PBS solution to remove the excess target DNA. To confirm the specificity of the biosensor, the sample was washed with hot DI water at 90 °C for 5 min to dehybridize the complementary DNA pairs on the silicon nanowire surface, followed by sample hybridization with a 27-mer (same length) non-complementary DNA and one-base mismatched DNA. The sample has been stored at 4 °C when it is not in use. 2.4. Characterization of silicon nanowire biosensors To ensure successful fabrication and functionalization of silicon nanowire biosensor, an electrical characterization was carried out to investigate the current-voltage (I-V), specificity and sensitivity of the silicon nanowire sensor using a KEITHLEY 6487 picameter/voltage source. The drain voltage was swept from 0 V to 1 V with the source grounded to test the fabricated silicon nanowires, the amine-terminated APTES, DNA immobilization and hybridization. Inspection and validation of the silicon nanowires during fabrication process were performed using high-power microscopy (HPM) (OLYMPUS-BX51) to make sure no contaminant was present, scanning electron microscopy (SEM) (JEOL JSM-6460LA) to determine the quality of the silicon nanowires. (particularly the shape, diameter and uniformity) and atomic-force microscopy (AFM) (SPA400-SP13800, Seiko) to study the 3D profile surface of the silicon nanowires. In addition, the thin-film layer uniformity and thickness were observed using a Filmetrics F20-UV spectrometer. Energy Dispersive X-ray Spectrometry (EDX) was used to do elemental analysis on silicon nanowire surface to examine the purity of the materials. 3. Results and discussion 3.1. Biosensor layout and detection principle In this research, a p-type silicon nanowire biosensor (device) was fabricated using a top down nanofabrication approach (involves EBL, ICP-RIE, size reduction process etc) and thus are fully compatible with CMOS technology. The completed device has a dimension of 20×20 mm² (400 mm² in area) as shown in Fig. 2(a). Fig. 2(b) shows the device consists of three main structures, which are nanowire patterns, pads and microfluidic channel structure. The AutoCAD was utilized to design the microwire (1 μm), pads and microfluidic channel while the nanowire patterns were designed with 5 different widths (40, 50, 60, 70 and 80 nm) using RAITH ELPHY Quantum GDSII Editor. The 400-μm lengths were patterned to ensure that the nanowires were in contact with the electrode pads (act as transducer channels between two metal contact pads) (Fig. 2(c)) and thus to increase the probability of reaction of the analytes to the nanowire surface during testing. The SEM image of the silicon nanowire (before size reduction process) is shown in Fig. 2(d), which indicates that the width of the silicon nanowire is approximately 60 nm. The cross-sectional SEM and AFM image shown in the Fig. 2(d) inset further revealed that this nanowire exhibits almost a rectangular cross section with approximately 60 nm in width and 50 nm in height. To achieve the smallest possible width of silicon nanowire with a good aspect ratio, the 60-nm silicon nanowire was dry oxidized and then a grown SiO₂ was etched away (i.e., size reduction process), which resulted in a final width of 20 nm (Fig. 2(e)) as previously reported (MN et al., 2015). The EDX spectrum of the fabricated silicon nanowire is presented in the inset of Fig. 2(e). The amount of silicon (Si) and oxygen (O) elements were observed around 77.47% and 22.53% from the total percentage weight, respectively. There is a strong Si peak at 1.8 keV together with the O peak in the spotted nanowire, indicating that was silicon nanowire was successfully fabricated, while the AFM Fig. 2(e) inset) shows the morphology and profile of the silicon nanowire with approximately 20 nm in width and 30 nm in height. In our research, a p-type silicon nanowire, which acts as the sensing component is connected between the source (S) and the drain (D) electrodes. To detect a specific target, the silicon nanowire surface is then functionalized with a bio-receptor, which is worked as a “molecular gate” by the binding of a target DNA. This detection principle has also been demonstrated by our research group (Adam and Hashim, 2015, 2016). A drain-source voltage, $ V_{ds} $ applied to the silicon nanowires will allow current, $ I_{ds} $ to flow from the drain to the source. The density of charge carriers in the nanowire is then modulated by the molecular gate, which in turn affects the current, resistance and conductance of the silicon nanowire. In our research of a p-type silicon nanowire, the application of negative charge to the surface of a bio-receptor leads to an accumulation of charge carriers in the sensing area, resulting in an increase in the measured current ($ I_{ds} $) and conductance, thus decreasing the resistance. This detection principle is called molecular gate control as schematically depicted in Fig. 3. 3.2. Effect of silicon nanowire widths on the electrical characteristics The quality of the silicon nanowires with various widths (20 nm (after reduction process), 40 nm, 60 nm, 80 nm and 1 μm) were further characterized electrically by applying a direct current (DC) voltage swept from 0 V to 1 V (small voltage range). The measurement setup of the fabricated silicon nanowire is shown in the inset of Fig. 4(a). All these measurements have been taken at room temperature (under ambient condition) to identify good and unsuitable devices (Kulkarni et al., 2012). Fig. 4(a) shows the excellent output of the electrical characteristics, $ I_{ds} $ versus $ V_{ds} $ (I-V), which indicates that the silicon nanowires exhibited an almost linear relation (ohmic behavior). At $ V_{ds} = 1 $ V, the fabricated silicon nanowire with widths of 20 nm, 40 nm, 60 nm, 80 nm and 1 μm has demonstrated $ I_{ds} $ of 115 nA, 146 nA, 201 nA, 227 nA and 2.6 nA, respectively. It was also observed that the increase of width raises the amount of $ I_{ds} $ gradually as shown in Supplementary Fig. S1. The raise of current was caused by the decrease in resistance of the silicon nanowire as shown in Fig. 4(b). The average resistance value of silicon nanowire with 20 nm, 40 nm, 60 nm and 80 nm width were 4.2 GΩ, 4.0 GΩ, 3.7 GΩ and 2.1 GΩ, respectively. It was found that, a bigger width of silicon nanowire has a lower resistance, which is in good agreement with electrical resistance theory. This is also consistent with the results of a similar experiment performed by Park et al. (2010) and Fatimah et al. (2013). According to the theory, a smaller cross-sectional area (silicon nanowire) would strongly contribute to increase resistance (R) value; Fig. 4. Electrical properties of silicon nanowires: (a) $I_{ds}$-$V_{ds}$ characteristic shows p-type ohmic behavior, (b) The resistance and conductance histograms of the silicon nanowire, (c) $I_{ds}$-$V_{ds}$ characteristic shows the silicon nanowire width effect on the electrical characteristics to the surface functionalization, (d) The relative change in the conductance response of a wire for micrometer and nanometer-scale width. $R = \rho l / A$ where $\rho$ (rho) is the electrical resistivity of the material, $l$ is the length of the silicon nanowire and $A$ is the cross-sectional area of the silicon nanowire (Chaudiry et al., 2007). It was also observed in histograms (Fig. 4(b)), that the average conductance value is inversely proportional to the average resistance value and clearly proportional to the width of silicon nanowire. Notably, these trends are in excellent agreement with previously reported (Delapierre et al., 2010). To explore the silicon nanowire width effect on the electrical characteristics to the surface functionalization (DNA detection), two different silicon nanowire widths (1 μm (nanometer-scale width) and 20 nm (nanometer-scale width)) with the same length (400 μm) were compared. As shown in Fig. 4(c), there are significant differences in the measured $I_{ds}$ values for each surface functionalization steps, exhibiting a well-defined molecular gate control of silicon nanowire field-effect sensors. Besides, it can be noted that the I-V characteristic for a bigger width is more linear than the smaller width of silicon nanowire (Park et al., 2010; Pennelli et al., 2011). For DNA hybridization (concentration, 10 μM), 1 μm width silicon nanowire showed higher measured $I_{ds} = 4.25$ nA, compared to the $I_{ds} = 0.86$ nA detected from the 20 nm width at $V_{ds} = 1$ V. The same trend of measured $I_{ds}$ value was observed for DNA immobilization (concentration, 10 μM), which is $I_{ds}$ for 1 μm always higher than the $I_{ds}$ for 20 nm. This clearly shows that, the $I_{ds}$ values after DNA detection are highly dependent on the width of silicon nanowire. In addition, the current flow across the silicon nanowire is based on the depletion or accumulation of charge carriers when charged biomolecular components were attached on the surface of nanowire (Park et al., 2010), leading to a conductance change inside the silicon nanowire (Chen et al., 2011a, 2011b). Furthermore, the conductance change is highly affected by the silicon nanowire widths with high surface-to-volume ratio (Chen et al., 2006; Hsiao et al., 2009; Li et al., 2014). For 1 μm width, the surface-to-volume ratio is relatively smaller compared to 20 nm due to a larger interior area of the wire that might not be influenced by the electric field exerted from the charged biomolecular components (Fig. 4(d) inset), hence almost no significant alteration in conductance changes. The relative change in conductance for 1 μm width is 0.07, proving that a bigger width of silicon nanowire remains unaffected. In contrast, for 20 nm (smaller interior area), the surface-to-volume ratio was very large due to the influence of the external electric field, which could reach the whole cross-section of the nanowire (Fig. 4(d) inset), resulting in large relative change in conductance, 0.86 (Agarwal et al., 2008). This could have been predicted, as scaling down width of silicon nanowire comes with an increase of the surface-to-volume ratio (Chen et al., 2011a, 2011b; Schmidt et al., 2010). 3.3. Analytical performance of silicon nanowire biosensors As explained in Section 3.2 above, 20-nm p-type silicon nanowire has a large surface-to-volume ratio. Therefore, this transducer is believed to be highly sensitive to local charges in its environment. Nevertheless, suitable functionalization of silicon nanowire surfaces with correct bimolecular or biochemical components is required for a reaction to take place (Adam and Hashim, 2015). Further tests were conducted to evaluate the analytical performance metrics of 20-nm p-type silicon nanowire biosensor, which have been characterized in terms of its specificity, sensitivity, and LOD as shown in Fig. 5. In this research, the specificity of the silicon nanowire biosensors for the detection of DENV DNA was... further verified by hybridizing a fully complementary target DNA, one-base mismatched target DNA and non-complementary target DNA (control group) both at same concentration of 10 μM, to the immobilized DNA probe. Fig. 5(a) clearly depicts the resulted I-V characteristics, which exhibited significant differences in the measured $I_{ds}$ values for each of the DNA hybridization. It was observed that, upon hybridization with a fully complementary target DNA and one-base mismatched target DNA, an increase in current of 0.52 nA and 0.13 nA were recorded, respectively. However there was no change in the current that has been detected for non-complementary target DNA compared with the current of the immobilized DNA probe at $V_{ds} = 1$ V. The magnitude of this increase is dependent on the selectivity, which is typically achieved by attaching a specific recognition group to the surface of the silicon nanowire as explained in Section 2.3. In addition, the increment of the measured $I_{ds}$ values is originated from the increased positive charges carrier current density on the p-type silicon nanowire encouraged by the negatively charged probe and target DNA (Roy et al., 2009). Noteworthy, the contribution of any charge to the silicon nanowire induces changes in conductance and resistance accordingly (Zhang et al., 2008). For further verification of the device specificity, the relative change in conductance of the device were plotted (Box Chart) as shown in Fig. 5(b). A negligible change in conductance (2%) was observed when a 10 μM of non-complementary target DNA was applied to the immobilized DNA probe. In contrast, an obvious significant change (74%) was observed when a fully complementary target DNA with the same concentration was used, while the conductance changes between one-base mismatched target DNA and the immobilized DNA probe resulted in a smaller increase in conductance (28%). The results indicated that only specific binding of target DNA to the immobilized DNA probe might induce the observed conductance changes. Simultaneously, a similar trend was observed for the relative change in the resistance of the device as shown in Supplementary Fig. S2. The results disclose that the device offers a very good specificity with an excellent discrimination between fully complementary, one-base mismatched and non-complementary sequences, which is in good agreement with the previously reported results (Gao et al., 2007; Zhang et al., 2008, 2009, 2010). To demonstrate the sensitivity and LOD of the silicon nanowire biosensor, the effect of different concentrations of fully complementary target DENV DNA, ranging from 10 fM to 10 μM were investigated. The I-V characteristics were plotted as shown in the inset of Fig. 5(c), which clearly showed the $I_{ds}$ increased with increasing target DNA concentration. In other words, by adding and having more negative charge on the surface, the p-type silicon nanowire experiences accumulation of charge carriers (holes) around the perimeter of the silicon nanowire, resulting in an increase in the measured $I_{ds}$ as explained in Section 3.1. The sensitivity of the device is the slope of the calibration curve (Fig. 5(c)) extracted from the I-V characteristics (Supplementary Fig. S3). It was observed that $I_{ds}$ increases linearly with increasing fully complementary DNA concentrations from 10 fM to 10 μM with the sensitivity of 45.0 μA M$^{-1}$ and thereafter saturated further. In addition to sensitivity, the LOD of the device should also be given a proper attention, which can be used to evaluate the ability of a device to detect the lowest concentration of an analyte in target DENV DNA. By calculating the relative change in the current of device to various concentrations of target DENV DNA, a calibration curve (the relative change in current were found to be well proportional to the natural logarithm of DENV DNA concentration) was plotted as shown in Fig. 5(d). The LOD of the device is approximately 2.0 fM. To the best of our knowledge, the sensitivity and LOD reported are among the best in detection of DENV DNA, compared to the previously reported in the literatures as shown in The device was further performed by monitoring the concentration-dependent conductance change upon hybridization to the complementary target DNA as shown in Supplementary Fig. S4. The relative change in conductance was extracted from the I-V characteristic as shown in Supplementary Fig. S4. An obvious 81.2% conductance change was obtained when 10 μM concentration of complementary target DNA was hybridized to the immobilized DNA probe. However, the conductance change reduced to 73.8%, 66.0%, 36.8%, 23.8%, 12.2% and 6.8%, respectively when 1 μM, 10 nM, 1 nM, 10 pM, 1 pM and 10 fM concentration of complementary target DNA were employed. From these obtained results, it can be concluded that the change in conductance after DNA hybridization is primarily dependent on the amount of the charge layer contributed by DNA. The more the target DNA was hybridized, the more negative charges added on the p-type silicon nanowires surface which lead to an accumulation of more positive charges carriers (holes), resulting in the increasing of the conductance values as observed. Furthermore, this observation was also in consistent with the literatures (Chen et al., 2011a, 2011b; Zhang et al., 2009). From this concentration-dependent conductance results, we have verified that our p-type silicon nanowire is feasible as a biosensor and it is obviously showed that this biosensor provides a powerful electrical detection approach to detect target DENV DNA. The capability of the sensor for repeated DENV DNA detection (repeatability performance) was investigated. The sensor (same device) was washed with hot DI water at 90 °C for 5 min to de-hybridize DNA pairs on the silicon nanowire surface (back to probe). The reusability of the sensor was tested by repetitive (five times) hybridization with same concentration of DENV DNA (10 μM). The results of the sensor for repeatability performance were obtained as shown in Fig. 6(a). The $I_{ds}$ values for five cycles (hybridization and de-hybridize) exhibited no significant change with negligible differences. A relative standard deviation (R.S.D) of hybridized regeneration cycles was found less than 5.0% for the same nanowire, suggesting a good repeatability of the proposed sensor. In other tests, the reproducibility evaluation of reproducibility of the sensor by comparing five different devices as shown in Fig. 6(b). As can be seen, the results have revealed a satisfactory reproducibility performance of the sensor with R.S.D was found slightly larger at 25.0% when compared to the repeatability performance. This might be due to a minor variation in the nanowire dimension and also the purity of the materials being used in the tests. Therefore, the silicon nanowire biosensors have a promising potential in monitoring of DENV DNA with stable and excellent repeatability and reproducibility performances. 4. Conclusion We demonstrated a p-type silicon nanowire biosensor with a novel molecular gate control and the nanowire was scaled-down to 20 nm. The responsivity of this biosensor was thoroughly investigated by observing electrical detection in response to the concentrations of DENV DNA oligomer. It is shown that this electrical biosensor was able to detect as low as 2.0 fM concentration (LOD) with a greatly enhanced sensitivity of 45.0 μA M$^{-1}$ with high specificity, repeatability and reproducibility. This research is useful in making novel electrical detection that can be commercialized for DNA detection. Thus, we expect this electrical biosensor to be beneficial for point-of-care diagnostic applications. Acknowledgments This research was supported by the Ministry of Higher Education Malaysia and Universiti Malaya Perlis (UniMAP). The authors would like to thank all the team members of the Institute of Nano Electronic Engineering and School of Microelectronic Engineering (SoME), UniMAP for their technical advice and direct and indirect contributions. Appendix A. 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Eleventh- and Twelfth-Century Perspectives on State Building in the Iberian Peninsula William J. Purkis University of Birmingham The process of state-building was a defining characteristic of later medieval European history and rightly holds a prominent place in both general and region-specific studies of the period.$^1$ The history of the Iberian peninsula is certainly no exception to this rule, but unlike other regions of the medieval West the process of state-building in Iberia is closely associated with another, more localised, historical and historiographical phenomenon: the Reconquista. As Angus MacKay pointed out in 1977, for many scholars ‘the related concepts of the frontier and the reconquest provide the key to Spanish historical development’;$^2$ more recently, and with reference to the kingdom of Portugal, Stephen Lay has argued that ‘the successful prosecution of the reconquest appears to have been intricately interconnected with a process of national formation’.$^3$ In this context, and given the over-arching thematic and chronological scope of the present volume, an examination of eleventh- and twelfth-century perspectives on the process of state-building in the Iberian peninsula suggests itself as a worthy topic for investigation. However, this paper is not so much concerned with the practicalities of state-building – the institutions and mechanisms that were developed for the administration of Iberian frontier societies, and so forth$^4$ – as it is with the ideological frameworks and narrative strategies that were used by those who sought to justify their expansionist activities; in other words, it offers an examination of some of the language and ideas by which various groups and individuals attempted to legitimise their state-building endeavours in the period c.1050–c.1150. As will be demonstrated, for many contemporaries the process of Christian state-building in Iberia was rarely associated with the extension of political and military authority over virgin territory; rather, it was more often defined by the reclamation and reconstitution of lands that were believed to have been lost to external aggressors in generations past.$^5$ In this way, state-building in the Iberian peninsula in the later Middle Ages was inextricably linked with the successful prosecution of what was understood to be a process of territorial reconquest, and thus might be characterised – at least in ideological, if not practical, terms – as a process by which Iberian states were being ‘rebuilt’. Ideas of reconquest and ‘state-rebuilding’ were not, of course, an invention of the eleventh and twelfth centuries. The notion of reconquering Iberia from its Muslim occupants, and restoring the Visigothic kingdom that had held sway over the peninsula for around two hundred years before the Muslim invasion of 711, was probably articulated clearly for the first time by peninsular Christians in the late ninth century in the northern territories that would later form León and Castile.$^6$ For example, in a text known as the Crónica Albeldense, which dates from c.881 and which originated from the court of the Asturian king Alfonso III (866–910), it was recalled how the Muslims had conquered ‘the kingdom of the Goths’ (regnum Gotorum) in the early eighth century and established a permanent Islamic presence in the peninsula. In response to this invasion, the Crónica recorded that ‘the Christians engage them [the Muslims] in battle by day and by night, and they will clash with them daily until divine predestination decrees that they be cruelly expelled from here.’$^7$ Similarly, in the Chronicle of Alfonso III, which dates from around the same time, it was remembered how ‘a short time ago, all of Spain was organised and united under the rule of the Goths’, and therefore hoped that through triumphant acts of reconquest ‘Spain will be saved and the army of the Gothic people restored’.$^8$ From these and comparable statements in other texts, scholars such as Ramón Menéndez Pidal have claimed that, once formulated, ideas of peninsular reconquest and Visigothic state-rebuilding became defining concerns for Iberian rulers throughout the Middle Ages.$^9$ In a famous passage of his book The Spaniards in their History, Menéndez Pidal argued that unlike other regions of the Mediterranean world that had been conquered by Muslim armies in the seventh and eighth centuries, the Christian rulers of the Iberian peninsula had responded to the challenge of the Islamic occupation by formulating a coherent ideological programme of Reconquista. As he put it, ‘What gave Spain her exceptional strength of collective resistance ... was her policy of fusing into one single ideal the recovery of the Gothic states for the fatherland and the redemption of the enslaved churches for the glory of Christianity.’$^10$ Scholarship has inevitably moved on from the time that Menéndez Pidal was writing, and more recently historians have expressed scepticism about the extent to which ideas of peninsular reconquest might have consistently animated the actions of medieval Iberia’s Christian rulers and warrior aristocracy.$^11$ A consequence of this revisionism has been a growing dissatisfaction with the traditionalist historiography of the Reconquista,$^12$ as presented in surveys such as Derek Lomax’s The Reconquest of Spain, which remains the best-known treatment of the subject in English and which argued that the Reconquest (with a definite article and a capital ‘R’) had an ideological coherency to it for a period of more than six hundred years.$^13$ Thus, in his study of Christian-Muslim interaction in twelfth- and thirteenth-century Catalonia published in 2004, for example, Brian Catlos distanced himself from the traditionalist approach to the subject by referring to the Christian advance as “the Reconquest”,$^{14}$ and arguing that ‘ideals of Reconquista ... can hardly be interpreted as causes or determinants of events, certainly not on any grand scale and normally not when they came into conflict with the ambitions of those individuals who were their purported champions’. Instead, for Catlos such ideals were referred to by contemporaries as a way of ‘justifying actions in certain situations, while answering a need to express a sense of identity and purpose’.$^{15}$ Similarly, in their history of the culture of medieval Castile published in 2008, Jerrilynn Dodds, María Rosa Menocal and Abigail Krasner Balbale suggested that ‘eleventh-century Castilians would certainly flirt with the language of Christian destiny, but the idea of reconquest comes from a later century and from another place’.$^{16}$ Yet for all the nuances that are evident in the first chapter of his Reconquest and Crusade in Medieval Spain, in 2003 Joseph O’Callaghan still arrived at the following definition: The reconquest can best be understood as an ongoing process, which, though often interrupted by truces, remained the ultimate goal toward which Christian rulers directed their efforts over several centuries. Claiming descent from the Visigoths, they argued that they had a right, indeed an obligation, to recover the lands of the Visigothic kingdom; once Christian, those lands were now believed to be held unjustly by the Muslims.$^{17}$ The traditionalist teleology of the Reconquista is not without its merits. The unitary Visigothic kingdom – effectively defunct after the death of King Roderic and the loss of its capital city of Toledo in 712 – had given way to the Islamic state of al-Andalus and a series of Christian successor kingdoms and counties to the north of the peninsula that did gradually extend their authority southwards over hundreds of years, and in 1492 Ferdinand and Isabella did make pains to stress their ‘neo-Gothic’ credentials as they successfully completed the conquest of Granada and asserted their control over Spain.$^{18}$ But in spite of the evidence from the court of King Alfonso III cited above, it does not necessarily follow that the ideas of the Reyes Católicos were shared by all of their predecessors; and it would only be in this context that their Reconquista could be lent a genuine ideological lineage that could be traced back through the medieval centuries. So to what extent did ideas about Iberia’s Visigothic geography and history resonate with peninsular Christian rulers in the eleventh and twelfth centuries, the period with which this paper is concerned? And, indeed, how were these historical and geographical frameworks viewed by those from outside Iberia who either promoted or contributed to military action against peninsular Islam? It is important that these questions are asked of these years in particular because it is generally recognised that the period c.1050–c.1150 saw a dramatic reconfiguration of Christian attitudes towards the Muslims of al-Andalus; as Richard Fletcher stressed in 1987, it was at this time that ideas of reconquest, which appear to have lain dormant since the ninth century, were ‘rediscovered’ once again. This paper does not promise to offer definitive answers to the questions raised: rather, by sampling a selection of contemporary source material, it seeks to demonstrate that there were in fact a diverse range of attitudes towards, and ideological justifications for, territorial reconquest and state-building (or ‘rebuilding’) in eleventh- and twelfth-century Iberia. As a result, it will suggest that traditionalist approaches to the Reconquista – insofar as they might be defined by an exclusive focus on attempts to liberate the full length and breadth of the peninsula with a view to rebuilding the Visigothic state that had been destroyed in the early eighth century – are in need of modification. Ultimately, this paper seeks to test the conclusion reached by Menéndez Pidal (and which was to some extent echoed by O’Callaghan) that ‘the proposal to recover all the soil of the [Visigothic] fatherland ... never ceased to appeal to the mass of the people’ in eleventh- and twelfth-century Iberia. It might seem curious to begin the analysis by looking beyond the Iberian peninsula and focusing on the state-rebuilding ideas of the eleventh-century reform papacy, but Damian Smith has argued convincingly that the papal reformers played an important role in stimulating ideas of peninsular reconquest from c.1070 onwards as they encouraged the ‘liberation’ of churches and enslaved Christians from the perceived tyranny of Islam, both in Iberia and in the eastern Mediterranean. As Smith has put it, ‘the language of the Reconquista is the language of the Reformed Papacy and is more fully expressed in the letters of popes, particularly from Gregory VII to Paschal II, than in any other sources’. There is certainly a good deal of evidence to support this claim. In April 1063, for example, Pope Alexander II (1062–73) reported with delight that a Catalan town had been liberated ‘from the power of the pagans’, and in the following year he declared that it was legitimate ‘to fight against those [Muslims] who persecute Christians and drive them from their towns and their homes’. But there is some distance between these ideas and notions of peninsular reconquest as traditionally formulated. Indeed, if the letters of Pope Urban II (1088–99) are anything to go by, although the reform papacy may have been keen to liberate occupied territories in Iberia to restore metropolitan sees, some individuals were at times more measured in their aims. As is well known, much of Pope Urban’s attention was focused on the city of Tarragona, which is located approximately 120 kilometres south of Barcelona and which had been one of the administrative centres of the peninsula in the Visigothic period. In July 1089 Pope Urban wrote the first of several requests to Berenguer Ramón II of Barcelona (1076–97), in which he asked the count to concentrate his military efforts on liberating the city and called for ‘the restoration of the church of Tarragona, so that, with God’s help, an episcopal seat might be established there in safety, and so that the same city might be filled with Christian people to stand as a wall and an outer defence (in murum et antemurale) against the opposition of the Saracens.\textsuperscript{26} It is difficult to know exactly what Urban II’s aims were here. His proposal that Tarragona might act as ‘a wall and an outer defence’ suggests that he was looking to create a kind of buffer state between Islamic Spain and the rest of western Christendom,\textsuperscript{27} but if this was the case it would seem to represent a short-term strategic aim rather than a longer-term visionary goal.\textsuperscript{28} In any case, Urban’s appeal achieved little and the reconquest and resettlement of Tarragona was to prove problematic for a number of years to come. Nevertheless, Urban’s focus on Tarragona seems to have been quite pragmatic in contrast to the peninsular ambitions of one of his predecessors, Pope Gregory VII (1073–85). At the beginning of his pontificate Gregory had given his authorisation to a military campaign that was to be fought against the Muslims of Iberia under French leadership. However, there were strings attached, because Gregory made it clear in a letter of 30 April 1073 that those who fought in the peninsula were effectively working to reconquer and restore lands that were claimed by the papacy. As he spelled out to his correspondents: We do not believe it to be unknown to you that from ancient times the kingdom of Spain has belonged to the personal right of St Peter and that to this day, although it has for long been occupied by the pagans, the law of righteousness has not been annulled: it therefore rightfully belongs to no mortal man but only to the apostolic see.\textsuperscript{29} Gregory was certainly willing to concede local territorial jurisdiction to the conquerors, but he maintained his right to an overriding control over the peninsula: he was, in effect, advocating the creation of papal fiefs that would be ruled over by papal vassals, be they Spanish or French.\textsuperscript{30} Although the result of these proclamations in 1073 was negligible, Gregory repeated his claims to peninsular overlordship four years later in a letter that was sent to ‘the kings, counts and other princes of Spain’, and which, in Simon Barton’s words, displayed ‘a cavalier disregard for either peninsular realities or local sensibilities’:\textsuperscript{31} By ancient statutes the kingdom of Spain has been handed in law and in proprietorship to blessed Peter and the holy Roman Church. To be sure, both the misfortunes of past times and a certain negligence of our predecessors have hitherto obscured this. For after this kingdom was overrun by Saracens and pagans and the service that used to be rendered thence to blessed Peter was withheld on account of their infidelity and tyranny and for so many years diverted from the use of ourselves, the very memory of these things and of proprietorship began alike to fade. Now, because the victory that divine clemency has granted to you over these enemies, and which should always be granted, has handed over the land into your hands, we would not have you any longer to ignore this matter.\textsuperscript{32} Needless to say, there has been some debate over the meaning of the ‘ancient statutes’ to which Gregory was referring here, and it seems most likely that he was invoking the terms of the Donation of Constantine, by which the western provinces of the Roman Empire were supposed to have been transferred to papal control in the fourth century.\textsuperscript{33} But, regardless of its historical (or pseudo-historical) basis, there can be no doubt that in this letter Gregory was advocating a manifesto for a full peninsular reconquest and an affirmation of Petrine rights over all liberated territories by requiring the payment of tribute. This was undoubtedly a model of Iberian state-rebuilding, but it would not appear to sit easily with the Visigothic historical framework that is often portrayed as being so crucial to the secular rulers of the peninsula. In this respect, the evident tension between papal and neo-Gothic ideas of reconquest that arises from Gregory’s letters corresponds with observations recently made by John France in a \textit{festschrift} presented to Malcolm Barber. According to France, ‘the papacy of the eleventh century had a wide view of the world and a remarkable grasp of history which differentiated its outlook sharply from that of the generality of the European elites.’\textsuperscript{34} France was writing here about the differences between papal and secular knowledge of Byzantium in the period c.850–1099, but his comments about the papacy’s broader historical memory seem to be just as applicable to contemporary ideological disconnects about the nature of, and justifications for, Iberian reconquest. A peninsular response to Gregory VII’s proclamation that can be identified almost immediately came from the chancery of Alfonso VI, the king of León-Castile (1065/72–1109). From the winter of 1077 onwards Alfonso was styled in charters and letters as \textit{imperator totius Hispanie}, ‘emperor of all Spain’, in what has been seen as a direct refutation of Pope Gregory’s bold claims over Iberia.\textsuperscript{35} What did Alfonso understand by this designation? A near-contemporary perspective on Alfonso’s imperial title is to be found within a text known as the \textit{Historia Silense}, an anonymous work almost certainly written by a Leonese monk in the decade after Alfonso’s death, which set out to offer a glorious account of the king’s reign.\textsuperscript{36} Within the \textit{Silense’s} lines Alfonso is described variously as the ‘orthodox emperor of Spain’\textsuperscript{37} and ‘our emperor’;\textsuperscript{38} but, perhaps most tellingly, the text also stresses that he was ‘descended from the illustrious stock of the Goths’\textsuperscript{39} and thus entitled to claim dominion over the whole peninsula.\textsuperscript{40} The \textit{Silense} sought to substantiate Alfonso’s claim to peninsular hegemony by ‘weaving [his] genealogy’\textsuperscript{41} and ‘uncovering the origin’ of his kingdom, tracing the king’s direct connections with the Visigothic and Asturian monarchies of the early medieval period.\textsuperscript{42} Having done this, the \textit{Historia} then returned to more contemporary concerns and promised to enumerate how ‘the provinces of the kingdom of the Spaniards were reclaimed from sacrilegious hands and restored to the faith of Christ’.49 The picture painted by the Historia Silense is a reasonably clear one and is among the most conventional depictions of reconquest ideology that survives from this period; as is made plain, Alfonso’s ‘imperial’ task was well and truly focused on rebuilding a unitary neo-Gothic state. But it is hard to assess how far these ideas influenced his actions and decisions, as well as those of his predecessors and successors; for all the talk of re-establishing the ‘empire of Toledo’ the kings of León and Castile were still bound by the traditions of partible inheritance, for example.50 Nevertheless, the testimony of the Historia Silense with regard to Alfonso’s aims and ideals is corroborated by a contemporary Muslim writer, ‘Abd Allah, who had been ruler of the taifa state of Granada from 1073 to 1090 before he was exiled to Morocco, from where he wrote his memoirs. In one section of his recollections that was supposedly informed by his direct contact with one of Alfonso VI’s ambassadors, Count Sisnando Davidiz, ‘Abd Allah recorded that: ‘Al-Andalus originally belonged to the Christians. Then they were defeated by the Arabs and driven to the most inhospitable region, Galicia. Now that they are strong and capable, the Christians desire to recover what they have lost by force.’51 Alfonso took significant steps to realising his imperial pretensions when, in 1085, he succeeded in bringing about the conquest of the former Visigothic capital of Toledo. Although it is unclear to what extent he had targeted the city’s recovery out of a specific desire to fulfil notions of reconquest, and to what extent these ideas were applied to his actions retrospectively, it is evident that the city’s recovery came to be imbued with a monumental significance. In a charter dated to 10 December 1086, for example, Alfonso stated explicitly that he had been driven by memories of the Visigothic past: This city [of Toledo] had been held in the possession of the Moors for 376 years... In the place where our holy fathers adored the God of faith intently, the name of the accursed Muhammad was invoked... And so, after God gave me imperial authority, I engaged in war with the barbarian peoples... And in this way, inspired by the grace of God, I moved my army against the city in which my most powerful and opulent ancestors had once reigned, reckoning that it would be pleasing in the sight of the Lord if I, Alfonso the emperor, with Christ’s guidance, was able to return to his followers what the faithless people (under the evil direction of Muhammad) had snatched away from them....52 As far as the neo-Gothic state-rebuilding ambitions of Alfonso VI go, then, so far, so conventional. But the waters are muddied a little when one turns to look at the reign of Alfonso VI’s grandson, Alfonso VII, who ruled from 1126 to 1157, and who assumed the imperial title in 1135 in what has been described as an ‘act of bravado’. Many contemporary writers seem to have been in agreement that Alfonso’s authority stretched beyond the territories of León-Castile; in 1147, for example, Pope Eugenius III referred to Alfonso as ‘the king of the Spains’, and the Muslim chronicler Ibn al-Athir later repeatedly described Alfonso as ‘Little Sultan’, using designations such as ‘king of Toledo and its regions’ and, intriguingly, ‘king of the Franks in al-Andalus’ to denote the nature of his rule. One might also approach some understanding of what the emperor himself thought through studying the words of Marcabru, the Gascon troubadour who was active in the court of Alfonso VII from the 1130s onwards. In the winter of 1137–8, for example, Marcabru composed a poem in which he wrote that, as emperor, Alfonso VII’s royal ‘prowess was increasing’, and in which he exhorted his patron to take the fight to the Muslims of al-Andalus and North Africa (referred to here as ‘Pharoah’s descendants’): ‘You should indeed carry the burden for the good of Spain and the Holy Sepulchre, [and] push the Saracens back, lay low their lofty pride and then God will be with you at the end.’ But perhaps most importantly, Marcabru made it clear that it was only with Alfonso’s leadership over the peninsula’s other rulers that any military actions could be prosecuted effectively: ‘With Portugal’s valour, and that of the Navarrese king as well, if only Barcelona turns towards imperial Toledo, we will be able to holler “Reiall!” and defeat the pagans.’ Much of our knowledge about Alfonso’s career comes from a text known as the Chronica Adefonsi imperatoris, which was probably written before 1150. The organisation of the Chronica is striking: it consists of two books dealing with Alfonso’s reign, the first of which treats the period from his accession up to the year 1135 and is primarily focused on what might best be described as domestic politics; and the second, which follows on from his assumption of the imperial title and focuses on his military dealings with the Muslims of al-Andalus. It is not easy to say whether or not peninsular reconquest was an integral part of living the imperial dream for Alfonso, but what is remarkable about the content of the Chronica is how few connections are drawn between his reign and those of his Visigothic ancestors. In fact, the evidence from the Poem of Almería, an incomplete verse account of Alfonso’s 1147 siege of the Muslim-held port city that was appended to the Chronica, would suggest that Alfonso was understood to have been tapping into a slightly different tradition of peninsular reconquest from that of his grandfather. The Poem opens by describing the mustering of Alfonso’s forces before the siege of Almería began in earnest. Alfonso himself is described as follows: The leader of them all was the king of the empire of Toledo. This man, Alfonso, who holds the title of emperor, was following the deeds of Charlemagne, with whom he is rightly compared. They were equal in courage and in strength of arms, and equal was the glory of the achievements of their wars.\textsuperscript{57} It would be stretching things to say that there is no hint of the Visigothic here; Alfonso is, after all, described as ‘the king of the empire of Toledo’. But a greater emphasis seems to be placed both here and elsewhere in the \textit{Poem} on situating Alfonso’s deeds within a pseudo-historical Carolingian context.\textsuperscript{58} It is impossible to know for sure which model of the ‘deeds of Charlemagne’ the author of the \textit{Poem} had in mind when he wrote these lines, but it seems a strong possibility that the author – probably Arnaldo, bishop of Astorga\textsuperscript{59} – was drawing on ideas contained within a contemporaneous text known as the \textit{Historia Turpini}. The \textit{Historia Turpini}, as it survives in its earliest Latin form, probably originated from Santiago de Compostela in c.1140.\textsuperscript{60} It is bound within a codex known as the \textit{Liber sancti Jacobi}, which constitutes a collection of texts designed to codify the institutional identity of the cult of St James the Great, and it purports to be a first-hand account by Archbishop Turpin of Rheims of how the Emperor Charlemagne had ‘liberated Spain and Galicia from the control of the Saracens’ in the late eighth century.\textsuperscript{61} I have argued elsewhere that the \textit{Historia} ought to be regarded as a kind of foundation legend for Iberian crusading that drew on traditions of Carolingian myth and the growing popularity of pilgrimage to Compostela,\textsuperscript{62} but it is noteworthy that the text also contains some rather unusual ideas about peninsular reconquest and state-rebuilding that deserve more attention than they have received to date. The \textit{Historia} begins with a description by ‘Pseudo-Turpin’ of how the Emperor Charlemagne was recruited to fight for the reconquest of Iberia by St James the Great, whose relics were venerated at Santiago de Compostela in the peninsula’s north-west corner.\textsuperscript{63} The apostle is reported to have appeared to Charlemagne in a dream, at which point he made the following proclamation: My body now lies buried unrecognised in Galicia, which at the present time is still oppressed by the Saracens. I am astonished that you, who have conquered so many lands and cities, have not liberated my land from the Saracens. Therefore I give you notice that because the Lord has made you more powerful than any of the other kings of the world, he has chosen you from among all others to prepare my way and to deliver my country from the hands of the Moabites, so that you may earn for yourself a crown of everlasting reward.\textsuperscript{64} From the outset, then, Charlemagne was being called upon to fight in Iberia for the recovery of the \textit{terra sancti Jacobi} and the liberation of the pilgrim road to Compostela - a war of reconquest that was to be defined and justified by a desire for a religious rather than a political supremacy. The Historia then proceeds to record how Charlemagne immediately set off to fight in Iberia, and indicates how it was not long before the entire peninsula was brought under his control: 'the whole of the land of Spain - that is to say, al-Andalus, Portugal, the lands of the Saracens and Pardi, Castile, the land of the Moors, Navarre, Álava, Vizcaya, Vasconia and Pallars - all gave way to Charlemagne's rule.' A subsequent chapter goes on to give precise details of the places that Charlemagne is supposed to have conquered. Particular clusters of place-names suggest areas that were deemed to have been of importance: there is, for example, a considerable concentration of sites in the Ebro valley (including Zaragoza), and in the central and south-eastern areas of the peninsula (including Almería); as noteworthy are the references to Charlemagne's conquests ranging to include the Balearic Islands and across into North Africa. It is difficult to know how far this register of place-names should be taken as evidence for the writer's serious geographical understanding; did he actually know where any of these places were? Although it is possible that place-names were being listed in such great number in an attempt to communicate simply the scale of Charlemagne's achievements, it seems likely that Pseudo-Turpin's vision of Charlemagne's peninsular activities was influenced by contemporary military events, such as the short-lived conquest of the Balearic Islands by the count of Barcelona, Ramón Berenguer III (1097–1131), in 1113–15, the conquest of Zaragoza by Alfonso I of Aragón (1104–34) in 1118, or the same king's subsequent campaigns in the Ebro valley in the 1120s. Equally, the locations of victories in North Africa might reflect much broader contemporary military ambitions, such as the idea of opening an alternative route to the Holy Sepulchre through al-Andalus and across the Maghreb. However these place-names might be interpreted, there can be no doubt that what Charlemagne was doing in Iberia was being presented in the Historia as an exercise in territorial reconquest rather than anything more aggressive or opportunistic; this was, after all, 'the land of St James' that had fallen into the clutches of Islam. But the Historia also makes it clear that, for Charlemagne, there was a broader dynastic imperative at work, and that his endeavours should be understood to have been part of a process of Frankish, rather than Visigothic, state-rebuilding: 'Some of these cities had been conquered by other French kings and German emperors before Charlemagne's time and had afterwards reverted to pagan rites,' Pseudo-Turpin wrote, before citing the names of various Merovingian and Carolingian rulers, 'but Charlemagne subjugated the whole of Spain during his lifetime'. The narrative of the Historia Turpini continues to show how Charlemagne's initial successes in the peninsula were challenged by subsequent waves of Muslim invaders, who more often than not crossed into the peninsula from North Africa and destabilised the Carolingian settlement. In one later chapter Charlemagne’s territorial claims over the peninsula are set out much more deliberately, as he returns to Iberia once again to recover lost lands. Prior to his final showdown with the Muslim leader Aigolandus, Charlemagne exchanges words with his opponent as they face each other across the pilgrim road to Compostela.\textsuperscript{72} The dialogue that Pseudo-Turpin invented for the stand-off is worthy of quotation in full; one wonders how far it might reflect some of the sorts of debates that twelfth-century proponents of reconquest engaged in as they sought to formulate justifications for military action against the Muslims of al-Andalus (who could of course be seen to have established their own claims to political jurisdiction over the peninsula).\textsuperscript{73} Although nominally set in the eighth century, Pseudo-Turpin is here surely ventriloquising an imagined twelfth-century conversation between Iberian Christians and the Muslims of al-Andalus:\textsuperscript{74} Then Charlemagne said to Aigolandus: ‘So you are the Aigolandus who has fraudulently stolen my land away from me! I acquired the land of Spain and Gascony through the invincible power of the arm of God, subjugated it to the laws of Christianity, and forced all of its kings to recognise my imperial authority. Then, when I returned to France, you seized the Christians of God, devastated my cities and castles, and ravaged the whole land by fire and with sword....’ Then Aigolandus said to Charlemagne: ‘I implore you to tell me why you stole from our people land that you did not hold by hereditary right, since it was not possessed by your father, or your grandfather, or your grandfather’s father, or your grandfather’s grandfather.’ ‘That is as may be,’ said Charlemagne, ‘but our Lord Jesus Christ, creator of heaven and earth, chose our people – that is to say, the Christian people – before all other peoples, and he appointed us to have lordship over all the other peoples of the whole world.’\textsuperscript{75} This pan-global vision of Christian religious supremacy as a justification for expansionism and, by extension, Christian state-building, is far broader than anything associated with the dynastic claims of, say, Alfonso VI (although one wonders whether Gregory VII might have had some sympathy with the sentiments that the \textit{Historia} expressed).\textsuperscript{76} Indeed, the description that the \textit{Historia} offers of the post-conquest territorial organisation that Charlemagne set in train in Iberia is a remarkable account of the construction of a truly cosmopolitan ‘crusader state’: When these deeds were done, Charlemagne divided the lands and the provinces of Spain among those of his warriors and peoples who wished to settle in that country. He gave Navarre and the Basque country to the Bretons, Castile to the Franks, Nájera and Zaragoza to the Greeks and Apulians who were in our army, Aragón to the Poitevins, the part of al-Andalus that was next to the coast to the Germans, and Portugal to the Flemish and the Danes.... After this there was no-one who would dare to wage war against Charlemagne in Spain." This geo-political situation would of course have been completely unrecognisable to peninsular Christians in the mid-twelfth century, and the Historia's ultimate purpose was unquestionably to stimulate western European arms-bearers to follow Charlemagne's example by engaging the latest wave of Muslim invaders from North Africa in combat and to encourage them to rebuild Christian authority over the peninsula; this was the overt message of the forged crusade encyclical that was appended to Pseudo-Turpin's work. Furthermore, the international character of this imagined eighth-century reconquest might also be regarded as a twelfth-century attempt to establish a precedent for the contemporary 'Europeanisation' of Iberia and, in particular, to provide a pseudo-historical context for the military contribution, and subsequent settlement, of those who originated from beyond the peninsula. The vision of peninsular reconquest contained within the Historia Turpini, which may have influenced the author of the Poem of Almería and perhaps even the imperial outlook of Alfonso VII himself, would therefore seem to give the lie to the idea that the Visigothic past was firmly entrenched in the collective memory of Leonese-Castilian elites, or that it might have superseded other quasi-mythological versions of the peninsula's history, however fanciful they might appear to modern historians. But what of the other Iberian kingdoms? There is not space here to discuss contemporary Portuguese, Navarrese, Aragonese or Catalan ideas of state-building (or rebuilding), although it is worth noting that sources relating to Portugal and Catalonia in particular have very different stories to tell; indeed, it is hardly surprising that the rulers of these realms had far less invested in restoring the unitary Visigothic kingdom than their counterparts in León-Castile did. What is more, this paper has concentrated exclusively on Christian ideas of state-building, and it should be noted that any holistic study of the subject would benefit from incorporating an analysis of Muslim ideas. What historical models (if any) did the Almoravids or the Almohads look to when constructing their twelfth-century empires in al-Andalus? Were they at all interested in re-establishing the caliphate of Córdoba, which had collapsed so spectacularly by 1031? Given that Arabic writers were certainly aware of Christian ideas of reconquest and claims to peninsular overlordship, as the testimony of 'Abd Allah quoted above indicates, might there in fact have been some interface between Christian and Muslim ideas of peninsular hegemony? Nevertheless, what we appear to be left with on the Christian side is not, as has often been supposed, a coherent or homogenous vision of reconquest that united secular and ecclesiastical elites from across the peninsula and beyond. Instead, it would seem that there was a range of competing and overlapping visions of state-building (or ‘rebuilding’), from the reform papacy’s ideas of peninsular liberation and ecclesiastical restoration, through the traditionalist neo-Gothic ambitions of some of the rulers of León-Castile, to the more extravagant neo-Carolingian claims of the author of the Historia Turpini. As is suggested by Alfonso VI’s imperial response to Gregory VII’s claims to peninsular overlordship in the 1070s, or the allusion to Charlemagne’s eighth-century campaigns in the opening lines of the Poem of Almería in c.1150, these various ideas undoubtedly inspired and fed off each other, as well as off contemporary military achievements and setbacks, such as Alfonso VI’s conquest of Toledo in 1085 and the Almoravid invasion that he inadvertently provoked. The traditionalist construction of the Reconquista, with its emphasis on the recovery of lost territory as a precursor to the reconstruction of a unitary neo-Gothic state, seems too restrictive a narrative to impose upon the history of state-building ideologies in medieval Iberia. To the extent that there was a process of territorial reconquest and state-rebuilding in Iberia in the eleventh and twelfth centuries, it is clear that it was fuelled by ideas that were highly susceptible to change over both time and space. Notes 1 For a general discussion, see S. Reynolds, ‘The Historiography of the Medieval State’, in Companion to Historiography, ed. M. Bentley (London, 1997), pp. 109–29. 2 A. MacKay, Spain in the Middle Ages: From Frontier to Empire, 1000–1500 (Basingstoke, 1977), p. 1. 3 S. Lay, The Reconquest Kings of Portugal: Political and Cultural Reorientation on the Medieval Frontier (Basingstoke, 2009), p. 1. 4 See, for example, E. Lourie, ‘A Society Organized for War: Medieval Spain’, Past & Present 35 (1966): 54–76; M. González Jiménez, ‘Frontier and Settlement in the Kingdom of Castile (1085–1350)’, in Medieval Frontier Societies, ed. R. Bartlett and A. MacKay (Oxford, 1989), pp. 49–74; J.E. López de Coca Castañer, ‘Institutions on the Castilian–Granadan Frontier, 1369–1482’, in Medieval Frontier Societies, pp. 127–50. For an assessment of the significance of the frontier in medieval Iberian history, see P. Linehan, ‘At the Spanish Frontier’, in The Medieval World, ed. P. Linehan and J.L. Nelson (London and New York, 2001), pp. 37–59. 5 It should be noted that ideas and rhetoric of peninsular territorial reconquest are not necessarily synonymous and interchangeable with those of inter-faith conflict, holy war or crusading, although there could of course be important overlaps: see the measured remarks of R. Fletcher, ‘Reconquest and Crusade in Spain, c.1050–1150’, Transactions of the Royal Historical Society, 5th ser., 37 (1987): 31–47 (38 and passim), and F. Fernández-Armesto, ‘The Survival of a Notion of Reconquista in Late Tenth- and Eleventh-Century León’, in Warriors and Churchmen in the High Middle Ages: Essays Presented to Karl Leyser, ed. T. Reuter (London, 1992), pp. 123–43 (129–30). Cf. J.F. O’Callaghan, Reconquest and Crusade in Medieval Spain (Philadelphia, University of Pennsylvania Press, 2003), pp. 3, 7–11, 23–4. The best treatment of the Iberian crusades remains J. Goñi Gaztambide, Historia de la bula de la cruzada en España (Vitoria, 1958). For a revisionist approach to the origins and early development of crusading in Iberia, see W.J. Purkis, Crusading Spirituality in the Holy Land and Iberia, c.1095–c.1187 (Woodbridge, 2008), pp. 120–78. The primary focus of the present discussion is on political and territorial dimensions of reconquest ideology. 4 See P. Linehan, History and the Historians of Medieval Spain (Oxford, 1993), pp. 95–127; O’Callaghan, Reconquest, pp. 3–6, 17–18; J.N. Hillgarth, The Visigoths in History and Legend (Toronto, 2009), pp. 57–81. But cf. D.W. Lomax, The Reconquest of Spain (London, 1978), p. 1, who argued that ‘The Reconquest ... was an ideal invented by Spanish Christians soon after 711.’ 5 ‘Crónica Albeldense’, in Crónicas Asturianas, ed. and trans. J. Gil Fernández, J.L. Moralejo and J.I. Ruiz de la Peña (Oviedo, 1985), pp. 151–88 (171). 6 ‘Crónica de Alfonso III’, in Crónicas Asturianas, pp. 113–49 (126). 7 Fletcher, ‘Reconquest’, pp. 33–4. 8 R. Menéndez Pidal, The Spaniards in their History, trans. Walter Starkie (London, Hollis & Carter, 1950), pp. 143–4 (my emphasis). See also ibid., pp. 182–90. Menéndez Pidal’s thesis was not without its critics, however: see P. Radin, ‘National Traits and Mythology’, The Kenyon Review 14.2 (1952): 340–4. My thanks to an anonymous reader for bringing this review to my attention and to Ms. Frances Durkin for her assistance in tracking down the journal. For the context in which Menéndez Pidal was writing, see Fernández-Armesto, pp. 139–41; P. Linehan, ‘The Court Historiographer of Francoism?: La Leyenda oscura of Ramón Menéndez Pidal’, Bulletin of Hispanic Studies 73 (1996), 437–50. More generally, see P. Linehan, ‘Religion, Nationalism and National Identity in Medieval Spain and Portugal’, in Religion and National Identity, ed. S. Mews, Studies in Church History 18 (Oxford, 1982), pp. 161–99. 9 See, for example, A. Ubieto Arteta, ‘Valoración de la reconquista peninsular’, Príncipe de Viana 120–2 (1970): 213–20; Fletcher, ‘Reconquest’; S. Barton, ‘From Tyrants to Soldiers of Christ: The Nobility of Twelfth-Century León-Castile and the Struggle against Islam’, Nottingham Medieval Studies 44 (2000), 28–48; S. Barton, ‘Spain in the Eleventh Century’, in The New Cambridge Medieval History, vol. 4.2, ed. D. Luscombe and J. Riley-Smith (Cambridge, 2004), pp. 154–90. Fletcher and Barton have stressed that the eleventh- and early twelfth-century rulers and military aristocracy of the Christian states of Iberia were more interested in acquiring wealth and land for their own gain than they were in pursuing any broader ideological programmes of reconquest. For the contribution of Ubieto Arteta, see the comments of Fernández-Armesto, pp. 127–9. 10 See esp. the discussion in Fernández-Armesto, passim. 11 Lomax, p. 2 and passim, argued that it was ‘illogical’ to regard the Reconquest as ‘merely a modern historiographical concept superimposed on a series of disconnected events’. See also, for example, González Jiménez, p. 49, who wrote that ‘the Reconquest ... [was] a projected ideal which was never abandoned during the Middle Ages’. 12 B.A. Callos, The Victors and the Vanquished: Christians and Muslims of Catalonia and Aragon, 1050–1300 (Cambridge, 2004), pp. 2, 13, 86. 13 Ibid., p. 85. 14 J.D. Dodds, M.R. Menocal and A.K. Balbale, The Arts of Intimacy: Christians, Jews and Muslims in the Making of Castilian Culture (New Haven and London, 2008), p. 3. 15 O’Callaghan, Reconquest, pp. 20–1. But see also ibid., pp. 3–4, where it is noted that ‘Like all ideas ... the reconquest was not a static concept brought to perfection in the ninth century, but rather one that evolved and was shaped by the influences of successive generations’, and p. 20, where it is stated that ‘[not] everyone involved in it was motivated in precisely the same way’. 18 Ibid., pp. 7, 214. For a discussion of the Visigothic legacy, see now Hillgarth, passim. 19 C.J. Bishko, ‘The Spanish and Portuguese Reconquest, 1095–1492’, in A History of the Crusades, vol. 3, ed. H.W. Hazard (Madison, WI, 1975), pp. 396–456 (396–7). See also Fletcher, ‘Reconquest’, pp. 37–8; Barton, ‘Spain’; W.J. Purkis, ‘The Past as a Precedent: Crusade, Reconquest and Twelfth-Century Memories of a Christian Iberia’, in The Making of Memory in the Middle Ages, ed. L. Doležalová (Leiden, 2010), pp. 441–61. 20 Key themes that distinguish reconquest ideology are, I suggest, liberating, retaking, reclaiming and restoring (as opposed to conquering, expanding, extending or amplifying), and an explicit awareness of a territorial propriety that has been usurped by an external aggressor. 21 Fletcher, ‘Reconquest’, passim. 22 Menéndez-Pidal, p. 188. 23 D.J. Smith, “‘Soli Hispani’? Innocent III and Las Navas de Tolosa”, Hispania Sacra 51 (1999): 487–513 (500). See also the comments of O’Callaghan, Reconquest, p. 9. 24 Papsturkunden in Spanien: Vorarbeiten zur Hispania Pontificia, ed. P. Kehr, 2 vols. (Berlin, 1926–8), vol. 2, no. 11, pp. 267–9. 25 Alexander II, ‘Epistolae et privilegia’, PL 146, no. 101, col. 1387. 26 La documentación pontificia hasta Inocencio III (963–1216), ed. D. Mansilla (Rome, 1955), no. 29, pp. 46–7. O’Callaghan, Reconquest, p. 31, translates in murum et antemurale as ‘a barrier and a bulwark’. 27 This is the view of L.J. McCrank, ‘Norman Crusaders in the Catalan Reconquest: Robert Burdet and the Principality of Tarragona, 1129–55’, Journal of Medieval History 7 (1981): 67–82 (68). 28 Cf. Urban II, ‘Epistolae et privilegia’, PL 151, no. 237, col. 504, where his conception of the scope of war with Islam was considerably broader. For the context, see the useful discussion in H.E.J. Cowdrey, ‘Pope Urban II and the Idea of Crusade’, Studi medievali 36 (1995): 721–42 (723). 29 La documentación, no. 6, p. 12. Translation from The Register of Pope Gregory VII, 1073–1085, trans. H.E.J. Cowdrey (Oxford, 2002), p. 7. 30 O’Callaghan, Reconquest, pp. 27–9. Gregory may well have been looking to the precedent set during the pontificate of Alexander II by King Sancho I Ramírez of Navarre (1063–94), for which see ibid., p. 27. 31 Barton, ‘Spain’, pp. 178–9. J.F. O’Callaghan, ‘The Integration of Christian Spain into Europe: The Role of Alfonso VI of León-Castile’, in Santiago, Saint-Denis, and Saint Peter: The Reception of the Roman Liturgy in León-Castile in 1080, ed. B.F. Reilly (New York, 1985), pp. 101–20 (102), wrote that ‘On reading these letters one seems to be drawn into a world of unrelivity.’ 32 La documentación, no. 13, p. 24. Translation from Cowdrey, Register, p. 244. 33 This is the judgement of O’Callaghan, Reconquest, p. 29, and Barton, ‘Spain’, p. 178. See also H.E.J. Cowdrey, Pope Gregory VII, 1073–1085 (Oxford, 1998), pp. 468–9. 34 J. France, ‘Byzantium in Western Chronicles before the First Crusade’, in Knighthoods of Christ: Essays on the History of the Crusades and the Knights Templar Presented to Malcolm Barber, ed N. Housley (Aldershot, 2007), pp. 3–16 (8). 35 B.F. Reilly, The Kingdom of León-Castilla under King Alfonso VI, 1065–1109 (Princeton, Princeton University Press, 1988), pp. 103–4. See also Cowdrey, Gregory VII, p. 476. On the difficulties associated with defining the scope of the imperial title, see Fernández-Armesto, pp. 137–9. 36 Historia Silense, ed. J. Pérez de Urbel and A. González Ruiz-Zorrilla (Madrid, 1959). For a more detailed consideration of this important text, see R. Fletcher, ‘A Twelfth-Century View of the Spanish Past’, in The Medieval State: Essays Presented to James Campbell, ed. J.R. Maddicott and D.M. Palliser (London, 2000), pp. 147–61; J. Wreglesworth, ‘Sallust, Solomon and the Historia Silense’, in From Orosius to the Historia Silense: Four Essays on Late Antique and Early Medieval Historiography of the Iberian Peninsula, ed. D. Hook (Bristol, 2005), pp. 97–129. See also Hillgarth, pp. 82–94. 37 Historia Silense, pp. 118–19, 141. 38 Ibid., p. 177. 39 Ibid., p. 119. 40 See also ibid., p. 176, where the inhabitants of tenth-century León are referred to as the gens Gotorum. It is noteworthy that the author of the Silense had access to the Chronicle of Alfonso III, one of the foundational ‘reconquest texts’ of the late ninth century referred to above: see Fletcher, ‘View’, p. 154. 41 Historia Silense, p. 141. 42 Ibid., p. 125. 43 Ibid., p. 119. 44 See, for example, the discussion of the events that took place after the death of King Fernando I in 1065 in ibid., pp. 119–20, 204–5. O’Callaghan, Reconquest, pp. 4–5, points to thirteenth-century complaints about how this custom hampered eleventh-century attempts to reconstruct Visigothic hegemony. 45 ‘Abd Allah, The Tabyan: Memoirs of ‘Abd Allah b. Buluggin, last Zúrid Emir of Granada, trans. A.T. Tibi (Leiden, 1986), p. 90. For a thoughtful commentary on this passage, and on Alfonso VI’s interest in reconquest more generally, see Lay, pp. 16–17, 19–20. 46 A. Gambra, Alfonso VI: Cancillería, Curia e Imperio, 2 vols. (León, 1997), vol. 2, no. 86, p. 227. Fletcher, ‘Reconquest’, p. 39, was sceptical about the authenticity of the language ascribed to Alfonso VI in this charter. 47 O’Callaghan, Reconquest, p. 41. 48 Eugenius III, ‘Epistolae et privilegia’, PL 180, no. 166, col. 1203. 49 The Chronicle of Ibn al-Athir for the Crusading Period, Part 2: The Age of Nur al-Din and Saladin, trans. D.S. Richards (Aldershot, 2007), pp. 36–7, 91. References to Alfonso VII as ‘Little Sultan’ were presumably intended to be condescending and point to an understanding that Alfonso thought more of his imperial authority than his Muslim adversaries did. 50 For Marcabru’s relationship with Alfonso VII, see Marcabru: A Critical Edition, ed. and trans. S. Gaunt, R. Harvey and L. Paterson (Woodbridge, 2000), nos. 9 and 23. See also S. Barton, The Aristocracy in Twelfth-Century León and Castile (Cambridge, 1997), pp. 146–7. 51 For the date, see Marcabru, no. 22, p. 309. 52 Marcabru, no. 22, pp. 310–11. It is tempting to think that this is an oblique reference to Alfonso VII’s interest in opening the iter per Hispaniam, an alternative route to the Holy Sepulchre via Spain and North Africa. Marcabru’s song can be dated reasonably closely in time to Alfonso’s confirmation of the privileges of the fraternity of Belchite (1136), which, although short-lived, was an organisation that was founded for the express purpose of opening the iter. For the context, see Purkis, Crusading, pp. 129–37; P.J. O’Banion, ‘What has Iberia to do with Jerusalem? Crusade and the Spanish Route to the Holy Land in the Twelfth Century’, Journal of Medieval History 34 (2008), 383–95. 53 Marcabru, no. 22, pp. 312–13. 54 ‘Chronica Adefonsi imperatoris’, in Chronica Hispana saeculi XII, ed. E. Falque, J. Gil and A. Maya, CCCM 71 (Turnhout, 1990), pp. 147–248. For a recent discussion of this text, see S. Barton, ‘Islam and the West: A View from Twelfth-Century León’, in Cross, Crescent and Conversion: Studies on Medieval Spain and Christendom in Memory of Richard Fletcher, ed. S. Barton and P. Linehan (Leiden, 2008), pp. 153–74. See the comments of Fletcher, ‘Reconquest’, pp. 41–2. Barton, ‘Islam’, p. 171–4, shows that Alfonso was not incapable of pragmatism in his dealings with peninsular Muslim rulers, but the terms of the treaty of Tudellén (January 1151) certainly indicate how ambitious his plans for future conquests were: see O’Callaghan, Reconquest, p. 47. See S. Barton and R. Fletcher, The World of El Cid: Chronicles of the Spanish Reconquest (Manchester, 2000), p. 152; Barton, ‘Islam’, p. 158. ‘Prefatio de Almaria’, in Chronica Hispana saeculi XII, p. 255. See also ibid., p. 262, where the military prowess of the ancestors one of Alfonso’s senior nobles is said to have surpassed that of Roland and Oliver. Barton and Fletcher, pp. 155–61. ‘Historia Turpini’ [= HT], in Liber sancti Jacobi: Codex Calixtinus, ed. K. Herbers and M. Santos Noia (Santiago de Compostela, 1998), pp. 199–229. See also Historia Karoli Magni et Rotholandi ou Chronique du Pseudo-Turpin, ed. C. Meredith-Jones (Paris, 1936). HT, p. 199. See Purkis, Crusading, pp. 150–65. For the context, see also J. Stuckey, ‘Charlemagne as Crusader? Memory, Propaganda, and the Many Uses of Charlemagne’s Legendary Expedition to Spain’, in The Legend of Charlemagne in the Middle Ages: Power, Faith, and Crusade, ed. M. Gabriele and J. Stuckey (Basingstoke, 2008), pp. 137–52. For the medieval cult of St James and the development of pilgrimage to Compostela, see R. Fletcher, St James’s Catapult: The Life and Times of Diego Gelmírez of Santiago de Compostela (Oxford, 1984), pp. 53–101. HT, p. 201. HT, p. 202. See also The Song of Roland, trans. G. Burgess (London, 1990), p. 29, whose opening lines state that Charlemagne had ‘conquered that proud land as far as the sea’. It is possible that the reference to the tellus Pardi was intended to point to the territory in the frontier region south of the Duero: see Barton and Fletcher, p. 244 n. 197. My thanks to Professor Barton for this suggestion. For the identification of these place-names, see R. Dozy, Recherches sur l’histoire et la littérature de l’Espagne, 3rd edition, vol. 2 (Paris, 1881), pp. 383–92; Historia Karoli Magni, pp. 267–87 (which includes a map at pp. 268–9); The Pseudo-Turpin, edited from Bibl. Nat. Ms. 17656, ed. H.M. Smyser (Cambridge, MA, 1937), p. 19 n. 2. For a useful discussion of this chapter’s contents, see C. Smith, ‘The Geography and History of Iberia in the Liber Sancti Jacobi’, in The Pilgrimage to Compostela in the Middle Ages, ed. M. Dunn and L.K. Davidson (New York and London, 1996), pp. 23–41 (31–6). Smith, pp. 35–6, notes that Lisbon is not included in this list and argues that the absence of a reference to the city suggests that the text was completed before its conquest by King Afonso I Henriques (1128–85) in 1147, for which see now J.P. Phillips, The Second Crusade: Extending the Frontiers of Christendom (New Haven and London, 2007), pp. 136–67. D.S. Bachrach, ‘Conforming with the Rhetorical Tradition of Plausibility: Clerical Representation of Battlefield Orations against Muslims, 1080–1170’, International History Review 26 (2004): 1–19 (3), notes that ‘When addressing audiences familiar either with the events written about or with similar situations, the chroniclers tried to sound accurate, even if their accounts differ in detail from the events they describe.’ See O’Callaghan, Reconquest, pp. 35–6. See ibid., pp. 36–41; C. Stalls, Possessing the Land: Aragon’s Expansion into Islam’s Ebro Frontier under Alfonso the Battler, 1104–1134 (Leiden, 1995). Pseudo-Turpin's interest in the extension of reconquest activities to North Africa was not unique, however, and contemporaries were certainly aware that the Visigoths had held authority over the African province of Mauritania Tingitana. See, for example, the description of the extent of Visigothic dominion in the Historia Silense, p. 118: 'The Spanish kings governed in a Catholic manner from the Rhône, the greatest river of the Gauls, as far as the sea which divides Europe from Africa; six provinces, that is to say, of Narbonne, Tarragona, Betica, Lusitania, Carthago and Galicia. Furthermore they subjected the province of Tingitana, in the furthest bounds of Africa, to their lordship.' Translation from Barton and Fletcher, p. 28. HT, p. 203. For another treatment of this exchange, see S. Throop, 'Combat and Conversation: Interfaith Dialogue in Twelfth-Century Crusading Narratives', Medieval Encounters 13 (2007), 310–25 (317–20). A comparable discussion can be found, for example, in the contemporaneous De expugnatione Lyxbonensi: The Conquest of Lisbon, ed. and trans. C.W. David, with a new foreword and bibliography by J.P. Phillips (New York, 2001), pp. 114–25, esp. 120–3. Smyser, p. 27 n. 4, points out that Pseudo-Turpin forgets himself at other points in the text, and slips into writing from a perspective of twelfth-century hindsight when he is supposedly writing in the eighth century. HT, p. 208. See also HT, p. 219, where Pseudo-Turpin has Roland declare that Charlemagne's warriors were fighting in Iberia 'to expel the faithless people, to exalt the Lord's holy name, to avenge his precious blood, and to proclaim the [Christian] faith.' HT, p. 214. Earlier in the text Pseudo-Turpin also gave a full account of the identities and diverse geographical origins of the leading warriors in Charlemagne's armies: see HT, pp. 206–7. In a subsequent chapter, he went on to suggest that Charlemagne had appointed the bishops of Compostela as the ultimate source of political and religious authority over the peninsula: see HT, pp. 214–15. For the context, see R. McCluskey, 'Malleable Accounts: Views of the Past in Twelfth-Century Iberia', in The Perception of the Past in Twelfth-Century Europe, ed. P. Magdalino (London, 1992), pp. 211–25 (220). For the idea that the conflict between twelfth-century crusaders and the Almoravids was perceived as a 're-enactment' of the events of the eighth century, see Purkis, 'Past', pp. 453–9. For the text of this forged encyclical, see HT pp. 228–9. For analysis, see Purkis, Crusading, pp. 160–2. For the 'Europeanisation' of the peninsula, see, for example, O'Callaghan, 'Integration'; R. Bartlett, The Making of Europe: Conquest, Colonization and Cultural Change, 950–1350 (Harmondsworth, 1994), esp. pp. 24–59; M.G. Bull, Knightly Piety and the Lay Response to the First Crusade: The Limousin and Gascony, c.970-c.1130 (Oxford, 1993), pp. 70–114; Lay, pp. 3–4 and passim. Two recent studies of post-conquest settlement by peoples originating from beyond the peninsula are A. Virgili, 'Angli cum multis aliis alienigenis: Crusade Settlers in Tortosa (Second Half of the Twelfth Century)', Journal of Medieval History 35 (2009): 297–312, and L. Villegas-Aristizábal, 'Anglo-Norman Intervention in the Conquest and Settlement of Tortosa, 1148–1180', Crusades 8 (2009): 63–129. See also McCrank, passim. Contemporary Iberian writers may have been more sceptical about the contribution of outsiders to peninsular wars with the Muslims of al-Andalus: on the Historia Silense, see the comments of Fletcher, 'View', p. 157, and the sentiments about those from 'beyond the Pyrenees' voiced in Marcabru, no. 22, pp. 310–11. Smith, p. 39 n. 12, suggests the possibility of a textual relationship between the Historia Turpini and the Chronica Adefonsi imperatoris (the chronicle to which the Poem of Almería was appended). Stuckey, p. 142, has written that ‘Charlemagne [is] cast as the perfection of Christian kingship and imperial authority’ in the HT. It is at least a possibility that Alfonso’s targeting of Almeria – a city on the south-eastern coast of the peninsula – was something of an attempt to justify his claims to imperial (neo-Carolingian?) authority over Iberia. In targeting Almeria in 1147 – as Charlemagne was supposed to have done before him – Alfonso could legitimately claim to be reconquering (in the words of The Song of Roland, p. 29) ‘that proud land as far as the sea’. The economic advantages of the campaign should not be discounted, however: see B. Gari, ‘Why Almeria? An Islamic Port in the Compass of Genoa’, Journal of Medieval History 18 (1992): 211–33. The afterlife of the HT is something of a legend in itself: see G.M. Spiegel, Romancing the Past: The Rise of Vernacular Prose Historiography in Thirteenth-Century France (Berkeley, CA, 1993), pp. 55–98. For Catalonia see, for example, the remarks of McCluskey, p. 221, and, more generally, N.L. Paul, ‘The Fruits of Penance and the Laurel of the Cross: Poetics of Crusade and Conquest in the Memorials of Santa Maria de Ripoll’ (Forthcoming). For Portugal, see for example, Lay, pp. 100–2; Purkis, ‘Past’, pp. 457–9. For the state-building ideas of the enigmatic Rodrigo Díaz (c.1043–99), see S. Barton, ‘El Cid and the Medieval Spanish Reconquista: The Making of a Christian Hero’ (Forthcoming). See also the remarks of O’Callaghan, Reconquest, p. 7, and Hillgarth, pp. 99–103. For a radically different approach to the issue of peninsular state-building, albeit one that was deeply flawed and ultimately thwarted, see the arrangements that King Alfonso I of Aragón made for his succession in 1134, which show indication of his being motivated by a profound crusading spirituality rather than neo-Gothic idealism: Colección diplomática de Alfonso I de Aragón y Pamplona (1104-1134), ed. J.A. Lema Pueyo (San Sebastián, Eusko-Ikaskuntza, 1990), no. 284, pp. 446–8. For discussion, see E. Lourie, ‘The Will of Alfonso I, “El Batallador”, King of Aragon and Navarre: A Reassessment’, Speculum 50 (1975): 635–51; A.J. Forey, ‘The Will of Alfonso I of Aragón and Navarre’, Durham University Journal 73 (1980): 59–65; E. Lourie, The Will of Alfonso I of Aragon and Navarre: A Reply to Dr Forey’, Durham University Journal 77 (1984), 165–72. See above, n. 45. See also Ibn ‘Idhari’s fourteenth-century account of Fernando I’s programme of reconquest, quoted in D. Wasserstein, The Rise and Fall of the Party Kings: Politics and Society in Islamic Spain, 1003-1086 (Princeton, NJ, 1985), p. 250. Ibn ‘Idhari’s account is likely to be spurious (see Fletcher, ‘Reconquest’, p. 37), although cf. O’Callaghan, Reconquest, p. 9, who wrote that his work ‘reliably reflects traditions handed on by his sources’. See esp. Fernández-Armesto, passim. See also the conclusions of McCluskey, pp. 223–5. For an important study of the evolution of ideas of reconquest in the later Middle Ages, see J.F. O’Callaghan, ‘Castile, Portugal, and the Canary Islands: Claims and Counterclaims, 1344–1479’, Viator 24 (1993), 287–308.
ODE parameter inference using adaptive gradient matching with Gaussian processes F. Dondelinger The Netherlands Cancer Institute email@example.com M. Filippone and S. Rogers School of Computing Science University of Glasgow D. Husmeier School of Mathematics and Statistics University of Glasgow Abstract Parameter inference in mechanistic models based on systems of coupled differential equations is a topical yet computationally challenging problem, due to the need to follow each parameter adaptation with a numerical integration of the differential equations. Techniques based on gradient matching, which aim to minimize the discrepancy between the slope of a data interpolant and the derivatives predicted from the differential equations, offer a computationally appealing shortcut to the inference problem. The present paper discusses a method based on nonparametric Bayesian statistics with Gaussian processes due to Calderhead et al. (2008), and shows how inference in this model can be substantially improved by consistently sampling from the joint distribution of the ODE parameters and GP hyperparameters. We demonstrate the efficiency of our adaptive gradient matching technique on three benchmark systems, and perform a detailed comparison with the method in Calderhead et al. (2008) and the explicit ODE integration approach, both in terms of parameter inference accuracy and in terms of computational efficiency. 1 INTRODUCTION In many domains of applications, ordinary differential equations (ODEs) are a useful tool for modeling the behaviour of a system. Systems where they have been applied range from physics and engineering to ecology (Lotka, 1932), and recently, systems biology (see e.g. De Jong, 2002). In systems biology, ODEs have been used to describe the dynamics of pathways and gene regulatory interactions in the cell (Pokhilko et al., 2010). Frequently, molecular biologists will have sufficient knowledge about a system to define the equations that govern its behaviour, but there will be uncertainty about the kinetic or thermodynamic parameters. A common way to resolve this uncertainty is to use some form of parameter inference based on the available experimental data (Ashyraliyev et al., 2009). Previous approaches to parameter inference in ODEs have ranged from maximum likelihood over variational approximations and Markov Chain Monte Carlo (MCMC) to Hamiltonian Monte Carlo (Girolami and Calderhead, 2011). Generally, all of these approaches involve explicitly solving the ODE system at each inference step to evaluate how well the inferred parameter values match the data. As this incurs a computational cost at each step, which grows linearly with the dataset size and size of the system, alternatives have been developed that avoid explicitly solving the system of differential equations (Varah, 1982; Poyton et al., 2006; Ramsay et al., 2007; Calderhead et al., 2008). These alternatives work by interpolating the signal from the observed experimental data and calculating the gradients, to which the ODE system can then be fitted directly. One recent approach is described in Calderhead et al. (2008). This approach uses Gaussian Processes (GPs) to model the experimental data, which has the advantage that all the parameters can be inferred from the data. A disadvantage of the method proposed in Calderhead et al. (2008) is that the hyperparameters of the Gaussian process are inferred based on the data alone, without any rectifying feedback mechanism from the ODE system. This falls short of related previous approaches, like Ramsay et al. (2007). While the approach in Calderhead et al. (2008) generally works well for the limiting case of zero noise, we have observed that it tends to lead to rather poor parameter estimation from data subject to noise. In the present paper, we propose an improved inference scheme, which we call adaptive gradient matching (AGM). In this scheme, both the hyperparameters of the Gaussian process as well as the ODE parameters are jointly and consistently inferred from the posterior distribution, leading to an essential information coupling between both, by taking account of their correlation. The scheme is adaptive, in that unlike in Calderhead et al. (2008), the GP is adapted during the inference based on information from the ODE system. We demonstrate that this leads to a significant improvement in the robustness with respect to noise. 2 METHOD 2.1 Proposal by Calderhead et al. (2008) Consider a set of $T$ arbitrary time points $t_1 < \ldots < t_T$, and a sequence of noisy observations $\mathbf{Y} = (\mathbf{y}(t_1), \ldots, \mathbf{y}(t_T))$, $$\mathbf{y}(t) = \mathbf{x}(t) + \mathbf{\varepsilon}(t)$$ \hspace{1cm} (1) of a $K$-dimensional process $\mathbf{X} = (\mathbf{x}(t_1), \ldots, \mathbf{x}(t_T))$, $\dim(\mathbf{x}(t)) = \dim(\mathbf{y}(t)) = \dim(\mathbf{\varepsilon}(t)) = K$, whose evolution is defined by a system of $K$ ordinary differential equations (ODEs): $$\dot{\mathbf{x}}(t) = -\frac{d\mathbf{x}(t)}{dt} = \mathbf{f}(\mathbf{x}(t), \mathbf{\theta}); \quad \mathbf{x}(t_1) = \mathbf{x}_1$$ \hspace{1cm} (2) with parameter vector $\mathbf{\theta}$ of length $P$, and $\mathbf{\varepsilon}$ is a multivariate Gaussian noise process $\mathbf{\varepsilon} \sim \mathcal{N}(\mathbf{0}, \mathbf{D})$, where $D_{kk} = \sigma_k^2 \delta_{kk}$, i.e. for simplicity we assume the covariance matrix $\mathbf{D}$ to be diagonal: $$P(\mathbf{Y}\|\mathbf{X}, \mathbf{\sigma}) = \prod_k \prod_t P(y_k(t)\|x_k(t), \sigma_k)$$ $$= \prod_k \prod_t \mathcal{N}(y_k(t)\|x_k(t), \sigma_k^2)$$ \hspace{1cm} (3) The matrices $\mathbf{X}$ and $\mathbf{Y}$ are of dimension $K$-by-$T$. Let $\mathbf{x}_k$ and $\mathbf{y}_k$ denote $T$-dimensional column vectors that contain the $k$th row of the matrices $\mathbf{X}$ and $\mathbf{Y}$, respectively. Hence, $\mathbf{x}_k$ and $\mathbf{y}_k$ represent the respective time series of the $k$th state. Given that inference based on an explicit numerical integration of the differential equations, as pursued in Vyshemirsky and Girolami (2008), tends to incur high computational costs, an alternative approach based on non-parametric Bayesian modelling with Gaussian processes was proposed in Calderhead et al. (2008). They put a Gaussian process prior on $\mathbf{x}_k$, $$p(\mathbf{x}_k\|\mathbf{\phi}_k) = \mathcal{N}(\mathbf{x}_k\|\mathbf{0}, \mathbf{C}_{\phi_k})$$ \hspace{1cm} (4) where $\mathbf{C}_{\phi_k}$ denotes a positive definite matrix of covariance functions with hyperparameters $\mathbf{\phi}_k$. Assuming additive Gaussian noise with a state-specific error variance $\sigma_k^2$, we get: $$p(\mathbf{y}_k\|\mathbf{x}_k, \sigma_k) = \mathcal{N}(\mathbf{y}_k\|\mathbf{x}_k, \sigma_k^2 \mathbf{I})$$ $$p(\mathbf{y}_k\|\mathbf{\phi}_k, \sigma_k) = \int p(\mathbf{y}_k\|\mathbf{x}_k, \sigma_k)p(\mathbf{x}_k\|\mathbf{\phi}_k)d\mathbf{x}_k$$ $$= \int \mathcal{N}(\mathbf{y}_k\|\mathbf{x}_k, \sigma_k^2 \mathbf{I})\mathcal{N}(\mathbf{x}_k\|\mathbf{0}, \mathbf{C}_{\phi_k})d\mathbf{x}_k$$ $$= \mathcal{N}(\mathbf{y}_k\|\mathbf{0}, \mathbf{C}_{\phi_k} + \sigma_k^2 \mathbf{I})$$ \hspace{1cm} (5) The conditional distribution for the state derivatives is given by $$p(\dot{\mathbf{x}}_k\|\mathbf{x}_k, \mathbf{\phi}) = \mathcal{N}(\mathbf{m}_k; \mathbf{A}_k)$$ \hspace{1cm} (7) where $$\mathbf{m}_k = ' \mathbf{C}_{\phi_k} \mathbf{C}_{\phi_k}^{-1} \mathbf{x}_k; \quad \mathbf{A}_k = \mathbf{C}_{\phi_k}'' - ' \mathbf{C}_{\phi_k} \mathbf{C}_{\phi_k}^{-1} \mathbf{C}_{\phi_k}'$$ \hspace{1cm} (8) Here, the matrix $\mathbf{C}_{\phi_k}''$ denotes the auto-covariance for each state derivative, and the matrices $\mathbf{C}_{\phi_k}'$ and $' \mathbf{C}_{\phi_k}$ denote the cross-covariances between the $k$th state and its derivative. See supplementary material A.1 for details. Assuming additive Gaussian noise with a state-specific error variance $\gamma_k$, one gets from (2): $$p(\dot{\mathbf{x}}_k\|\mathbf{X}, \mathbf{\theta}, \gamma_k) = \mathcal{N}(\mathbf{f}_k(\mathbf{X}, \mathbf{\theta}), \gamma_k \mathbf{I})$$ \hspace{1cm} (9) where $\mathbf{f}_k(\mathbf{X}, \mathbf{\theta}) = (\mathbf{f}_1(\mathbf{x}(t_1), \mathbf{\theta}), \ldots, \mathbf{f}_t(\mathbf{x}(t_T), \mathbf{\theta}))^\top$. Next, the approach taken in Calderhead et al. (2008) is to combine (7) and (9) with a product of experts approach: $$p(\mathbf{\theta}, \gamma\|\mathbf{X}, \mathbf{\phi}) = \int p(\hat{\mathbf{X}}, \mathbf{\theta}, \gamma\|\mathbf{X}, \mathbf{\phi})d\hat{\mathbf{X}}$$ $$\propto p(\mathbf{\theta})p(\gamma) \int p(\hat{\mathbf{X}}, \mathbf{X}, \mathbf{\phi}\|\mathbf{\theta}, \gamma)d\hat{\mathbf{X}}$$ $$\propto p(\mathbf{\theta})p(\gamma) \prod_k \int p(\dot{\mathbf{x}}_k\|\mathbf{x}_k, \mathbf{\phi})p(\mathbf{x}_k\|\mathbf{X}, \mathbf{\theta}, \gamma_k)d\mathbf{x}_k$$ $$= p(\mathbf{\theta})p(\gamma) \prod_k \int \mathcal{N}(\dot{\mathbf{x}}_k\|\mathbf{m}_k; \mathbf{A}_k)\mathcal{N}(\mathbf{x}_k\|\mathbf{f}_k(\mathbf{X}, \mathbf{\theta}), \gamma_k \mathbf{I})d\mathbf{x}_k$$ $$\propto \frac{p(\mathbf{\theta})p(\gamma)}{\prod_k Z(\gamma_k)} \times$$ $$\exp \left\{ -\frac{1}{2} \sum_k (\mathbf{f}_k - \mathbf{m}_k)^\top (\mathbf{A}_k + \gamma_k \mathbf{I})^{-1} (\mathbf{f}_k - \mathbf{m}_k) \right\}$$ \hspace{1cm} (10) where $p(\mathbf{\theta})$ and $p(\gamma)$ are the prior distributions on $\mathbf{\theta}$ and $\gamma$, $Z(\gamma_k) = \|2\pi(\mathbf{A}_k + \gamma_k \mathbf{I})\|^{1/2}$ and we have defined $\gamma = (\gamma_1, \ldots, \gamma_K)$ and $\mathbf{f}_k = \mathbf{f}_k(\mathbf{X}, \mathbf{\theta})$. Inference is based on sampling the parameters of the ODEs $\mathbf{\theta}$, the hyperparameters of the Gaussian process $\mathbf{\phi}$, the noise variances $\gamma, \mathbf{\sigma}$, and the state variables $\mathbf{X}$ from the posterior distribution $p(\mathbf{\theta}, \mathbf{\gamma}, \mathbf{\phi}, \mathbf{\sigma}, \mathbf{X}\|\mathbf{Y})$ with the following Gibbs sampling procedure: $$\mathbf{\phi}, \mathbf{\sigma} \sim p^(\mathbf{\phi}, \mathbf{\sigma}\|\mathbf{Y})$$ $$\mathbf{X} \sim p(\mathbf{X}\|\mathbf{\gamma}, \mathbf{\sigma}, \mathbf{\phi})$$ $$\mathbf{\theta}, \mathbf{\gamma} \sim p(\mathbf{\theta}, \mathbf{\gamma}\|\mathbf{X}, \mathbf{\phi}, \mathbf{\sigma})$$ \hspace{1cm} (11) \hspace{1cm} (12) \hspace{1cm} (13) The distribution in the last sampling step, (13), is given by (10). This distribution does not have a standard form, and sampling from it directly is infeasible. Hence, MCMC with the Metropolis-Hastings algorithm (Hastings, 1970) is used. Note that $p(\mathbf{\phi}, \mathbf{\sigma}\|\mathbf{Y}) = \int p(\hat{\mathbf{X}}, \mathbf{\phi}, \mathbf{\sigma}, \mathbf{\theta}, \gamma\|\mathbf{Y})d\hat{\mathbf{X}}\|\mathbf{\theta}, \gamma$ is analytically intractable. Calderhead et al. (2008) approximate $p(\mathbf{\phi}, \mathbf{\sigma}\|\mathbf{Y})$ by a distribution derived from a standard Gaussian process that is decoupled from the rest of the model. We call this $p^(\mathbf{\phi}, \mathbf{\sigma}\|\mathbf{Y})$. The sampling steps (11) and (12) are broken up into the contributions from the individual states $k$: \begin{align} \phi_k, \sigma_k &\sim p^(\phi_k, \sigma_k \| y_k) \\ &\propto p(y_k \| \phi_k, \sigma_k) p(\phi_k) p(\sigma_k) \\ &= N(y_k \| 0, \sigma_k^2 I + C_{\phi_k}) p(\phi_k) p(\sigma_k) \\ x_k &\sim p(x_k \| y_k, \sigma_k, \phi_k) = N(x_k \| \mu_k, \Sigma_k) \end{align} where $\mu_k = C_{\phi_k} (C_{\phi_k} + \sigma_k^2 I)^{-1} y_k$ and $\Sigma_k = \sigma_k^2 (C_{\phi_k} (C_{\phi_k} + \sigma_k^2 I)^{-1})$. Equation (15) follows from $p(x_k \| y_k, \sigma_k, \phi_k) = p(y_k \| x_k, \sigma_k) p(x_k \| \phi_k) / p(y_k \| \sigma_k, \phi_k)$, equations (4–6) are well-established results for Gaussian distributions. Sampling of the vector of latent variables $x_k$ in (15) follows directly from a multivariate Gaussian distribution. For sampling $\phi_k$ and $\sigma_k$ in (14), one again has to resort to MCMC. The overall MCMC scheme then iteratively loops through the steps (11–13) until some convergence criterion has been met.\footnote{Note that the method proposed in Calderhead et al. (2008) slightly deviates from the summary given here, in that (8) is defined as follows: $m_k = C_{\phi_k} (C_{\phi_k} + \sigma_k^2 I)^{-1} x_k$ and $\Lambda_k = C_{\phi_k}^{-1} - C_{\phi_k} (C_{\phi_k} + \sigma_k^2 I)^{-1} C_{\phi_k}$, which leads to the dependence of (10) on $\sigma$. However, this formulation, which is motivated by including information from the data $Y$, is methodologically inconsistent.} However, the approximation in equation (11) of the sampling scheme introduces a certain weakness: the parameters of the ODE systems, $\theta, \gamma$, which are sampled in the third step of the Gibbs sampling routine (13), never feed back into the first and second steps, (11–12). This implies that $\theta, \gamma$ have no bearing on the inference of the state variables $X$: these state variables are solely inferred from the observed data via a standard Gaussian process interpolation, (11–12). Hence the method proposed in Calderhead et al. (2008) is a two-step procedure, in which first an interpolation problem is solved, and then the parameters of the ODEs are inferred by matching the derivatives of the interpolant with those predicted from the ODEs. This falls short of the method proposed in Ramsay et al. (2007), where the interpolation fits both the noisy data and the derivatives from the ODEs simultaneously, allowing the system of ODEs to feed back onto the interpolation. ### 2.2 Adaptive Gradient Matching We demonstrate that with a mathematically more consistent formulation of the inference procedure, we can close the desired feedback loop between interpolation and parameter estimation of the ODEs. Following Calderhead et al. (2008), we combine (7) and (9) with a product of experts approach: \begin{align} p(\dot{x}_h \| X, \theta, \phi, \gamma_h) &\propto p(\dot{x}_h \| x_h, \phi) p(x_h \| X, \theta, \gamma_h) \\ &= N(\dot{x}_h \| m_h, A_h) N(x_h \| f_h(X, \theta), \gamma_h I) \end{align} We obtain for the joint distribution: \begin{align} p(X, X, \theta, \phi, \gamma) &= p(X \| X, \theta, \phi, \gamma) p(X \| \phi) p(\theta) p(\phi) p(\gamma) \\ &= p(\theta) p(\phi) p(\gamma) \prod_k N(\dot{x}_h \| X, \theta, \phi, \gamma_h) p(x_h \| \phi_h) \end{align} Inserting (4) and (16), we get: \begin{align} p(X, X, \theta, \phi, \gamma) &\propto p(\theta) p(\phi) p(\gamma) \prod_k N(\dot{x}_h \| m_h, A_h) \\ &N(\dot{x}_h \| f_h(X, \theta), \gamma_h I) N(x_h \| 0, C_{\phi_h}) \end{align} The marginalization over the state derivatives $\dot{X}$ \begin{align} p(X, \theta, \phi, \gamma) &= \int p(X, X, \theta, \phi, \gamma) dX \\ &\propto p(\theta) p(\phi) p(\gamma) \prod_k N(x_h \| 0, C_{\phi_h}) \times \\ &\int N(\dot{x}_h \| m_h, A_h) N(x_h \| f_h(X, \theta), \gamma_h I) d\dot{x}_h \end{align} is analytically tractable and yields: \begin{align} p(X, \theta, \phi, \gamma) &\propto p(\theta) p(\phi) p(\gamma) p(X \| \theta, \phi, \gamma) \\ &\propto \prod_k N(x_h \| 0, C_{\phi_h}) \times \\ &\exp \left[ -\frac{1}{2} (\dot{f}_h - m_h)^T (A_h + \gamma_h I)^{-1} (\dot{f}_h - m_h) \right] \\ &\propto \exp \left[ -\frac{1}{2} \sum_k (\dot{x}_h^T C_{\phi_h}^{-1} x_h + \\ &(\dot{f}_h - m_h)^T (A_h + \gamma_h I)^{-1} (\dot{f}_h - m_h)) \right] \end{align} where $m_h$ and $A_h$ were defined in (8). Note that this distribution is a complicated function of the states $X$, owing to the nonlinear dependence via $\dot{f}_h = \dot{f}_h(X, \theta)$. For the joint probability distribution of the whole system we obtain: \begin{align} p(Y, X, \theta, \phi, \gamma, \sigma) &= p(Y \| X, \sigma) p(X \| \theta, \phi, \gamma) p(\theta) p(\phi) p(\gamma) p(\sigma) \end{align} where the first factor, $p(Y \| X, \sigma)$, was defined in (3), and the second factor is given by (20). Note that the functional form of the second term is defined up to an unknown normalization constant. To bypass the problem of normalizing the distribution (20), we follow a Metropolis-Hastings scheme. Denote by $q_1(\sigma)$, $q_2(\phi)$, $q_3(x_h)$, $q_4(\theta)$ and $q_5(\gamma)$ the proposal distributions for the inferred parameters. We propose new values from these distributions: $q_1$ and $q_5$ are sparse exponential distributions with $\lambda = 10$ to ensure small noise values and $q_2$, $q_3$ and $q_4$ are uniform distributions over the intervals [0, 100], [0, 10] and [0, 20], respectively. These proposal distributions correspond to the prior distributions for the parameters in our model, except for $\sigma$ where we use a sparse gamma prior $Ga(1, 1)$, and $\theta$, where we have imposed a gamma distribution $Ga(4, 0.5)$ as a prior to encode our prior belief about parameter values, which is that most parameters will be > 0 and < 5. We then accept or reject these proposal moves according to the standard Metropolis-Hastings criterion (Hastings, 1970). Define $$\pi(Y, X, \theta, \phi, \gamma, \sigma) = \frac{p(Y, X, \theta, \phi, \gamma, \sigma)}{q_1(\sigma)q_2(\phi)q_3(\theta)q_4(\gamma)\Pi_k q_5(x_k)},$$ then: $$P_{accept} = \min \left\{ 1, \frac{\pi(Y, \tilde{X}, \tilde{\theta}, \tilde{\phi}, \tilde{\gamma}, \tilde{\sigma})}{\pi(Y, X, \theta, \phi, \gamma, \sigma)} \right\} \quad (22)$$ For improved mixing and convergence, it is advisable to not propose all moves simultaneously, but to apply a blocking strategy and employ a Gibbs sampling scheme. We do not make that explicit in our notation, though. The effect of (22) is that the parameters $\theta$ have an influence on the acceptance probabilities for $X$. This mechanism closes the feedback loop, with the system of ODEs acting back in an adaptive manner on the interpolants $x_k$ via the parameters $\theta$. In this way, we address the main shortcoming of the method proposed in Calderhead et al. (2008). ### 3 SAMPLING SETUP For running simulations with the model in Calderhead et al. (2008), we make use of the MATLAB code provided by the authors. Our adaptive gradient matching model was implemented in R, where we followed the sampling scheme from Calderhead et al. (2008) whenever possible. Like Calderhead et al., we used population MCMC (Jasra et al., 2007) to deal with the potentially rugged likelihood landscapes of the nonlinear ODE systems. For all MCMC simulations in this paper, we ran 10 chains at different temperatures, starting from an exponential scale which we tuned during the burn-in phase to achieve an acceptance rate of 0.25 for exchange moves.\footnote{We did not employ cross-over moves in this sampler, although implementing a cross-over scheme similar to the one in Jasra et al. (2007) could potentially speed up mixing and convergence.} Similarly, proposal widths for all parameters and hyperparameters were tuned to achieve an acceptance rate of 0.25. The choice of 0.25 is motivated by analogy to Gelman (1997), where an acceptance rate of 0.234 was found to be asymptotically optimal for a random walk Metropolis algorithm. We initialised $X$ and $\phi$ using a GP regression fit with maximum likelihood to the data $Y$; the same initial GP hyperparameters were used for the Calderhead et al. model and for our improved gradient matching model. All other parameters were initialised by drawing samples from the prior distributions defined in Section 2.2. The sampling of the hyperparameters $\phi$ and the latent variables $X$ warrants further explanation. Although we could in principle propose new values for $X$ and $\phi$ by sampling them alternately from the prior, or from some other distribution, e.g. via a random walk, this is highly inefficient due to the strong coupling between them. To avoid this problem, we apply a whitening of the prior, following Murray and Adams (2010). We introduce an independent Gaussian vector $\nu$, and update the hyperparameters $\phi$ for fixed $\nu$ instead of fixed $X$, by using the transformation $X = L_{C_{\phi_k}} \nu$, where $L_{C_{\phi_k}} L_{C_{\phi_k}}^T = C_{\phi_k}$. Since $\nu$ and $\phi$ are independent, this scheme removes the problems created by strong coupling. Furthermore, these updates will change both $X$ and $\phi$; in effect, we are now treating the latent variables as ancillary to the GP hyperparameters. For the GP methods, the choice of covariance function can be important, as the GP needs to be able to fit the dynamics of the data. For the PIF4/5 model and the Lotka-Volterra model described in Section 4, a radial basis function covariance function $k(t, t') = \sigma_{kern}^2 \exp(-0.5 (t - t')^2 / l^2)$ with hyperparameters $\sigma_{kern}^2$ and $l^2$ (variance and characteristic lengthscale) was used, which provided a good fit. However, this covariance function does not provide a good fit for data from the model for the signal transduction cascade (also described in Section 4). We therefore switched to a sigmoid covariance function $k(t, t') = \sigma_{kern}^2 \arcsin \left( \frac{a + b \cdot t \cdot t'}{\sqrt{(a + b \cdot t \cdot t' + 1)(a + b \cdot t' \cdot t' + 1)}} \right)$ with hyperparameters $\sigma_{kern}^2$, $a$ and $b$. Note that in general the sigmoid covariance function gives good regression fits for all models. For a more in-depth treatment of GP covariance functions, see Chapter 4 in Rasmussen and Williams (2006). In addition to the scheme described in Section 2.2, we also implemented a sampler which uses the explicit integration of the ODE system. This sampler is based on the same population MCMC setup as above, but samples from the distribution: $P(Y, \theta^, \sigma) = P(Y \| \theta^, \sigma)P(\theta^)P(\sigma)$, where $\theta^$ is the parameter vector for the ODE system, augmented with the initial concentrations for each species, and $P(\theta^)$ and $P(\sigma)$ are the priors defined in Section 2.2. Then we have $P(Y \| \theta^, \sigma) = \prod_k \prod_t P(y_k(t) \| \theta^, \sigma_k)$, with $P(y_k(t) \| \theta^, \sigma_k) = N(y_k(t) \| x_k(t, \theta^), \sigma_k^2)$ where $x_k(t, \theta^)$ is the solution of the ODE system for species $k$ at time $t$, given $\theta^$. Parameters corresponding to the initial concentrations are initialised using the observed concentrations at time $t = 0$ for each species; however these are only starting values, and the actual initial concentrations need to be sampled from the joint distribution as part of the MCMC. 4 BENCHMARK ODE SYSTEMS In this section, we present three small-to-medium-sized ODE models of biological systems that we will use to benchmark the parameter inference methods. The PIF4/5 model. We apply our GP parameter inference method to a model for gene regulation of genes $ PIF4 $ and $ PIF5 $ by $ TOC1 $ in the circadian clock gene regulatory network of $ Arabidopsis thaliana $. The overall network is represented by the Locke 2-loop model (Locke et al., 2005), with all parameters that were originally inferred following Pokhilko et al. (2010). Only the parameters involved in regulation of $ PIF4 $ and $ PIF5 $ are inferred from the data using the methods described in this paper. We simplify the model to represent genes $ PIF4 $ and $ PIF5 $ as a combined gene $ PIF4/5 $. We are interested in the promoter strength $ s $, the rate constant $ K_d $ and Hill coefficient $ h $ of the regulation by $ TOC1 $, and the degradation rate $ d $ of the $ PIF4/5 $ mRNA. The regulation process is represented by the following ODE: \[ \frac{d[PIF4/5]}{dt} = s \cdot \frac{K_d^h}{K_d^h + [TOC1]^h} - d \cdot [PIF4/5] \tag{23} \] where $ [PIF4/5] $ and $ [TOC1] $ represent the concentration of $ PIF4/5 $ and $ TOC1 $, respectively. For the experiments presented here, data were generated with parameters $ \{s = 1, K_d = 0.46, h = 2, d = 1\} $, which generates concentrations that are close to real-life measurements of $ PIF4/5 $. For each dataset, we simulated data over the interval $[0, 24]$ with sampling intervals in $[2, 4]$. We use the $ PIF4/5 $ concentration from a measurement of Arabidopsis gene expressions at the beginning of the day (0.386) as the concentration at time $ t=0 $ which is used to generate the data. The Lotka-Volterra model. The Lotka-Volterra model is a 2-equation system that was originally developed for modelling predator-prey interaction in ecology (Lotka, 1932). There are two species, a prey species $ S $ (the ‘sheep’) and a predator species $ W $ (the ‘wolves’). The dynamics of their interactions are described by a system of two ODEs, $ \frac{d[S]}{dt} = [S] \cdot (\alpha - \beta \cdot [W]) $ and $ \frac{d[W]}{dt} = -[W] \cdot (\gamma - \delta \cdot [S]) $. This system is of interest because it exhibits periodicity, and there are non-linear interactions between the two species. For the experiments presented here, data were generated with parameters $ \{\alpha = 2, \beta = 1, \gamma = 4, \delta = 1\} $, which generates stable oscillations. For each dataset, we simulated data over the interval $[0, 2]$ with sampling intervals of 0.25. The initial values for the prey species $ S $ and the predator species $ W $ were set at $ [S] = 5 $ and $ [W] = 3 $ to generate the data. The signal transduction cascade. Our third and final model is a model of a signal transduction cascade that was described in Vyshemirsky and Girolami (2008) (Model 1). At the top of the cascade we have protein $ S $, which can degrade into $ S_d $. $ S $ activates protein $ R $ into active state $ Rpp $ by first binding to it to form $ RS $, which is then activated to turn into $ Rpp $. $ Rpp $ can degrade back into $ R $, and $ RS $ can separate back into $ S $ and $ R $. The model is described by the following system of five ODEs: \[ \begin{align} \frac{d[S]}{dt} &= -k_1 \cdot [S] - k_2 \cdot [S] \cdot [R] + k_3 \cdot [RS] \\ \frac{d[S_d]}{dt} &= k_1 \cdot [S] \\ \frac{d[R]}{dt} &= -k_2 \cdot [S] \cdot [R] + k_3 \cdot [RS] + \frac{V \cdot [Rpp]}{Km + [Rpp]} \\ \frac{d[RS]}{dt} &= k_2 \cdot [S] \cdot [R] - k_3 \cdot [RS] - k_4 \cdot [RS] \\ \frac{d[Rpp]}{dt} &= k_4 \cdot [RS] - \frac{V \cdot [Rpp]}{Km + [Rpp]} \tag{24} \end{align} \] This system is of interest as it represents a realistic formulation of signal transduction as an ODE system, using mass action and Michaelis-Menten kinetics. For the experiments presented here, data were generated with parameters $ \{k_1 = 0.07, k_2 = 0.6, k_3 = 0.05, k_4 = 0.3, V = 0.017, Km = 0.3\} $, following Vyshemirsky and Girolami (2008). For each dataset, we simulated data over the interval $[0, 100]$ and took samples at time points $\{0, 1, 2, 4, 5, 7, 10, 15, 20, 30, 40, 50, 60, 80, 100\}$. This means that we sampled more timepoints during the earlier part of the timeseries, where the dynamics tend to be faster. We also followed Vyshemirsky and Girolami (2008) in setting the initial values for generating the timecourses of the 5 species: $ \{[S] = 1, [S_d] = 0, [R] = 1, [RS] = 0, [Rpp] = 0\} $. 5 PARAMETER INFERENCE RESULTS We use the three benchmark systems described in Section 4 to analyse the performance of our adaptive gradient matching, and to provide a thorough comparison with both the method in Calderhead et al. (2008), and the sampler which explicitly solves the ODE system, as described in Section 3.$^3$ We generated data from each system using the R package deSolve (Soetaert et al., 2010) for numerically integrating the systems of differential equations. See Section 4 for the parameter and initial concentration settings. We then added white Gaussian observation noise to the datasets. For the $ PIF4/5 $ system and the signal transduction cascade, we added noise with standard deviation $ \in \{0, 0.1\} $, and for the Lotka-Volterra system we added noise with $^3$Note that due to the higher computational cost involved, we could only apply the explicit ODE integration method to the Lotka-Volterra model and the signal transduction cascade. Applying it to the $ PIF4/5 $ system would have required solving the entire 14-equation system of the Locke 2-loop model at each step, which was not feasible with the time and resources at our disposal. Figure 1: PIF4/5 expression levels with varying sampling intervals and noise. We show the true (noiseless) expression values, the sampled latent variables (triangles) and the expression profile simulated from the ODE using the sampled $\theta$ values (circles). Error bars show one standard deviation. Left: Calderhead et al. model. Right: Adaptive gradient matching. standard deviation $\in \{0, 0.5\}$. The higher noise level for the Lotka-Volterra system reflects the higher amplitude of the signal in this system. We generated 10 datasets for each noise level and system. Convergence was monitored via diagnostic plots and the potential scale reduction factor (PSRF) (Gelman and Rubin, 1992). A PSRF < 1.1 for all ODE parameters in $\theta$ was taken as an indication of sufficient convergence. We collected 1000 samples at intervals of 100 steps from the converged chains. Samples from all 10 independent datasets were pooled to obtain the final predictions. Note that we were unable to obtain a PSRF < 1.1 for the Calderhead et al. model in the presence of non-zero Gaussian observation noise; in this case, we resorted to running the MCMC chains for 200,000 steps, which corresponds to roughly twice the number of steps that it took adaptive gradient matching to reach convergence, before taking samples as described above. Figure 1 shows the results for the PIF4/5 system. The data used for the parameter inference was sampled at intervals 2 and 4 timesteps, where 4 is a realistic sampling interval for actual measurements. We compare the method in Calderhead et al. (2008) with our adaptive gradient matching technique. We see that when there is no noise, the two methods perform equally well, but as soon as we introduce noise into the system, the predictions by the Calderhead et al. method become unreliable due to non-convergence. Figures 2 show the results for the prey species in the Lotka-Volterra system. Results for the predator species were similar, and can be found in the supplementary material. The data used for the parameter inference was sampled at intervals of 0.25 timesteps. Again the method by Calderhead et al. showed good performance in the noiseless case, but a deteriorated performance in the presence of noise. For noise level 0, adaptive gradient matching performed as well as the explicit ODE integration, and for the high noise level of 0.5, the performance of adaptive gradient matching is still competitive. Finally, Figure 3 shows the results for the signal transduction cascade. Figure 3 only shows the predictions for Rpp, which represents the activated protein complex, and is arguably the central species in this system. Predictions for the other species can be found in the supplementary material. Figure 3 also includes boxplots for the sampled parameters. For the last two parameters, we present the ratio $V/Km$, as this is the crucial quantity that determines reconstruction accuracy. Once again, our adaptive gradient matching performs well, and remains competitive with explicit ODE integration in the presence of noise. Note that even though the ratio $V/Km$ is overestimated by our method for noise level 0.1, the sampled parameters still result in a good fit to the observed data. 6 SPEED AND COMPUTATIONAL COMPLEXITY In Calderhead et al. (2008), the authors demonstrate that the moves of their sampler scale with $O(NT^3)$, due to the requirement of inverting a $T \times T$ data matrix $N$ times (where $T$ is the length of the input time series and $N$ is the number of species in the system). We can make a similar argument for adaptive gradient matching. The dominant computational cost for each sampling step comes from Equation (20), which requires inverting two $T \times T$ data matrices. Thus the complexity of each sampling step is $O(2NT^3) = O(NT^3)$ when the sampling is done for all $N$ species\footnote{Note that in practice the inverted matrices can be cached, so we only have to invert both matrices for MCMC moves that change the GP hyperparameters. Therefore we should not expect the computational costs to be double those of Calderhead et al. (2008).}. Hence each MCMC move using adaptive gradient matching has the same computational complexity as a move in Calderhead et al. (2008). What will matter most in practice is how long each method takes to converge. Although it is difficult to prove convergence, we can get an indication by using the potential scale reduction factor (PSRF) as a convergence diagnostic, as described in Section 5. For convenience, we will refer to an MCMC run as converged if the PSRF is $\leq 1.1$ for all parameters in $\theta$. Figure 4 compares the explicit ODE integration with the model by Calderhead et al. (2008), and with adaptive gradient matching in terms of computational time for $10^5$ iterations (in seconds)\footnote{Although the simulations were run on the same machine, there may be implementation-dependent speed differences between Calderhead et al. (2008) (implemented in MATLAB) and AGM (implemented in R).} and number of MCMC iterations before reaching convergence. We used the signal transduction cascade described in Section 4 as the test model. Each method was run 10 times using 10 different data instantiations (adding Gaussian observation noise with standard deviation 0.1). We see that, as expected, adaptive gradient matching and the method in Calderhead et al. (2008) are both faster than explicit ODE integration for a fixed number of iterations. Furthermore, adaptive gradient matching is only marginally slower than the method in Calderhead et al. (2008). We see that the method in Calderhead et al. (2008) does not converge for any of the runs, confirming our observation from Section 5. Adaptive gradient matching, on the other hand, converges in fewer iterations than explicit ODE integration. This can be explained by the difference in the dimensionality of the parameter space; as we have pointed out in Section 3, to integrate the ODE system, we also need to infer the initial concentrations for each species, in effect increasing the number of parameters. Adaptive gradient matching avoids having to infer the initial concentrations by effectively profiling over them, which, along with the treatment of latent variables $X$ as ancillary variables (see Section 3), leads to fast convergence. 7 DISCUSSION We have described an adaptive gradient matching approach for parameter inference in ODE systems based on Calderhead et al. (2008). Adaptive gradient matching avoids the need for explicitly solving the ODE system at each MCMC sampling step, which significantly reduces the computational burden. In the method of Calderhead et al., an adaptation of the ODE parameters has no influence on the inference of the GP hyperparameters. This corresponds to a unidirectional information flow from GP interpolation to parameter inference in the system of ODEs. We have developed a methodological improvement that infers both GP hyperparameters and ODE parameters jointly from the posterior distribution, and where due to conditional dependence between both groups, the latter may exert an influence on the former. This closes the inference Figure 3: Expression levels of activated protein complex Rpp in the signal transduction pathway, with varying observational noise. Expression levels for other species in the system can be found in the supplementary material. We show the true (noiseless) expression values, the sampled latent variables (triangles) and the expression profile simulated from the ODE using the sampled $\theta$ values (circles). Error bars show one standard deviation. The boxplots give an idea of the distribution of the sampled parameters, where the true parameter value is marked with an X. The horizontal bar shows the median, the box margins show the 25th and 75th percentiles, the whiskers indicate data within 2 times the interquartile range, and circles are outliers. Top Row: Calderhead et al. model. Middle Row: Adaptive gradient matching. Bottom Row: Explicit ODE integration. procedure by effectively introducing an important information feedback loop from the ODE system back to the GP interpolation. We have applied adaptive gradient matching to three model systems from ecology and systems biology, and have demonstrated that our method improves on Calderhead et al. (2008) and performs on a par with a sampler which explicitly solves the ODE system at each step. Regarding computational complexity, our method is marginally slower than the method of Calderhead et al. (2008) in terms of CPU time per iteration due to the fact that two matrix inversions rather than one are needed to calculate equation (20). However, both methods have the same asymptotic complexity of $O(NT^3)$, and caching techniques reduce the practical difference to much less than a factor of two (see Figure 4, left panel). Regarding the efficiency of the MCMC sampler, we found that the method of Calderhead et al. (2008) often fails to converge for non-zero noise variance, and that our new sampling approach substantially improves convergence and mixing (see Figure 4, right panel). In particular, our method improves both execution time (CPU time per iteration) and MCMC convergence (number of iterations) over explicit ODE integration. The former improvement, which is due to the gradient matching approach, was found to lead to an acceleration by a whole order of magnitude. In general, the improvement will depend on the size and stiffness of the ODE system. The latter improvement results from the fact that gradient matching does not require knowledge or inference of the initial conditions, which reduces the dimension of the parameter space by effectively profiling over the corresponding subdomain. A close relative of our work is the recent method of functional tempering (Campbell and Steele, 2012), which is based on the same gradient matching paradigm as our approach, but uses B-splines instead of Gaussian processes for data interpolation. Their approach has one vector of regularization parameters, which corresponds to our hyperparameter vector $\gamma$ and penalizes the mismatch between the gradients. Our model additionally profits from the hyperparameters of the Gaussian process, $\phi$, which define the flexibility of the interpolant and are automatically inferred from the data, while in the model of Campbell and Steele (2012) this flexibility is defined by the B-splines basis and has to be set in advance. An interesting difference is the tempering scheme of Campbell and Steele (2012), which applied to our model corresponds to gradually forcing $\gamma$ to zero rather than inferring it from the posterior distribution. A comparative evaluation is the subject of our future research. Acknowledgements This work was partially funded by EPSRC and the EU (FP7 project "Timet"). References Ashyraliyev, M., Fomekong-Nanfack, Y., Kaandorp, J., and Blom, J. (2009). Systems biology: parameter estimation for biochemical models. FEBS Journal, 276(4):886–902. Calderhead, B., Girolami, M. A., and Lawrence, N. D. (2008). Accelerating Bayesian inference over nonlinear differential equations with Gaussian processes. In Advances in Neural Information Processing Systems (NIPS), volume 22. Campbell, D. and Steele, R. (2012). Smooth functional tempering for nonlinear differential equation models. Statistics and Computing, pages 1–15. De Jong, H. (2002). Modeling and simulation of genetic regulatory systems: a literature review. Journal of Computational Biology, 9(1):67–103. Gelman, A. (1997). Weak convergence and optimal scaling of random walk Metropolis algorithms. The Annals of Applied Probability, 7(1):110–120. Gelman, A. and Rubin, D. (1992). Inference from iterative simulation using multiple sequences. Statistical Science, 7(4):457–472. Girolami, M. and Calderhead, B. (2011). Riemann manifold Langevin and Hamiltonian Monte Carlo methods. Journal of the Royal Statistical Society: Series B (Statistical Methodology), 73(2):123–214. Hastings, W. K. (1970). Monte Carlo sampling methods using Markov chains and their applications. Biometrika, 57:97–109. Jasra, A., Stephens, D., and Holmes, C. (2007). On population-based simulation for static inference. Statistics and Computing, 17(3):263–279. Locke, J., Southern, M., Kozma-Bogdar, L., Hibberd, V., Brown, P., Turner, M., and Millar, A. (2005). Extension of a genetic network model by iterative experimentation and mathematical analysis. Molecular Systems Biology, 1:(online). Lotka, A. (1932). The growth of mixed populations: two species competing for a common food supply. Journal of the Washington Academy of Sciences, 22:461-469):461–469. Murray, I. and Adams, R. (2010). Slice sampling covariance hyperparameters of latent Gaussian models. In Advances in Neural Information Processing Systems (NIPS), volume 23. Pokhilko, A., Hodge, S., Stratford, K., Knox, K., Edwards, K., Thomson, A., Mizuno, T., and Millar, A. (2010). Data assimilation constrains new connections and components in a complex, eukaryotic circadian clock model. Molecular Systems Biology, 6(1). Poyton, A., Varziri, M., McAuley, K., McLellan, P., and Ramsay, J. (2006). Parameter estimation in continuous-time dynamic models using principal differential analysis. Computers & Chemical Engineering, 30(4):698–708. Ramsay, J., Hooker, G., Campbell, D., and Cao, J. (2007). Parameter estimation for differential equations: a generalized smoothing approach. Journal of the Royal Statistical Society: Series B (Statistical Methodology), 69(5):741–796. Rasmussen, C. E. and Williams, C. K. I. (2006). Gaussian Processes for Machine Learning. MIT Press. Soetaert, K., Petzoldt, T., and Setzer, R. (2010). Solving differential equations in R: Package deSolve. Journal of Statistical Software, 33(9):1–25. Varah, J. (1982). A spline least squares method for numerical parameter estimation in differential equations. SIAM Journal on Scientific and Statistical Computing, 3:28. Vyshemirsky, V. and Girolami, M. (2008). Bayesian ranking of biochemical system models. Bioinformatics, 24(6):833–839. A SUPPLEMENTARY MATERIAL Below, we present additional details and results that could not fit into the main paper: the explicit expressions of the cross-covariance matrices from Section 2.1, a comparison of the regression fits for the two alternative Gaussian process covariance functions, as well as further results for parameter inference comparison between adaptive gradient matching, the method from Calderhead et al. (2008), and explicit ODE integration. A.1 Cross-Covariance Matrices Below, we present the explicit expressions for the cross-covariance matrices. For a derivation of these results, see Rasmussen and Williams (2006). We obtain that: \[ C'_{\phi_k}(i,j) = \frac{dK_{\phi_k}(t_i,t_j)}{dt_i} \\ ^tC_{\phi_k}(i,j) = \frac{dK_{\phi_k}(t_i,t_j)}{dt_j} \\ C''_{\phi_k}(i,j) = \frac{d^2K_{\phi_k}(t_i,t_j)}{dt_idt_j} \] where $ K_{\phi_k}(t_i,t_j) $ is the chosen covariance function for the Gaussian process. For the RBF covariance function, we obtain: \[ \frac{dK^{rbf}_{\phi_k}(t,t')}{dt} = -\frac{(t-t')}{l^2}K^{rbf}_{\phi_k}(t,t') \\ \frac{dK^{rbf}_{\phi_k}(t,t')}{dt'} = \frac{(t-t')}{l^2}K^{rbf}_{\phi_k}(t,t') \\ \frac{d^2K^{rbf}_{\phi_k}(t,t')}{dtdt'} = \left( \frac{1}{l^2} - \frac{(t-t')^2}{l^4} \right)K^{rbf}_{\phi_k}(t,t') \] For the sigmoid covariance function, we obtain: \[ \frac{dK^{sig}_{\phi_k}(t,t')}{dt} = \frac{\sigma^2_{sig}}{\sqrt{1-Z^2}}\frac{dZ}{dt} \\ \frac{dK^{sig}_{\phi_k}(t,t')}{dt'} = \frac{\sigma^2_{sig}}{\sqrt{1-Z^2}}\frac{dZ}{dt'} \\ \frac{d^2K^{sig}_{\phi_k}(t,t')}{dtdt'} = \frac{\sigma^2_{sig}}{\sqrt{1-Z^2}} \times \\ \left( \frac{Z}{1-Z^2}\frac{dZ}{dt'}\frac{dZ}{dt} + \frac{d^2Z}{dtdt'} \right) \] where: \[ Z = \frac{a+btt'}{Z_{norm}} \] with $ Z_{norm} = \sqrt{(a+btt+1)(a+bt't'+1)} $, and we have: \[ \frac{dZ}{dt} = b\left( \frac{t'}{Z_{norm}} - \frac{tZ}{a+btt+1} \right) \\ \frac{dZ}{dt'} = b\left( \frac{t}{Z_{norm}} - \frac{t'Z}{a+bt't'+1} \right) \\ \frac{d^2Z}{dtdt'} = b\left( \frac{1}{Z_{norm}} - \frac{bt't'}{(a+bt't'+1)Z_{norm}} \right) - \\ \frac{bt}{(a+btt+1)}\frac{dZ}{dt'} \] A.2 GP Covariance Function Comparison The two covariance functions used in this work are the RBF (radial basis function) covariance function $ k(t,t') = \sigma^2_{kern} \exp(-0.5(t-t')^2/l^2) $ with parameters $ \sigma^2_{kern} $ and $ l^2 $ (variance and characteristic lengthscale), and the sigmoid covariance function $ k(t,t') = \sigma^2_{kern} \arcsin \left( \frac{a+btt'}{\sqrt{(a+btt+1)(a+bt't'+1)}} \right) $ with parameters $ \sigma^2_{kern} $, $ a $ and $ b $. Figures 5 - 7 show a comparison of the GP regression fits (using maximum likelihood) to data from the different model systems. We see that the sigmoid covariance function always provides a good fit, while the RBF covariance function breaks down for some of the species in the signal transduction cascade. This is due to the fact that the RBF covariance function assumes stationarity, with a fixed lengthscale $ l^2 $. That assumption is not true for the signal transduction cascade. The sigmoid covariance function, on the other hand, is non-stationary and can deal with varying lengthscales. Note that the in the signal transduction example we applied added the Gaussian noise on log scale (in effect adding multiplicative noise), to avoid getting negative values for concentrations close to zero; this leads to slight distortion for the sigmoid covariance function as the noise model assumes additive Gaussian noise. Figure 5: GP Regression fits to PIF4/5 expression levels, using the RBF and the sigmoidal covariance function. The crosses represent the data points, the solid line is the GP mean. Top Row: Gaussian noise with standard deviation 0. Bottom Row: Gaussian noise with standard deviation 0.1. Figure 6: GP Regression fits to predator and prey concentrations in the Lotka-Volterra model, using the RBF and the sigmoidal covariance function. The crosses represent the data points, the solid line is the GP mean. Gaussian noise with standard deviation 0.1 was applied. Top Row: Prey species. Bottom Row: Predator Species. Figure 7: GP Regression fits to species concentrations in the signal transduction pathway, using the RBF and the sigmoidal covariance function. The crosses represent the data points, the solid line is the GP mean. Gaussian noise with standard deviation 0.1 was applied. From top to bottom, the rows show species S, dS, R, RS and Rpp. A.3 Additional Parameter Inference Results We present some additional parameter inference results that we had to omit from the main paper due to space restriction. Figure 8 shows the results for the PIF4/5 system with sampling interval 1. Figure 9 shows the results for the predator species in the Lotka-Volterra model. Figures 10 and 11 show the results for species S, $S_d$, R and RS in the signal transduction pathway, for Gaussian noise with standard deviation 0 and 0.1, respectively. Figure 8: PIF4/5 expression levels with sampling interval 1 and varying observational noise. We show the true (noiseless) expression values, the sampled latent variables (triangles) and the expression profile simulated from the ODEs using the sampled $\theta$ values (circles). Error bars show one standard deviation. Top Row: Calderhead et al. (2008) model. Bottom Row: Adaptive gradient matching. Figure 9: Lotka-Volterra concentrations for the predator species with varying observational noise. We show the true (noiseless) expression values, the sampled latent variables (triangles) and the expression profile simulated from the ODE using the sampled $\theta$ values (circles). Error bars show one standard deviation. Top Row: Calderhead et al. (2008) model. Middle Row: Adaptive gradient matching. Bottom Row: Explicit ODE integration. Figure 10: Expression levels of species other than Rpp in the signal transduction pathway, with no observational noise. We show the true (noisless) expression values, the sampled latent variables (triangles) and the expression profile simulated from the ODE using the sampled $\theta$ values (circles). Error bars show one standard deviation. Top Row: Calderhead et al. (2008) model. Middle Row: Adaptive gradient matching. Bottom Row: Explicit ODE integration. Figure 11: Expression levels of species other than Rpp in the signal transduction pathway, with observational noise with standard deviation 0.1. We show the true (noiseless) expression values, the sampled latent variables (triangles) and the expression profile simulated from the ODE using the sampled $\theta$ values (circles). Error bars show one standard deviation. Top Row: Calderhead et al. (2008) model. Middle Row: Adaptive gradient matching. Bottom Row: Explicit ODE integration.
Basic Design PRINCIPLES Proximity Alignment Contrast Repetition The Burp Castle Temple of Beer Worship 212-982-4576 41 East 7th Street, East Village Between 2nd Ave & Cooper Sq Proximity Group related items together News U.S. World Politics Business Technology Science Health Culture Arts & Life Movies Pop Culture Food Art & Design Performing Arts Photography Books Book Reviews Author Interviews Music First Listen Music Articles Studio Sessions Videos Our Blogs News U.S. World Politics Business Technology Science Health Culture Arts & Life Movies Pop Culture Food Art & Design Performing Arts Photography Books Book Reviews Author Interviews Music First Listen Music Articles Studio Sessions Videos Our Blogs Free Tea! Free Scones! Learn to Dance! Prizes! Hip Hop Salsa Clown Funk Tango Rumba Saturdays Quickstep Foxtrot 9-3 Bolero 109 Jive Lane Mambo Lindy Hop Cha Cha Krump West Coast Swing Rosetta Dance Studio East Coast Swing Taken from: The Non-Designer’s Design Book Learn to Dance! Rosetta Dance Studio • 109 Jive Lane • Saturdays 9 a.m. to 3 p.m. Smooth Waltz Tango Foxtrot Quickstep Rhythm Cha Cha Rumba Bolero Mambo Street Hip Hop Krump Funk Clown Social East Coast Swing West Coast Swing Lindy Hop Salsa With or without a partner! Prizes! Free Tea and Scones! Taken from: The Non-Designer’s Design Book The Burp Castle Temple of Beer Worship 41 East 7th Street, East Village Between 2nd Ave & Cooper Sq 212-982-4576 The Burp Castle Temple of Beer Worship 41 East 7th Street, East Village Between 2nd Ave & Cooper Sq 212-982-4576 Alignment Find a line an stick with it I’m flush left, also known as left aligned. Day confidently rolled in having just given birth to her daughter a mere four days earlier (“VO is fantastic —nobody is going to judge me for wearing maternity clothes!”) She wasn’t prepared for what was about to hit her. Ivona, a Polish text-to-speech company, was creating a computerized voice that would be incorporated into the Kindle Fire, the mini version of Amazon’s popular reader tablet. When Kindle Fire owners clicked a setting, they’d be able to hear some of their books read to them by “Salli.” For six to seven hours a day, for eight days, Day read passages from Alice in Wonderland, bits of news off the AP wire, and sometimes random sentences, sitting as still in her chair as possible. She read hundreds of numbers, in different cadences. “One! One. One? Two! Two. Two?” “It was like the Ironman of VO,” says Day. “I had not experienced anything like that. I am the queen of the 30–60 second TV spot. That’s my safe place.” She had to take a break after the fourth day, because she had gone hoarse. But then Day soldiered on, and became the voice of many a breezy beach read. FOR EVERY SIRI, THERE’S AN ACTOR SITTING IN A SOUND BOOTH, REALLY NEEDING TO GO TO THE BATHROOM Day’s experience is becoming increasingly common, as talking devices gain a commercial foothold. No longer a novelty, or something marketed primarily to the disabled, speaking gadgets, a la Siri, GPS systems, and text-to-speech enabled apps, are on the rise. It’s easy to see the necessity: when you’re driving you can’t Google, so you ask your phone to find a Starbucks. You’re at the gym; you have your RSS reader reading your financial news to you. Google, Apple, Microsoft, and even Amazon have all invested heavily in speech, and many I’m flush right, also known as right aligned. ‘DON’T LET GO!’ DAZZLING ‘GRAVITY’ EXPLORES LIMITS OF SPACE, CINEMA MOVIE REVIEW BY TY BURR \| PAGE 10 BOOKS CARTER ALAN RECALLS WBCN’S WILD, CRAZY DAYS PAGE 3 THEATER MIRANDA JULY SOLICITS AUDIENCE RESPONSE PAGE 4 OPERA BLO SETS “MAGIC FLUTE” AMONG MAYAN RUINS PAGE 9 MOVIES A SAUDI GIRL BUCKS THE SYSTEM IN BEGUILING ‘WADJIDA’ PAGE 12 TELEVISION PBS’S ‘PARADISE’ TAKES ON CLASS AND COMMERCE PAGE 22 The Boston Globe “g” section HARRY WHO? DANIEL RADCLIFFE, RECOVERING CHILD STAR, BY SUSAN DOMINUS I’m justified. You might find me in a newspaper, a magazine, or a book, but rarely on the web. Make sure your lines are long enough to avoid awkward gaps between words. Greenland or right-whale, he is the best existing authority. But Scoresby knew nothing and says nothing of the great sperm whale, compared with which the Greenland whale is almost unworthy mentioning. And here be it said, that the Greenland whale is an usurper upon the throne of the seas. He is not even by any means the largest of the whales. Yet, owing to the long priority of his claims, and the profound ignorance which, till some seventy years back, invested the then fabulous or utterly unknown sperm-whale, and which ignorance to this present day still reigns in all but some few scientific retreats and whale-ports; this usurpation has been every way complete. Reference to nearly all the leviathanic allusions in the great poets of past days, will satisfy you that the Greenland whale, without one rival, was to them the monarch of the seas. But the time has at last come for a new proclamation. This is Charing Cross; hear ye! good people all,—the Greenland whale is deposed,—the great sperm whale now reigneth! There are only two books in being which at all pretend to put the living sperm whale before you, and at the same time, in the remotest degree succeed in the attempt. Those books are Beale's and Bennett's; both in their time surgeons to English South-Sea whale-ships, and both exact and reliable men. The original matter touching the sperm whale to be found in their volumes is necessarily small; but so far as it goes, it is of excellent quality, though Example 6: Value of a resistor in an electrical circuit. Find the value of a resistor in an electrical circuit which will dissipate the charge to 1 percent of its original value within one twentieth of a second after the switch is closed. \[ \frac{1}{LC} = 1250 \] \[ \left( \frac{R}{2L} \right)^2 = 351.5625 \] \[ \text{SQRT}(B15-B16) = 29.973947 \] \[ \cos(TB17) = 0.07203653 \] \[ -\frac{R}{T/(2L)} = -0.9375 \] \[ Q(t) = \exp(B19) = 3.52445064 \] \[ q_0 = 9 \text{ volts} \] \[ q(t) = 0.09 \text{ volts} \] \[ t = 0.05 \text{ seconds} \] \[ L = 8 \text{ henrys} \] \[ C = 0.0001 \text{ farads} \] \[ R = 300 \text{ ohms} \] \[ q(t) = 0.253889 \] Porche worse jester pore ladle gull hoe lift wetter stop-murder an toe heft-cisterns. Daze worming war furry wicket an shellfish parsons, spatially dole stop-murder, hoe dint lack Porche an, infect, word orphan traitor pore gull mar lichen ammonol dinner hormone bang Porche’s furry gourd-murder whiskered, “Watcher crane aboard?” I’m centered. If you’re going to center it, make it obvious. Am I centered? Maybe? Who can say really. This may have all just been an accident. I am most definitely centered. See that line? Yup, you do. But really, which is the stronger line? PRO TIP Don’t center anything (by default) and when you do center something, do it on purpose and make it obvious! First Friday Club Winter Reading Schedule Friday November 1 at 5 p.m. Cymbeline In this action-packed drama, our strong and true heroine, Imogen, dresses as a boy and runs off to a cave in Wales to avoid marrying a man she hates. Friday, December 6, 5 p.m. The Winter’s Tale The glorious Paulina and the steadfast Hermione keep a secret together for sixteen years, until the Delphic Oracle is proven true and the long-lost daughter is found. All readings held at the Mermaid Tavern, Grand Hall. Sponsored by the Community Education Program. Tickets $10 and $8 For ticket information phone 555-1212 Also Friday, January 3 at 5 p.m. Twelfth Night Join us as Olivia survives a shipwreck, dresses as a man, gets a job, and finds both a man and a woman in love with her. First Friday Club Winter Reading Schedule Cymbeline In this action-packed drama, our strong and true heroine, Imogen, dresses as a boy and runs off to a cave in Wales to avoid marrying a man she hates. November 1 • Friday • 5 p.m. The Winter’s Tale The glorious Paulina and the steadfast Hermione keep a secret together for sixteen years, until the Delphic Oracle is proven true and the long-lost daughter found. December 6 • Friday • 5 p.m. Twelfth Night Join us as Olivia survives a shipwreck, dresses as a man, gets a job, and finds both a man and a woman in love with her. 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Inner flesh, disk abdominal woof lipped honor bet, paunched honor pore oil worming, an garbled erupts. Den desk ratschet ammonol pot honor groin-murder’s nut cup an gnat-gun, any curled ope inner bet. Inner ladle woof, Ladle Rat Rotten Hut a raft arse cordage, an marker rough ball, “Comb ink, sweat hard,” setter wicket woof, disgracing is verse. Ladle Rat Rotten Hut entity bet rum, an stud buyer groin-murder’s bet. “O Grammar!” crafter ladle gull historically, “Water bag ice gut! A nervous sausage bag icell!” “Bastarded lucky chew whiff, sweat hard,” setter, blue Thursday woof, wetter wicket snuff honor phlegm. “O, Grammar, water bag noisel! A nervous sore suture anomalous pronoun, “Grammar!” wetter wicket “whiff doling,” whiskered dole woof, antis mouse worse waudling. “O Grammar, water bag mouser gull! A nervous sore suture bag mouset!” Damp, wam burp, wam burp, ladle gull’s lest woof. Oil offer oxidens, caking offer canvers an sprinkling otter bet, disk hoard-hoarded woof lipped own pore Ladle Rat Rotten Hut an garbled erupts. —H. Chace Anguished Languish Yonder nor sorghum stenchens shut ladle gulls stopper torque wet strainers. Now, an exercise! Taken from: The Non-Designer’s Design Book The story of a wicket woof and a ladle gull by H. Chace Wants pawn term dare worsted ladle gull hoe lift wetter murder inner ladle cordage honor itch offer lodge, dock, florist. Disk ladle gull orphan worry Putty ladle rat cluck wetter ladle rat hut, an fur disk raisin pimple colder Ladle Rat Rotten Hut. Wan moaning Ladle Rat Rotten Hut's murder colder inset. "Ladle Rat Rotten Hut, heregy ladle basking wosome burden barter an shirker cockles. Tick disk ladle basking tutor cordage offer groin-murder hoe lifts honor udder site offer florist. Shaker lakel Dun stopper laundry wrotel Dun stopper peck flores! Dun daily-dolily inner florist, an yonder nor sorghum-stenches, dun stopper torque wet strainerel" "Hoe-cake, murder," resplendent Ladle Rat Rotten Hut, an tickle ladle basking an stuttered oft. Honor wrote tutor cordage offer groin-murder, Ladle Rat Rotten Hut mitten anomalous woof. "Wail, wail, wall!" set disk wicket woof, "Evanescent Ladle Rat Rotten Hut! Wares are putty ladle gull going wizard ladle basking?" "Armor goring tumor groin-murder", reprimal ladle gull. "Grammar's seeking bet. Armor ticking arson burden barter an shirker cockles." "O hoel Heifer gnats woke," setter wicket woof, butter taught tomb sheif, "Oil tickle shirt court tutor cordage offer groin-murder. Oil ketchup wetter letter, an den—O borel!" Soda wicket woof tucker shirt court, an whinny retched a cordage offer groin-murder; picked inner windrow, an sore debtor pore oil worming worse lion inner bet. Inner flesh, disk abdominal woof lipped honor bet, paunched honor pore oil worming, an garbled erupt. Den disk ratchet ammonol pot honor groin-murder's nut cup an gnat-gun, any curdled ope inner bet. Inner ladle wile, Ladle Rat Rotten Hut a raft attar cordage, an ranker dough ball. "Comb ink, sweat hard," setter wicket woof, disgracing is verse. Ladle Rat Rotten Hut entity bet rum, an stud buyer groin-murder's bet. "O Grammar!" crater ladle gull historically, "Water bag icer gut! A nervous sausage bag icel" "Battered lucky chew whiff, sweat hard," setter bloat-Thursday woof, wetter wicket small honors phage. "O, Grammar, water bag noise! A nervous sore suture anomalous prognosis!" "Battered small your whiff, doling," whiskered dole woof, ants mouse worse waddling. "O Grammar, water bag mouser gut! A nervous sore suture bag mousel!" Daze worry on-fonger-nut ladle gull's lest warte. Oil offer sodden, caking offer carvers an sprinkling otter bet, disk hoard-hoarded woof lipped own pore Ladle Rat Rotten Hut an garbled erupt. —H. Chace Anguish Languish Yonder nor sorghum-stenches shut ladlegulls stopper torque wet strainers. 3 Contrast If it’s not exactly the same, make it very different ANOTHER NEWSLETTER! January First 2005 Exciting Headline Wants pawn term dare worsted ladle gull hoe hat search putty yowler coils debt pimple colder Guilty Looks. Guilty Looks lift inner ladle cordage saturated adder shirt disidence firmer bag florist, any ladle gull orphan aster murder toe letter gore entity florist oil buyer shelf. Thrilling Subhead “Guilty Looks!” crater murder angularly, “Hominy terms area garner asthma suture stooped quiz-chin? Goiter door florist? Sordidly nut!” “Wire nut, murder?” wired Guilty Looks, hoe dint peony tension tore murder’s scaldings. “Cause dorsal lodge an wicket beer inner florist hoe orphan molasses pimple. Ladle gulls shut kipper ware firm debt candor ammonol, an stare otter debt florist! Debt florist’s mush toe dentures furry ladle gull!” Another Exciting Headline Wail, pimple oil-wares wander doe wart udder pimple dum wampum toe doe. Debt’s jest hormone nurture. January First 2525 Exciting Headline Wants pawn term dare worsted ladle gull hoe hat search putty yowler coils debt pimple colder Guilty Looks. Guilty Looks lift inner ladle cordage saturated adder shirt disidence firmer bag florist, any ladle gull orphan aster murder toe letter gore entity florist oil buyer shelf. Thrilling Subhead “Guilty Looks!” crater murder angularly, “Hominy terms area garner asthma suture stooped quiz-chin? Goiter door florist? Sordidly nut!” “Wire nut, murder?” wired Guilty Looks, hoe dint peony tension tore murder’s scaldings. “Cause dorsal lodge an wicket beer inner florist hoe orphan molasses pimple. Ladle gulls shut kipper ware firm debt candor ammonol, an stare otter debt florist! Debt florist’s mush toe dentures furry ladle gull!” Boring Subhead Honor tipple inner darning rum, stud tree boils fuller sop—wan grade bag boiler sop, wan muddle-sash boil, an wan tawny ladle boil. Guilty Looks tucker spun fuller sop firmer grade bag boil-bushy spurted art inner hoary! “Arch!” crater gull, “Debt sop’s toe hart—barns mar mouse!” Dingy traitor sop inner muddle-sash boil, witch worse toe coiled. Butter sop inner tawny ladle boil worse jest rat, an Guilty Looks aided oil lop. Dingy nudist tree cheers—wan anomalous cheer, wan muddle-sash cheer, an wan tawny Another Exciting Headline Wail, pimple oil-wares wander doe wart udder pimple dum wampum toe doe. Debt’s jest hormone nurture. Taken from: The Non-Designer’s Design Book don’t be a WIMP if it’s going to be different, for goodness sake make it different. SIZE you can’t contrast 12pt with 13pt font. THE EEPHUS LEAGUE MAGAZINE ISSUE NO 01 KEYBOARD NAVIGATION http://eephusleague.com/magazine/ you can’t contrast dark brown with black. srsly. NYC Wayfinding \| Pentagram PRO TIP White space is your friend truly, it is. The Eephus League began as a student project, an answer to a question. How could I create a project about baseball, yet still have a directed focus for the content? How could I distill the ethos of the game into a core idea for a website and community? I loved the design of baseball, the vernacular, the printed ephemera, but I needed a common thread to tie it together, and I finally found it in Minutiae. Baseball is a massive entity, steeped in equations, history, and tradition, but it’s the small things that emerge in and because of baseball that I love. The Eephus League website serves as a celebration of the spirit of baseball and what it has given us over the past 150 years. This Eephus League online magazine is a further commemoration of baseball’s beauty, oddities and wonderful fans. Through this publication I hope to delve deeper into the nooks and crannies of our game, and preserve these small pieces of triviality lovingly and permanently. It is as much a tribute to the game itself as to its enormous and diverse group of fans. Much of the content inside was generated by passionate and talented fans, expressing their love of the game in infinitely unique and personal ways. Baseball touches each of us in different ways, and in turn the manners in which we The Burp Castle Temple of Beer Worship 41 East 7th Street, East Village Between 2nd Ave & Cooper Sq 212-982-4576 4 Repetition Pick a visual element & do it over and over All he ever wanted was to see his Dad come around that locker room corner after a game, just one time. ...He took another dose of LSD. Meanwhile, Mitzi flipped through a newspaper. “Dock, you better get up,” she said. “You gotta go pitch!” UNITY be consistent to unify a piece Entomologist Richard Karban knows how to get sagebrush talking. To start the conversation, he poses as a grasshopper or a chewing beetle—he uses scissors to cut leaves on one of the shrubs. Lopping off the leaves entirely won’t fool the plants. So he makes many snips around the edges and tips of the leaves—“a lot of little bites.” A few months later, Karban, a professor at the University of California, Davis who studies plant NY Times, Drought’s Footprint IDENTITY do the same thing across multiple pieces to build identity Person of the Year TIME Nuclear Hugger Light to Counter Their Heroes TIME Madame President The Next President TIME Albert Einstein TIME Survivor What Happens if We Leave Afghanistan? TIME JFK JFK survives a bullet wound, but can his legacy survive the war? TIME The Meaning Of Michelle TIME The Contender Obama's Unlikely Path to the White House TIME Identity and the Modern Hero Captain America: The First Avenger TIME I Am Tony Stark Rebuilding what it means to be human in the 21st century TIME Why the Country is Trumping Race How the world's greatest democracy is failing its citizens TIME Over the Line Clinton's penalty when the closest election in history TIME The Global Warming Survival Guide 51 Things You Can Do to Make a Difference TIME The Secret Life of Mother Teresa Full-Force Teresa TIME After Trayvon Winged Beats/The Paper's Pope/The End of Chance? TIME Target: Bin Laden Special Report: The End of Bin Laden TIME The End of Cowboy Diplomacy What North Korea, Iran and Israel had on their minds TIME Person of the Year TIME The Man Behind the Hulk The Character Behind the Movie TIME There Can Only Be One Facebook's Zuckerberg TIME Reborn in the USA How Bruce Springsteen and the Boss of the World Turned Americans into Art TIME What Have You Been Doing Wrong? The Life of an Olympic Legend TIME Survivor JFK Survives a Bullet Wound, But Can His Legacy Survive the War? Red Hen Shannon Williams Route 9 Box 16 San Gelato Arizona 87776 123.456.7890 The Burp Castle Temple of Beer Worship 41 East 7th Street, East Village Between 2nd Ave & Cooper Sq 212-982-4576 The Burp Castle Temple of Beer Worship 41 East 7th Street, East Village Between 2nd Ave & Cooper Sq 212-982-4576 Gertrude's Piano Bar STARTERS: GERTRUDE'S FAMOUS ONION LOAF - 8 GAZPACHO OR ASPARAGUS-SPINACH SOUP - 7 SUMMER GARDEN TOMATO SALAD - 8 SLICED VINE-RIPENED YELLOW AND RED TOMATOES WITH FRESH MOZZARELLA AND BASIL BALSAMIC VINAIGRETTE HAMLET'S CHOPPED SALAD - 7 CUBED CUCUMBERS, RADISHES, AVOCADO, TOMATOES, JARLSBERG CHEESE, AND ROMAINE LEAVES TOSS ED IN A LIGHT LEMON VINAIGRETTE CAESAR SALAD - 7 HOUSE-MADE DRESSING, PARMESAN AND CROUTONS CARIBBEAN CEVICHE - 9 LIME-MARINATED BABY SCALLOPS WITH RED PEPPER, ONIONS, CILANTRO, JALAPENOS, AND ORANGE JUICE SHRIMP COCKTAIL - 14 FIVE LARGE SHRIMP WITH HOUSE-MADE COCKTAIL SAUCE ENTREES: NEW YORK STEAK, 16 OZ - 27 ROTISSERIE CHICKEN - 17 FRESH FISH, 10 OZ - MARKET PRICE GRILLED SHRIMP - 24 NEW ORLEANS LUMP CRAB CAKES WITH WARM VEGETABLE COLESLAW, MASHED POTATOES, SPINACH AND ROMESCO SAUCE - 18 GRILLED PORTOBELLO MUSHROOM STUFFED WITH RICOTTA CHEESE, GARLIC, ONIONS AND SPINACH, SERVED OVER MASHED POTATOES - 18 NEW ZEALAND RACK OF LAMB - 26 BARBECUED BABY BACK RIBS - 24 AUSTRALIAN LOBSTER TAIL, 10 OZ - MARKET PRICE SURF & TURF AUSTRALIAN LOBSTER & 8OZ FILET - MARKET PRICE Let’s redesign this. ← actual restaurant menu, no joke Taken from: The Non-Designer’s Design Book Gertrude's Piano Bar Starters Gertrude's Famous Onion Loaf - 8 Gazpacho or Asparagus-Spinach Soup - 7 Summer Garden Tomato Salad - 8 sliced vine-ripened yellow and red tomatoes with fresh mozzarella and basil Balsamic vinaigrette Hamlet’s Chopped Salad - 7 cubed cucumbers, radishes, avocado, tomatoes, Jarlsberg cheese, and romaine leaves tossed in a light lemon vinaigrette Caesar Salad - 7 house-made dressing, Parmesan, and croutons Caribbean Ceviche - 9 lime-marinated baby scallops with red pepper, onions, cilantro, jalapenos, and orange juice Shrimp Cocktail - 14 five large shrimp with house-made cocktail sauce Entrees New York steak, 16 ounce - 27 Rotisserie Chicken - 17 Fresh Fish, 10 ounce - Market Price Grilled Shrimp - 24 New Orleans Lump Crab Cakes - 18 with warm vegetable coleslaw, mashed potatoes, spinach, and Romesco sauce Grilled Portobello Mushroom - 18 stuffed with Ricotta cheese, garlic, onions and spinach, served over mashed potatoes New Zealand Rack of Lamb - 26 Barbequed Baby Back Ribs - 24 Australian Lobster Tail, 10 ounce - Market Price Surf & Turf Australian Lobster & 8 ounce Filet - Market Price Gertrude’s Piano Bar Starters Gertrude’s Famous Onion Loaf - 8 Gazpacho or Asparagus-Spinach Soup - 7 Summer Garden Tomato Salad - 8 sliced vine-ripened yellow and red tomatoes with fresh mozzarella and basil Balsamic vinaigrette Hamlet’s Chopped Salad - 7 cubed cucumbers, radishes, avocado, tomatoes, Jarlsberg cheese, and romaine leaves tossed in a light lemon vinaigrette Caesar Salad - 7 house-made dressing, Parmesan, and croutons Caribbean Ceviche - 9 lime-marinated baby scallops with red pepper, onions, cilantro, jalapenos, and orange juice Shrimp Cocktail - 14 five large shrimp with house-made cocktail sauce Entrees New York steak, 16 ounce - 27 Rotisserie Chicken - 17 Fresh Fish, 10 ounce - Market Price Grilled Shrimp - 24 New Orleans Lump Crab Cakes - 18 with warm vegetable coleslaw, mashed potatoes, spinach, and Romesco sauce Grilled Portobello Mushroom - 18 stuffed with Ricotta cheese, garlic, onions and spinach, served over mashed potatoes New Zealand Rack of Lamb - 26 Barbequed Baby Back Ribs - 24 Australian Lobster Tail, 10 ounce - Market Price Surf & Turf Australian Lobster & 8 ounce Filet - Market Price Gertrude's Piano Bar Starters Gertrude's Famous Onion Loaf 8 Gazpacho or Asparagus-Spinach Soup 7 Summer Garden Tomato Salad 8 sliced vine-ripened yellow and red tomatoes with fresh mozzarella and basil Balsamic vinaigrette Hamlet's Chopped Salad 7 cubed cucumbers, radishes, scallions, avocado, tomatoes, jarlsberg cheese, and romaine leaves tossed in a light lemon vinaigrette Caesar Salad 7 house-made dressing, Parmesan, and croutons Caribbean Ceviche 9 lime-marinated baby scallops with red pepper, onions, cilantro, jalapenos, and orange juice Shrimp Cocktail 14 five large shrimp with house-made cocktail sauce Entrees New York Steak, 16 ounce 27 Rotisserie Chicken 17 Fresh Fish, 10 ounce Market Price Grilled Shrimp 24 New Orleans Lump Crab Cakes 18 with warm vegetable coleslaw, mashed potatoes, spinach, and Romesco sauce Grilled Portobello Mushroom 18 stuffed with ricotta cheese, garlic, onions and spinach, served over mashed potatoes New Zealand Rack of Lamb 26 Barbequed Baby Back Ribs 24 Australian Lobster Tail, 10 ounce Market Price Surf & Turf: Australian Rock Lobster & 8 ounce Filet Market Price James Clifton Thomas 123 Penny Lane Portland, OR 97211 (888) 555-1212 PROFILE: A multi-talented, hard-working young man, easy to get along with, dependable, and joyful. ACCOMPLISHMENTS: January 2006-present Web designer and developer, working with a professional team of creatives in Portland. May 2000-January 2006 Pocket Full of Posies Day Care Center. Changed diapers, taught magic and painting, wiped noses, read books to and danced with babies and toddlers. Also coordinated schedules, hired other teachers, and developed programs for children. Summer 2006 Updated the best-selling book, The Non-Designer’s Web Book with my mom (Robin Williams) and John Tollett. 1997-2000 Developed and led a ska band called Lead Veins. Designed the web site and coordinated a national tour. EDUCATION: 2002-2005 Pacific Northwest College of Art, Portland, Oregon: B.A. in Printmaking 1999-2000 Santa Rosa High School, Santa Rosa, California 1997-1998 Santa Fe High School, Santa Fe, New Mexico 1982-1986 Poppy Creek Daycare Center, Santa Rosa, California PROFESSIONAL AFFILIATIONS: Grand National Monotype Club, Executive Secretary, 2000-2002 Jerks of Invention, Musicians of Portland, President, 1999-present Local Organization of Children of Robin Williams, 1982-present HOBBIES: Snowboarding, skateboarding, tap dancing, cooking, magic, music (trumpet, drums, vocals, bass guitar), portrait drawing References available on request.
DOCTORAT EN MEDECINE DENTAIRE Thèse de : Franka BARANOVIC HUBER originaire de Minusio, Suisse Intitulée : Efficacité des brossettes interdentaires calibrées dans la réduction de l'indice de saignement interdentaire (Interdental Bleeding Index, IBI) chez des sujets arborant une papille intacte : essai clinique sur l'auto-traitement de l'inflammation gingivale et la compliance des patients à 6 mois La Faculté de médecine, sur le préavis du Comité directeur des thèses, autorise l'impression de la présente thèse, sans prétendre par là émettre d'opinion sur les propositions qui y sont énoncées. Genève, le 16 juin 2017 Thèse n° 746 Henri Bounameaux Doyen N.B. - La thèse doit porter la déclaration précédente et remplir les conditions énumérées dans les "Informations relatives à la présentation des thèses de doctorat à l'Université de Genève". "L'Amour vrai exige beaucoup de courage, parce qu'il constitue l'engagement d'éliminer la souffrance et d'offrir le bien-être." Thich Nhat Hanh Je dédie ce travail aux deux hommes spéciaux de ma vie, incarnant à la fois intégrité, courage, amour, générosité et tendresse. À la mémoire de mon Père, Dr. Nikica Baranovic À mon époux Matteo Huber REMERCIEMENTS Je tiens tout d’abord à remercier mon directeur de thèse, le Pr Ivo Krejci, pour son aide dans la réalisation de cette thèse et pour l’important travail de relecture et de corrections. Je lui suis sincèrement reconnaissante. Un immense merci au Dr. Carlo Metzler pour avoir cru au potentiel de ce projet, et pour m’avoir encouragée, dès le début, à entamer et poursuivre cette aventure en mettant généreusement à ma disposition toute l’infrastructure de son cabinet dentaire. Sans son soutien amical et sa détermination, ce travail n’aurait vu le jour. Un profond merci au Dr. Jiri Sedelmayer et à son épouse, le Dr. Lucie Kalouskova Sedelmayer. Leur précieux enseignement - fruit du travail auquel ils ont consacré toute leur vie - leurs idées pionnières et audacieuses, leur amitié sincère ont été pour moi une source d’inspiration profonde qui a changé ma vie à jamais. Je souhaite exprimer mes remerciements au Dr. Enrico Di Bella. De par sa finesse d’observation et sa compétence, il a apporté une contribution décisive et inestimable à l’élaboration de la partie statistique. Un merci très spécial, du fond de mon cœur, à Mme Nadège Négrin, véritable virtuose de l’écriture et âme délicate, pour avoir assuré la révision linguistique et avoir amené de la vie, de la fluidité, et du rythme dans l’expression du texte français. Je lui suis particulièrement reconnaissante pour sa générosité et son aide précieuse dans les tâches administratives. Finalement, un merci très personnel à mon plus grand soutien, mon complice, allié, amant, compagnon de ma vie Matteo Huber. Sans son amour, sa patience et sa persévérance infinies, sa croyance inébranlable en moi, il aurait été impossible de mener ce travail à bien. Chère Maman Jadranka, chère Belle-Maman Isa, ma petite Goccia : votre bienveillance et votre appui inestimable m’ont réconfortée tout au long de ce cheminement. Je vous en saurai gré à jamais. L’histoire des outils interdentaires se perd dans la nuit des temps : Comme évoqué par le Professeur Held, les cure-dents étaient déjà utilisés par les Sumériens, il y a de cela 3’000 ans, puis par les Chinois, 2’700 ans avant J.-C. Les Grecs et les Romains, bien plus tard, recommandaient l’utilisation de cure-dents et de racines de différentes plantes pour l’hygiène orale. Dans son livre publié en 1778, Hebert prônait l’utilisation d’un cure-dent en plume, en plus des racines, ou de petites éponges faisant office de brosses à dents. Pourtant, de nos jours, 85% des individus négligent de brosser leurs espaces interdentaires, ainsi, la population suisse affiche-t-elle un taux de gingivite encore élevé. Cette étude explore l’efficacité d’un nouvel instrument réduisant le saignement interproximal ainsi que l’impact d’une approche axée sur les patients (approche reposant sur des séances individuelles d’entraînement pratique à l’hygiène orale pour l’obtention d’un changement comportemental durable). # TABLE DES MATIÈRES ## I PARTIE FRANÇAISE \| Section \| Page \| \|--------------------------\|------\| \| Résumé \| 2 \| \| Introduction \| 5 \| \| Discussion \| 17 \| ## II PARTIE ANGLAISE \| Section \| Page \| \|----------------------------------\|------\| \| Abstract \| 31 \| \| Introduction \| 33 \| \| Materials and methods \| 43 \| \| Results \| 59 \| \| Discussion \| 63 \| \| Conclusions \| 74 \| \| References \| 75 \| \| Tables & figures \| 88 \| \| Appendix : Presentation of clinical cases \| \| Efficacité des brossettes interdentaires calibrées dans la réduction de l'indice de saignement interdentaire (Interdental Bleeding Index, IBI) chez des sujets arborant une papille intacte : essai clinique sur l'auto-traitement de l'inflammation gingivale et la compliance des patients à 6 mois RÉSUMÉ Objectif: Le but de cet essai clinique se divise en deux objectifs. Le premier est de déterminer l'efficacité des brossettes interdentaires calibrées quant à la diminution du taux de l'indice de saignement interdentaire (Interdental Bleeding Index, IBI) chez des individus à papille interdentaire intacte mais présentant cependant, une inflammation gingivale interproximale révélée par le saignement de la gencive après stimulation. Le second est d'évaluer l'observance et l'adhésion des patients à ce régime particulier de nettoyage interdentaire quotidien après 6 mois. L'hypothèse nulle proposée est que ces brossettes interdentaires calibrées sont en mesure de réduire d'une manière statistiquement significative l'indice IBI. Matériel et méthodes: Trente-trois adultes d'âge moyen de 38.1 ans et sans aucun signe d'atteinte parodontale ont été recrutés principalement dans un cabinet dentaire privé lors de leur visite de recall semestrielle/annuelle ou lors d'une consultation de routine, afin de participer à cet essai clinique monocentrique en ouvert sur six mois. Les sujets, avec papille intacte ou légèrement réduite, exhibaient un minimum de 16 sites interproximaux sanguinolants détectés après stimulation à l'aide de brossettes interdentaires calibrées de nouvelle génération (BI). L'indice de saignement interdentaire (IBI), présent ou absent, a été évalué au début de l'étude, puis à une semaine, deux semaines, trois semaines et 27 semaines. Des photos illustrant la condition des papilles vestibulaires et linguales ont été prises dès le début de l'essai clinique, avant la phase interventionnelle, 3 semaines après l'utilisation des brossettes interdentaires et enfin à la visite de recall des 6 mois. Le saignement des papilles, après stimulation à l'aide des BI, a également été documenté, principalement au début de l'essai clinique puis une semaine plus tard. Les sujets ont été instruits et motivés individuellement, sans limite de temps, à l'utilisation correcte des brossettes interdentaires : elles doivent être intégralement introduites dans chaque espace interdentaire accessible avec un simple et unique mouvement de “va-et-vient” à raison d’une seule fois par jour. L'instruction et la motivation à l'hygiène bucco-dentaire ont été rappelées à chaque séance à la fin de laquelle une fiche individuelle était remise aux participants (Interdental Access Chart). Cette fiche reporte les indications requises quant à l'emplacement et le sens d'insertion des différentes brossettes interdentaires, la dernière mise à jour des ajustements et adaptations de leur taille, la position des sites de saignement et les scores collectés de semaine en semaine. Elle devait idéalement être placée sur le miroir de la salle de bain des patients en guise d'aide-mémoire. Résultats: le Modèle Linéaire Généralisé, utilisant la famille binomiale pour la variable de réponse et la fonction de lien Logit, a résulté une signification statistique élevée dans la réduction du nombre de parts sanguinolantes mesurées au départ et après 1, 2 et 3 semaines d'utilisation des brossettes interdentaires ($p=0.000$) - hors habitudes de nettoyage interdentaire des patients avant la phase interventionnelle (utilisateurs réguliers du fil dentaire ou non). En ce qui concerne le taux d'adhésion thérapeutique des patients à long terme, lors de la visite de recall réalisée 6 mois plus tard, il a été constaté que 72% des individus continuaient d'utiliser les brossettes interdentaires quotidiennement, à un rythme constant d'un jour sur deux ou 5 fois par semaine. Conclusion: L'efficacité des brossettes interdentaires calibrées a été mise en évidence grâce à la réduction statistiquement significative des pourcentages de saignement interdentaire. Ces brossettes constituent donc un moyen auxiliaire valable pour les patients atteints de gingivite avec papille intacte. La documentation photographique et les données issues de l'essai clinique ont fourni suffisamment de preuves corroborant aussi bien l'efficacité que l'innocuité clinique de l'utilisation quotidienne de ces brossettes interdentaires chez les individus exhibant des embrasures de type I. La rapidité et la facilité d'emploi de ces nouveaux outils de nettoyage interdentaire calibrés ont directement influencé l'acceptance des patients, aboutissant ainsi à des taux élevés d'adhésion thérapeutique à long terme. Toutefois, il ne faut pas perdre de vue que la persévérance et les séances d'instruction individuelle ont joué un rôle crucial dans l'accomplissement et le succès de la prévention primaire et ont permis d'éviter les effets secondaires tels les dommages potentiels ou les lésions des tissus mous, des papilles interdentaires ou des dents. À souligner également que le professionnel de la santé bucco-dentaire a toujours pris soin de superviser les exercices pratiques et les méthodes correctes d’usage des brossettes interdentaires. Mots-clefs: gingivite, prévention primaire, espaces interdentaires, indice de saignement interdentaire (Interdental Bleeding Index, IBI), nettoyage interdentaire, embrasures de type I et II, brossettes interdentaires (BI), instruction et motivation individuelles à l’hygiène bucco-dentaire et programme d’exercices pratiques, sonde pour la détermination de l’accessibilité des espaces interdentaires (Interdental Access Probe, IAP), fiche des dents (Interdental Access Chart, IAC). INTRODUCTION L’assertion qu’une dent propre ne pouvait pas tomber malade a été démontrée dans un essai clinique représentant un événement marquant dans l’Histoire de la médecine dentaire : celui de la gingivite expérimentale chez l’homme (LÖE, et coll. 1965). Elle a établi, sans équivoque, la corrélation directe entre accumulation de plaque et développement de l’inflammation gingivale. Pour se faire, il a été demandé à un groupe de sujets exhibant une gencive cliniquement saine et une excellente hygiène orale, de cesser leur brossage et leur nettoyage interdentaire pendant 3 semaines. Lorsque les mesures d’hygiène bucco-dentaire furent réintroduites à nouveau, l’inflammation gingivale se résorba en l’espace d’une semaine environ et les conditions de santé gingivale purent ainsi être derechef restaurées. De plus, le rôle de la gingivite, comme facteur de risque majeur pour le développement de la maladie parodontale et pour une future perte dentaire, a été documenté avec minutie dans une étude longitudinale avec un suivi de 26 ans, conduite dans un groupe d’hommes norvégiens (SCHÄTZLE, et coll. 2003). Elle a mis en évidence que les sites exhibant un saignement abondant et permanent tout au long de cette période d’observation montraient une perte d’attache jusqu’à 70% plus élevée que les sites exempts d’inflammation. La conclusion la plus significative de cette étude a été que les dents systématiquement entourées par des tissus gingivaux inflammés présentent un risque 46 fois plus élevé d’être perdues (SCHÄTZLE, et coll. 2004). Cela nous amène à la conclusion que la prévention de la gingivite, chez le patient individuel ou la population, représente toujours un élément fondamental et incontournable pour la prévention de la parodontite (BURT 2005). Cependant, la gingivite reste encore la maladie la plus répandue parmi les adultes malgré deux faits. Le premier reste les efforts préventifs déployés au cours des dernières décennies qui ont considérablement réduit l’incidence des caries chez les enfants, adolescents et jeunes adultes dans la plupart des pays du monde (BRATTHALL 2005 et BEIKLER et FLEMMIG 2011). Le second consiste en l’amélioration significative de l’hygiène orale et de la santé parodontale durant ces 30 dernières années (HUGOSON, et coll. 2008). Plus de 82% des adolescents américains sont affectés par une gingivite manifeste et affichent des signes tangibles de saignement gingival (ALBANDAR, et coll. 1998) alors que des prévalences de gingivite similaires ou encore plus élevées sont reportées chez les enfants et adolescents dans d’autres régions du monde (CUNHA et CHAMBRONE¹ 1998, CUNHA et CHAMBRONE² 1998, PETERSEN et KAKA 1999, ALBANDAR et TINOCO 2002 et GJERMO, et coll. Cette prévalence élevée de la gingivite se retrouve également chez les adultes : plus de la moitié de la population adulte américaine est estimée susceptible de présenter un saignement gingival (OLIVER, et coll. 1998, ALBANDAR, et coll. 1999, ALBANDAR 2002 et ALBANDAR et RAMS 2002). D'autres études menées dans des pays en développement montrent que la gingivite, associée à des dépôts étendus de plaque dentaire et de tartre, constitue la norme parmi les adultes (BAELUM, et coll. 1986, BAELUM, et coll. 1988, BAELUM, FEJERSKOV et MANJI 1988 et BURT 2005). En ce qui concerne la situation en Suisse, avant d'évaluer les études épidémiologiques sur la condition parodontale de la population helvétique, il pourrait être intéressant d'analyser ses habitudes personnelles d'hygiène bucco-dentaire telles qu'elles ont été rapportées dans l'étude de Stadelmann et coll. (STADELMANN, et coll. 2012) basée sur les données provenant de l'Enquête suisse sur la santé (ESS) réalisée en 2002. Le but de ces enquêtes sur la santé, menées par l'Office Fédéral de la Statistique tous les cinq ans, est celui d'enregistrer l'état de santé de la population suisse par le biais de questionnaires écrits qui se composent d'un formulaire principal (recueillant des données sur les facteurs socio-démographiques et les conditions de santé) et d'un formulaire sur la santé bucco-dentaire inclus à des intervalles de 10 ans (1992/93 et 2002). Les résultats de l'étude mentionnée ci-dessus ont montré que 74% de la population affirmaient nettoyer ses dents (respectivement les prothèses) plusieurs fois par jour, principalement avec une brosse à dents manuelle, alors que 28% des sujets utilisaient une brosse à dents électrique. De plus, 48.9% des répondants prétendaient utiliser le fil dentaire ou des cure-dents. Les sujets âgés de 25 à 64 ans ont déclaré effectuer le nettoyage interdentaire plus fréquemment (entre 51.2% et 57.3%) que ceux âgés de 15 à 24 ans et des personnes de plus de 75 ans, qui se servaient moins souvent du fil ou de cure-dents. En général, les femmes se sont révélées être plus soucieuses de leur hygiène bucco-dentaire que les hommes. Cette étude a également souligné que les sujets jouissant d'un revenu plus élevé et ceux ayant une instruction supérieure s'appliquaient davantage dans le brossage des dents et le nettoyage de leurs espaces interdentaires et utilisaient des moyens auxiliaires plus fréquemment par rapport aux individus avec faible revenu et scolarité obligatoire. Ces résultats n'ont fait que confirmer les constatations qui ont émergé lors d'un sondage auprès du public réalisé en 2000 par la Société Suisse des médecins-dentistes (SSO) (KUSTER, et coll. 2000). Ils ont révélé les mêmes tendances comportementales dans les différentes couches sociales ainsi qu'une hausse du taux d'utilisateurs du fil dentaire (environ 44% contre 23% en 1980 et 39% en 1990). Il est important de remarquer que le fil dentaire était largement utilisé par les sujets se rendant régulièrement chez l’hygiéniste dentaire (57% des personnes interrogées contre 38% de ceux qui n’y sont jamais allés). Toutefois, une énorme divergence entre les affirmations exprimées par la population concernant l’utilisation de moyens auxiliaires pour le nettoyage interdentaire et les conclusions tirées du dernier sondage sur l’attitude envers l’hygiène bucco-dentaire en Allemagne et en Suisse a été relevée (STAEHLE 2004). Dans son étude comparative, Staehle a remarqué que le nettoyage des espaces interdentaires ne joue qu’un rôle mineur en Suisse bien que l’utilisation annuelle de fil dentaire soit estimée en moyenne à 0.15 emballages par personne (ce qui correspond à peine à 4.1% de ce qui est considéré comme quantité adéquate, c’est-à-dire 3.65 emballages) et que l’utilisation annuelle de brossettes interdentaires soit de 0.05 emballages par personne. Cette remarque contraste singulièrement avec la littérature médicale dentaire et les affirmations des médias. Par ailleurs, les résultats de plusieurs études transversales menées au cours des dernières décennies indiquent que, en dépit de tous les programmes de promotion de la santé bucco-dentaire et des stratégies préventives mises en œuvre en Suisse, la grande majorité des sujets était encore touchée par une gingivite localisée (études menées dans des groupes bien définis ou parmi des échantillons aléatoires de population). D’une manière générale, environ 75% des personnes de l’échantillon examiné représentatif de la population suisse affichaient une hygiène bucco-dentaire insuffisante (SCHÜRCH, et coll. 1991, UVIRA 1992, ZBINDEN 1993, STIEFEL 1993 et KARSEGARD, et coll. 2001). Bien que l’utilisation de la brosse à dents manuelle soit une habitude très bien établie, puisque plus de 80% des adultes se brossent les dents quotidiennement, le brossage seul s’avère être insuffisant lorsqu’il s’agit d’atteindre les espaces interdentaires (WARREN et CHATER 1996 et BROTHWELL, et coll. 1998). Étant donné que la majorité de la population continue d’investir ses efforts dans le brossage des surfaces dentaires les moins susceptibles de développer une maladie, son régime de nettoyage ne s’avère efficace qu’à 20%. Au contraire, les “surfaces à risques importants” mises en évidence par les études épidémiologiques, et donc les surfaces approximales des molaires et des prémolaires, finissent presque toujours par être complètement délaissées (AXELSSON 1981). Lang et ses collaborateurs (LANG, et coll. 1973) ont clairement démontré l’existence d’un schéma récurrent de développement de la plaque dentaire, commençant d’abord dans les régions interproximales des prémolaires et molaires, ne s’étendant que par la suite aux surfaces interproximales des dents antérieures et, ultérieurement, aux surfaces vestibulaires des prémolaires et molaires. Il a été également relevé que, en général, l’inflammation gingivale débutait de cette même façon dans les espaces interproximaux de ces mêmes zones postérieures. Une autre étude sur la consistance de la distribution de plaque (CUMMING et LÖE 1973) a identifié les surfaces interdentaires, en particulier celles des régions postérieures, comme étant régulièrement en présence de dépôts de plaque, particulièrement chez les patients n’ayant pas reçu d’instruction ni de motivation individuelles à l’hygiène bucco-dentaire. En raison de leur difficulté d’accès (SJÖGREN, et coll. 2004), le plus haut taux de survenance de plaque concerne les espaces interproximaux des zones postérieures : c’est la raison pour laquelle ces sites sont aussi souvent affectés par les caries et/ou par les lésions parodontales et gingivales observées essentiellement à ces emplacements (AXELSSON, et coll. 2004 et HUGOSON, et coll. 2005). Compte tenu de tous ces éléments, un nettoyage interdentaire efficace avec des moyens auxiliaires appropriés constitue un acte nécessaire et indispensable. Cependant, un ensemble de critères devrait être pris en considération lors du choix de l’instrument interdentaire adéquat. Tout d’abord, l’acceptation de la part des patients d’une méthode donnée, ce qui peut influencer leur adhésion et par conséquent l’efficacité pratique de l’outil de nettoyage (WARREN et CHATER 1996 et ASADOORIAN 2006). Un autre point pouvant poser problème en matière de nettoyage interdentaire concerne la dextérité manuelle et la motivation du patient, lesquelles restent étroitement liées (ASADOORIAN 2006, IMAI et HATZIMANOLAKIS 2010 et IMAI, et coll. 2012). De nos jours, le fil dentaire constitue la méthode d’hygiène bucco-dentaire la plus largement recommandée pour éliminer la plaque interdentaire. L’American Dental Association a indiqué que le fil dentaire est en mesure d’éliminer jusqu’à 80% de plaque interproximale d’une dentition “normale” (la papille remplissant entièrement l’embrasure interproximale) (AMERICAN DENTAL ASSOCIATION 1984, CARR, et coll. 2000 et ASADOORIAN 2006). Bien que le fil soit une méthode courante de nettoyage interdentaire, habituellement conseillée par les professionnels du secteur (dont les hygiénistes dentaires) en particulier aux patients ayant une papille intacte, de nombreuses études ont constaté que la pratique régulière du fil était extrêmement faible. L’utilisation du fil dentaire constitue une tâche ardue pour les patients, rendue encore plus difficile par la présence d’encombrements, de points de contact très étroits ou lorsqu’il s’agit des secteurs postérieurs (WARREN et CHATER 1996 et IMAI et HATZIMANOLAKIS 2010). Se référant à la population globale, Bader a affirmé que la vaste majorité n’utilise jamais le fil dentaire (BADER 1998) alors que le taux d’utilisation au quotidien chez les adultes mentionné par d’ultérieures recherches s’étend de 10% à 30% (RONIS, et coll. 1994, CHRISTENSEN, et coll. 2003, SEGELNICK 2004 et ASADOORIAN 2006). Une étude en particulier a montré qu’environ 40% des individus utilisant le fil ne pratiquaient pas la technique de façon correcte. En effet, ils étaient incapables de courber la soie en forme de “C” pour l’enrouler autour de chaque dent, compromettant ainsi l’efficacité de cette méthode (BAUROTH, et coll. 2003). C’est pourquoi, afin de parvenir à une adhésion optimale, il est extrêmement important d’évaluer les habiletés du patient et sa source de motivation avant de donner une recommandation en matière d’hygiène orale et d’outils de nettoyage (IMAI et HATZIMANOLAKIS 2010). Un autre facteur à prendre en compte est l’idée que se fait le patient de la facilité d’emploi d’un instrument de nettoyage donné car cela peut directement influencer son propre degré de motivation : les techniques d’hygiène orale faciles à accomplir ont plus de chance d’être acceptées dans la routine quotidienne que celles exigeant un niveau plus élevé d’habileté manuelle et d’efforts pour aboutir à un résultat (ASADOORIAN 2006 et IMAI, et coll. 2012). Des preuves scientifiques substantielles ont clairement démontré l’efficacité du nettoyage avec les brossettes interdentaires pouvant réduire la profondeur de sondage et les taux de saignement chez des sujets présentant des atteintes parodontales modérées à sévères. En cas de parodonte réduit avec espaces interdentaires élargis, absence de papilles et embrasures largement ouvertes, l’élimination de la plaque s’est révélée plus efficace lorsque réalisée à l’aide de brossettes interdentaires plutôt qu’avec le fil. De plus, l’acceptation et la préférence des patients pour ces brossettes, grâce à leur facilité d’utilisation, ont également été mises en évidence (BERGENHOLTZ et OLSSON 1984, KIGER, et coll. 1991, CHRISTOU, et coll. 1998, JACKSON, et coll. 2006, SLOT, et coll. 2008 et IMAI, et coll. 2012). Introduites dans les années soixante comme alternative aux bâtonnets interdentaires classiques, les brossettes interdentaires existent dans des tailles, des formes et des rigidités très variées. En général, leur tête présente une forme conique ou cylindrique avec différents diamètres afin d’être adaptée à la dimension des espaces interdentaires (VAN DER WEIJDEN et SLOT 2012). Les BIs sont composées de filaments disposés de manière hélicoïdale, à dégagement radial de la tige métallique centrale. Le toron sur lequel ces filaments sont fixés est constitué de deux fils en acier inoxydable torsadés entre eux (WOLFF, et coll. 2006). Les brossettes interdentaires du passé, avec leurs grands diamètres et tiges métalliques épaisses, ne convenaient qu’aux patients aux espaces élargis, présentant une perte d’attache. Cependant, seuls quelques professionnels de la santé bucco-dentaire sont avisés du fait qu’il existe des nouvelles brossettes interdentaires disponibles en des tailles adaptées à la plupart des embrasures de type I. Par conséquent, ces BIs ont été introduites comme une alternative potentielle et valable au fil dentaire chez les patients affichant une papille intacte (IMAI, et coll. 2012). Imai et Hatzimanolakis ont été les premiers à avoir sélectionné exclusivement des sujets à parodontie sain avec des embrasures “fermées” pour réaliser un essai clinique sur l’efficacité des Bls comparées au fil dentaire et sur la propension des patients à utiliser ces outils quotidiennement (IMAI et HATZIMANOLAKIS 2010 et IMAI et HATZIMANOLAKIS 2011). Pour ce faire, ils ont utilisé les Bls Curaprox CPS Prime series, les mêmes que celles que nous avons choisies pour notre recherche. Par rapport aux Bls traditionnelles, les différences affichées par ces nouvelles brossettes sont éclatantes : tout d’abord, elles présentent un toron métallique breveté (CURAL®) de qualité chirurgicale extrêmement mince tout en restant suffisamment robuste et des filaments particulièrement fins et souples. Cela a été rendu possible grâce à une méthode de fabrication substantiellement plus légère et délicate qui a abouti à la « miniaturisation » de la tige métallique. De plus, la nouvelle notion de « diamètre d’accessibilité » a été introduite conjointement avec celle de « diamètre d’efficacité ». L’accessibilité de la BI est directement corrélée à sa capacité à pénétrer dans un espace interproximal intact en traversant les zones d’entrée et de sortie très étroites de ce dernier sans endommager la papille interdentaire particulièrement vulnérable. Cette faculté d’accéder de façon atraumatique à la région centrale protégée de l’espace approximal représente le trait distinctif le plus important de la BI de nouvelle génération. Le diamètre d’accessibilité est donc précisément défini par l’épaisseur de la tige métallique en plus de celle des filaments repliés sur eux-mêmes comme un parachute (ce qui se produit à l’entrée et sortie exigues des embrasures de type I lors de l’insertion de la BI). Au contraire, le diamètre d’efficacité, autrement dit puissance de nettoyage de la BI, détermine sa capacité à remplir parfaitement l’espace interdentaire en atteignant les concavités sur les surfaces proximales des dents et le col papillaire. Il correspond en conséquence à la longueur des filaments complètement déployés de la BI (Fig. a et e, respectivement à la page 11 et 13 ci-dessous). Fait intéressant, les caractéristiques distinctives susmentionnées de ces Bls particulières ont déjà été décrites en 1999 par Sedelmayer lequel a souligné la différence entre ce qu’il a dénommé la “nouvelle” et “l’ancienne” génération de Bls (SEDELMAYER 1999). Les Figures b, c, d et e ci-dessous (aux pages 12 et 13) illustrent dans le détail la distinction entre nouvelles et anciennes Bls. Sedelmayer a simultanément fourni une méthodologie détaillée visant la mise en œuvre et le maintien, à long terme, de la prévention primaire chez les sujets sains ou les patients avec papille intacte exhibant une inflammation gingivale interproximale. Son approche impliquait l’utilisation : d’un nouveau indice de saignement interdentaire (Interdental Bleeding Index, IBI), d’une fiche des dents spécialement conçue pour motiver les patients (Interdental Access Chart, IAC), et d’une sonde colorimétrique pour choisir une BI à la taille adaptée aux dimensions de l’espace interdentaire (Interdental Access Probe, IAP). En plus des brossettes interdentaires Curaprox CPS Prime Series, notre essai clinique a adopté également les trois moyens susmentionnés. Diamètre d’accessibilité Fig. a. Vue d’ensemble de la gamme de BIs Curaprox CPS Prime Series sélectionnée pour notre essai clinique. Ces BIs calibrées à code couleur sont disponibles en 5 tailles différentes. Le diamètre d’accessibilité de la BI est défini par l’épaisseur de la tige métallique en plus de celle des filaments repliés sur eux-mêmes lors de l’insertion. Le diamètre d’efficacité correspond à la longueur des filaments. Le diamètre d’accessibilité de la plus petite BI, la Curaprox CPS Prime 06 bleue, est de 0.6 mm, alors que son diamètre d’efficacité est de 2.2 mm. La plus grande BI de la série CPS Prime, la 011 de couleur verte, a une accessibilité de 1.1 mm tandis que l’extension maximale de ses filaments atteint 5 mm. \| PRIME \| 06 \| 0.6 mm \| 2.2 mm \| \|-------\|----\|--------\|--------\| \| PRIME \| 07 \| 0.7 mm \| 2.5 mm \| \| PRIME \| 08 \| 0.8 mm \| 3.2 mm \| \| PRIME \| 09 \| 0.9 mm \| 4.0 mm \| \| PRIME \| 011\| 1.1 mm \| 5.0 mm \| Fig. b. Comparaison entre “nouvelle” et “ancienne” génération de Bls : à gauche, la CPS Prime 09 avec un diamètre d’accessibilité de 0.9 mm et un diamètre d’efficacité de 4.0 mm. À droite, une BI de type traditionnel CPS regular 10 avec un diamètre “d’insertion” de 1.0 mm et un diamètre d’efficacité de 2.2 mm. Les deux possèdent une accessibilité similaire : elles peuvent pénétrer dans le même espace interproximal avec la même force, légère, d’insertion. Seulement, cette compétence de “l’ancienne” BI a été obtenue simplement en raccourcissant la longueur de ses filaments sans aucune modification d’autres paramètres. Le résultat qui en découle est que la BI traditionnelle est clairement plus dure et rigide. Elle constitue donc un outil potentiellement traumatique par rapport aux Bls de “nouvelle génération”. Source: SEDELMAYER J, Neue Möglichkeiten der professionellen Interdentalraumpflege. Quintessenz Team-Journal 29:225-232, 1999. Image reproduite avec la permission de Jiri Sedelmayer, Prague, République tchèque. Fig. c. Détails agrandis appartenant aux mêmes types de Bls telles que décrites ci-dessus (voir Fig. b). À gauche : CPS Prime 09. À droite : CPS regular 10. À noter la tige métallique plus épaisse ainsi que les filaments volumineux et rigides, disposés en faisceaux plus denses et compacts de la BI traditionnelle. Au contraire, la structure légère de la BI de nouvelle génération dotée d’une âme métallique beaucoup plus mince et de brins particulièrement fins et souples, permet une insertion atraumatique dans des espaces interdentaires avec papille intacte aussi petits que 0.6 mm (pour les Bls CPS Prime 06). Source: HOFER D, SAHRMANN P, ATTIN T, SCHMIDLIN PR, Comparison of marginal bleeding using a periodontal probe or an interdental brush as indicators of gingivitis. Int J Dent Hyg 9(3):211-5, 2011. Image reproduite avec la permission de PD Dr. P. Schmidlin, Clinique de médecine dentaire préventive, cariologie et parodontologie, Université de Zürich, Suisse. Fig. d. Encore une fois, comparaison entre “nouvelle” et “ancienne” génération de Bls : à gauche, la CPS Prime 011 et à droite la CPS regular 11. Si les deux Bls affichent le même diamètre d’accessibilité de 1.1 mm, celle qui se révèle être la plus performante en termes d’efficacité est la BI au calibre plus grand, donc la CPS Prime 011 qui exhibe un diamètre d’efficacité de 5.0 mm (alors que celui de la BI standard est de 2.5 mm). La BI CPS Prime 011 est également beaucoup plus fine et souple, ce qui réduit considérablement son potentiel traumatique. Fig. e. Confrontation de l’efficacité entre nouvelle génération de Bls (à gauche) et ancienne génération (à droite) insérées dans un même espace interdentaire : plus le diamètre d’efficacité est grand, plus grande est aussi l’aptitude de la BI à rejoindre les concavités sur les surfaces proximales des dents. On peut aussi observer sur le dessin de gauche, les filaments repliés sur eux-mêmes en guise de parachute, à l’entrée et à la sortie de l’espace approximal. L’épaisseur des brins resserrés additionnée à celle de la tige détermine le diamètre d’accessibilité qui constitue le trait distinctif des Bls de nouvelle génération. Source: SEDELMAYER J, Neue Möglichkeiten der professionellen Interdentalraumpflege. Quintessenz Team-Journal 29:225-232, 1999. Image reproduite avec la permission de Jiri Sedelmayer, Prague, République tchèque. Quant au saignement gingival, signe clinique objectif et révélateur précoce de l'inflammation gingivale, il est facilement évaluable et fiable. Il peut être mesuré grâce à différents indices parmi lesquels l'indice de saignement papillaire (Papilla Bleeding Index, PBI) qui a connu un grand succès au sein des cabinets dentaires privés : il s'est avéré un outil particulièrement efficace pour apprécier la sévérité de l'inflammation gingivale. Développé par Saxer et Mühlemann en 1975, l'indice PBI a acquis une importance considérable parmi les praticiens, surtout en Suisse au vu du fait qu'il réunit deux propriétés fondamentales pour la pratique clinique : il permet d'une part d'évaluer de façon immédiate les tissus marginaux des patients tout en les motivant, d'autre part, à améliorer simultanément la qualité de leur hygiène buccale (ENGELBERGER, et coll. 1983). Cependant, la partie extérieure de l'espace interdentaire est seule prise en compte, négligeant la région du col papillaire puisque l'indice de saignement papillaire se détermine au moyen d'une sonde parodontale à bout mousse qui parcourt le sillon gingival de la base de la papille jusqu'à son sommet, du côté mésoïal et distal. Ce fut pour cette raison principalement qu'en 1999, Sedelmayer développa une alternative au Papilla Bleeding Index (PBI) : son nouvel indice, permettant de déterminer le saignement interdentaire, consistait essentiellement en une modification de l'Eastman Interdental Bleeding Index (EIBI). Le EIBI, un indice de saignement dichotomique, a été développé pour évaluer la présence ou l'absence de lésions inflammatoires dans la zone interproximale : la méthode consiste à insérer horizontalement un cure-dent en bois souple et de section triangulaire du côté vestibulaire des sites approximaux et obtenir ainsi une compression et une stimulation uniformes de la région du col papillaire (ABRAMS, et coll. 1984, AMATO, et coll. 1986 et CATON, et coll. 1988). Néanmoins, au lieu d'utiliser des bâtonnets interdentaires en bois, Sedelmayer a proposé l'emploi de brossettes interdentaires de nouvelle génération (Curaprox CPS Prime Series, Curaden AG, Kriens, Suisse) pour stimuler les tissus interproximaux et les papilles d'une façon beaucoup plus douce et atraumatique. Il a ensuite dénommé ce nouvel indice "Bleeding on Brushing" (BOB) ou simplement "Interdental Bleeding Index" (IBI) (SEDELMAYER 1999). Dans cette approche, la brossette interdentaire est délicatement introduite dans chaque espace interproximal accessible avec une force d'insertion maximale de 50 grammes et un simple mouvement de "va-et-vient". Si saignement il y a, suivant l'insertion de la BI, le score est positif (voir Fig. A ci-dessous et Fig. g à la page 47 de la section "matériel et méthodes"). Le résultat est exprimé sous la forme d'un pourcentage : Interdental Bleeding Index (IBI): Nombre de sites interdentaires vestibulaires et palatins/linguaux qui saigne Nombre de sites interdentaires vestibulaires et palatins/linguaux examiné Fig. A. Stimulation des tissus interproximaux au moyen de la plus petite brossette interdentaire de la série CPS Prime (la 06 bleue) avec un simple mouvement de “va-et-vient” pour l’évaluation de l’indice de saignement interdentaire IBI. Cet indice se base tout simplement sur la présence ou l’absence de saignement. En ce qui concerne la fiche des dents Interdental Access Chart (IAC), il ne faut surtout pas la confondre avec une nouvelle forme de charting dentaire. Bien au contraire, le but de la fiche IAC est celui d’aider les patients à s’orienter dans leur propre bouche tout en les renseignant sur l’emplacement et le sens d’insertion des brossettes interdentaires requises, les sites de saignement, etc. Ce support visuel sert à renforcer et maintenir la motivation des patients à domicile (SEDELMAYER 1999) (voir Fig. B ci-dessous et Fig. h à la page 48 de la section “matériel et méthodes”). Fig. B. Fiche des dents IAC reportant les sites de saignement (exprimés sous forme de pourcentage de l’indice IBI) et l’emplacement et le sens d’insertion des brossettes requises (exemple ci-dessous : patient no.12 à sa deuxième visite). En dernier lieu, la sonde colorimétrique Interdental Access Probe (IAP) sert à effectuer le calibrage du diamètre interdentaire. Il s’agit d’un instrument conique gradué qui reporte des bandes colorées correspondant aux couleurs des BIs par diamètre croissant. La partie la plus étroite au début de chaque bande de couleur est directement corrélée au diamètre d’accessibilité de la brossette pertinente. La procédure consiste à introduire horizontalement, avec une force d’insertion maximale de 50 grammes, la sonde IAP dans l’espace interdentaire vestibulaire jusqu’à son arrêt sous l’effet du frottement. La couleur la plus proche de la surface vestibulaire des dents restant toujours visible correspond au code couleur de la BI la plus appropriée pour l’espace en question (voir Fig. C ci-dessous et les Fig. i et j à la page 49 de la section “matériel et méthodes”). Fig. C. Détermination de la taille la plus appropriée de la brossette interdentaire à un espace interdentaire donné au moyen de la sonde graduée IAP. Après son introduction dans l’espace approximal, la couleur encore visible la plus rapprochée de la surface vestibulaire des dents correspond au code couleur de la brossette pertinente (dans ce cas, la brossette la plus adéquate à l’espace interproximal entre les dents 44/45 est la CPS 09 jaune). Toutefois, aucune donnée clinique quantitative évaluant l’efficacité des brossettes calibrées Curaprox CPS Prime Series n’a été publiée jusqu’à présent. L’objectif premier de cet essai clinique est donc de déterminer l’efficacité de cette nouvelle génération de brossettes interdentaires par rapport à la diminution du taux de l’indice de saignement interdentaire (Interdental Bleeding Index, IBI) chez des individus avec papille intacte, présentant une inflammation gingivale interproximale révélée par le saignement de la gencive après stimulation. Le second est d’évaluer l’observance et l’adhésion des patients à ce régime particulier de nettoyage interdentaire après 6 mois. L’hypothèse nulle proposée est que ces nouvelles brossettes interdentaires sont en mesure de réduire d’une manière statistiquement significative l’indice IBI. DISCUSSION Notre essai clinique est basé sur une méthode délivrée par Sedelmayer, il y a près de vingt ans. Il a été le premier à présenter les brossettes interdentaires de « nouvelle génération » appropriées pour les sujets à parodonte sain avec papille intacte. Jusque-là, l’utilisation des Bls dans le cadre de la prévention primaire était considérée comme tabou. En effet, avec leurs grands calibres et tiges métalliques épaisses, les Bls du passé ne convenaient qu’aux patients présentant des embrasures ouvertes (SLOT, et coll. 2008). Dans sa méthode, Sedelmayer a également fourni des recommandations précises concernant la fréquence, la technique d’utilisation et la sélection de la taille la plus adéquate de ces nouveaux outils interdentaires dans le but de gagner en efficacité tout en préservant la papille et les tissus durs. De plus, il a conçu un nouvel indice de saignement interdentaire et une fiche des dents qui conviennent aussi bien pour la documentation des cas que pour le maintien de la motivation des patients sur le long terme. Dans sa publication, Sedelmayer a affirmé, entre autres, que l’utilisation des Bls de « nouvelle génération », conformément aux modalités exposées ci-dessus, menait à une réduction considérable de l’indice de saignement interdentaire dans un laps de temps très court. Après 14 jours seulement, les taux moyens de l’indice IBI, affichés par les patients aux embrasures de type I, passaient de 80% à 15%. Toutefois, aucune preuve à l’appui de cette assertion ni étude quantifiant l’impact de ces Bls spécifiques sur les scores de saignement individuels rapportés de semaine en semaine n’a pu être trouvée dans la littérature scientifique. C’est pourquoi le but premier de notre recherche visait la mise en œuvre d’un suivi hebdomadaire de l’évolution du taux de saignement chez des patients utilisant ces outils d’hygiène dentaire sous étroite supervision. Afin de déterminer l’efficacité de ces nouvelles Bls dans la réduction de l’indice de saignement IBI, des données cliniques quantitatives ont été recueillies au début de l’étude puis à une cadence hebdomadaire sur 3 semaines. Pour ce faire, un examen complet de la bouche (plutôt qu’une investigation partielle) a été effectué et le saignement évalué dans tous les espaces interdentaires accessibles à la Bl. Les données concernant les observations cliniques, la gestion de chaque patient ainsi que les images photographiques témoignant de la condition des papilles, ont été rassemblées dans des dossiers détaillés individuels. Compte tenu de ces caractéristiques, l’étude a été réalisée en ouvert et sans groupe contrôle. Puisque tous les participants à cet essai clinique ont toujours régulièrement brossé leurs dents, le « groupe contrôle » était représenté par la situation des patients avant l’introduction des brossettes interdentaires : chaque sujet étant donc le témoin de lui-même. Des données scientifiques solides établissent que le simple brossage conventionnel des dents ne suffit pas, à lui seul, à désorganiser le biofilm interproximal. Si la brosse à dents parvient à éliminer avec succès la plaque des surfaces vestibulaires, palatines/linguales et occlusales, elle n’est pas en mesure d’atteindre les surfaces interdentaires, ce qui se traduit par la présence de zones délaissées, exhibant régulièrement des dépôts bactériens (LANG, et coll. 1973, AXELSSON 1981, WARREN et CHATER 1996, BROTHWELL, et coll. 1998 et SLOT, et coll. 2008). Par conséquent, une bonne hygiène interdentaire implique l’utilisation d’un outil capable de pénétrer entre deux dents adjacentes (VAN DER WEIJDEN et SLOT 2012). La revue réalisée par Slot et coll. a abouti à la conclusion que, en tant que complément du brossage des dents, la brossette interdentaire était plus efficace dans la réduction de la plaque que le brossage des dents uniquement (SLOT, et coll. 2008). Quelques années plus tard, la revue d’Imai et coll. a soutenu l’usage de la BI chez les patients exhibant une inflammation gingivale interproximale en la proposant comme une alternative efficace et valable au fil dentaire. De plus, elle a aussi fourni des lignes directrices fondées sur des données probantes qui visaient à soutenir les praticiens dans leurs recommandations aux patients en matière d’hygiène bucco-dentaire (IMAI, et coll. 2012). Enfin, Bourgeois et coll. ont tout récemment démontré que, par rapport au brossage seul pratiqué par le groupe contrôle, l’utilisation des BIs calibrées de la série Curaprox CPS Prime, dont la taille avait été évaluée au moyen de la sonde colorimétrique, menait à une réduction considérable du saignement interdentaire chez une population de jeunes adultes au parodonte intact (BOURGEOIS, et coll. 2016). Le principe fondamental de la prévention avance que l’effet doit être le plus marqué là où le risque de maladie est le plus grand (AXELSSON 1981). C’est pourquoi, nous alignant sur cette proposition, nous avons concentré tous les efforts sur la documentation des effets du nettoyage des espaces interdentaires intacts au moyen de BIs calibrées de nouvelle génération, utilisées selon une méthode donnée. Cet essai clinique a clairement démontré que le brossage interdentaire à l’aide de brossettes calibrées Curaprox CPS Prime Series a été en mesure de réduire de façon substantielle et significative le taux de saignement interdentaire (Interdental Bleeding Index, IBI) chez les sujets à papille intacte, affichant une inflammation gingivale interproximale signalée par la présence du saignement après stimulation de la gencive. De plus, des taux élevés d’adhésion à long terme des patients à ce régime particulier de nettoyage interdentaire quotidien ont été atteints. Toutefois, notre étude comporte des limites pouvant restreindre la généralisation des résultats. Tout d’abord, il s’agit d’un essai « monocentrique », réalisé entièrement dans le même cabinet dentaire privé. Ensuite, toute la phase interventionnelle s’est déroulée sous la supervision étroite d’un spécialiste et seul investigator : un total de 4 visites avec instruction et motivation individuelle à l’utilisation correcte des Bls a été effectué en l’espace de trois semaines. Au vu de ces faits, on pourrait argumenter que les bons résultats obtenus par rapport aux taux d’adhésion ne peuvent pas être généralisés au-delà de leur contexte et donc extrapolés à une population plus large. En outre, le simple fait d’être participant à un essai clinique peut être un facteur ayant une conséquence importante en termes de motivation pour les sujets de l’étude, les encourageant à utiliser régulièrement les Bls (JACKSON, et coll. 2006). Notre essai s’est déroulé sur une période de 6 mois alors que les revues systématiques mentionnées ci-dessus ont remarqué que la durée maximale parmi les études examinées était de 12 semaines. Bien qu’il ait été affirmé que la durée de l’effet Hawthorne pouvait s’étendre jusqu’à 6 mois (FEIL, et coll. 2002), dans notre cas, nous pouvons attester que les bons degrés d’adhésion à l’utilisation des Bls se sont maintenus au fil du temps (du moins en ce qui concerne les patients observants fréquentant encore le cabinet dentaire privé où l’investigateur (FBH) travaille toujours comme dentiste généraliste). Sur un total de 23 patients observants déclarés à l’origine, trois sont revenus à l’utilisation du fil dentaire (no.7, 28 et 33); les sujets no.19 et 23 ont été compliant jusqu’en 2015 et ont ensuite arrêté de se rendre au cabinet. Les sujets no.25, 27, 20 et 29 n’étaient pas des patients du cabinet, toutefois, nous avons réussi à atteindre les deux premiers qui ont déclaré continuer d’utiliser régulièrement les Bls. Le patient no.5, qui dans le temps faisait partie du groupe non compliant, est à présent très motivé à utiliser ces outils interdentaires qu’il emploie avec régularité depuis l’année 2014. Donc 17 patients au total, qui faisaient partie du premier essai clinique, continuent toujours d’adhérer au nettoyage interdentaire au moyen de Bls calibrées de nouvelle génération. Cela est dû, sans aucun doute, aux séances de recall observées régulièrement par les sujets, à intervalles de six ou 12 mois, lors desquelles ils sont remotivés et constamment instruits en matière d’hygiène bucco-dentaire. Une autre limite de cet essai clinique, pouvant affecter la reproductibilité des taux de saignement interdentaire récoltés sur la période de 3 semaines, pourrait être liée au choix de la BI employée dans la phase interventionnelle. En effet, les particularités affichées par cet outil peuvent avoir contribué à réduire de façon remarquable les scores de saignement interdentaire. Les Bls de la série Curaprox CPS Prime sont radicalement différentes des BIs couramment disponibles, ou de celles de « l’ancienne génération ». Elles ne peuvent, en aucune manière, être comparées à ces dernières en raison de leur structure « miniaturisée » et de leur diamètre d’accessibilité (qui ont été clairement définis dans les chapitres Introduction et Matériel et Méthodes). Par ailleurs, dans l’état actuel de nos connaissances, les BIs de la série CPS Prime sont jusqu’à présent les seules à offrir un système de mesure des espaces interdentaires. Il a été démontré que la sonde colorimétrique graduée IAP est un instrument efficace pour le choix sélectif de BIs calibrées, adaptées aux dimensions de l’espace interdentaire. Jusque-là, la seule technique dite « de référence » était la méthode d’évaluation empirique, souvent subjective, qui consistait à tester les différentes brossettes par ordre croissant de diamètre. Cependant, cette façon de procéder peut se répercuter sur l’efficacité (risque beaucoup plus fréquent de sous-dimensionnement de la BI) ou sur l’acceptabilité de la part du patient (risque de sur-dimensionnement de la BI avec traumatisme de la papille) (BOURGEOIS, et coll. 2015). Toutefois, étant donné que cette sonde colorimétrique est strictement corrélée au diamètre d’accessibilité des BIs Curaprox de la série CPS Prime, elle ne peut, par conséquent, être appliquée à d’autres types de brossettes. Bien que la taille des brosses interdentaires manuelles doit être déterminée en utilisant le diamètre du trou de passage conformément aux exigences des normes ISO, règne en réalité une grande confusion parmi les fabricants lorsqu’il s’agit de définir les critères relatifs aux dimensions de ces dispositifs. Certains d’entre eux affichent seulement la “taille” (formulée en termes de “xx-fine”, “medium”, “jaune”, etc.), d’autres le diamètre d’efficacité, et d’autres encore tout simplement le diamètre de la tige métallique, sans toutefois donner d’informations supplémentaires sur la capacité de la BI à pénétrer dans un espace interproximal intact de façon atraumatique pour les tissus mous ou durs. Compte tenu de toutes ces variations, il est vraiment très difficile de comparer ces outils interdentaires entre eux. Sur le plan clinique, le saignement gingival constitue l’un des signes les plus expressifs de l’inflammation gingivale précoce, il peut être évalué au moyen de différents types d’indices gingivaux. Pour être efficace, un indice gingival doit être rapide, pratique et simple à mettre en œuvre avec une instrumentation minimale. De plus, il doit être fiable et assurer une grande reproductibilité aussi bien intra- qu’inter-observateurs (CARTER et BARNES 1974 et ENGELBERGER, et coll. 1983). Or, il s’est avéré que l’indice Eastman Interdental Bleeding Index (EIBI) réunit toutes ces qualités. En outre, il a été démontré que l’indice EIBI était un indicateur sensible de lésions inflammatoires interproximales beaucoup plus précis et fiable que l’indice de saignement papillaire (Papilla Bleeding Index) (CATON, et coll. 1988). De surcroît, une autre étude a mis distinctement en évidence que la capacité de l’indice EIBI à déterminer l’inflammation gingivale s’est avérée être tout à fait comparable à celle de l’indice de saignement au sondage (Bleeding on Marginal Probing index, BOMP) considéré comme le “gold standard” (BARENDRGRT, et coll. 2002). Toutefois, l’utilisation de la sonde parodontale est, par nature, fortement sujette à l’erreur intra- et inter-évaluateurs puisqu’un certain nombre de paramètres (tels que diamètre / position / angulation / profondeur d’insertion et direction du mouvement de la sonde / pression exercée lors du sondage) peut influencer les résultats obtenus par le bleeding on probing, engendrant ainsi une fréquence élevée de fausses réponses positives (LANG, et coll. 1991, BLIEDEN, et coll. 1992 et VAN DER WEIJDEN, et coll. 1994). Au contraire, la stimulation des tissus de la région interproximale, directement au-dessous du point de contact entre les dents adjacentes, à la réponse positive subséquente, permet d’identifier correctement la présence de lésions inflammatoires. Par conséquent, une fréquence bien plus basse de fausses réponses positives est rapportée, conférant ainsi à l’Eastman Interdental Bleeding Index une fiabilité excellente (ABRAMS, et coll. 1984, AMATO, et coll. 1986, CATON, et coll. 1988 et BLIEDEN, et coll. 1992). Le nouvel indice évaluant le saignement interdentaire, développé par Sedelmayer et dénommé Interdental Bleeding Index (IBI) ou Bleeding on Brushing (BOB), est directement issu de l’indice EIBI, avec toutefois une variation importante. Au lieu de bâtonnets interdentaires, la stimulation des tissus interproximaux est obtenue d’une façon douce et atraumatique pour les papilles grâce à l’emploi de brossettes interdentaires de nouvelle génération (Curaprox CPS Prime Series). Comme déjà mentionné aux chapitres “Introduction” et “Matériel et Méthodes”, après avoir délicatement introduit la brossette interdentaire dans chaque espace interproximal accessible avec une force d’insertion maximale de 50 grammes et un simple mouvement de “va-et-vient”, le saignement était ensuite noté comme étant présent ou absent. En 2011, Hofer et coll. ont comparé l’utilisation des brossettes interdentaires (Curaprox CPS Prime Series) avec la sonde parodontale dans l’évaluation du saignement marginal chez des adultes avec une gingivite naturelle et des papilles remplissant au moins 50% de l’espace interproximal : ils ont ainsi établi une corrélation directe entre le Bleeding on Marginal Probing (BOMP) et ce qu’ils avaient dénommé le Bleeding on Interdental Brushing (BOIB) en validant donc l’emploi des brossettes interdentaires pour apprécier le saignement marginal (HOFER, et coll. 2011). C’est pourquoi le “Interdental Bleeding Index” (IBI) peut être considéré un instrument de dépistage précieux et facilement compréhensible, également approprié pour la motivation et l’auto-contrôle des progrès accomplis à domicile par les patients. Par conséquent, il devrait être intégré comme un élément essentiel dans chaque séance d'instruction individuelle à l'hygiène orale, comprenant également un entraînement pratique aux techniques de brossage enseigné par le dentiste, l'hygiéniste dentaire ou l'assistante en prophylaxie. En présence de sujets affichant un parodonte intact et des embrasures de type I, la préservation de leur propre papille interdentaire représente un sujet de préoccupation fondamental aussi bien pour le patient que pour le spécialiste de la santé orale. Pour cette raison, il devient impossible de faire usage de n'importe quelle brossette interdentaire traditionnelle, généralement dotée d'une tige métallique épaisse avec des poils plus rigides (convenant donc mieux aux patients avec embrasures ouvertes). En effet, un brossage interdentaire iatrogène peut mener à la perte de la papille, provoquant ainsi une détérioration esthétique (apparition de "triangles noirs" entre les dents, appelée "black triangle disease"), des problèmes phonétiques (passage de salive et d'air à travers ces espaces) et fonctionnels (accumulation de débris alimentaires) (SINGH, et coll. 2013). Au contraire, cette nouvelle génération de brossettes interdentaires dotée de filaments particulièrement flexibles et souples et d'une tige métallique beaucoup plus fine permet non seulement une insertion atraumatique dans les espaces interdentaires aux papilles intactes, mais aussi leur préservation à long-terme, comme il est possible de le constater dans la documentation photographique à l'appui prise à différents stades de notre essai clinique. Toutefois, les particularités de ces brossettes interdentaires ne suffisent pas, à elles seules, pour prévenir les lésions des tissus mous et des dents au vu du fait que deux autres conditions sont requises : tout d'abord, la sélection de la taille la plus appropriée de la BI, acte qui devrait toujours être accompli uniquement par les spécialistes du domaine dentaire; ensuite, l'application d'une technique de brossage interdentaire et d'une fréquence d'utilisation correctes dès le début, ce qui implique des séances d'entraînement pratique avec les patients. En ce qui concerne le premier point mentionné ci-dessus (taille de la BI adaptée à la dimension de l'espace interdentaire), il est important de rappeler que, selon les indications fournies par le fabricant, une autre caractéristique distinctive de ces nouvelles brossettes interdentaires est leur diamètre d'accessibilité et d'efficacité respectivement. Tandis que le diamètre d'efficacité (autrement dit puissance de nettoyage de la BI) correspond à la longueur des filaments complètement déployés, le diamètre d'accessibilité est défini par l'épaisseur de la tige métallique à laquelle il faut ajouter celle des filaments repliés sur eux-mêmes, ce qui se produit à l'entrée et à la sortie très étroites des espaces interproximaux intacts lors de l’insertion des brossettes interdentaires. Ainsi, le diamètre d’accessibilité de la plus petite BI, la Curaprox CPS Prime bleue, est de 0.6 mm, alors que son diamètre d’efficacité est de 2.2 mm. La plus grande BI de la série CPS Prime de couleur verte, affiche un diamètre d’accessibilité de 1.1 mm tandis que l’extension maximale de ses filaments atteint 5 mm. Très important également, la sonde colorimétrique interdentaire (Interdental Access colour-coded Probe), calibrée sur le diamètre d’accessibilité de chacune des 5 brossettes interdentaires de la série CPS Prime, s’avère être un instrument utile pour déterminer la taille de la BI la plus appropriée à la dimension de chaque espace interproximal (comme décrit auparavant dans le chapitre “matériel et méthodes”). En effet, Wolff et coll. ont établi qu’il y avait un rapport entre la dimension de l’espace interproximal et le diamètre de la BI fortement corrélé à la puissance de nettoyage de cette dernière. Plus explicitement, l’utilisation de brossettes de diamètre croissant dans des espaces interdentaires petits, moyens et grands, a entraîné une augmentation de leur pouvoir de nettoyage. Par la même occasion, les auteurs ont prouvé que, à diamètres correspondants, les brossettes interdentaires souples dotées de soies plus flexibles (le ratio entre le diamètre et la longueur du filament étant plus bas que celui des brossettes interdentaires dures) et les brossettes dures avec des filaments plus rigides nettoyaient d’une manière similaire : les deux instruments se sont donc avérés être efficaces (WOLFF, et coll. 2006). Puisque sur le plan clinique la véritable mesure de l’efficacité consiste en la réduction du saignement interdentaire, notre étude a clairement prouvé la capacité de cette nouvelle génération de brossettes interdentaires souples à réduire les taux de saignement des sujets avec embrasures de type I, en parfait accord avec les résultats reportés dans l’étude de Imai et Hatzimanolakis (IMAI et HATZIMANOLAKIS 2011). Concrètement, tout au long de la phase interventionnelle entre le début de l’étude et la semaine 3, presque tous les patients ont présenté une diminution statistiquement significative du saignement à l’allure similaire et des traits réguliers et constants, et cela malgré la présence d’une certaine hétérogénéité clinique au niveau de la situation bucco-dentaire affichée par les participants à l’étude. Citons par exemple le désalignement des rangées dentaires, les encombrements sévères aux niveaux des secteurs antérieurs ou même postérieurs, les attelles de contention palatines ou linguales fixes, les couronnes unitaires et les bridges dentaires en or (dans un seul et unique cas). Comme dans la recherche de Imai et Hatzimanolakis, les résultats considérables atteints dans notre essai clinique ont été la conséquence d’une constante adaptation de la taille des brossettes interdentaires à la morphologie et/ou aux dimensions changeantes des espaces interproximaux (variations imputables à la réduction progressive et disparition de l'inflammation des tissus interdentaires oedématiés au cours de la période expérimentale et au recall). Cela signifie que chaque patient utilisait en général une moyenne de 2 à 3 tailles différentes de brossettes interdentaires. À titre d'exemple emblématique, le sujet n°18 avait débuté la période expérimentale avec un score de saignement interdentaire IBI de 78% pour parvenir à un résultat de 0% après 3 semaines d'utilisation de brossettes interdentaires. Cependant, bien que son adhésion à ce régime particulier de nettoyage interdentaire eût été absolument excellente au cours des 6 mois qui ont suivi, le patient fut déçu de constater un indice de saignement de 33% relevé à la visite de recall. En effet, au lieu d'utiliser les 3 différentes tailles sélectionnées lors des séances pratiques d'hygiène orale, il a décidé d'employer une seule brossette interdentaire "universelle", arborant la taille la plus petite pouvant accéder à tous les espaces interproximaux. Cela a eu pour conséquence que, à quelques exceptions près, la quasi-totalité des espaces interdentaires requérant des brossettes de dimensions supérieures a saigné abondamment puisque la brossette "universelle" à la taille décidément trop petite n'a pas été en mesure de les remplir convenablement. De la même manière, les quelques saignements isolés détectés à la visite recall chez certains patients, appartenant au groupe ayant fait preuve d'une compliance irréprochable, étaient principalement dus à la résolution des processus inflammatoires des tissus interdentaires qui a rendu les BI préalablement sélectionnées sous-dimensionnées, donc incapables d'exercer une friction appropriée dans des espaces interproximaux donnés. Il est important de souligner le fait que, à quelques rares exceptions près, les participants à l'étude se rendaient régulièrement, une ou deux fois par an, dans des cabinets dentaires privés pour un examen dentaire de routine et un détartrage professionnel. Si tous, sans exception, exhibaient des habitudes de brossage bien établies et régulières au début de l'étude (1ère visite), une divergence considérable a toutefois été constatée dans l'utilisation des outils de nettoyage interdentaire. Pourtant 79% des individus brossaient leurs dents deux à trois fois par jour avec une brosse à dents manuelle et 21% deux fois par jour avec des brosses électriques (principalement des appareils soniques; deux patients ont rapporté utiliser les brosses à dents oscillo-rotatives, alors qu'une personne alternait entre manuel et électrique deux fois par jour), ce qui est en accord avec les données provenant de l'Enquête suisse sur la santé (ESS) réalisée en 2002, et rapportées ensuite par l'étude de Stadelmann et coll. (STADELMANN, et coll. 2012). En revanche, concernant le nettoyage interdentaire, au début de l’essai clinique, seulement 33% des sujets examinés utilisaient le fil dentaire régulièrement tous les jours, ce qui est congruent avec les observations reportées dans les recherches mentionnées précédemment (RONIS, et coll. 1994, CHRISTENSEN, et coll. 2003, SEGELNICK 2004 et ASADOORIAN 2006). Plusieurs patients ont reconnu faire preuve de comportements très irréguliers en matière de nettoyage interdentaire : le patient n°15 n’utilisait que très rarement des bâtonnets interdentaires en bois, le sujet n°26 employait un porte-fil dentaire deux fois par semaine exclusivement dans la région antérieure tandis que le n°16 se servait, deux à trois fois par semaine, d’une brossette interdentaire “traditionnelle”, dotée de soies courtes et rigides, et d’une âme métallique épaisse qu’il ne pouvait toutefois introduire que dans le secteur antéro-inférieur, les autres espaces interproximaux étant inaccessibles à ce type de brossette. Le sujet n°25 utilisait le fil une fois par semaine, alors que les n°17 et 31 y avaient recours deux à trois fois par semaine. Les cinq patients porteurs d’appareils de rétention fixes (les sujets n°9 et 12 déployaient à la fois des attelles de contention palatines et linguales, alors que les n°4, 14 et 29 n’étalaient que des attelles linguales) ont affirmé n’avoir jamais nettoyé sous leurs appareils de contention. Seul le patient n°29 a mentionné que son hygiéniste dentaire l’avait instruit (une fois) à utiliser le fil sous son appareil de contention au moyen d’un passe-fil dentaire - cependant, à cause de l’irritation des gencives provoquée par l’épaisseur du passe-fil en plastique et surtout de la laboriosité jugée excessive de la technique proposée, il n’est jamais parvenu à la mettre en oeuvre. En ce qui concerne le reste des participants, ils ont tous déclaré n’utiliser le fil qu’à de rares occasions ou jamais. Pourtant, un grand nombre d’entre eux a reconnu avoir été souvent motivé dans le passé par l’hygiéniste dentaire à l’emploi quotidien du fil, hélas sans succès à cause de son usage considéré comme trop difficile et ennuyeux. Quant au petit groupe de 33% des participants, faisant montre d’habitudes bien ancrées d’utilisation du fil dentaire, l’emploi quotidien de ce dernier n’a toutefois pas pu les préserver du recrutement dans cet essai clinique. Totalement inattendu, le saignement survenu après stimulation des papilles à l’aide des brossettes interdentaires a pris au dépourvu et profondément impressionné beaucoup de “flossers” réguliers, surtout les rares utilisateurs d’entre eux capables de pratiquer une hygiène orale exemplaire, affichant donc des surfaces dentaires complètement exemptes de plaque. Bien que les utilisateurs réguliers du fil aient obtenu des taux de saignement beaucoup plus bas statistiquement significatifs par rapport aux non-utilisateurs au début de l’étude (avant le commencement de la période interventionnelle), ils exhibaient néanmoins tous un nombre suffisant de sites saignant après stimulation, allant parfois bien au-delà du minimum requis pour participer à cet essai clinique, localisés principalement dans les secteurs postérieurs. Encore une fois, ces observations sont en accord avec l’étude de Imai et Hatzimanolakis qui a comparé l’efficacité des brossettes interdentaires de la série CPS Prime Curaprox avec le fil dentaire dans l’élimination de la plaque et la réduction du saignement chez les sujets avec embrasures de type I. Leur recherche clinique a démontré que, si les deux instruments fonctionnaient de façon similaire en ce qui concerne la diminution des scores de plaque moyens, la brossette interdentaire s’est, en revanche, avérée supérieure au fil dans la réduction des valeurs moyennes de l’indice de saignement (IMAI et HATZIMANOLAKIS 2011). Cela peut être attribué à la capacité des brossettes interdentaires calibrées à remplir un espace interproximal donné grâce à leur taille appropriée à la dimension de ce dernier. De plus, elles peuvent étirer et déployer leurs filaments, ce qui leur permet de rejoindre d’une part, les concavités sur les surfaces proximales des dents (qui sont présentes couramment dans tous les types de dents) (DÖRFER, et coll. 2000) et d’autre part, la partie concave du col papillaire dont le tissu n’est pas kératinisé, et par conséquent, encore plus susceptible à l’inflammation et infection. Il est intéressant de constater que, lorsque les utilisateurs réguliers ont montré leur façon de manipuler le fil dentaire, aucun d’entre eux n’a été en mesure de pratiquer une technique correcte, étant incapable de courber la soie en forme de “C” et de l’enrouler autour de chaque dent, ce qui est en conformité avec l’étude de Segelnick (SEGELNICK 2004). Cela est dû au fait que la vaste majorité d’entre eux était des autodidactes n’ayant jamais reçu de formation pratique sur l’utilisation du fil dentaire de la part de professionnels de la santé orale, hormis leur seule motivation et quelques explications théoriques. Dans tous les cas examinés, sans exception, lors de la démonstration de l’usage du fil, les patients le saisissaient en gardant continuellement sa partie centrale, le bout “nettoyant”, complètement droite entre leurs doigts. Sa longueur trop excessive entachait également l’efficacité de la méthode, et ne leur permettait pas de franchir délicatement les points de contact interdentaires étroits en contrôlant la force utilisée pour ainsi éviter toute lésion papillaire. En conséquence, quelques-uns des utilisateurs réguliers du fil souffraient de coupures gingivales kératinisées (documentées avec des photos reportées dans la section dédiée à la présentation des cas cliniques), lésions qui ont clairement été provoquées par un usage quotidien traumatique de ce moyen complémentaire sur une longue période. En ce qui concerne l’observance et l’adhésion à long terme des patients à ce régime particulier de nettoyage interdentaire quotidien, les taux élevés d’adhésion ont été atteints grâce aux multiples séances d’entraînement pratique à l’utilisation correcte des brossettes interdentaires (ainsi que de la brosse à dents manuelle et du fil) qui ont eu lieu au début de l’étude et à une, deux et trois semaines, sous la supervision directe de l’investigateur. De plus, les compétences acquises dans les différentes techniques de brossage ont été de nouveau vérifiées lors de la visite de recall. Ainsi, 6 mois après la dernière motivation et instruction pratique à l’hygiène orale, seulement 12 patients ont réussi à conserver la qualité du brossage avec la brosse à dent manuelle à un niveau exemplaire; 9 sujets, qui exhibaient des accumulations de dépôts mous de plaque concentrés principalement le long du bord gingival vestibulaire et lingual des molaires et prémolaires, ont pu être considérés comme acceptables. En revanche, dans 11 cas, la qualité du brossage manuel s’est détériorée ou n’a jamais véritablement réussi à prendre son envol tout au long de la période interventionnelle, et cela malgré le fait que des séances de training pratique sur le brossage correct des dents avec la technique de Bass modifiée aient été effectuées à plusieurs reprises. Dans ces cas, des couches épaisses et abondantes de plaque dentaire ont été observées le long du bord gingival des surfaces vestibulaires, linguales et palatines des dents postérieures et parfois même antérieures, ainsi que l’ont montré clairement les photos correspondantes. Ces évidences ne font que confirmer à quel point il est difficile de corriger et changer les mauvaises habitudes profondément enracinées à cause de décennies de brossage routinier. Contrairement aux brosses à dents manuelles, les brossettes interdentaires demeurent une nouveauté pour les patients, qui, par conséquent, peuvent être instruits avec succès dans leur utilisation correcte depuis le tout début. De cette façon, grâce aux exercices pratiques dispensés et répétés plusieurs fois dans un court laps de temps, les patients sont moins enclins à développer de mauvaises habitudes et mettre en œuvre, à l’avenir, des techniques inadéquates de brossage interdentaire. Concrètement, dans notre essai clinique, l’accent a été tout particulièrement mis sur les séances d’entraînement pratique, sans aucune limite dans le temps, à l’utilisation correcte des brossettes interdentaires. Cette façon de procéder s’est avérée déterminante dans la prise de conscience du patient quant à ses compétences nouvellement acquises et à sa motivation autonome, menant donc à un changement positif du comportement lié au nettoyage interdentaire. Or, les patients ne possèdent pas de compétences manuelles initiales équivalentes : si beaucoup d’entre eux ont démontré être extrêmement doués dans l’application de cette nouvelle méthode, d'autres en revanche se sont heurtés à de grandes difficultés. Force de constater l'incapacité à insérer et guider en douceur la BI au travers des espaces approximaux bien spécifiques situés surtout dans la région des molaires, et la maladresse dans le contrôle de l'angle d'insertion des brossettes (qui finissaient souvent par être obliques, ce qui menait en définitive à une trop rapide et irrémédiable déformation de la BI). En outre, il a fallu énormément de temps et de persistance pour mettre en œuvre des techniques d'emploi spéciales des brossettes interdentaires, complexes et difficiles dans leur exécution. Nous citerons par exemple celle dénommée "moitié du côté vestibulaire-moitié du côté lingual", requise dans certaines régions approximales des molaires caractérisées par une morphologie particulière les empêchant d'être entièrement praticables par la BI. Cependant, tout au long de la période expérimentale, du début de l'étude à la troisième semaine, il a été constaté que tous les patients, sans exception, ont amélioré de façon tangible leurs compétences jusqu'à la maîtrise totale de l'utilisation des brossettes interdentaires, parvenant même à les insérer sans aucun effort du côté lingual ou palatin où il était requis de le faire. La fiche des dents Interdental Access Chart spécialement conçue pour les patients, et placée sur le miroir de leur salle de bain en guise d'aide-mémoire, a aussi joué un rôle déterminant dans la motivation des patients, en les aidant à surveiller leurs propres progrès et mémoriser les espaces interdentaires. Rappelons que ces fiches reportent des indications sur l'emplacement et le sens d'insertion des différentes brossettes interdentaires requises, la dernière mise à jour des ajustements de leur taille ainsi que la position des sites de saignement et scores collectés de semaine en semaine. Le résultat démontre que la majorité des sujets est devenue capable de manier ces instruments de nettoyage interdentaire en dehors de la salle de bain, sans l'aide du miroir, certains d'entre eux se servant même de leur propre langue pour se repérer en comptant les espaces approximaux. De plus, les premières séances d'entraînement pratique en hygiène orale ont permis aux patients de reconnaître par eux-mêmes si la taille sélectionnée d'une BI était adaptée ou non à la dimension d'un espace donné, les aidant ainsi à développer leur propre faculté d'auto-calibrage. Il devient donc évident que l'acquisition d'une compétence n'est pas le fruit d'un événement unique et isolé mais plutôt d'un processus continu exigeant beaucoup de temps et de dévouement envers les patients : par conséquent, cela ne peut être réalisé en une seule et unique séance par le biais d'une approche standard telle que celle adoptée dans la vaste majorité des cabinets dentaires traditionnels (c'est-à-dire examen de contrôle dentaire classique, suivi par un détartrage et polissage ordinaires et ensuite par des réponses concises et objectives aux questions posées par les patients). À cet égard, les procédures adoptées dans notre essai clinique et leurs issues reflètent les constatations découlant de deux études expérimentales sur les concepts de la théorie de l'autodétermination (MÜNSTER HALVARI et HALVARI 2006 et MÜNSTER HALVARI, et coll. 2012). La théorie de l'autodétermination suggère que des contextes propices au soutien de l'autonomie, dans lesquels les prestataires de soins de santé se centrent sur le patient et font preuve d'empathie et de compréhension, peuvent encourager et renforcer la régulation du comportement autonome des patients ainsi que leur perception des compétences acquises. Il va sans dire que cette régulation et cette perception constituent une condition sine qua non pour réaliser un changement comportemental efficace sur le long terme. Dans notre essai clinique, les patients avaient la possibilité de poser toutes les questions souhaitées, exprimer leur ressenti, discuter des problèmes rencontrés et pratiquer les différentes techniques de brossage dans une ambiance positive, décontractée et amicale. De plus, les sujets avaient le loisir de décider eux-mêmes du moment le plus opportun pour utiliser les brossettes interdentaires, pourvu qu'ils le fassent une fois par jour. La liberté dans le choix de l'endroit (affranchissement des salles de bains et des miroirs) et du moment le plus propice pour accomplir le nettoyage de leurs propres espaces interdentaires était considérée comme un atout majeur, surtout par les sujets à lourde charge de travail. En raison de l'accroissement et du renforcement de leurs compétences manuelles, certains patients ont également commencé à explorer de nouvelles façons d'utiliser les brossettes interdentaires dans les sites les plus complexes à atteindre. Les patients compliant ont affirmé ne plus pouvoir s'abstenir de nettoyer leurs espaces approximaux, vivant littéralement cette démarche comme un "acte libérateur". Ils ont également rapporté être totalement passionnés et sincèrement enthousiastes par cette nouvelle manière de brossage interdentaire, ou encore ont déclaré éprouver un besoin impérieux de s'acquitter de cette tâche une fois par jour. L'utilisation régulière des brossettes interdentaires sur le long terme a contribué au maintien de papilles arborant un aspect sain et une consistance ferme, ainsi que des espaces interdentaires quasiment exempts de dépôts durs, surtout en ce qui concerne la zone linguale du secteur antéro-inférieur, région particulièrement susceptible à l'accumulation de tartre en un temps relativement court. En conformité avec l'étude de Lang et de ses collaborateurs (LANG, et coll. 1973), les patients nettoyant leurs espaces interdentaires à un rythme constant d’au moins un jour sur deux, autrement dit 4 à 5 fois par semaine, n’ont montré aucun saignement à la visite de recall. Au contraire, les participants à l’étude ayant utilisé les brossettes interdentaires seulement une fois tous les trois ou quatre jours durant la période de maintien de 6 mois, ont tous, sans exception, subi un saignement des gencives. Si la préférence des patients pour les brossettes interdentaires, au vu de leur facilité de manipulation, a été clairement mise en évidence dans notre essai clinique, en accord avec de nombreuses autres études (BERGENHOLTZ et OLSSON 1984, KIGER, et coll. 1991, CHRISTOU, et coll. 1998, JACKSON, et coll. 2006, SLOT, et coll. 2008, IMAI et HATZIMANOLAKIS 2011 et IMAI, et coll. 2012), le même engouement ne s’est pas produit avec le fil dentaire, et cela malgré des entraînements pratiques répétés à l’utilisation appropriée (plus efficace, quoique atraumatique) de cet instrument. Sur 26 patients ayant dû recourir à l’usage du fil dans quelques sites très particuliers totalement inaccessibles aux brossettes interdentaires, seulement 9 sujets ont persisté dans son emploi qui leur avait été recommandé. Tous les autres ont complètement arrêté d’utiliser le fil dentaire, estimant cette tâche beaucoup plus ardue, compliquée et difficile à accomplir par rapport à la manipulation décidément plus simple de la BI. En conclusion, l’efficacité de cette nouvelle génération de brossettes interdentaires bien que démontrée par de nombreuses preuves scientifiques, robustes et irréfutables, comme avantage premier ne l’est finalement pas. En effet, le véritable avantage de cet outil consiste en l’acceptance très élevée des patients. La facilité et la rapidité d’utilisation des BIs séduisent leurs utilisateurs et en font des instruments précieux et indispensables à leurs yeux. Ainsi, les BIs ont, finalement, plus de chance d’être intégrées avec succès dans la routine quotidienne des patients sur une longue période de temps. Effectiveness of calibrated interdental brushes in reducing the Interdental Bleeding Index (IBI) in subjects with intact interdental papillae: Clinical trial on gingival inflammation self-treatment and patient compliance after 6 months ABSTRACT Aim: To determine the effectiveness of calibrated interdental brushes in reducing the Interdental Bleeding Index (IBI) in individuals with intact interdental papillae exhibiting interproximal gingival inflammation as evidenced by gingival bleeding upon stimulation, and evaluate patient compliance with this specific interdental cleansing home care regimen after 6 months. Materials and methods: Thirty-three adults, mean age 38.1 years, with no signs of periodontal disease were recruited mainly from a private dental practice during their annual/biannual recall appointment or scheduled consultations for this 6-month, single group design clinical trial. The subjects, with intact papillae or papillae with a slight recession only, displayed a minimum of 16 interproximal bleeding sites ascertained through stimulation with a new generation calibrated interdental brushes (IB). The Interdental Bleeding Index (IBI) was assessed at baseline, week 1, week 2, week 3 and week 27 and bleeding scored as either present or absent. Photos illustrating the buccal and lingual papillae conditions were taken at baseline before starting the experimental period, 3 weeks after the beginning of interdental brushes usage and at recall visit. Bleeding papillae after IB stimulation were mostly documented at baseline and week 1. Subjects were individually instructed and motivated with no time limit in the correct use of interdental brushes, which had to be thoroughly introduced in each passable interdental space with a simple “once in and out” movement, once a day. Oral hygiene instruction was repeated at every session at the end of which participants received the Interdental Access Chart, a teeth diagram especially developed for the patients with depicted indications as where and from which direction to use a specific IB, the latest updates of IBs adjustments, as well as the bleeding scores location collected from week to week, to be placed on the mirror of their bathroom as a reminder. Results: The Generalized Linear Model utilizing the Binomial family for the response variable and the Logit link function demonstrated a high statistical significance in the reduction of the number of bleeding parts measured at baseline and after 1, 2 and 3 weeks of interdental brush usage (p=0.000), regardless of the patient’s interdental cleaning habits prior to the experimental period (whether or not they used to be regular flossers). As for the patient’s long-term compliance rates, 72% of the individuals were still using the interdental brushes after 6 months either daily, at a steady rate of “once every other day” or 5 times a week. Conclusion: These calibrated interdental brushes evidenced statistically significant reductions in bleeding scores and constitute thus a valid interdental self-care aid for patients with gingivitis and intact interdental papillae. The clinical trial data and pictures provided enough evidence of both clinical efficacy and safety in the daily use of those interdental brushes by individuals displaying type I embrasures. Rapidity of manipulation and ease of use directly influenced patient’s acceptance of those novel calibrated interdental cleaning devices, leading to elevated long-term compliance rates; however, the repeated individual instruction, calibration and practical training in the correct methods of use of interdental brushes under a dental health professional’s direct supervision played a crucial role in achieving a successful primary prevention and avoiding adverse effects such as potential harms or damages to oral soft tissues, interdental papillae or teeth. Key words: gingivitis, primary prevention, interproximal spaces, interdental bleeding index (IBI), interdental cleaning, type I and II embrasures, interdental brushes (IB), individual oral hygiene instruction and training program, interdental access probe (IAP), interdental access chart (IAC) INTRODUCTION The assumption that a clean tooth couldn’t get sick was established in a clinical study which constitutes one of the milestones in dental history: the experimental gingivitis in man (LÖE et al., 1965), whose observations collected in 1965 by Loë and associates demonstrated a direct correlation between plaque accumulation and the development of gingival inflammation in a group of subjects exhibiting a clinically healthy gingiva and excellent oral hygiene, who were asked to restrain from tooth brushing and interdental cleaning for three weeks. When efficient oral hygiene measures were reintroduced again, healthy gingival conditions could be reestablished in about a week. Moreover, the role of gingivitis as a risk factor for periodontal disease and future tooth loss was clearly documented in the 26-year longitudinal study of Norwegian males (SCHÄTZLE et al., 2003), which evidenced that sites with consistent and permanent bleeding throughout this long-term observation period displayed 70% more attachment loss than sites that were free of inflammation. The most significant outcome of this study was that teeth which were constantly surrounded with inflamed gingival tissues bore a 46-times higher risk to be lost (SCHÄTZLE et al., 2004). That leads to the fact that the prevention of gingivitis, in the individual patient or in populations, still represents a key element toward preventing periodontitis (BURT, 2005). However, despite the fact that preventive efforts over the past decades have noticeably reduced caries experience in children, adolescent and young adults in most countries of the world (BRATTHALL, 2005 and BEIKLER & FLEMMIG, 2011) and the significant improvement in oral hygiene and periodontal health which took place in the last 30 years (HUGOSON et al., 2008), gingivitis still remains the most widespread disease among adults. More than 82% of U.S. adolescents have manifest gingivitis and signs of gingival bleeding (ALBANDAR et al., 1998), with similar or higher prevalences of gingivitis being reported for children and adolescents in other parts of the world (CUNHA & CHAMBRONE¹, 1998; CUNHA & CHAMBRONE², 1998; PETERSEN & KAKA, 1999; ALBANDAR & TINOCO, 2002; GJERMO et al., 2002). A high prevalence of gingivitis is also found in adults, with more than half of the U.S. adult population estimated to exhibit gingival bleeding (OLIVER et al., 1998; ALBANDAR et al., 1999; ALBANDAR, 2002; ALBANDAR & RAMS, 2002). Studies among other populations in developing countries show that gingivitis, associated with extensive plaque and calculus deposits, is the norm among adults (BAELUM et al., 1986; BAELUM et al., 1988; BAELUM, FEJERSKOV & MANJI 1988; BURT, 2005). As for the situation in Switzerland, before evaluating the epidemiological studies considering the periodontal conditions of the Swiss population it might be interesting to analyze their personal oral hygiene habits, as reported in the Stadelmann et al. study (STADELMANN et al., 2012) based on the data from the Swiss Health Survey (SHS) conducted in 2002. The purpose of those health surveys, carried out by the Federal Office of Statistics at 5-year intervals, is to record the health status of the Swiss population through a written questionnaire consisting of a main module (which collects data on socio-demographic factors and health status) and a dental health module included at 10-year intervals (1992/93 and 2002). The results of the above-mentioned study showed that 74% of the population reported cleaning their teeth or prostheses several times a day, predominantly with a manual toothbrush, while 28% were using an electric toothbrush. In addition to that, 48.9% of the respondents claimed to employ dental floss or toothpicks. Subjects between 25 and 64 years of age reported performing interdental hygiene more frequently (51.2% to 57.3%) than 15- to 24-year-olds and persons ≥ 75, who used floss or toothpicks less often. In general, women resulted being more conscientious about oral hygiene than men. This research also pointed out the fact that subjects with a higher income and those with higher education were more diligent in cleaning their teeth and interproximal spaces with additional interdental aids (which were used more often) than those with low income and compulsory education only. Those results confirmed the findings which already emerged from the Swiss Dental Association’s public survey carried out in 2000 (KUSTER et al., 2000), namely the same behavioural trends in different social strata, as well as the increase of dental floss users (about 44% vs. 23% in 1980 and 39% in 1990). Important to notice was the fact that dental floss was most widely used by subjects who were visiting a dental hygienist on a regular basis (57% of the interviewees vs. 38% of those who have never seen a dental hygienist). However, a huge discrepancy between the population’s claims about interdental cleaning aids usage and the findings reported in the latter survey on oral health behaviour in Germany and Switzerland was brought to light (STAEHLE, 2004). In his comparative study Staehle noted that with its average 0.15 packets per capita estimated annual usage of dental floss (which barely corresponds to 4.1% of what appears to be an adequate quantity of 3.65 packets), as well as 0.05 packets per capita annual usage of interdental brushes the interproximal cleaning plays no more than a minor secondary role in Switzerland, which is in strong contrast to dental medical literature and mass media affirmations. Furthermore, the results of several cross-sectional studies which have been conducted in the last decades (either in well defined population groups or in randomly selected populations) indicate that, in spite of all the oral health promoting programs and preventive strategies undertaken in Switzerland, a majority of the subjects was still affected by localized gingivitis. In general, about 75% of the examined Swiss population sample exhibited an insufficient oral hygiene (SCHÜRCH et al., 1991; UVIRA, 1992; STIEFEL, 1993; ZBINDEN, 1993; KARSEGARD et al., 2001). Although the use of a manual toothbrush is a very well established habit with more than 80% of all adults brushing their teeth daily, tooth brushing alone turns out to be insufficient when it comes to reaching the interdental regions (WARREN & CHATER, 1996; BROTHWELL et al., 1998). Since the majority of the population keeps concentrating on those tooth areas which exhibit the least disease formation, their cleaning regimen only produces about a 20% effect. On the contrary the “key-risk surfaces” evidenced by epidemiological studies, i.e. the proximal surfaces of the molars and premolars, end up being almost completely neglected (AXELSSON, 1981). Lang and associates (LANG et al., 1973) clearly showed the existence of a plaque development pattern starting at first in the interproximal areas of the premolars and molars, and only subsequently extending to the interproximal surfaces of anterior teeth, and later to the facial surfaces of the premolars and molars. It was also observed that gingival inflammation generally began in those same crucial interproximal lateral regions as well. Another study on the consistency of plaque distribution (CUMMING & LÖE, 1973) identified the interproximal surfaces, particularly in the molar region as being regularly associated with plaque deposits especially in patients without individual home care instruction. Since the posterior interdental areas are the least accessible smooth surfaces (SJÖGREN et al., 2004), they display the highest frequency of plaque occurrence: this is the reason why these interproximal sites are also frequently affected by caries, as well as by periodontal and gingival lesions which are predominantly observed in those type of locations (AXELSSON et al., 2004; HUGOSON et al., 2005). In light of all these factors, effective interdental cleaning with the most appropriate interdental devices definitely constitutes a necessity. However, a set of criteria should be taken into consideration when choosing a correct interdental aid. First of all, the patients’ acceptance of a given method which can influence their compliance and therefore, the practical efficacy of the cleaning device (WARREN & CHATER, 1996; Another point of concern with all interdental cleaning is patient’s manual dexterity and motivation, which are closely related (ASADOORIAN, 2006; IMAI & HATZIMANOLAKIS, 2010; IMAI et al., 2012). Nowadays flossing represents the most widely recommended home care procedure to remove interproximal plaque. The American Dental Association has reported that dental floss is able to eliminate up to 80% of interdental plaque in a “normal” dentition, that is to say, with the papilla filling up the entire proximal space (AMERICAN DENTAL ASSOCIATION, 1984; CARR et al., 2000; ASADOORIAN, 2006). Although dental flossing is a common interdental cleaning method usually recommended by dental professionals (including dental hygienists) more specifically to patients with intact interdental papillae, many studies have demonstrated that the practice of regular flossing was dramatically low. Patients are known to find dental floss challenging to use, especially in case of crowding, tight proximal contact areas and attempts to use it in the posterior teeth (WARREN & CHATER, 1996; IMAI & HATZIMANOLAKIS, 2010). Referring to the general population, Bader (BADER, 1998) stated that the majority never flosses at all, while the range of daily use among adults reported by further researches extends from 10% to 30% (RONIS et al., 1994; CHRISTENSEN et al., 2003; SEGELNICK, 2004; ASADOORIAN, 2006). One study in particular showed that approximately 40% of the individuals who were flossing were not practicing the proper flossing technique, that is they were unable to make a “C” shape with the floss and wrap it around the teeth, thus adversely affecting the effectivity of the flossing method (BAUROTH et al., 2003). This is why, in order to achieve optimal compliance, it is extremely important to evaluate the patient’s abilities and source of motivation before making an oral self-care recommendation (IMAI & HATZIMANOLAKIS, 2010). Another issue of concern should be the patients’ perception of a cleaning tool’s ease of use, because it can directly affect their level of motivation: oral self-care techniques which are easy to carry out are more likely to be implemented in a daily routine than techniques that require higher manual skills and effort to produce a result (ASADOORIAN, 2006; IMAI et al., 2012). Substantial scientific evidence has clearly demonstrated the cleaning efficacy of the interdental brush, along with its ability to reduce probing depths and bleeding scores in subjects suffering from moderate to severe periodontitis. In case of reduced periodontium with large interdental spaces, missing papilla and wide embrasures, plaque removal was more effective when performed with interdental brushes than with floss; moreover, the patient’s acceptance and preference for the interdental brush due to its ease of use have been evidenced as well (BERGENHOLTZ & OLSSON, 1984; KIGER et al., 1991; CHRISTOU et al., 1998; JACKSON et al., 2006; SLOT et al., 2008; IMAI et al., 2012). Introduced in the Sixties as an alternative to woodsticks, the interdental brushes are produced in various sizes, shapes and stiffnesses. Usually, they are conical or cylindrical in form and exhibit different widths to fit the interdental space (VAN DER WEIJDEN & SLOT, 2012). IBs are composed of filaments arranged radially in a helical order, which are secured in a double-layered twisted stainless wire core (WOLFF et al., 2006). The interdental brushes of the past, with their large diameters and thick wire kernels, were suitable only for patients displaying clinical attachment loss and larger embrasures. However, only few dental professionals are aware of the fact that newer interdental brushes are available in sizes adapted to most type I embrasures, which have been introduced as a potential, suitable alternative to dental floss for patients with intact interdental papillae (IMAI et al., 2012). Imai and Hatzimanolakis were the first to conduct clinical research on patient compliance for interdental care with the IB, as well as on the efficacy of the IB compared to floss, by involving exclusively periodontally healthy subjects with closed interdental spaces (IMAI & HATZIMANOLAKIS, 2010; IMAI & HATZIMANOLAKIS, 2011). For that purpose, they employed the Curaprox CPS Prime series interdental brushes, the same ones selected for our study. Compared to traditional IBs, the peculiarities of this novel IB generation are the following: through a substantially lighter and more delicate method of construction which enabled the “miniaturisation” of the wired stem, the new IBs exhibit an extremely thin patented surgical wire core (CURAL®) and particularly fine soft bristles. Furthermore, along with the IB “efficacy diameter”, the new notion of “accessibility diameter” was introduced, which is directly correlated with the ability of the new IB to penetrate into intact interdental spaces by passing their narrow entrances and exits without traumatizing the particularly susceptible interdental papilla. Thus, the accessibility diameter corresponds to the IB’s capacity to access in an atraumatic way to the sheltered inner part of the approximal area and is defined by the wire core gauge in addition to the bristles folded down on themselves like a parachute (which occurs during the IB insertion). On the contrary, the IB efficacy diameter is its ability to fill the space up by reaching concavities on the proximal surfaces of the teeth and in the interpapillary saddle, i.e. the “col” area. It refers to the bristles length (i.e. the IB cleaning power) (Fig. a and e on page 38 and 40). Interestingly, the above-mentioned distinguishing characteristics of these newer interdental brushes have been already described back in 1999 by Sedelmayer, who highlighted the difference between what he called the “new” and “old” IB generation (SEDELMAYER, 1999). Those distinctions between older and newer IBs are described in Figures b, c, d and e (pages 39 and 40). At the same time, Sedelmayer delivered a detailed methodology intended to implement and maintain on a long-term period the primary prevention in healthy subjects, or patients with intact interdental papillae displaying interproximal gingival inflammation. His approach involved also the use of: a new bleeding index (the Interdental Bleeding Index), a special Interdental Access Chart (IAC) for patient’s motivation and the Interdental Access Probe (IAP) for determining the correct IB size. All three aspects have been adopted in the present clinical trial, along with the Curaprox CPS Prime series IBs. Fig. a. Overview of the Curaprox CPS Prime Series, the colour coded IBs available in 5 sizes selected for our study. The IB access radius is defined by the wire core gauge in addition to the bristles bent on themselves during insertion. The cleaning radius corresponds to the length of the filaments. The accessibility diameter of the smallest IB, the Curaprox CPS Prime 06 blue, is of 0.6 mm, while its efficacy diameter is of 2.2 mm. The biggest IB of the CPS Prime Series, the 011 green one, has an accessibility diameter of 1.1 mm, but the maximal extension of the bristles is of 5 mm. Fig. b. Comparison between the “new” and “old” generation IB: on the left, the CPS Prime 09 IB with an accessibility diameter of 0.9 mm and an efficacy diameter of 4.0 mm. On the right, a standard interdental brush CPS regular 10 with an “access” diameter of 1.0 mm and an efficacy diameter of 2.2 mm. Both have a similar accessibility, i.e. they are able to penetrate in the same interdental space with an equal light insertion force. Only, this capability of the “old” IB was attained by simply shortening its filament’s length, without modifying the other parameters. The result is that the traditional IB is clearly harder and constitutes a potentially traumatic tool in comparison with the “new generation” IB. Source: SEDELMAYER J, Neue Möglichkeiten der professionellen Interdentalraumpflege. Quintessenz Team-Journal 29:225-232, 1999. Image courtesy of Dr. Jiri Sedelmayer, Prague, Czech Republic. Fig. c. Magnified details of the same type of IBs as described above (see Fig. b). On the left: CPS Prime 09 IB. On the right: CPS regular 10. Notice the thicker wire core, as well as the more denser and stiffer filaments of the standard IB. On the contrary, the much thinner wire kernel and softer filaments of the novel IB generation allow atraumatic insertion in interdental spaces with intact papilla, which can be as small as 0.6 mm (for the CPS Prime 06 IBs). Source: HOFER D, SAHRMANN P, ATTIN T, SCHMIDLIN PR, Comparison of marginal bleeding using a periodontal probe or an interdental brush as indicators of gingivitis. Int J Dent Hyg 9(3):211-5, 2011. Image courtesy: PD Dr. P. Schmidlin, Clinic for Preventive Dentistry, Cariology and Periodontology, University of Zürich, Switzerland. Fig. d. Again, a comparison between the “new” and “old” IB generation: on the left, the CPS Prime 011 and on the right, the CPS regular 11. If they both display the same accessibility diameter of 1.1 mm, in terms of effectiveness the more efficient IB is the one with the largest diameter, i.e. the CPS Prime 011 with an efficacy diameter of 5.0 mm (while the efficacy diameter of the standard IB is of 2.5 mm). At the same time, the CPS Prime 011 is also much thinner and softer, thus significantly reducing its traumatic potential. Fig. e. Comparison between the efficacy diameter of a new generation IB on the left and an old generation IB on the right: the larger the efficacy diameter, the bigger the ability to reach concavities on the proximal surfaces of the teeth. On the left, the bristles folded down on themselves like a parachute can be observed at the narrow entrance and exit of the approximal space. The thickness of the filaments tightened up added to the wire core gauge define the accessibility diameter, which is the distinguishing and outstanding characteristic of this new generation IBs. Source: SEDELMAYER J, Neue Möglichkeiten der professionellen Interdentalraumpflege. Quintessenz Team-Journal 29:225-232, 1999. Image courtesy of Dr. Jiri Sedelmayer, Prague, Czech Republic. As for the bleeding, it is an objective, easily assessed and reliable clinical symptom of gingival inflammation, which can be evaluated using various indices. Among all those indices, the Papilla Bleeding Index (PBI) developed in 1975 by Saxer & Mühlemann has proved to be extremely useful in private dental practices, where it turned out being an efficient tool for measuring the severity of gingival inflammation. Because it allowed an immediate evaluation of patient’s gingival condition while at the same time motivating individual patients toward improving their oral hygiene, the PBI index achieved a significant importance among the practising dentists, especially in Switzerland (ENGELBERGER et al., 1983). However, since bleeding in the PBI is achieved by gliding a blunt periodontal probe along the gingival sulcus of the tooth’s distal and mesial aspects from the base of the papilla to its tip (that is, in the “outer” part of the interdental space only), it is not taking in account the interpapillary saddle (“col” area). Therefore, back in 1999 Sedelmayer developed an alternative to the Papilla Bleeding Index. His new index, which allowed the assessment of interdental bleeding, was basically a modification of the existing Eastman Interdental Bleeding Index (EIBI). The EIBI, a dichotomous bleeding score, was developed to determine the presence or absence of interdental inflammatory lesions by the horizontal insertion of a soft wooden interdental cleaner into the interproximal space, which had the effect to stimulate uniformly across the col area (ABRAMS et al., 1984; AMATO et al., 1986; CATON et al., 1988). Instead of using a wooden interdental cleaner, Sedelmayer suggested to achieve the stimulation of midinterproximal tissues through the use of a novel interdental brush generation (Curaprox CPS Prime Series, Curaden AG, Kriens, Switzerland), in a much smoother, atraumatic way for the papillae. He then called his new index “Bleeding on Brushing” (BOB) or simply “Interdental Bleeding Index” (IBI). To assess interdental bleeding, the new generation IB is gently inserted with a simple “once in and out” movement (maximum insertion force of 50 grams) and bleeding is scored as either present or absent (SEDELMAYER, 1999) (refer to Fig. g on page 47 in the “materials and methods” section). With regard to the Interdental Access Chart (IAC), it should not be mistaken as a new dental charting form. On the contrary, the IAC’s aim is to help patients get oriented in their own mouth by providing them with written instructions (as where and from which direction to use a specific IB, the bleeding scores location, etc.), thus enhancing patient motivation (SEDELMAYER, 1999) (refer to Fig. h on page 48 in the “materials and methods” section). Finally, the Interdental Access Probe (IAP) is a graduated colour-coded probe directly related to the accessibility diameter of the Curaprox CPS Prime Series. It helps in determining the best IB fitting size in a specific interdental space (refer to Fig. i and j on page 49 in the “materials and methods” section). However, no quantitative clinical data have been published so far to evaluate the efficacy of these Curaprox CPS Prime Series calibrated interdental brushes. The primary purpose of this study was therefore to determine the effectiveness of this new interdental brush generation in reducing the Interdental Bleeding Index (IBI) scores in individuals with intact interdental papillae exhibiting interproximal gingival inflammation, as evidenced by gingival bleeding upon stimulation, and subsequently evaluate patient compliance with this specific interdental cleansing home care regimen after 6 months. The null hypothesis was that the novel interdental brushes will significantly reduce the IBI. MATERIALS AND METHODS Study Design The study was a 6-month, single group design clinical trial evaluating the reduction of the Interdental Bleeding Index (IBI) following interdental self-treatment of gingivitis by the use of a novel interdental brush generation (Curaprox CPS Prime Series, Curaden International AG, Kriens, Switzerland) in subjects displaying interproximal gingival bleeding ascertained through stimulation of intact papillae. The study’s primary outcome measure was decrease of bleeding, and the secondary outcome was determination of patient’s long-term compliance rates with this specific interdental cleansing home care regimen. The study protocol has been previously submitted to and approved by the cantonal Ethics Committee of Ticino (CE-TI – Cantonal Ethics Committee, Ticino, Switzerland, Ref. CE 2426). Study recruitment and eligibility criteria Thirty-three adults participated in the study. Twenty-two subjects were recruited from a private dental practice during their annual/biannual recall appointment or scheduled consultations for tooth decay treatment/damaged restorations/ fractured teeth/cervical sensitivity/chewing discomfort/bleeding gums/second-opinion seeking/ etc. As for the rest of the individuals, since they were married to or friends with some of the clinical study participants, they reported having been drawn by curiosity into this particular oral hygiene training program: this is why they proposed to join the clinical trial. With the exception of patient no.4 and patient no.27, who were a trainee dental nurse and a dental assistant respectively, the rest of the study subjects were not dentists/dental hygienists, nor students in dentistry/dental hygiene. All study visits were held at Dr. Carlo Metzler’s private dental practice, Via Vedeggio 1, 6928 Manno, Switzerland. All potential subjects were screened to establish whether they met the inclusion/exclusion criteria. Individuals who met all the eligibility criteria were asked to take part in the clinical study. Those willing to participate signed consent forms after having been informed about the nature, goal and procedures of the study. Patients were recruited from May 2011 to September 2011. To be included in the study, subjects had to meet the inclusion criteria listed below, which consisted of: - a minimum of eight interproximal areas with intact interdental papillae or papillae exhibiting a slight recession only (type I or type II embrasures), able to accommodate the smallest interdental brush CPS 0.6 mm (Curaprox CPS Prime Series, Curaden International AG, Kriens, Switzerland) - a minimum of 16 interdental bleeding sites upon stimulation with the CPS 0.6 mm interdental brush inserted from the buccal aspect throughout the whole interdental space with one single stroke (a simple “once in and out” movement). If the CPS 0.6mm IB turned out being under dimensioned, the next bigger IB size was selected and the insertion procedure repeated - ability and willingness to attend 5 visits. Subjects were excluded from the study if they: - exhibited signs of periodontal disease (presence of mesial and distal interdental lesions that could be visualized on patient’s regular bite-wing radiographs) - had taken antibiotics one month prior to the start of the clinical trial - used chlorhexidine or over-the-counter mouthwash prior to or during the study - had uncontrolled diabetes mellitus - had a smoking habit - had full orthodontia (on the contrary, upper/lower fixed lingual retainers were accepted). Study schedule Since the vast majority of the study participants were regularly going to the dental practice once or twice a year for a visit and professional plaque and calculus removal performed by their dental hygienists (in 7 cases calculus removal was carried out by dentists), decision was taken NOT to submit the subjects to non-surgical periodontal debridement using ultrasonic/hand instrumentation prior to the intervention phase of the study. On the contrary, considering that a complete series of intraoral photos were taken at the first visit (as well as at the forth and recall consultation), it was in the patients’ best interests to provide them with true visuals of their existing gingival condition, and further improvement throughout the clinical trial exclusively thanks to their own efforts. Patients no.19 and 24 received professional plaque and calculus removal 2 years prior to the clinical study (patient no.19 was afraid of and suffered from dentinal hypersensitivity caused by his last debridement, while the other one simply skipped his annual recall appointment). On the contrary patients no.5, 7, 15 and 31 received professional tooth cleaning 7 to 11 days prior to the start of the clinical trial (as a unique exception, patient no.9 underwent plaque and tartar removal immediately after the first clinical study visit) because it was not possible to reschedule neither their dental hygiene appointment, nor the beginning of the study. The other subjects submitted themselves to professional plaque and calculus removal in a period of time spanning from 1 month to one year prior to the starting point of the study (each case has been accurately described in the “presentation of clinical cases” section). Due to the calculus accumulation around the lingual retainer of patient no.4 and abundant tartar build-up in the lingual lower central sector of patients no.8, 19 and 22 interfering with effective interdental brushing, decision was taken to perform a circumscribed supragingival scaling using a hand instrument instead of an ultrasonic scaler, in order not to alter the interproximal and subgingival environment of those regions. Those circumscribed supragingival scalings were accomplished either during first or second visit, and allowed to carry out indispensable IB size adjustments (depicted in the corresponding teeth diagrams of each individual case). One investigator (FBH), a general dentist and calibrated, certified iTOP (Individually Trained Oral Prophylaxis) instructor, collected the data, motivated and provided the patients with practical hands on oral hygiene instructions. Standard data collection consisted of review of medical histories, bitewing radiographs, Interdental Bleeding Index (IBI) and intraoral photos. The teeth and papillae were photographed under standardized conditions, using a Nikon D 90 digital camera equipped with a Nikon Micro-Nikkor 105mm f/2.8 D AF macro lens and a Nikon Macro Speedlight SB-29 flash unit. The front teeth were photographed perpendicular to the tooth arch. The buccal lateral sectors and palatal/lingual surfaces were photographed with mirrors designed for oral photography (Nichrominox lateral/lingual/palatal glass mirrors, Lyon, France). As already mentioned in the “introduction” section, in accordance with the method depicted by Sedelmayer (SEDELMAYER, 1999) this clinical trial has adopted: a) the Curaprox CPS Prime Series interdental brushes b) the Interdental Bleeding Index (IBI) c) the Interdental Access Chart (IAC) d) the Interdental Access Probe (IAP) a) the Curaprox CPS Prime Series interdental brushes These cylindrical IBs are available in 5 colour-coded sizes (Fig. f). They exhibit an extremely thin patented surgical wire core (CURAL®) and particularly long fine bristles in comparison with standard IBs (see Fig. a, b, c, d and e in the “introduction” section). They are characterized by: - an accessibility diameter defined by the wire core gauge in addition to the bristles bent on themselves during insertion. - an efficacy diameter corresponding to the filament’s length (i.e. the IB cleaning power). Fig. f. Overview of the Curaprox CPS Prime Series with the IB head inserted in the “UHS Handy” short, straight holder used in the clinical trial. The Accessibility, respectively Efficacy Ø are reported for each IB. \| CPS 06 blue \| CPS 07 red \| CPS 08 pink \| CPS 09 yellow \| CPS 011 green \| \|-------------\|------------\|-------------\|---------------\|---------------\| \| Accessibility Ø \| 0.6 mm \| 0.7 mm \| 0.8 mm \| 0.9 mm \| 1.1 mm \| \| Efficacy Ø \| 2.2 mm \| 2.5 mm \| 3.2 mm \| 4.0 mm \| 5.0 mm \| b) the Interdental Bleeding Index (IBI) The interdental spaces are stimulated through the insertion of a new generation IB from the buccal aspect throughout the whole interdental space, thus reaching the midinterproximal tissues directly under the contact point of adjacent teeth as well. The IB is introduced with a simple “once in and out” movement and maximum insertion force of 50 grams. Both facial and lingual sites of each passable interproximal space are evaluated and bleeding is scored as either present or absent (yes/no bleeding) (Fig. g). The IBI percentage value is calculated by dividing the total amount of facial and lingual interdental bleeding sites by the total amount of the evaluated facial and lingual interdental sites, then multiplying the result by 100 (e.g. 20/54 x 100 = IBI 37%). Fig. g. Interdental Bleeding Index (IBI) determination using the smallest CPS Prime Series 0.6 mm IB thoroughly introduced in the interdental space with a simple “once in and out” movement. In the pictures of the first row, the IB is inserted in the 34/35 and 35/36 interdental spaces consecutively. Second and third row: evaluation of the 43/44, respectively 44/45 approximal spaces. The bottom rows illustrate the consecutive insertion of the CPS 06 mm IB in the 42/41, 41/31, 31/32 and 32/33 interdental spaces of patient no.4, who exhibits a lingually bonded fixed retainer. Since the IBI is a dichotomous index, it is not discriminating different degrees and intensities of bleeding; on the contrary, it only considers whether interdental brushing elicits bleeding or not. Notice the plaque removed by the tiny 0.6 mm IB, which sticks on the filaments. c) the Interdental Access Chart (IAC) The Interdental Access Chart is a teeth diagram especially developed for the patients to be placed on the mirror of their bathroom as a reminder, depicting indications as where (and from which direction) to use a specific IB, as well as reporting the bleeding scores and their location. The visually displayed instructions constitute a valid support for the patients, contributing to motivation reinforcement. Because they represent a mirror image of patient’s teeth, the quadrants illustrated on the IAC diagram are reversed compared with standard dental charts (Fig. h). ![Interdental Access Chart](image) Fig. h. The Interdental Access Chart (IAC) used in our study: conceived as a patient-friendly tool to be placed on the mirror of their bathroom, it represents an orientation guidance for their mouth and therefore reports a mirror image of patient’s teeth. This is why the quadrants have been switched compared with a standard dental chart (i.e. the maxillary and mandibular right quadrants 1 and 4 are located on the right side instead of the left side). d) the Interdental Access Probe (IAP) The IAP probe is a calibrated colorimetric conical instrument which helps determine the adequate IB size required in a given interdental space. The narrowest section of each coloured segment of the IAP probe corresponds to the accessibility diameter of the matching colour-coded Curaprox CPS Prime Series IB. The procedure is very simple: applying moderate force (max. 50 grams), the IAP probe must be introduced horizontally or with a slight angulation into the interdental space. from the buccal aspect until friction is encountered. The colour that remains still visible closest to the teeth buccal surface indicates the corresponding colour-coded interdental brush (Fig. i and j). Fig. i. The IAP probe is a graduated colour-coded instrument directly correlated to the accessibility diameter of the Curaprox CPS Prime Series. It helps in determining the best IB fitting size in a given interdental space. Fig. j. The pictures below show how to select the adequate IB size by using the IAP probe. In our clinical trial the subject’s embrasures were measured from the 3\textsuperscript{rd} visit onwards, right after the IBI collection (in few cases, where the starting IB was not the smallest CPS 0.6 mm but the next size red 0.7 mm IB, the embrasures were measured from the 2\textsuperscript{nd} visit onwards). Subjects had a minimum of 5 visits: baseline (1\textsuperscript{st} visit), week 1 (2\textsuperscript{nd} visit), week 2 (3\textsuperscript{rd} visit), week 3 (4\textsuperscript{th} visit) and week 27 (recall visit generally 6 months after week 3). At baseline (0), week 1, week 2, week 3 and week 27 the investigator assessed the Interdental Bleeding Index (IBI) or Bleeding on Brushing (BOB). At baseline the bleeding was elicited upon stimulation with the smallest IB (CPS Prime Series 0.6 mm) thoroughly introduced in the interdental space with a simple “once in and out” movement and maximum insertion force of 50 grams. If that IB turned out being too small and under dimensioned, the next bigger IB size was selected and the insertion procedure repeated. The same happened also in the following visits, however bigger IB sizes adjusted to the new gingival conditions were used to stimulate the papillae. The bleeding was recorded as either present or absent. The interdental bleeding scores and their precise location were reported on the IAC teeth diagram (Curaprox Interdental Access Chart, Curaden International AG, Kriens, Switzerland) and the IBI percentage value calculated as mentioned above (refer to Fig. k, page 51). At the 1\textsuperscript{st} visit, only one IB was selected, the one which turned out being the most suitable size for each passable approximal area (the “least common denominator”). It is important to stress that one of the golden rules in our study was to pick only one interdental brush size at the first appointment, in order to ensure and enhance patient compliance. Afterwards, a special focus was laid on a practical training with no time limit in the correct use of interdental brushes, exercise in which the patient was engaged under the investigator’s direct supervision. If the subject experienced some difficulties in reaching the lateral interdental areas with the IB head set into a straight holder (Curaprox “handy” series, Curaden International AG, Kriens, Switzerland), an angled handle especially designed for the side teeth was provided instead (Curaprox UHS 450 “mini click”, Curaden International AG, Kriens, Switzerland). During this first session the patient was also practically instructed in the modified Bass tooth brushing method with a soft manual toothbrush (Curaprox CS 5460 “ultra soft”, Curaden International AG, Kriens, Switzerland). In addition to that, the subject received an accurate practical instruction on how to use dental floss (Curaprox DF 834 waxed floss, Curaden International AG, Kriens, Switzerland) with the loop technique, but only in case one or few patient’s evaluated interdental spaces ended up being totally impenetrable for the IB due to their particular shapes (very narrow, tight “clefts”, which made them more suitable for the use of floss). Interdental spaces that couldn’t be reached exclusively by IBs were obviously not included in the Interdental Bleeding Index calculation, which refers to the sole use of interdental brushes. Fig. k. Excerpts taken from case study no.16 at the 1st visit: on the left are reported the pictures of the right sector (buccal view) and central palatal sector before being stimulated through the IB insertion. On the right: result of the bleeding on interdental brushing procedure in the above-mentioned sectors. Two separate IAC charts were then established for the bleeding scores and the IBs. Both were given to the patient. At 1st visit, the patient was provided with only one IB colour; special methods of IB use as the “half from the facial/half from the lingual side” technique (for not thoroughly passable spaces, as the 16/17 and 26/27 approximal areas in this example), as well as the presence of totally impenetrable spaces suitable only for floss were also noted (in our case the 21/22 approximal area, which can’t be included in the Interdental Bleeding Index calculation). At 2nd visit, along with the IBI collection, one more IB could be selected in the approximal areas where the previously chosen IB was ineffective in filling the interdental spaces up (Fig. 1). Practical oral hygiene instruction was given one more time covering all the different techniques (appropriate use of IBs, modified Bass tooth brushing technique and eventually flossing). Fig. 1. Case study no.16, bleeding on brushing one week later: notice the considerable reduction of the bleeding in the right upper lateral sector (vestibular and palatal view in the pictures on the left) and central palatal sector. Two new IAC charts were established and given to the patient. The same procedure was applied at 3rd, 4th and recall appointments, with IB’s size adjustments being performed and further IBs introduced when required (Fig. m). After every session, the patients received the Interdental Access Charts with the bleeding scores and the latest updates of IB’s size adjustments, which had to be placed on the mirror of their bathroom as a reminder. Fig. m. IAC charts reporting separately the IBI index and the latest IB’s sizes adjustments, filled out after every session. From the 3rd visit onwards, right after the IBI collection the subject’s embrasures were measured with the IAP colour-coded probe (Curaprox Interdental Access Probe, Curaden International AG, Kriens, Switzerland) as already mentioned above (refer to Fig. j), in order to determine the best IB fitting size. However, in few cases where the starting IB was not the smallest CPS 0.6 mm but the next size red 0.7 mm IB, the embrasures were measured from the 2nd visit onwards. Normally, a maximum of 3 interdental brush sizes were picked, although in few cases 4 IBs were required and exceptionally 5 (only in patients with excellent compliance). The patient was instructed to insert the adequate IB only once in and out in each passable interdental space, once a day (it was of no matter when: the participants were free to choose the right time for them to use the IBs which could be in the morning, afternoon or evening, provided they did it once a day) (Fig. n). The subjects were advised to employ the IBs with a low frequency (only one single movement in and out, once a day), to avoid traumatizing the papillae. For each subject, a complete set of 9 photos was taken at 1st visit (before starting the experimental period), at 4th visit (3 weeks after the beginning of interdental brushes usage) and finally at recall visit (which took place generally 6 months after the 4th visit). Additionally, bleeding papillae after IB stimulation were documented mostly at 1st and 2nd visit, occasionally also at 3rd/4th/recall visit. Fig. n. Excerpts taken from case studies no.29, 24 (below in the 3rd row) and 19 (4th row), from left to right: 1st row, buccal view of the unstimulated right sector and bleeding after IB insertion at 1st visit, then bleeding on brushing after one week of IB use. 2nd row: front view of the unstimulated central sector and bleeding on brushing at the 1st visit, then bleeding on brushing at the 2nd visit. 3rd row: the same as above. To be noticed is the dramatical decrease of the bleeding within one week only, by simply using the IB once in and out, once a day. 4th row: clinical aspect of the gingiva of the compliant patient no.19 at his 1st visit (on the left), 4th visit (in the middle) and recall visit 6 months afterwards (on the right). The gingiva tangibly improved and a visible desinflamation of the papillae can be observed in both upper and lower central sectors. The gingiva is thinner and looks healthier with its pale salmon-pink color. Visible oral lesions such as gingival cuts, erosions of the buccal mucosa, redness or damaged interdental papillae were photographed as well (Fig. o, p and q). Fig. o. Excerpts taken from case study no.2, insertion of the IB between 16/17 several times in a row: after 7 insertions, a small “cut” in the interdental tissue can be observed, disappearing within few hours. However, as it can be noticed, the papilla and the interdental space are absolutely not bleeding. If used with a higher frequency than only one movement in and one out, once a day, even the “new generation” IBs bear a traumatical potential. Fig. p. Excerpts taken from case study no.29, detail of the 26/27 interdental space: no cuts or wounds can be detected at the starting situation on the left. When inserting the yellow CPS 0.9 mm, it can be noticed that the brush is going the wrong way in the palatal area, ending up in the mesial sulcus of the 27: nevertheless, no bleeding can be observed. After retiring the IB, a small cut becomes visible and then disappears after a short while. The patient doesn’t feel any discomfort or pain, but it is important to remind him to insert the IB only once daily with a single “back and forth” movement. Fig. q. Excerpts taken from case study no.19, detail of the 37/38 interdental space lingual view at recall visit: owing to the peculiar morphology of the interdental tissue displaying an enlarged lingual papilla (taller than the facial one), the patient was advised to use dental floss in that peculiar space from his 1st visit onward. At recall visit, he admitted having completely stopped using floss which he replaced with the 0.7 mm red IB all by himself, since he became highly skilled at reaching those problematic regions effortlessly from the facial side. Although the patient didn’t complain of any pain, to avoid the onset of small gingival cuts the IB has to be applied with the special “half from facial/half from lingual” technique. Again, the traumatical potential of the IB, if used more than once in and out (in this case it was inserted several times in a row) can be noticed on the right: the papilla is red, however absolutely not bleeding. The investigator showed the difference between new and worn interdental brushes, and urged the patients to replace their IBs as needed. Subjects received enough supplies for the whole study period, but could request more supplies from the investigator at any time if necessary. The study participants were instructed to brush their teeth twice a day (once in the morning or at noon and once at night) with their normal fluoride toothpaste. Throughout the whole clinical trial, each case has been steadily described step by step in a detailed way and the condition of the papillae constantly monitored through oral examinations and photographs taken at the aforementioned different stages of the study. To conduct the quantitative data analysis, due to the different interdental cleaning behavior exhibited by the participants before starting the experimental period, decision was taken to divide them into two groups based on whether they used to be regular flossers or non-flossers prior to the clinical trial. With regard to statistical analysis, the effects of interdental brushing (number of bleeding parts measured at baseline and after 1, 2 and 3 weeks of interdental brush usage) were evaluated using a Generalized Linear Model using the Binomial family for the response variable and the Logit link function (GLM model output from STATA environment, StataCorp LP, College Station, TX, USA). Results are given in Table 3. RESULTS Thirty-three adults participated in the study, 19 females and 14 males, showing a range of 19-64 years of age, with the average age being 38.1 years and the median age 40 years. Thirty-two out of thirty-three patients completed this 6-month study. No withdrawals due to adverse effects from IB’s usage were reported. Only patient no.24, who regularly attended the first 4 visits, was unable to show up at the recall assessment because he moved away to another country. The subjects were almost all fully dentate with the exception of patient no.32 who exhibited two gold bridges (anchored on 34/35/38 and 45/47/48 abutment pillars) and the loss of tooth 14, patient no.21 who had 3 lower molars replaced with implant-supported single crowns, patient no.19 displaying an extensive loss of coronal structure on tooth 24, patient no.1 and 18 exhibiting the loss of tooth 37 and 46 respectively, and finally patient no.27 who had her endodontically treated tooth 26 extracted a couple of months before recall visit due to a vertical root fracture. In all those cases, the adjacent mesial and/or distal aspects of implants/abutment teeth/lost teeth/partially erupted wisdom teeth (as in the situation of patients no.24, 28 and 29) were obviously not included in the Interdental Bleeding Index calculation. The majority of subjects entered the study with no history of previous use of interdental brushes, contributing 1065 bleeding sites out of 1638 examined areas scored at baseline visit. With regard to the patient’s interdental cleaning habits before entering the clinical trial, eleven subjects were flossing regularly on a daily basis, while the remaining 22 individuals declared using dental floss (or other interdental hygiene aids) on rare occasions only or not at all. In consequence, as already mentioned in the “materials and methods” section the participants were parted in two groups for the purpose of quantitative data analysis: the regular flossers and non-flossers (referring to their interdental cleaning habits prior to the start of the interventional study). The results outline that, from baseline to week 3, the use of the novel interdental brush generation brought to a substantial bleeding reduction both for regular flosser and non-flosser groups (p=0.000, see Table 3). Although there was a statistical difference between the two patients groups at the baseline, with the regular flossers exhibiting lower bleeding rates at the beginning of the clinical trial (Tables 1, 2 and 3, Fig. 1, 2 and 3), for the first two weeks the bleeding reduction rates were very similar whatever the starting patient group. However, from week 2 to week 3, the regular flossers group outperformed the non-flossers because a number of patients registered a spike in bleeding (Table 3 and Fig. 3). As for the patient’s long-term compliance rates with this novel interdental cleansing home care regimen, 72% of the individuals were using the interdental brushes after 6 months either daily (19 subjects), at a steady rate of “once every other day” (patient no.25), or 5 times a week (patient no.19, 20, 28). Two further subjects who declared having used daily the IBs couldn’t however be included in the compliant group, because they didn’t adhere to all aspects of the protocol by introducing major variations in their cleansing behavior. Particularly patient no.15 reported having used the IBs at a steady rate of “once every other day” for the first three months, but then he started neglecting the upper and lower central sectors, where the rate slowly decreased until it reached a frequency of once a week (but not every week), thus devoting himself entirely to the lateral sectors. The result of the Interdental Bleeding Index (IBI) then closely followed the situation depicted above by exhibiting an increased score of 27% at recall visit: bleeding spots were present exclusively in the anterior sectors, while the lateral ones didn’t show any bleeding at all. As for subject no.18, he used the IBs on a daily basis during the whole period. However, instead of using the 3 different IB sizes which have been selected during the practical oral hygiene training sessions, he decided on the contrary to employ only one IB size, that is the smaller, most suitable size for each approximal area, thus “rendering his daily task much easier”. The result was that, with few exceptions, almost all the interdental spaces which required larger IB sizes bled because the smaller IB was not correctly filling them up, thus causing an increased IBI score of 33%. As for the rest of the 28% of non-compliant patients, subjects no.3, 4 and 5 declared having been constant with the daily use of the IBs for the first 3 months, but then the rate decreased to once or maximum twice a week (although not every week). Thus, their IBI score at 6 months reflected the result obtained at baseline examination. With regard to patients no.12, 14, 17 and 26, their attitude towards this new interdental cleaning regime turned out being quite similar: they all reported having used the IBs daily, but only at the very beginning. Then the rate slowly decreased to once a week (or almost completely stopped, as for patients no.12 and 26). While subjects no.12 and 14 restarted using the IBs once a day one week previous to recall appointment, patients no.17 and 26 began anew with IBs a couple of weeks before recall visit with a rate of “every other day”. All of them followed their own last teeth diagram established 6 months ago. Interestingly, it can be noted that in the latter four cases the IBI results scored at recall visit were quite similar to those obtained at week 1 (that is, one week after IBs daily usage). Generally, the IB was well accepted by the subjects. Only few patients experienced short-term discomforts ranging from an unpleasant sensation of “roughness”, “metal wire scratching”, slight tooth sensitivity or dentine hypersensitivity (in two particular cases only) to the presence of rare small cuts detected in some of the palatal and lingual interdental areas. The problems with uncomfortable IBs and tooth sensitivity were easily and quickly solved by reverting to smaller IBs sizes. As for the particular cases of patients no.19 and 33, they were both displaying multiple gingival recessions stemming from toothbrush abrasion, which already led them to severe root hypersensitivity in the past. In both cases, the IB’s size selected in some of the interdental areas at 2nd and 3rd visit had to be rescaled because the subjects reported experiencing a sharp pain while using those interdental devices. In this way, the hypersensitivity that has arisen from IB usage completely disappeared within a short time and the situation reverted to normal, with both patients feeling totally at ease and confident in the IB’s use again. With regard to the presence of small gingival cuts located in few of the lingual/palatal lateral interdental regions displayed by patient no.2, 19 and 29, the combined effects of the peculiar morphology of the interdental tissues (with the lingual and palatal papillae being both appreciably thicker and taller than the buccal ones) and an improper use of the IB (from the facial area) played a crucial role in the manifestation of those little wounds, which however were absolutely not bleeding during and after use of the IBs. Furthermore, all three patients barely noticed any discomfort when using those interdental cleaning tools. By reinstructing the subjects once again to insert the IB only from the lingual/palatal aspect of those special interdental areas, the problem was completely solved. Finally, the traumatic potential of the IB, if improperly used with a much higher frequency than a simple “once in and out” movement once a day, could be observed and documented as well. By a repeated introduction of the IBs at a pace of 3-4 to 6-7 insertions back and forth in a row, small depressions or “cuts” became visible in the lingual areas of interdental tissues; nevertheless, those depressions, asymptomatic and unnoticed by the patients, completely disappeared after a short while. Thus, it was of the utmost importance to constantly remind the study participants to insert the IB only once daily with a single “back and forth” movement, with the sole exceptions being the interdental spaces requiring the “X” technique (i.e. a double insertion of under dimensioned IBs, less effective in filling those areas up). Each patient’s case, as well as the aforementioned conditions of the papillae have been accurately documented through pictures in the “presentation of clinical cases” section. The results are summarized in Tables 1, 2 and 3, as well as Figures 1, 2 and 3. DISCUSSION Our clinical trial is based on a methodology delivered by Sedelmayer almost two decades ago. He was the first to introduce and describe a “new generation” of interdental brushes, appropriate for use on periodontally healthy patients displaying intact papillae. Until then, the use of the IBs has never been considered in the preventive dentistry: with their large diameters and thick stems, the IBs of the past were suitable only for patients with open embrasures (SLOT et al., 2008). In his method, Sedelmayer provided specific instructions about the frequency of use, brushing procedure and correct size selection of these novel interdental devices, in order to be effective without traumatizing the interdental papillae and hard tissues. Moreover, he conceived also a new interdental bleeding index and a teeth diagram, both suitable for documentation and patient motivation on a long-term basis. In his publication Sedelmayer asserted that, through the use of the “new generation” IBs (under the above-mentioned appropriate directions) the Interdental Bleeding Index is dramatically reduced within 14 days, with the average values dropping from 80% to 15% in patients with type I embrasures. However, no evidence relating to that assertion, nor studies quantifying the impact of this specific IB on individual bleeding scores from week to week could be found in scientific literature. The primary aim of our study was to follow the weekly evolution of bleeding scores in patients using those oral hygiene aids under close supervision, collecting quantitative data at baseline and then once a week during a period of 3 weeks in order to determine the efficacy of this novel interdental brush generation in reducing the IBI index. To do that, a full mouth examination (instead of partial mouth investigations) was carried out and evaluation of bleeding performed in all interdental spaces accessible to the IB. The clinical observations, as well as the management of each patient were assembled in individual circumstantiated case reports, and provided with photographic documentation to monitor the conditions of the papillae. Given these characteristics, a single-group design was adopted for our trial, since each subject (a normal toothbrush user) was his or her own control. There is strong evidence of the ineffectivity of toothbrushing alone: although it successfully removes plaque at buccal, lingual and occlusal surfaces, it does not reach the interproximal surfaces of teeth, resulting in areas that remain unclean (LANG et al., 1973; AXELSSON, 1981; WARREN & CHATER, 1996; BROTHWELL et al., 1998; SLOT et al., 2008). Therefore, good interdental oral hygiene requires a device that can penetrate between adjacent teeth (VAN DER The systematic review by Slot et al. concluded that, as an adjunct to toothbrushing, the IB removed more plaque than brushing alone (SLOT et al., 2008). Later, the Imai et al.’s systematic review supported the IB as an effective alternative to dental floss for patients with interproximal inflammation, providing dental practitioners with evidence based guidelines to support oral self care recommendations for their patients (IMAI et al., 2012). More recently, Bourgeois et al. showed that the use of the CPS Prime series calibrated brushes along with the colorimetric probe to determine their appropriate size led to a substantial reduction of interdental bleeding in periodontally healthy young participants, compared with the control group which used only a standard manual toothbrush (BOURGEOIS et al., 2016). Since a fundamental principle of prevention is that the effect is greatest where the risk of disease development is greatest (AXELSSON, 1981), we decided to focus all our efforts on interdental spaces by exhaustively documenting the effects of a new IB generation employed with a given method on patients with intact papillae. This study has clearly demonstrated the effectiveness of the Curaprox CPS Prime Series, a novel interdental brush generation, in dramatically reducing the Interdental Bleeding Index (IBI) scores in subjects with intact interdental papillae exhibiting an interproximal gingival inflammation, as evidenced by gingival bleeding upon stimulation. Moreover, the compliance with this specific interdental cleansing home care regimen reached high adherence rates. However, our study has some limitations that would restrain its generalizability. It can be argued that, since the interventional phase was carried out under close monitoring (a total of 4 visits with motivation and practical training in the correct use of IBs, conducted by a single investigator, were performed within 3 weeks) in one private dental office, the compliance rates would not be related to a wider population. As well, simply participating in the clinical trial may have motivated the study subjects to comply with IB (JACKSON et al., 2006). The above-mentioned systematic reviews reported that the maximum duration among the considered studies was 12 weeks, while our study lasted 6 months. Although it is claimed that the Hawthorne effect may last as long as 6 months (FEIL et al., 2002), in our case we can attest that, as far as the clinical study compliant patients still attending the private dental practice (where the investigator (FBH) still works as a general dentist) are concerned, good adherence rates to the use of IBs were maintained over time. Out of the 23 originally compliant patients, three reverted to floss (no.7, 28 and 33); no.19 and 23 were compliant until 2015, then stopped attending the practice; no.25, 27, 20 and 29 are not patients of the practice, however we managed to reach the first two, who declared carrying on using regularly the IB; the non-compliant patient no.5 became highly motivated in the use of IBs, which he regularly employs since 2014. In total, 17 patients of the original clinical trial are still compliant with IBs. Without any doubt, this is due to their regular recall sessions (once or twice a year), during which the patients are motivated and continuously re-instructed in oral hygiene. Another limit of this study can be related to the choice of the IBs employed in the clinical trial, whose peculiarities may have contributed to the remarkable decrease of the bleeding scores collected over a 3-week period, which might affect the reproducibility of those results. The Curaprox CPS Prime Series IBs are radically different from other currently available IBs, or the “old generation” IBs. They can’t be compared with the latter because of their “miniaturized structure”, as well as their accessibility diameter (clearly defined in the “introduction” and “materials and methods” chapters). Furthermore, according to our current knowledge, the CPS Prime Series is so far the only IB which offers a system to measure the size of interdental spaces. The graduated colour-coded IAP probe has proved to be very helpful in selectively choosing an appropriate IB size, corresponding to the dimensions of a given interdental space. Concerning the so far only available “reference technique”, the so-called empirical subjective method, it consists in testing the various IBs in increasing order of diameter. However, this modus operandi bears a risk of undersizing (which is more often the case and affects the IB effectiveness) or oversizing (with impact on patient acceptability and gum trauma) (BOURGEOIS et al., 2015). Nevertheless, since this colour-coded probe is strictly linked to the accessibility diameter of the CPS Prime series IBs, it can’t be applied to other brushes. Although the brush size of manual interdental brushes shall be determined by using the passage hole diameter in accordance with ISO standards, actually confusion reigns among the manufacturers when it comes to define IB’s dimensions criteria. Some display only the “size” (xx-fine, medium, “yellow”, etc.), or the effectivity diameter, or simply the metal wire diameter without providing any further information on the capability of the IB to penetrate into the interdental space without traumatizing soft and hard tissues. Given all these variations, it is really difficult to compare them with each other. Bleeding is considered to be a key factor in the detection of early gingival inflammation. An efficient gingivitis index system should be quick and easy to use with minimal instrumentation. Moreover, it should be reliable and show a high correlation of reproducibility, no matter whether it is applied by the same or different examiners (CARTER & BARNES, 1974; ENGELBERGER et al., The Eastman Interdental Bleeding Index (EIBI) has proved to have all these qualities. In addition to that, it has been demonstrated that the EIBI index was a more reliable clinical indicator for detecting interproximal inflammatory lesions than the Papilla Bleeding Index (CATON et al., 1988). Moreover, another study clearly put in evidence that the ability of the EIBI index to assess gingival inflammation turned out being comparable to the Bleeding on Marginal Probing index (BOMP), considered as a gold standard (BARENDRGTT et al., 2002). However, the use of a periodontal probe is, by nature, highly subject to intra- and inter-examiner error since a number of factors (such as probing force, probe size / position / angulation / insertion depth and direction of probe movement) can lead to variation in results obtained from bleeding on probing, with a high frequency of false positive readings (LANG et al., 1991; BLIEDEN et al., 1992; VAN DER WEIJDEN et al., 1994). On the contrary, the stimulation of midinterproximal tissues directly under the contact point of adjacent teeth, with a subsequent positive bleeding response correctly identifies inflammatory lesions. As a result, a low frequency of false positive responses is reported, thus conferring excellent reliability to the Eastman Interdental Bleeding Index (ABRAMS et al., 1984; AMATO et al., 1986; CATON et al., 1988; BLIEDEN et al., 1992). The new index assessing interdental bleeding developed by Sedelmayer and called Interdental Bleeding Index (IBI) or Bleeding on Brushing (BOB) descends directly from the EIBI index, however with a variation: instead of a wooden toothpick, the stimulation of midinterproximal tissues is achieved through the use of a novel interdental brush generation (Curaprox CPS Prime Series), in a smooth, atraumatic way for the papillae. As already mentioned in the “introduction” and “materials and methods” sections, the interdental brush is gently inserted with a simple “once in and out” movement (maximum insertion force of 50 grams) and bleeding is scored as either present or absent. In 2011 Hofer and associates compared the use of interdental brushes (Curaprox CPS Prime Series) with a periodontal probe in assessing marginal bleeding in adults with natural gingivitis and papillae covering ≥ 50% of the embrasure space, and demonstrated a direct correlation between the Bleeding on Marginal Probing (BOMP) and what they called the Bleeding on Interdental Brushing (BOIB), thus validating the use of interdental brushes to assess marginal bleeding (HOFER et al., 2011). This is why the “Interdental Bleeding Index” (IBI) can be considered a valuable and easily intelligible screening instrument, also suitable for patients’ motivation and self-monitoring of their improvement at home, which therefore should be integrated as a fundamental component of every individual oral hygiene instruction and training program conducted by the dentist, dental hygienist and prophylaxis assistant. However, when dealing with subjects exhibiting type I embrasures and an essentially intact periodontium, preserving their own interdental papillae is one major point of concern to both patients and dental specialists. For this reason it is not possible to employ any standard interdental brush usually displaying a thick metal wire core and stiffer filaments (thus being more appropriate for patients with open embrasures), because a traumatic oral hygiene procedure could lead to the loss of papilla causing subsequent esthetic problems (so-called “black triangle disease”), phonetic problems (air or saliva passing through the space) and lateral food impaction (SINGH et al., 2013). On the contrary, this new soft interdental brush generation exhibiting particularly flexible, soft bristles and a much thinner metal wire core allows not only an atraumatic introduction in interdental spaces with intact papillae but also their preservation throughout a long-term period, as it can be seen from the supporting photographic documentation taken at different stages of our 6-month clinical trial. However, the peculiarities of those interdental brushes alone are not sufficient to prevent soft tissues and teeth injuries, because two further conditions are requested: the selection of the appropriate IB’s size, which ought to be always carried out by dental specialists only, and the application of the correct IB technique and frequency of use from the very beginning, which implies practical training sessions with the patients. Regarding the first point mentioned above (i.e. the IB’s size should be tailored to the interdental space), it is important to remind that another distinctive characteristic of this novel interdental brush generation consists, according to the manufacturer’s indications, of their accessibility and efficacy diameters respectively. While the efficacy diameter corresponds to the bristles length (i.e. the IB cleaning power), the accessibility diameter is defined by the wire core gauge in addition to the bristles folded down on themselves (which occurs at the narrow entrance and exit of intact interdental spaces while inserting the IBs). So, the accessibility diameter of the smallest IB, the Curaprox CPS Prime blue, is of 0.6 mm, while its efficacy diameter is of 2.2 mm. The biggest IB of the CPS Prime series, the green one, has an accessibility diameter of 1.1 mm, but the maximal extension of the bristles is of 5 mm. The Interdental Access colour-coded Probe, calibrated on the accessibility diameter of each of the five interdental brushes, can be a helpful instrument in determining the best IB fitting size for each interdental space (as already described in the “materials and methods” section), which is of great importance. Wolff et al. have demonstrated that there is a relationship between the dimension of the interdental space and the diameter of the IB, which is highly correlated to the cleaning efficacy of the latter. More explicitly, in small, medium and large interdental spaces, increasing interdental brush diameters resulted in higher cleansing effectiveness. On the same occasion, the authors established that soft IBs with more flexible bristles (i.e. the ratio between filament diameter and length is lower than in hard IB) and hard IBs with stiffer filaments of corresponding diameter cleaned in a similar way, that is, both IBs turned out being effective (WOLFF et al., 2006). Since the true measure of effectiveness in the clinical situation is constituted by the reduction in interdental bleeding, our study has clearly proven the ability of this novel soft interdental brush generation to dramatically reduce bleeding scores in subjects with type I embrasures, in accordance with the results of Imai and Hatzimanolakis study (IMAI & HATZIMANOLAKIS, 2011); in fact, during the interventional phase almost all the patients exhibited the same steady, continuous, statistically significant decrease in bleeding from baseline to week 3, and this despite the presence of a certain heterogeneity in the clinical situations exhibited by the study participants, such as misalignment of tooth rows, severe crowding in anterior or even posterior areas, lower and upper fixed retainers, single crowns and gold bridges (in one case only). Along with Imai’s research, the considerable results achieved in our clinical trial were simply the effect of a constant adaptation of the IB’s sizes to the morphology and/or changing dimensions of the interdental spaces (owing to the reduction in inflammation and disappearance of interdental tissue swelling during the course of the experimental period and at recall), which means that interdental brushes of various sizes, mostly between 2 and 3, were required for each patient. As an emblematic example, subject no.18 started the experimental period with an IBI score of 78%, attaining a result of 0% after 3 weeks of IBs usage. However, despite the fact that his adherence to this new technique of interdental self-care was absolutely excellent during the following 6 months, the bleeding score of 33% collected at recall visit ended up being a deception for him. Instead of using the 3 different IB sizes which have been selected during the practical oral hygiene training sessions, he decided on the contrary to employ only “one size fits all” interdental brush (i.e. the smaller, most suitable size for each approximal area), with the consequence that, with few exceptions, almost all the interdental spaces which required larger IB sizes copiously bled because the smaller IB was not correctly filling them up. In the same way, the few isolated bleeding spots which occurred in some of the compliant patients at recall visit were mostly due to resolution of inflammatory processes in the interdental tissues, which rendered previously selected IBs under dimensioned, i.e. not able to exert a “comfortable” resistance in given interdental spaces anymore. It is important to highlight the fact that, with very few exceptions, the study participants were regularly going to private dental practices once or twice a year for a visit and professional plaque and calculus removal. If they all, without exception, were displaying well-established, regular tooth brushing habits at baseline (1st visit), with 79% of the individuals cleaning their teeth twice to three times a day with a manual toothbrush and 21% with electrically powered toothbrushes twice a day (predominantly sonic devices; two patients reported using oscillating-rotating power toothbrushes, while one patient was alternating between manual and electric toothbrush twice a day), which were in accordance with the data from the Swiss Health Survey (SHS) conducted in 2002 and reported in the Stadelmann et al. study (STADELMANN et al., 2012), a great divergence was found in the use of interdental cleaning devices. In this regard, at baseline only 33% of the examined subjects were flossing regularly on a daily basis, which is congruent with the findings reported in the previously mentioned researches (RONIS et al., 1994; CHRISTENSEN et al., 2003; SEGELNICK, 2004; ASADOORIAN, 2006). Some patients recognized having very irregular interdental cleaning habits (patient no.15 was using triangular shaped wooden toothpicks only very occasionally, no.26 employed a dental floss stick twice a week and exclusively in the anterior region, subject no.16 reported using an interdental brush of the “traditional” generation, i.e. with short, rigid filaments and a thick wire twice or three times a week, however only in the lower central sector, because it was not possible to introduce it in all the other, much smaller interdental spaces. Patient no.25 was flossing once a week, while no.17 and 31 reported using dental floss twice or three times a week). Five patients, who were retainer-wearers (no.4, 14 and 29 displayed lingually bonded fixed retainers, while subjects no.9 and 12 wore both lower and upper fixed retainers), declared never ever having cleaned under their appliances. Only patient no.29 mentioned that the dental hygienist taught him once how to floss under his retainer by using a floss threader; however, he never put it into practice because he found this technique too difficult, plus the thick plastic floss threader was irritating his gums. As for the rest of the participants, they all declared using dental floss on rare occasions only or not at all. Many of them, however, acknowledged having been motivated very often in the past years by dental hygienists to floss, but never put it into practice because they found flossing too difficult and annoying. Apropos of the small group with well-established flossing habits, the daily use of floss didn’t prevent the 33% of the participants from being enrolled in the clinical trial. Because it was totally unexpected, the bleeding revealed upon stimulation with the interdental brushes came as a great surprise and deeply impressed many of the subjects, especially the very few among them capable of performing an exemplary oral care, hence displaying totally plaque-free tooth surfaces. Although regular flossers achieved lower bleeding scores at baseline (before the beginning of the experimental period) compared to non-flossers that were statistically significant, they were all still exhibiting even more than enough bleeding sites upon stimulation with an IB, mainly located in lateral sectors, which allowed them to participate in the clinical research. Again, these findings are in agreement with the Imai study, which compared the effectiveness of the Curaprox CPS Prime Series interdental brushes towards dental floss in removing plaque and reducing bleeding sites in subjects with type I embrasures. Her clinical trial demonstrated that, if both devices performed similarly for reduction of plaque site mean scores, the interdental brush has proved to be superior to floss in the reduction of bleeding scores (IMAI & HATZIMANOLAKIS, 2011). This may be attributed to the ability of properly sized IBs to stretch and spread out their bristles, enabling them to reach concavities on the proximal surfaces of the teeth, which are common occurrences in all types of teeth (DÖRFER et al., 2000), as well as the concavity of the non-keratinized, hence more susceptible to infection, interpapillary saddle (“col” area). Interestingly, when asked to show how they were handling floss, none of the regular flossers were capable of practicing the proper flossing technique, being unable to make a “C” shape with the floss and wrap it around the teeth, in accordance with Segelnick’s study (SEGELNICK, 2004), because the vast majority of them were self-taught flossers, having never received any practical training from dental professionals in the past, but only “theoretical explanations and motivation”. In all the cases floss was held completely straight between the fingers and its middle cleaning part kept definitely too long, thus adversely affecting the efficacy of the flossing method, as well as preventing the patients from gently gliding the floss through the tight contact points in order to avoid injury to the papillae. As a consequence, some of the regular flossers were displaying keratinized gingival cuts (documented with pictures in the “clinical cases” section), which have been clearly caused by a long-time traumatic, daily use of floss. As far as long-term compliance with this specific interdental cleansing home care regimen was concerned, the high adherence rates were achieved through repeated practical training sessions in the correct use of interdental brushes (as well as manual toothbrush and floss) at baseline, week 1, 2 and 3, which took place under the investigator’s direct supervision. Moreover, the abilities acquired in all the different brushing techniques were inspected again at recall visit. So, 6 months after the last practical oral hygiene instruction, it could be noted that only 12 patients managed to keep manual tooth brushing at an exemplary level; 9 subjects, which displayed some accumulations of soft deposits mostly along the vestibular and lingual gingival margin of premolars and molars, were considered as acceptable. On the other hand, in 11 cases the quality of manual tooth brushing either worsened, or never really took off during the whole period of examination, in spite of the fact that practical training sessions in how to brush the teeth correctly with the modified Bass technique were performed several times. Abundant accumulations of thick plaque layers were detected along the gingival margin of buccal, lingual and palatal surfaces of lateral and sometimes even anterior teeth, as it was clearly displayed in the corresponding pictures. This evidence only confirms how hard it is to correct and change the deeply ingrained, bad habits of patients who have decades of routine tooth brushing behind them. Unlike the manual tooth brush, the interdental brushes are something totally new for the patients, who therefore can be successfully instructed in their correct use since the very beginning. In this way, thanks to the practical training performed and repeated several times within a short period of time, they will be less likely to develop wrong habits and use improper IB’s techniques in the future. In our clinical trial, in fact, a special focus was laid on practical training sessions with no time limit in the correct use of IBs, which turned out playing a crucial role in enhancing patient’s awareness about the newly acquired competencies and autonomous motivation, thus leading to a positive change in their interdental cleaning behavior. Patients do not possess equal initial manual abilities. If many of them proved themselves to be extremely skilled at applying this new method, others encountered great difficulties in reaching special molar approximal regions, ranging from being totally unable to insert and gently glide the IBs throughout those specific interdental spaces, to being incapable of controlling the IB insertion angle (which ended up being oblique, thus rapidly deforming and finally distorting the IBs). Furthermore, a great deal of time and persistence were also required to carry on challenging IB’s techniques, as e.g. “half from the facial-half from the lingual” in molar interdental regions exhibiting a peculiar morphology, which prevented them from being thoroughly passable for the interdental brush. However, throughout the experimental period from baseline to week 3, all the patients tangibly improved their skills and were totally mastering the use of IBs, becoming highly skilled at manoeuvring them effortlessly even from lingual/palatal sides, if they had to. The Interdental Access Chart, a teeth diagram especially developed for the patients to be placed on the mirror of their bathroom as a reminder, with depicted indications as where and from which direction to use a specific IB, the latest updates of IBs adjustments, as well as the bleeding scores location collected from week to week, also played a determining role in the motivation of the patients, helping them monitor their own progress and memorize the interdental spaces. The result was that the majority of the subjects became able to use those interdental cleaning devices out of the bathroom, without a mirror, some of them availing themselves of the tongue to count the interdental spaces. Furthermore, the first sessions of practical oral hygiene training enabled patients to recognize by themselves whether or not the chosen IB size was perfectly suiting a given space, thus developing their own self-calibration skill. It becomes evident that, acquiring a competency is not a one-time event, but rather an ongoing process, which requires time and dedication to the patient: therefore, it can’t be achieved in a single, isolated session using a standard approach, the way it is carried out in the vast majority of traditional private dental practices (i.e. standard dental examination, followed by a standard teeth cleaning and subsequently short objective answers to patient’s questions). In this regard, the procedures adopted in our clinical trial and their outcomes reflect the findings of two experimental tests of self-determination theory concepts (MÜNSTER HALVARI & HALVARI, 2006; MÜNSTER HALVARI et al., 2012). Self-determination theory suggests that autonomy-supportive contexts, in which the health care providers are empathic and patient-centered, can encourage and enhance patients’ autonomous regulation of behavior and perceived competence, which are a sine qua non for making an effective, long-term behavior change. In our clinical trial the participants had the opportunity to ask questions, express themselves about their feelings, discuss problems and practice the different brushing techniques in a relaxed, friendly atmosphere. Furthermore, the subjects were left free to choose the right moment for them to use the IBs, provided they did it once a day. The freedom to choose the location (independence from bathrooms and mirrors), and time most convenient for cleaning their own interdental spaces were considered to be a major advantage, especially by the patients with a hectic daily work schedule. Owing to enhanced manual skills, some patients began exploring new ways of using IBs in their most complicated interdental spaces as well. The compliant subjects stated, they couldn’t refrain themselves from cleaning their interdental spaces anymore, experiencing this gesture literally as a “liberating act”, or reported being totally keen on IBs and genuinely enthusiastic about this new way of daily interdental self-care, or even declared getting a real urge to clean their interdental spaces once a day. The regular use of IBs over a long-term period was a contributing factor in maintaining the papillae healthy-looking and the interdental spaces almost free of tartar, especially with regard to the lingual aspect of the lower central sector, which is an area particularly prone to calculus accumulation within a short time. In accordance with Lang et al. (LANG et al., 1973), the patients who cleaned their interdental spaces at a steady rate of at least “once every other day”, that is 4-5 times a week, didn’t show any bleeding at recall visit. On the contrary, the study participants who used the interdental brushes only every third or fourth day during the 6-months maintenance period, all displayed gingival bleeding. If patient’s preference for the IBs due to their ease of use has clearly been evidenced in our clinical trial, in total accordance with Imai’s and other studies (BERGENHOLTZ & OLSSON, 1984; KIGER et al., 1991; CHRISTOU et al., 1998; JACKSON et al., 2006; SLOT et al., 2008; IMAI & HATZIMANOLAKIS, 2011; IMAI et al., 2012), the same didn’t happen with dental floss, in spite of the repeated practical trainings in the appropriate use of that device, in order to employ it in a more effective, though atraumatic way. Out of the 26 patients who required the use of floss in few particular areas, which resulted being totally impenetrable to interdental brushes, only 9 subjects kept on using dental floss as recommended. All the others completely stopped flossing, because they found it more challenging and difficult in comparison to the much simpler use of the IB. In conclusion, the most significant advantage of those new generation interdental brushes is not the consistent and undisputed evidence of their efficacy; on the contrary, it is their high acceptance among patients which makes them a valuable tool, more likely to be implemented in a daily routine over a long period of time. CONCLUSIONS This novel interdental brush generation evidenced statistically significant reductions in bleeding scores, so the null hypothesis was confirmed. It constitutes a valid interdental self-care aid for patients with gingivitis and intact interdental papillae. In addition, a clinically significant change in patient performance could be shown to result from repeated individual oral hygiene training sessions. The clinical trial data and pictures provided enough evidence of both clinical efficacy and safety in the daily use of those new generation interdental brushes by individuals displaying type I embrasures. Rapidity of manipulation and ease of use directly influenced patient’s acceptability of those new interdental cleaning devices which could easily be integrated into daily routine, thus leading to elevated long-term compliance rates. However, as it is clearly pointed out in our study, the repeated professional individual instruction, calibration and practical training in the correct methods of use of interdental brushes under a dental professional’s direct supervision played a crucial role in achieving a successful primary prevention and avoiding adverse effects such as potential harms or damages to oral soft tissues, interdental papillae or teeth. Patients should never be left alone, struggling to understand which IB’s type/shape/size could suit them the best; on the contrary, they ought to be trained and guided by competent dental professionals slowly, step-by-step through the process of learning the peculiarities of their own oral cavity, dental anatomy and interdental spaces morphology (regions that the subjects never ever considered before), in order to enhance and ensure oral self-care compliance over a long period of time. 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The table also reports for each patient, whether or not they used to be regular flossers before starting the experimental period. \| Patient no. \| Regular flosser \| IBI 0 \| IBI 1 \| IBI 2 \| IBI 3 \| IBI 27 \| \|-------------\|-----------------\|-------\|-------\|-------\|-------\|--------\| \| 1 \| YES \| 26 \| 11 \| 4 \| 0 \| 2 \| \| 2 \| NO \| 90 \| 52 \| 27 \| 7 \| 0 \| \| 3 \| NO \| 29 \| 13 \| 10 \| 2 \| 33 \| \| 4 \| NO \| 100 \| 68 \| 63 \| 34 \| 100 \| \| 5 \| NO \| 100 \| 86 \| 54 \| 19 \| 100 \| \| 6 \| NO \| 82 \| 36 \| 17 \| 8 \| 4 \| \| 7 \| YES \| 29 \| 4 \| 0 \| 0 \| 0 \| \| 8 \| NO \| 56 \| 17 \| 11 \| 4 \| 4 \| \| 9 \| NO \| 90 \| 36 \| 4 \| 2 \| 2 \| \| 10 \| NO \| 77 \| 19 \| 4 \| 0 \| 0 \| \| 11 \| YES \| 40 \| 4 \| 0 \| 0 \| 0 \| \| 12 \| NO \| 100 \| 73 \| 29 \| 19 \| 69 \| \| 13 \| YES \| 19 \| 4 \| 0 \| 0 \| 2 \| \| 14 \| NO \| 94 \| 46 \| 8 \| 10 \| 40 \| \| 15 \| NO \| 77 \| 25 \| 8 \| 0 \| 27 \| \| 16 \| NO \| 64 \| 42 \| 16 \| 6 \| 4 \| \| 17 \| NO \| 35 \| 13 \| 4 \| 4 \| 17 \| \| 18 \| YES \| 78 \| 61 \| 11 \| 0 \| 33 \| \| 19 \| NO \| 79 \| 33 \| 12 \| 0 \| 2 \| \| 20 \| NO \| 94 \| 29 \| 2 \| 0 \| 6 \| \| 21 \| YES \| 53 \| 21 \| 3 \| 6 \| 3 \| \| 22 \| YES \| 27 \| 12 \| 0 \| 0 \| 0 \| \| 23 \| YES \| 37 \| 13 \| 7 \| 0 \| 0 \| \| 24 \| NO \| 94 \| 46 \| 10 \| 4 \| no data available \| \| 25 \| NO \| 58 \| 4 \| 0 \| 0 \| 0 \| \| 26 \| NO \| 89 \| 70 \| 41 \| 15 \| 63 \| \| 27 \| YES \| 54 \| 24 \| 4 \| 0 \| 0 \| \| 28 \| YES \| 26 \| 0 \| 0 \| 0 \| 0 \| \| 29 \| NO \| 100 \| 76 \| 58 \| 22 \| 2 \| \| 30 \| NO \| 71 \| 13 \| 5 \| 0 \| 5 \| \| 31 \| NO \| 39 \| 13 \| 0 \| 0 \| 2 \| \| 32 \| NO \| 98 \| 43 \| 24 \| 9 \| 11 \| \| 33 \| YES \| 31 \| 0 \| 0 \| 0 \| 0 \| Table 2. Median Interdental Bleeding Index (IBI) records achieved by patients who used to be Regular flossers and Non-flossers before the beginning of the experimental period, as well as median scores of the totality of study participants (regardless of their interdental cleaning habits prior to the start of the interventional study) at baseline (IBI 0), one week after interdental brush usage (IBI 1), two weeks after IB use (IBI 2), three weeks after IB use (IBI 3) and IBI median scores collected at recall visit, six months after week three (IBI 27). \| \| number of subjects \| IBI 0 \| IBI 1 \| IBI 2 \| IBI 3 \| IBI 27 \| \|----------------\|--------------------\|-------\|-------\|-------\|-------\|--------\| \| Regular Flossers Non-flossers \| 11 \| 31 \| 11 \| 0 \| 0 \| 0 \| \| \| 22 \| 86 \| 36 \| 11 \| 4 \| 5 \| \| ALL \| 33 \| 49 \| 19 \| 4 \| 1 \| 2 \| Fig. 1. Graphics showing a manifest decreasing tendency of the Interdental Bleeding Index (IBI) scores in both Non-flossers and Regular flossers groups at baseline (0), one week after interdental brush usage (1), two weeks after IB use (2) and three weeks after IB use (3). Fig. 2. Evolution of median Interdental Bleeding Index (IBI) scores in the Regular flossers / Non-flossers groups (referring to interdental cleaning habits prior to the start of the clinical trial), as well as in the totality of the study participants (All patients) at baseline (0) and one week (1) / two weeks (2) / three weeks (3) after IB use, displaying a significant, steady decrease in bleeding scores, regardless of patient’s typology. Table 3. GLM model output from STATA environment showing a statistically significant reduction in the number of bleeding parts measured at baseline and after 1, 2 and 3 weeks of interdental brush use (p=0.000), regardless of whether or not the subjects used to be regular flossers before entering the experimental period. Generalized linear models Optimization : ML Deviance = 1631.546412 Pearson = 1551.609318 Variance function: V(u) = u*(1-u/N) Link function : g(u) = ln(u/(N-u)) No. of obs = 132 Residual df = 124 Scale parameter = 1 (1/df) Deviance = 13.15763 (1/df) Pearson = 12.51298 [Binomial] [Logit] AIC = 15.17627 BIC = 1026.079 Log likelihood = -993.6337733 \| OIM \| X \| Coef. \| Std. Err. \| z \| P>\|z\| \| [95% Conf. Interval] \| \|-----\|---\|-------\|-----------\|-----\|-----\|----------------------\| \| \| TIME \| \| \| \| \| \| \| \| 1 \| -1.920735 \| .1506517 \| -12.75 \| 0.000 \| -2.216007 -1.625463 \| \| \| 2 \| -2.94518 \| .1718399 \| -17.14 \| 0.000 \| -3.28198 -2.60838 \| \| \| 3 \| -1.747957 \| .1498716 \| -11.66 \| 0.000 \| -2.0417 -1.454214 \| \| \| REGULAR_FLOSSER = Y \| -.8818314 \| .1277121 \| -6.90 \| 0.000 \| -1.132143 -0.6315203 \| \| \| TIME#REGULAR_FLOSSER \| \| \| \| \| \| \| \| 1 Y \| .3371207 \| .1760036 \| 1.92 \| 0.055 \| -.00784 .6820814 \| \| \| 2 Y \| .2274317 \| .2086206 \| 1.09 \| 0.276 \| -.1814573 .6363206 \| \| \| 3 Y \| -2.192544 \| .2391132 \| -9.17 \| 0.000 \| -2.661197 -1.723891 \| \| \| _cons \| 1.280934 \| .1130388 \| 11.33 \| 0.000 \| 1.059382 1.502486 \| Fig. 3. Box plots of the percentage of the bleeding parts per patient typology and time (baseline = 0, one week after interdental brush use = 1, two weeks after IB use = 2 and three weeks after IB use = 3), showing an evident reduction in the bleeding parts throughout the 3 weeks period in all patients groups.
The SWISS-MODEL Repository and associated resources Florian Kiefer\textsuperscript{1,2}, Konstantin Arnold\textsuperscript{1,2}, Michael Künzli\textsuperscript{1,2}, Lorenza Bordoli\textsuperscript{1,2} and Torsten Schwede\textsuperscript{1,2,} \textsuperscript{1}Biozentrum, University of Basel and \textsuperscript{2}SIB Swiss Institute of Bioinformatics, Basel, Switzerland Received September 15, 2008; Accepted October 5, 2008 ABSTRACT SWISS-MODEL Repository (http://swissmodel.expasy.org/repository/) is a database of 3D protein structure models generated by the SWISS-MODEL homology-modelling pipeline. The aim of the SWISS-MODEL Repository is to provide access to an up-to-date collection of annotated 3D protein models generated by automated homology modelling for all sequences in Swiss-Prot and for relevant model organisms. Regular updates ensure that target coverage is complete, that models are built using the most recent sequence and template structure databases, and that improvements in the underlying modelling pipeline are fully utilised. As of September 2008, the database contains 3.4 million entries for 2.7 million different protein sequences from the UniProt database. SWISS-MODEL Repository allows the users to assess the quality of the models in the database, search for alternative template structures, and to build models interactively via SWISS-MODEL Workspace (http://swissmodel.expasy.org/workspace/). Annotation of models with functional information and cross-linking with other databases such as the Protein Model Portal (http://www.proteinmodelportal.org) of the PSI Structural Genomics Knowledge Base facilitates the navigation between protein sequence and structure resources. INTRODUCTION Three-dimensional protein structures are crucial for understanding protein function at a molecular level. In recent years, tremendous progress in experimental techniques for large-scale protein structure determination by X-ray crystallography and NMR has been achieved. Structural genomic efforts have contributed significantly to the elucidation of novel protein structures (1), and to the development of technologies, which have increased the speed and success rate at which structures can be determined and lowered the cost of the experiments (2,3). However, the number of known protein sequences grows at an ever higher rate as large-scale sequencing projects, such as the Global Ocean Sampling expedition, are producing sequence data at an unprecedented rate (4). Consequently, the last release of the UniProt (5) protein knowledgebase (version 14.0) contained more than 6.5 million sequences, which is about 100 times the number protein structures currently deposited in the Protein Data Bank (6) ($\sim$53,000, September 2008). For the foreseeable future, stable and reliable computational approaches for protein structure modelling will therefore be required to derive structural information for the majority of proteins, and a broad variety of \textit{in silico} methods for protein structure prediction has been developed in recent years. Homology (or comparative) modelling techniques have been shown to provide the most accurate models in cases, where experimental structures related to the protein of interest were available. Although the number of protein sequence families increases at a rate that is linear or almost linear with the addition of new sequences (4), the number of distinct protein folds in nature is limited (1,7) and the growth in the complexity of protein families appears as a result of the combination of domains (M. Levitt, manuscript in preparation). Achieving complete structural coverage of whole proteomes (on the level of individual soluble domain structures) by combining experimental and comparative modelling techniques therefore appears to be a realistic goal, and is already been pursued, e.g. by the Joint Center for Structural Genomics for the small model organism \textit{Thermotoga maritima} (JCSG) (8,9). Assessment of the accuracy of methods for protein structure prediction, e.g. during the bi-annual CASP (Critical Assessment of Techniques for Protein Structure Prediction) experiments (10,11) or the automated EVA project (12), has demonstrated that comparative protein structure modelling is currently the most accurate To whom correspondence should be addressed. Tel: +41 61 267 15 81; Fax: +41 61 267 15 84; Email: firstname.lastname@example.org © 2008 The Author(s) This is an Open Access article distributed under the terms of the Creative Commons Attribution Non-Commercial License (http://creativecommons.org/licenses/by-ac/2.0/uk/) which permits unrestricted non-commercial use, distribution, and reproduction in any medium, provided the original work is properly cited. technique for prediction of the 3D structure of proteins. During the CASP7 experiment, it became apparent that the best fully automated modelling methods have improved to a level where they challenge most human predictors in producing the most accurate models (13–15). Nowadays, comparative protein structure models are often sufficiently accurate to be employed for a wide spectrum of biomedical applications, such as structure based drug design (16–20), functional characterization of diverse members of a protein family (21), or rational protein engineering, e.g. the humanization of therapeutic antibodies, or to study functional properties of proteins (22–26). Here, we describe the SWISS-MODEL Repository, a database of annotated protein structure models generated by the SWISS-MODEL Pipeline, and a set of associated web-based services that facilitate protein structure modelling and assessment. We emphasize the improvements of the SWISS-MODEL Repository which have been implemented since our last report (27). These include a new pipeline for template selection, the integration with interactive tools in the SWISS-MODEL Workspace, the programmatic access via DAS (distributed annotation system) (28), the implementation of a reference frame for protein sequences based on md5 cryptographic hashes, and the integration with the Protein Model Portal (http://www.proteinmodelportal.org) of the PSI Structural Genomics Knowledge Base (29,30). REPOSITORY CONTENTS, ACCESS AND INTERFACE Homology modelling The SWISS-MODEL Repository contains models that are calculated using a fully automated homology modelling pipeline. Homology modelling typically consists of the following steps: selection of a suitable template, alignment of target sequence and template structure, model building, energy minimization and/or refinement and model quality assessment. This requires a set of specialized software tools as well as up-to-date sequence and structure databases. The SWISS-MODEL pipeline (version 8.9) integrates these steps into a fully automated workflow by combining the required programs in a PERL based framework. Since template search and selection is a crucial step for successful model building, we have implemented a hierarchical template search and selection protocol, which is sufficiently fast to be used for automated large-scale modelling, sensitive in detecting low homology targets, and accurate in correctly identifying close target structures. In the first step, segments of the target sequence sharing close similarity to known protein structures are identified using a conservative BLAST (31) search with restrictive parameters [E-value cut-off: $10^{-5}$, 60% minimum sequence identity to sequences of the SWISS-MODEL Template Library SMTL (32)]. This ensures that information about close sequence relationships is not dispersed by the subsequent profile-based search strategies (33). If regions of the target sequence remain uncovered, in the second step a search for suitable templates is performed against a library of Hidden Markov Models for SMTL using HHSearch (14). Templates resulting from both steps are ranked according to their E-value, sequence identity to the target, resolution and structure quality. From this ranked list, the best templates are progressively selected to maximize the length of the modelled region of the protein. New templates are added if they significantly increase the coverage of the target sequence (spanning at least 25 consecutive residues), or new information is gained (e.g. templates spanning several domains help to infer relative domain orientation). For each selected target-template alignment, 3D models are calculated using ProModII (34) and energy minimized using the Gromos force field (35). The quality of the resulting model is assessed using the ANOLEA mean force potential (36). Depending on the size of the protein and the evolutionary distance to the template, model building can be relatively time-consuming. Therefore, comprehensive databases of pre-computed models (27,37,38) have been developed in order to be able to cross-link real-time model information with other biological data resources, such as sequence databases or genome browsers. Model database The SWISS-MODEL Repository is a relational database of models generated by the automated SWISS-MODEL pipeline based on protein sequences from the UniProt database (5). Within the database, model target sequences are uniquely identified by their md5 cryptographic hash of the full length raw amino acid sequence. This mechanism allows the redundancy in protein sequence databases entries to be reduced, and facilitates cross-referencing with databases using different accession code systems. Mapping between UniProt and various database accession code systems to our md5 based reference system is derived from the iProClass database (39). Regular updates are performed for all protein sequences in the SwissProt database (40), as well as complete proteomes of several model organisms (Homo sapiens, Mus musculus, Rattus norvegicus, Drosophila melanogaster, Arabidopsis thaliana, Escherichia coli, Bacillus subtilis, Saccharomyces cerevisiae, Caenorhabditis elegans and Hepacivirus). Incremental updates are performed on a regular basis in order to both include new target sequences from the UniProt database and to take advantage of newly available template structures, whereas full updates are required when major improvements to the underlying modelling algorithms have been made. The current SWISS-MODEL Repository release contains 3.45 million models for 2.72 million unique sequences, built on 26 185 different template structures (34 540 chains), covering 48.8% of the entries from UniProt (14.0), and more specifically 65.4% of the unique sequences of Swiss-Prot (56.0), the manually annotated section of the UniProt knowledgebase. The size of the models ranges from 25 up to 2059 residues (e.g. fatty acid synthase β-subunit from Thermomyces lanuginosus) with an average model length of 221 residues. Graphical user web interface The web interface at http://swissmodel.expasy.org/repository/ provides the main entry point to the SWISS-MODEL Repository. Models for specific proteins can be queried using different database accession codes (e.g. UniProt AC and ID, GenBank, IPI, Refseq) or directly with the protein amino acid sequence (or fragments thereof, e.g. for a specific domain). For a given target protein, a graphical overview illustrating the segments for which models (or experimental structures) are available is shown (Figure 1). Functional and domain annotation for the target protein is retrieved dynamically in real time using web service protocols to ensure that the annotation information is up-to-date. UniProt annotation of the target protein is retrieved via REST queries (http://www.uniprot.org). Structural domains in the target protein are annotated by PFAM domain assignment (41), which is retrieved dynamically by querying the InterPro (42) database using the DAS protocol (28). The md5-based reference frame for target proteins allows to update the database accession mappings in between modelling release cycles. This ensures that cross references with functional annotation resources such as InterPro correspond to proteins of identical primary sequence, thereby avoiding commonly observed problems with incorrect cross-references as a result of instable accession codes or asynchronous updates of different data resources. Finally, for each model, a summary page provides information on the modelling process (template selection and alignment), model quality assessment by ANOLEA (36) and Gromos (35), and in page visualization of the structure using the Astex Viewer (43) plugin. Integration with SWISS-MODEL Workspace The SWISS-MODEL Repository is a large-scale database of pre-computed 3D models. Often however, one may be interested in performing additional analyses either on the models themselves, or on the underlying protein target sequence. We have therefore implemented a tight link between the entries of the SWISS-MODEL Repository and the corresponding modules in the SWISS-MODEL Workspace, which provides an interactive web-based, personalized working environment (32,34,44). Besides the functionality for building protein models it provides various modules to assess protein structures and models. The estimation of the quality of a protein model is an important step to assess its usefulness for specific applications. In particular, models based on template structures sharing low sequence identity require careful evaluation. Therefore, entries from the Repository can be directly submitted to the Workspace for quality assessment using different global and local quality scores such as DFire (45), ProQRes (46) or QMEAN (47). The default output format for models in the Repository is the project file for the program DeepView (34): this program allows the underlying alignments to be adjusted manually and for the request to be resubmitted to Workspace for modelling. While new protein structures are deposited in the PDB on a daily basis, the respective modelling update cycles are more infrequent, resulting in a delay in the incorporation of new templates. The Repository therefore links directly to the corresponding template search module in Workspace, which allows searches for newly released templates to be performed. The direct cross-linking between Repository and Workspace allows combining the advantages of the database of pre-computed models with the flexibility of an interactive modelling system. INTEROPERABILITY Programmatic access One of the major challenges of computational biology today is the integration of large amounts of diverse data in heterogeneous formats. Very often, data exchange within one domain, e.g. sequence-based data resources, is relatively straightforward, but seamless exchange between resources serving different data types, such as genome browsers and protein structure databases, is more difficult due to the lack of common and accepted standards. DAS (28) is a light-weight mechanism for web service-based annotation exchange. The DAS concept relies on a XML specification which defines the communication between server and client. Queries can be executed by sending a specific http-request to the DAS server. The result of the DAS-Server request is a human readable and easy-to-parse XML-document following the Biodas specifications (http://www.biodas.org). The DAS-Server of the SWISS-MODEL Repository is based on the DAS/1 standard and can be queried by primary UniProt accession codes or md5-hashes of the corresponding sequences. Individual models for a query sequence ('SEGMENT') are annotated as 'FEATURE', with information about the start and stop position in the target sequence, template-sequence identity and the URL to the corresponding SWISS-MODEL Repository entry. The DAS service allows the SWISS-MODEL Repository to be cross-linked with other resources using the same standards, e.g. genome browsers. The SWISS-MODEL Repository DAS service is accessible at http://swissmodel.expasy.org/service/das/swissmodel/. The protein model portal One of the major bottlenecks in the use of protein models is that, unlike for experimental structures, modelling resources are heterogeneous and distributed over numerous servers. However, it is often beneficial for the user to directly compare the results of different modelling methods for the same protein. We have therefore developed the protein model portal (PMP) as a component of the PSI structural genomics knowledge base (29,30). This resource provides access to all structures in the PDB, functional annotations, homology models, structural genomics protein target tracking information, available protocols and the potential to obtain DNA materials for many of the targets. The PMP currently provides access to several million pre-built models from four PSI centers, ModBase (38) and SWISS-MODEL Repository (27,37). FUTURE DIRECTIONS SWISS-MODEL Repository will be updated regularly to reflect the growth of the sequence and structure databases. Future releases of SWISS-MODEL Repository will include models of oligomeric assemblies, as well as models including essential co-factors, metal ions and structural ligands. Structural clustering of the Swiss Model Template Library will also allow us to routinely include ensembles of models for such proteins, which undergo extensive domain movements. CITATION Users of SWISS-MODEL Repository are requested to cite this article in their publications. ACKNOWLEDGEMENTS We are grateful to Rainer Pöhlmann, [BC]² & Biozentrum University of Basel, for professional systems support, Pascal Benkert for fruitful discussions on model quality assessment and Jürgen Kopp for pioneering work on... earlier versions of SWISS-MODEL Repository. We thank James Battey for critically reading the article. We are indebted to Dr Michael Podvinec for his enthusiastic support and excellent coordination of the Scrum process for the SWISS-MODEL team. We are grateful to Eric Jain for the swift implementation of md5 based REST queries on the UniProt server, and Wendy Tao, John Westbrook and Helen Berman (RCSB) for the great collaboration on the PSI SGKB Protein Model Portal. Computational resources for SWISS-MODEL Repository are provided by [BC] Basel Computational Biology Center (http://www.bcb.ch) and Vital-IT (http://www.vital-it.ch). FUNDING The PSI SGKB Protein Model Portal was supported by the National Institutes of Health as a sub-grant with Fox Chase Cancer Center (3 P20 GM076222-02S1); as a sub-grant with Rutgers University, under Prime Agreement Award Number (3U54GM074958-04S2). SWISS-MODEL Workspace and Repository have been supported by the Swiss Institute of Bioinformatics (SIB). Funding for open access charges: Swiss Institute of Bioinformatics. Conflict of interest statement. None declared. REFERENCES 1. Levitt,M. (2007) Growth of novel protein structural data. Proc. Natl Acad. Sci. U.S.A., 104, 3183–3188. 2. Slabinski,L., Jaroszewski,L., Rodrigues,A.P., Rychlewski,L., Wilson,I.A., Lesley,S.A. and Godzik,A. (2007) The challenge of protein structure determination: lessons from structural genomics. Protein Sci., 16, 2475–2485. 3. Maniatis,B.A., Turnbull,A.P., Panjikar,S., Busow,K. and Chance,M.R. 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A true brother's love has that temper of persistence and determination which wins its way through every hindrance. Hagop, an Armenian boy of nineteen from Afion Kara Hisar, was working for the American Red Cross at Aleppo Headquarters. Again and again he plead with us to go out to a village north of Aleppo to rescue his sister Elizabeth. He and Elizabeth with their father and mother, had been driven in the deportations of August, 1915, from their home in western Asia Minor across the Taurus ranges and along the line of the Bagdad Railway toward the Euphrates. Near the village of Akhterin, thirty-two miles due north of Aleppo, the weary company of deportees was halted. Already many had perished on the way. Elizabeth was then thirteen; Hagop was sixteen. Their father and mother fell ill with some dreadful fever. The people said it was typhus. No doctor could be found and there was not even the shelter of a stable. The Kurds from Akhterin raided the Armenians' camping place and snatched all the valuables. A few days later both father and mother died and a Turkish official ordered Hagop away to Aleppo as a recruit for the Turkish army. From Aleppo he was sent to Nablus (Shechem) on the Palestine front. Elizabeth, a beautiful, slender girl, with ruddy cheeks, soft dark hair and long eyelashes, found herself unprotected. On the next Kurdish raid she was seized by a coarse, rough-handed man who made her bestride his donkey and travel to a village south of Akhterin. He knew that she was a lovely girl and offered to sell her to the chief. The chief's son already had two Mohammedan wives, but Elizabeth would be useful to them all as a slave girl. The chief eyed her and estimated her value. After a long dispute he paid over eleven Turkish gold pounds and two silver majidiyehs (about $37). This was considered a high price for a captive. She was taken into the women's apartments and was given the Moslem name Zeytia. Shortly after dark the first great tragedy of her life occurred. Harvest time came and went. And two summers after that, she heard nothing from the outside world. Sometimes she was petted and fed with such dainties as a Kurdish village can produce. Often she was cursed and reviled and beaten. The treatment depended upon the whim of her master. He was a spare man with eyes full of cunning. She dreaded him and hated him from her very soul. But there was no escape. No Armenians ever came that way, and a certain Arab merchant who visited the chief from time to time talked to her about flight, only to deceive her in a brutal way, leaving another grim secret in her soul. The war seemed interminable. She wondered how many of her countrymen had survived the deportation marches. She heard from Kurdish boys who had been to the Akhterin railway station that the trains were crowded with Turkish troops going to Mesopotamia. "Then there must still be fighting," she thought. One day the Kurds prepared to fall upon some Armenians who were staying at the station. The women were not allowed to take part in the attack, although Kurdish women have a reputation for fearlessness; but when the plunder was brought back in sacks and saddle-bags, "Zeykla" was allowed to join the women in overhauling the goods. Among the clothing, shawls and quilts her eye lit upon an Armenian prayer book which she deftly slipped into her girdle. In these days of captivity she had longed for the sight of a printed page. The Kurds not having any written language, possess no books except Arabic Qurans in some rich chiefs' houses. In the American Mission School at Kara Hisar she had learned to read, and how precious a knowledge this now became! Whenever she found herself alone she would run over these pages. The noble sentences of the Gregorian litany and collects stirred her heart to faith in God. Once, while she was thus absorbed, her master came in at the doorway. She barely had time to tuck the book out of sight, but he detected the fact that she was doing or thinking something which she would not disclose to him. His narrow eyes searched her and then his hand reached for a stout stick. She was beaten until she fell in a faint. Still she took the risk and read the book when no one was near. At last strange news came. British troops had captured Aleppo. The Turks were leaving this part of the country! The talk of the men folk as they gathered from the fields in the evening confirmed this. After several weeks there was a stir in the village, for an English column was approaching and was taking possession of the railway station. The thought came to Elizabeth that she might tell a British officer that she was a captive. Would he not be able to save her? Twice she attempted to run away. But each time she was pursued, caught and beaten. After the second attempt her master took down his Martini from the peg where it hung, and standing very close to her loaded five cartridges, saying between his teeth, "Every one of these shall plunge into your vitals, if you so much as move from this courtyard while the enemy is in this vicinity!" Hagop could not tell the name of the village, but Torex, an orphan boy in Aleppo, had been captured at the same time with Elizabeth, and he thought that the village where she had been sold was from three to five miles in a southerly direction from Akhterin. She might have been taken to another place. She might not be living. But the clue was a fairly good one, and we resolved to go out in the Red Cross Ree truck to search the countryside. Two young American officers, one of them with a six-shooter at his belt, took turns driving the Ree. For the sake of a day out-of-doors we invited Dr. Maude Hall, Director of our Red Cross Refugee Hospital, Miss Button, the Superintendent Nurse, and a stenographer from the headquarters staff. All these had been working long hours and welcomed this chance for recreation. By the courtesy of a British captain in charge of the Aleppo Arab police, we were given as escort his own gendarme, an upstanding fellow and a Christian. Without the policeman we could not insist on entering any house in the search. The orphan boy Torex came with us to recognize the village, and Hagop could not stay behind, for it was his sister we should have to identify. We were thus a party of nine as we sped out on the Muslimiyeh carriage road, past the great barracks and the Persian dervishes' shrine. For thirteen miles we were on a macadamized highway and made good time. Then the carriage tracks followed an earth road from which trails formed out as we passed in the vicinity of the adobe villages. Finally Toros felt sure we must bear to the left, so we struck off on a broad caravan path. This led to the village of Resin, and beyond that the way became very stony and irregular. The R-5 slipped over the stones and dodged the boulders, Lt. Winnett doing wonders at driving. The car designer in the factory never dreamed of such a test as this. By and by the trail almost lost itself in a sea of rocks, and we all climbed out. Down a ravine and up the other side Winnett drove the empty car, but the prospect from the ridge was an impossible one. We took counsel how best to proceed. It was decided that Snyder and the three women should remain with the car, while the rest of us should go on foot to search the villages. We could see the trees of one in the next valley. The objection to walking was the time it would take; but what else could we do? It was eleven o'clock and the sun was waxing hot. We knew we were going in the general direction of Akhterin, but unfortunately we did not know the name of the smaller village in which Elizabeth had been last heard of. All Toros could remember was that three brothers were the chiefs in that village and that they were Kurds. These mud-built hamlets often lie off the caravan road, tucked away among the hills. We may even now have passed too far north, we thought to ourselves. Just then we came up with two Arab donkey drivers plodding along behind their animals. They had taken eggs to Aleppo and were coming back with soap. After the traveler's greeting, I asked their destination. One of them replied in Turkish, "We go to all the villages in this region for we are peddlars." This sounded a bit promising. So in an offhand way I asked about the villages south of Akhterin. "Oh, there are any number of them," the Moslem replied, "Which one are you looking for?" "There is one in which three brothers share the chieftainship," I said, and I reflected that possibly there might be more than one. But the reply was very definite: "You are thinking of Ghoz, an hour this side of Akhtarin, are you not?" "Yes," I ventured, "and are you acquainted with the eldest of the brothers?" "Abdul Qadir, you mean. Yes, I have sold him soap many a time. He is known as the smith, for he is the eldest. Are you going to break bread with him?" "No," I said, "we shall not remain long at his house. But we shall see him. How far, by this rocky trail, do you reckon it will be?" "Two hours," he replied laconically. At last we had gleaned some valuable information. But here was a dilemma. If we walked on six miles, leaving the Reo so far behind, it would be late in the afternoon before we could reach the car again, even if we should find the right village and the right house without any lengthy wanderings. Again, there was some risk that the Reo might be raided. Two weeks previously the armed Kurds from this very district had attacked the railway station at Akhtarin, had looted the freight house and emptied the pockets of the Armenian station-master. We ascertained from peddlers that by going back to Resin we could drive out on an easterly road free from rocks. By a circuitous route this would bring us to Akhtarin. All that was possible by car, they said. From Akhtarin to Ghoz would be only two miles, and if necessary we could walk that. "You will not need to," they said, "the path is through the wheat. Your car will fly past the harvesters." Our good Reo gave us no tire trouble, in spite of the rough going, as we retraced the path. The sun was straight overhead when we approached the bee-hive houses of Akhtarin. We veered round through the wheat fields. Sure enough, there were the harvesters, and we had passed them before they turned from their labor. Toros began to recognize the landscape and became animated. We sped by one village and on the next ridge I looked at Toros. Forty or fifty mud-brick, squarely built houses were clustered in the hollow. "That is it! That is it!" he exclaimed. "I remember the look of the place. I was here two days before I escaped." So we left the Ree and the same advance party struck in toward a group of Kurds sitting idly in the shade of a wall. "Greeting to you," I said. "We will show us the threshold of Sheik Abdul Qadir's house, if this is indeed the village of Ghosn?" All rose and returned my salutation, and two sun-tanned plowmen led the way through the devious little street into the courtyard and guest room of the "Servant of the Powerful." The chief was a man of sixty, with a grizzled beard and wearing a heavy home-spun cloak. He was puzzled by our sudden entry. After a single word of salutation, I accosted him. "Sheikh Abdul-Qadir, know of a surety that I and my officers and this policeman of the Arab force, come to notify you of the proclamation of Amir Faisal, Prince of the Arabs, and of the special orders of the British General, that all Armenian girls kept since the days of the deportations are to be set free. We have come to take Zeykia. Bring her now to this room, that her brother may recognize her, and that she may return at once with us." "There is a Zeykia with us," muttered the chief, "but is this her brother? Besides, she will not leave us. She has remained with us of her own will." We had struck the right place. By this time a large group of burly retainers had filled the entry way and both sides of the long, old-fashioned oriental guest room. "These shall be the witnesses," I said, "and the girl shall declare her choice. Fetch her now from the harem and let this policeman Bedia and her brother Hagop proceed with your henchmen to bring her." The men all looked sullen and ill-tempered. A Kurd can look the part of a villain without any great effort. I wondered whether any ruse would be attempted. It undoubtedly would have been, had more time been afforded. But we had declined "That is it! That is it!" he exclaimed, "I remember the look of the place. I was here two days before I escaped." So we left the Reo and the same advance party struck in toward a group of Kurds sitting idly in the shade of a wall. "Greeting to you," I said. "She will show us the threshold of Sheik Abdul Qadir's house, if this is indeed the village of Ghosz?" All rose and returned my salutation, and two sun-tanned plowmen led the way through the devious little street into the courtyard and guest room of the "Servant of the Powerful." The chief was a man of sixty, with a grizzled beard and wearing a heavy home-spun cloak. He was puzzled by our sudden entry. After a single word of salutation, I accosted him. "Shiekh Abdull-Jadir, know of a surety that I and my officers and this policeman of the Arab force, come to notify you of the proclamation of Emir Faisal, Prince of the Arabs, and of the special orders of the British General, that all Armenian girls kept since the days of the deportations are to be set free. We have come to take Seykia. Bring her now to this room, that her brother may recognize her, and that she may return at once with us." "There is a Seykia with us," muttered the chief, "but is this her brother? Besides, she will not leave us. She has remained with us of her own will." We had struck the right place. By this time a large group of burly retainers had filled the entry way and both sides of the long, old-fashioned oriental guest room. "These shall be the witnesses," I said, "and the girl shall declare her choice. Fetch her now from the harem and let this policeman Bedir and her brother Hagep proceed with your henchmen to bring her." The men all looked sullen and ill-tempered. A Kurd can look the part of a villain without any great effort. I wondered whether any ruse would be attempted. It undoubtedly would have been, had more time been afforded. But we had declined coffee and cigarettes. There was the possibility that the Kurds might reach for their loaded rifles, slung over pegs in the wall. There were as many guns and revolvers on those pegs as you would find framed pictures in a New England parlor! But the villagers knew as well as we did that the British were in Aleppo. We became aware of a movement of people in the courtyard. Through the carved wooden window bars I caught a glimpse of a slender girl leaning on Hagop's shoulder. The next moment the two came through the doorway, Hagop standing erect, face flushed and eyes bright. Elizabeth, indeed, it was, for she was sobbing with joy. She clung to his arm and for a moment kept her eyes on the ground as Turkish brides are commanded to do. Her beautiful hair hung in seven or eight braids over her shoulders and on her head she wore a black silk scarf interwoven with silver thread. Her dress was of variegated heavy cotton cloth, like the coat Joseph's mother had made with her own hands. "Elizabeth," I said, "we have come from Aleppo with the necessary authority to set you free and to take you with us. We will give you a welcome and provide you shelter. Later you may be able to return to your own native town. Your brother has been longing to discover and release you. Will you come?" In an unfaltering voice she replied, "I will come. May God reward you." I notified the chief that the matter being decided we must take leave. Elizabeth said in Armenian (which the Kurds did not understand) "There are two other captive girls. Can we not take them also?" I turned to Abdul Qadir. "Before we leave you must bring the other Armenian girls whom you have detained. They also are to go with us." "We will send for them," he replied in a low voice. He seemed to be repressing anger in his heart. "The Emir's orders and the British commands are on my head (i.e., will be highly respected). But those women are settled here and will not leave us. You will not force them to go." coffee and cigarettes. There was the possibility that the Kurds might reach for their loaded rifles, slung over pegs in the wall. There were as many guns and revolvers on those pegs as you would find framed pictures in a New England parlor! But the villagers knew as well as we did that the British were in Aleppo. We became aware of a movement of people in the courtyard. Through the carved wooden window bars I caught a glimpse of a slender girl leaning on Hagop's shoulder. The next moment the two came through the doorway, Hagop standing erect, face flushed and eyes bright. Elizabeth, indeed, it was, for she was sobbing with joy. She clung to his arm and for a moment kept her eyes on the ground as Kurdish brides are commanded to do. Her beautiful hair hung in seven or eight braids over her shoulders and on her head she wore a black silk scarf interwoven with silver thread. Her dress was of variegated heavy cotton cloth, like the coat Joseph's mother had made with her own hands. "Elizabeth," I said, "we have come from Aleppo with the necessary authority to set you free and to take you with us. We will give you a welcome and provide you shelter. Later you may be able to return to your own native town. Your brother has been longing to discover and release you. Will you come?" In an unfaltering voice she replied, "I will come. May God reward you." I notified the chief that the matter being decided we must take leave. Elizabeth said in Armenian (which the Kurds did not understand) "There are two other captive girls. Can we not take them also?" I turned to Abdul Qadir. "Before we leave you must bring the other Armenian girls whom you have detained. They also are to go with us." "We will send for them," he replied in a low voice. He seemed to be repressing anger in his heart. "The Emir's orders and the British commands are on my head (i.e., will be highly respected). But these women are settled here and will not leave us. You will not force them to go." "First of all bring them here," I said. And two servants were detailed for this. In a few moments one woman appeared, and word came that the other was working in the fields at a considerable distance. To wait until she could be summoned would give time for a conspiracy. So it seemed best to deal quickly and be off without delay. We found that the woman now before us was also named Elizabeth. Her home, she said, was in Nicomedia, on the Sea of Marmora. Every one of her family had died in the deportations. She was frightened in the presence of the score of Kurds, and at first stated that she would not leave. But in Armenian we assured her that in Aleppo she would be entirely safe, and we would take good care of her. Thereupon she plucked up her courage and said, "I will go with you." As we passed out from the courtyard, several of the Kurdish women came forward and affectionately kissed Hagop's sister. Elizabeth told us afterwards that these women had been kind to her. But toward her master and the chief she cherished nothing but resentment. As she took leave of them she exclaimed defiantly, "God has delivered me out of your hands. I am quit of you forever." We did not waste any time in getting off, for the whole village was agog and the men were gathering in small groups. Within twenty minutes of our arrival at Ghoas, the Reo engine was purring again and we were darting over the broad path through the wheat fields. When we were well on our way, a horseman was seen coming toward us from the city. As we passed him Elizabeth stood up suddenly and in a clear, penetrating voice cursed him and his parents and all his kin. He stopped, amazed. "Why do you feel such hatred for that man? Who is he?" I asked. "He? He is an Arab merchant from Aleppo. He used to come often to the house in Ghoas. I could not tell you the things he did to me." In her quiet, thrifty home in Kara Hissar she had never known what a curse was. But now the vituperation came forth instantly as the expression of her feelings. In the conversation a few minutes later some reference was made to the Cross. "The Cross!" she exclaimed, "I can speak about the Cross now without fear!" It is hard for us to imagine any household where it would be dangerous to mention this subject. As the car rose on the crest of one of the limestone hills, the stately citadel of the thirteenth century stood in outline against the horizon. This was Elizabeth's first glimpse of Aleppo. The same evening she was received in the American Red Cross Refuge Home, where she took part in the housekeeping, sewing and embroidery until the day came when railway accommodations were secured. Then she started out with her brother to recover the homestead in Afion Kara Nissar. Her forehead, both sides of her nose and her chin bear conspicuously the elaborate figures of the Kurdish indigo tattooing. Perhaps the doctor's skill will remove these marks of her humiliation without leaving very deep scars. Whatever the injury she has sustained, we may assure her of one supreme fact: that Christ is longing, out of the infinite riches of His love, to create in her a character of grace and tenderness and fidelity. The British Army Administration is caring for 200 girls released from Moslem houses in Homs. In Ourfa the American Relief workers are sheltering forty maternity cases, all of them Armenian girls. The American Red Cross and the American Commission for Relief in the Near East have welcomed and have given employment to 625 in Aintab, 200 in Marash and 545 in Aleppo. But these are less than twenty per cent of the total in this region. Eighty per cent are not yet released. In the villages of the Serouj Plain alone—one small section of the country east of the Euphrates—there are 3000 Armenian small boys, girls and women still in Moslem houses. Surely the chivalry of Great Britain and America will respond to right this great wrong. I may say with certainty that today this is more devoutly and intensely desired by thoughtful Armenians, men and women, than any political issues or any distribution of physical relief. What would Elizabeth's future have been had not the Red Cross reached out a hand to set her free?
14.1 Overview The Universe around us is isotropic only on very large scales, of order 100s of Mpc. On smaller scales—from galaxies which have a density $\sim 10^5 - 10^6$ times higher than the mean, to superclusters of galaxies and voids—the universe exhibits a great deal of structure (see Fig. 14.1). Figure 14.1: One of the earliest pictures of the large scale structure in the galaxy distribution is the slice made from the Center for Astrophysics redshift survey of galaxies brighter than $B \simeq 15.5$ and with velocities $v < 12\,000$ km s$^{-1}$ ($z \leq 0.04$). The plane of our own Galaxy runs across the sky from right ascension $6^h$ to $19^h$. This band is devoid of galaxies in the plot because the Milky Way gets in the way. Note the large scale features like the ‘Great Wall’ between $8^h$ and $16^h$, and the empty ‘voids’. The existence of these cosmological structures tells us something important about the initial conditions of the Big Bang, and about the physical processes which have operated subsequently. In general, structure will develop differently in different cosmological models; an example is shown in Fig. 14.2. Thus, from a statistical description of the large scale structure of the Universe we can deduce the best-fitting values of some cosmological parameters (primarily $\Omega_{m,0}$, $\Omega_{b,0}$, $H_0$, and the primordial spectral index $n$ (to be defined later). Nowadays, sophisticated hydrodynamical simulations performed on some of the most powerful computers available to astronomers allow the growth of cosmic structure to be followed from high redshift to the present time. By varying the initial conditions and following the subsequent evolution in the distribution of galaxies and dark matter, it is possible to determine the set of cosmological parameters (and baryon physics) that best fit the real Universe. Some examples can be found here: http://www.mpa-garching.mpg.de/galform/data_vis/. Figure 14.2: A pictorial example of how the large scale structure in the distribution of galaxies can be used to discriminate between different model universes. Just from visual inspection, three of the four models can be ruled out. 14.1.1 Primordial Fluctuations The working hypothesis is that tiny perturbations were present at early times and that these primordial density fluctuations subsequently grew through self-gravity and other effects, and developed into the structures we see today. Two candidates for what might have initially seeded the structure are: 1. Amplification of quantum zero-point fluctuations during an inflationary era (Heisenberg’s uncertainty principle guarantees that, because the positions of particles are indeterminate, there must have been density inhomogeneities in the early universe). 2. Topological defects formed in a cosmological phase transition. Consider an initial density perturbation defined by the dimensionless parameter: \[ 1 + \delta(x) \equiv \rho(x)/\langle \rho \rangle \] (14.1) where, as usual, we use the symbol $ \rho $ to indicate the density. With the density content divided into nonrelativistic matter and radiation, there are two distinct perturbation modes, with different relations between the two density components. Imagine starting with a uniform distribution of matter and radiation; the simplest way to perturb the density would be to compress (or expand) a region within the volume adiabatically. This would change the matter density and the photon number density by the same factor. But the energy density of matter and radiation respond differently to a change in scale factor $ a $—or equivalently temperature $ T $ [recall that for pressureless matter $ \rho_m \propto 1/a^3 $ (eq. 2.18), while for radiation $ \rho_{\text{rad}} \propto 1/a^4 $ (eq. 2.23)]. Thus, adiabatic perturbations would change the energy density of matter and radiation differently: $ \delta_{\text{rad}} = 4\delta_m/3 $. The second mode perturbs the entropy density but not the energy density. The resulting fluctuations are termed isocurvature perturbations—since the total energy density remains homogeneous, there is no perturbation to the spatial curvature and $ \rho_{\text{rad}}\delta_{\text{rad}} = -\rho_m\delta_m $. You could think, for example, of variations in the relative fraction of baryons to photons. At very early times, when the universe is strongly dominated by radiation, isocurvature initial conditions effectively correspond to a vanishingly small fractional perturbation in the radiation density, with only the matter density varying significantly. Now, let’s imagine that we wanted to create a non-uniform density field at some given time in the history of the universe. Isocurvature perturbations would be more natural on causality arguments (it would be impossible to change the mean density on scales larger than the horizon at that time). This is indeed the case in models involving a late-time cosmological phase transition—such as the topological defect models mentioned earlier. However, inflation changes the nature of the particle horizon at early times. Thus, in inflationary models, fluctuations in total density can be produced on scales which vastly exceed $c/H_0$. If these curvature fluctuations are generated prior to the processes responsible for the baryon asymmetry of the Universe, then adiabatic modes will be the norm. ### 14.1.2 The Transfer Function Any primordial density perturbations will subsequently be modified by a variety of physical processes: growth under self-gravitation, the effect of pressure, and dissipative processes. This evolution works in the sense that modes of short wavelength have their amplitudes reduced relative to those of long wavelength. The overall effect is encapsulated in the transfer function $$T_k \equiv \frac{\delta_k(z=0)}{\delta_k(z)D(z)}$$ where $D(z)$ is the linear growth factor between redshift $z$ and the present. The form of the transfer function depends on the type of fluctuation (adiabatic or isocurvature) and on the matter content of the universe: models in which the contribution to $\Omega_m$ is from baryons, cold dark matter, hot dark matter, or a mixture of any of these, all have different transfer functions. Linear (by which we mean $\|\Delta\rho\|/\langle \rho \rangle \ll 1$) adiabatic perturbations grow with time as follows: \[ \delta \propto \begin{cases} a^2 & \text{in the radiation dominated era} \\ a & \text{in the matter dominated era} \end{cases} \tag{14.2} \] We can see this most easily in a flat ($ k = 0 $) FRW model, where: \[ H^2 = \frac{8\pi G}{3} \rho \tag{14.3} \] with $ \rho = \rho_{\text{tot}} = \rho_{\text{crit}} $. A spherical region of enhanced density $ \rho' > \rho $ within this flat universe will also expand with the same Hubble law if its size exceeds the particle horizon and its particles are therefore not causally connected. Because the dynamics of the spherical density fluctuation depend only on the mass contained within (recall Birkhoff’s theorem), it evolves as a separate entity, like a miniature closed universe, according to: \[ H^2 = \frac{8\pi G}{3} \rho' - \frac{kc^2}{a^2}, \tag{14.4} \] with $ k > 0 $. Subtracting one equation from the other, we find \[ \delta \equiv \frac{\rho' - \rho}{\rho} = \frac{3}{8\pi G} \frac{kc^2}{a^2} \frac{1}{\rho}. \tag{14.5} \] The evolution of $ \delta $ is hence related to the evolution of the curvature $ kc^2/a^2 $ relative to the density $ \rho $. In a matter dominated universe $ \rho \propto a^{-3} $ and in a radiation dominated universe $ \rho \propto a^{-4} $ and hence \[ \delta \propto \frac{a^{-2}}{\rho} \propto \begin{cases} a^2 & \text{in the radiation dominated era} \\ a & \text{in the matter dominated era} \end{cases} \tag{14.2} \] Recalling that $ a \propto t^{1/2} $ in a radiation dominated universe, and $ a \propto t^{2/3} $ in a matter dominated universe, we deduce \[ \delta = \delta_i \cdot \begin{cases} t/t_i & \text{in the radiation dominated era} \\ (t/t_i)^{2/3} & \text{in the matter dominated era} \end{cases} \tag{14.6} \] The amplitude of our super-horizon adiabatic fluctuation therefore increased linearly with time during the radiation era and only a little more slowly during the matter-dominated era. Note that the increase in $ \delta \rho/\rho $ did not involve the separation of the high-density region from the Hubble flow, but is just due to the difference in the rates at which the density decreased inside and outside the fluctuation as the universe expanded. Isocurvature perturbations to the matter, on the other hand, evolve as: \[ \delta_m \propto \begin{cases} \text{constant} & \text{in the radiation dominated era} \\ a^{-1} & \text{in the matter dominated era} \end{cases} \] (14.7) In the adiabatic case, gravity causes the mode amplitude to increase; in the isocurvature case the evolution acts to preserve the initial uniform density. Thus, isocurvature perturbations act as a ‘deep freeze’ preserving potential density fluctuations and protecting them from the dissipation processes suffered by the adiabatic fluctuations (which we shall discuss presently). In both cases, the shape of the primordial perturbation spectrum is preserved, and only its amplitude changes with time. On small scales, however, a variety of physical processes affect the way perturbations grow: 1. Pressure opposes gravity effectively for wavelengths below the Jeans length: \[ \lambda_J = c_s \sqrt{\frac{\pi}{G\rho}} \] On scales smaller than the Jeans length, where pressure forces dominate over gravitational forces, the fluctuations move as sound waves in the fluid, damped by its viscosity and transporting energy from one region of space to another. In the radiation era, $c_s = c/\sqrt{3}$ and so the Jeans length is always close to the size of the horizon. It reaches a maximum value at the matter-radiation equality, when the sound speed begins to drop. This defines an important scale, the comoving horizon size at $z_{eq}$: \[ r_H(z_{eq}) \simeq \frac{16}{\Omega_{m,0}h^2} \text{Mpc} \] Beyond this scale, perturbations should be affected by gravity only and we would then expect to see a bend in the spectrum of perturbations where pressure starts to become important. Notice that this scale depends on $\Omega_{m,0}$; so here is an example of how the galaxy distribution can be used to determine cosmological parameters. The Jeans analysis assumes a tightly coupled baryon-photon plasma. There are two situations where this is inappropriate. 2. Photon Diffusion. At early times the plasma is very optically thick, but as the universe expands the mean free path for photons increases and the photons tend to leak out of the sound waves and then damp out, smoothing the inhomogeneities in the photon-baryon fluid. This is the Silk damping we already discussed in Lecture 10.4.2. At the epoch of last scattering, fluctuations on scales smaller than the distance travelled by the photon random walk: \[ \lambda_s = 2.7 (\Omega_{m,0} \Omega_{b,0}^2 h^6)^{-1/4} \text{Mpc} \] have been damped out. Nowadays the Silk damping of acoustic fluctuations is not thought to be so critical: the major contributor to $\Omega_m$ is dark matter, and the baryons can fall into the dark matter potential wells after last scattering. 3. Free Streaming. At early times, dark matter particles will undergo free streaming at the speed of light, and so erase all scales up to the horizon, a process which only stops when the particles go non-relativistic. For massive neutrinos this happens at $z_{eq}$ (because the number densities of photons and neutrinos are comparable). ![Figure 14.3](image) Figure 14.3: (Reproduced from J. Peacock’s Physical Cosmology) A plot of transfer functions for various models. For adiabatic models, $T_k \to 1$ at small $k$, whereas the opposite is true for isocurvature models. A number of possible matter contents are illustrated: pure baryons; pure C(old)DM; pure H(ot)DM; M(ixed)DM (30% HDM, 70% CDM). 14.2 Measures of Large Scale Structure Since the pioneering work by John Huchra and colleagues at the CfA in the 1980s, galaxy surveys have proliferated and have reached further and further into the distant Universe (see Figure 14.4). Hundreds of galaxy redshifts can now be measured simultaneously thanks to technological advances in the size of astronomical detectors and in efficient, multiplexing spectrographs. One of the aims of all of these large surveys is to analyse the large scale distribution of galaxies and thereby determine both the form of the initial spectrum of fluctuations, and the transfer function—with its encoded cosmological parameters—which has turned them into the structures we see today. In order to interpret the results of these extensive galaxy surveys, we need a mathematical description of the statistical properties of the distribution of galaxies. The analogy with waves on the surface of a lake may ![Figure 14.4: Illustration of the depth and sky coverage of some of the most extensive recent galaxy surveys. The integers on the positive $x$-axis indicate the look-back time in Gyr. The DEEP2, zCOSMOS and GAMA surveys extend to well beyond $z = 0.6$, more than $\sim 20$ times further than the pioneering CfA surveys of the 1980s.](image) be helpful here. Their statistical properties, such as the distributions of wavelengths and amplitudes, depend on the shape and depth of the lake and the strength and direction of the wind blowing over the surface. If we assume that the wind is constant with time, then the statistical properties of the surface of the lake would not change. This doesn’t of course mean that two snapshots of the lake taken at different times would look identical, but rather that they are statistically indistinguishable—there is no way of deciding which of the two snapshot was taken first. The most common mathematical tool used to describe the statistical properties of the large scale distribution of matter is Fourier analysis. ### 14.2.1 Fourier transforms of the density field We start with our dimensionless density perturbation field: \[ \delta(\mathbf{x}) \equiv \frac{\rho(\mathbf{x}) - \langle \rho \rangle}{\langle \rho \rangle} \] (14.8) which we can think of as the superposition of many modes. In a flat comoving geometry, a field such as this is most conveniently described with Fourier analysis.$^1$ But how do we make a Fourier expansion of the density field in an infinite universe? Imagine that the field is periodic within a box of side $L$; then we would just have a sum over the wave modes: \[ F(\mathbf{x}) = \sum F_{\mathbf{k}} e^{-i\mathbf{k} \cdot \mathbf{x}} \] The requirement of periodicity restricts the allowed wavenumbers to harmonic boundary conditions \[ k_x = n \frac{2\pi}{L}, \quad n = 1, 2, \ldots \] and similarly for $k_y$ and $k_z$. If we now let the box become arbitrarily large, then the sum will become an integral that incorporates the density of states in $k$-space. The Fourier relations in $n$ dimensions are thus \[ F(x) = \left( \frac{L}{2\pi} \right)^n \int F_k(k) \, e^{-i\mathbf{k} \cdot \mathbf{x}} \, d^n k \] $^1$In other geometries, the correct approach is to consider the eigenfunctions of the wave equation in curved space. Normally this complication is neglected because even in an open universe, the difference becomes significant only on scales of the order of the present-day horizon. \[ F_k(k) = \left( \frac{1}{L} \right)^n \int F(x) e^{i k \cdot x} d^n x \] In particular, in three dimensions the forward and inverse Fourier transforms then are: \[ F(\mathbf{x}) = V \int \frac{d^3 k}{(2\pi)^3} F(\mathbf{k}) e^{-i \mathbf{k} \cdot \mathbf{x}} \] \hspace{1cm} (14.9) and \[ F(\mathbf{k}) = \frac{1}{V} \int d^3 x \, F(\mathbf{x}) \, e^{i \mathbf{k} \cdot \mathbf{x}} \] \hspace{1cm} (14.10) where $ V $ is the volume. ### 14.2.2 The galaxy (auto)correlation function A commonly used measure of clustering is the second moment of the density field: \[ \xi(\mathbf{r}) \equiv \langle \delta(\mathbf{x}) \cdot \delta(\mathbf{x} + \mathbf{r}) \rangle \] \hspace{1cm} (14.11) which is called the autocorrelation function of the density field—usually referred to simply as the correlation function. The angular brackets indicate an averaging over the normalization volume $ V $. Before deriving the Fourier formulation of $ \xi(\mathbf{r}) $, let us consider briefly its meaning. If galaxies were distributed uniformly through space, with number density $ n $, then the ![Density correlation measurement](image) Figure 14.5: Density correlation measurement probability $dP$ of finding a galaxy within a volume $dV$ would be the same everywhere, $dP = n \, dV$. However, in reality galaxies are clustered, so that the probability of finding a galaxy within a volume $dV$ at a distance $\mathbf{r}$ from a specified galaxy becomes: $$dP = n[1 + \xi(\mathbf{r})]dV$$ \hspace{1cm} (14.12) where $n$ is the average number density of galaxies and $\xi(\mathbf{r})$ is the two-point (or galaxy-galaxy) correlation function which describes whether galaxies are more concentrated ($\xi > 0$) or more dispersed ($\xi < 0$) than average (see Fig. 14.5). Note that with the definition of (14.11), $\xi(\mathbf{r})$ measures equally well the clustering of voids (underdense regions where $\delta(\mathbf{x}) < 0$). In Fourier space, we can express $\xi$ as the sum: $$\xi = \left\langle \sum_{\mathbf{k}} \sum_{\mathbf{k}'} \delta_{\mathbf{k}} \delta^_{\mathbf{k}'} e^{i(\mathbf{k}' - \mathbf{k}) \cdot \mathbf{x}} e^{-i\mathbf{k} \cdot \mathbf{r}} \right\rangle$$ \hspace{1cm} (14.13) where we have used the relation between modes with opposite wavevectors that holds for any real field: $\delta_{\mathbf{k}}(-\mathbf{k}) = \delta^_{\mathbf{k}}(\mathbf{k})$ (where $\delta^$ is the complex conjugate of $\delta$). Now, by the periodic boundary conditions, all the cross terms with $\mathbf{k}' \neq \mathbf{k}$ average to zero; thus, the double sum in (14.13) reduces to the integral: $$\xi(\mathbf{r}) = \frac{V}{(2\pi)^3} \int \|\delta_{\mathbf{k}}\|^2 e^{-i\mathbf{k} \cdot \mathbf{r}} d^3k$$ \hspace{1cm} (14.14) In short, the correlation function is the Fourier transform of the power spectrum (cfr. eq. 14.9) for which the alternative notation: $$P(k) \equiv \langle \|\delta_k\|^2 \rangle$$ \hspace{1cm} (14.15) is often used. Since in an isotropic universe the density perturbation spectrum contains no preferred direction, we have the isotropic power spectrum: $\langle \|\delta_{\mathbf{k}}\|^2(\mathbf{k}) \rangle = \|\delta_k\|^2(k)$. The angular part of the $k$-space integral in (14.14) can therefore be performed immediately. We introduce spherical polar coordinates with the polar axis along $\mathbf{k}$, and use the fact that $\xi$ is real—so \footnote{We assume that $dV$ is sufficiently small that $dP \leq 1$.} that $ e^{-i\mathbf{k} \cdot \mathbf{r}} \rightarrow \cos(kr \cos \theta) $. This yields: \[ \xi(r) = \frac{V}{(2\pi)^3} \int dk \, k^2 \int_0^{2\pi} d\phi \int_{-1}^{1} d(\cos \theta) P(k) \cos(kr \cos \theta) \] (14.16) from which we obtain \[ \xi(r) = \frac{V}{(2\pi)^3} \int P(k) \frac{\sin kr}{kr} 4\pi k^2 dk \] (14.17) It is sometimes convenient to express the power spectrum in dimensionless form, as the variance per logarithmic interval in $ k $: $ \Delta^2(k) = d\langle \delta^2 \rangle / d \ln k \propto k^3 P(k) $ [to see this, just consider $ \int k^2 dk = \int \frac{k^3}{k} dk = \int k^3 d \ln k $]. So, we define: \[ \Delta^2(k) \equiv \frac{V}{(2\pi)^3} 4\pi k^3 P(k) \] (14.18) Recalling eq. 14.10, we have: \[ \Delta^2(k) = \frac{V}{(2\pi)^3} 4\pi k^3 \times \frac{1}{V} \int d^3 r \, \xi(\mathbf{r}) \, e^{i\mathbf{k} \cdot \mathbf{r}} \] \[ \Delta^2(k) = \frac{V}{(2\pi)^3} 4\pi k^3 \times \frac{4\pi}{V} \int \xi(r) \frac{\sin kr}{kr} r^2 dr \] (see eq. 14.16), from which we then obtain: \[ \Delta^2(k) = \frac{2}{\pi} k^3 \int_0^{\infty} \xi(r) \frac{\sin kr}{kr} r^2 dr \] (14.19) This formulation gives a more intuitive meaning to the power spectrum than $ P(k) $, which is a functional representation of the power per unit volume in $ k $-space. For example, $ \Delta^2(k) = 1 $ means that there are order-unity density fluctuations from modes in the logarithmic bin around wavenumber $ k $. Thus $ \Delta^2(k) $ is the natural choice for a Fourier-space counterpart to the dimensionless quantity $ \xi(r) $. ### 14.3 The Spectrum of Fluctuations Clearly, the power spectrum of density fluctuations is a fundamental quantity in cosmology, but what do we know about its functional form? The simplest assumption is that the spectrum does not contain any preferred length scale—we do not know of a physical theory which would explain such a feature. Inflationary models quite naturally predict a scale-free spectrum of primordial fluctuations of the form: \[ \langle \|\delta_k\|^2 \rangle \propto k^n \] (14.20) where the spectral index $ n $ governs the balance between large- and small-scale power. The meaning of different values of $ n $ can be appreciated by imagining the results of filtering the density field by passing over it a box of some characteristic moving size $ x $ and averaging the density over the box. This will filter out waves with $ k > 1/x $, leaving a variance: \[ \langle \delta^2 \rangle \propto \int_0^{1/x} k^n 4\pi k^2 \, dk \propto x^{-(n+3)} \] (14.21) In terms of the mass $ M \propto x^3 $ we then have \[ \delta_{\text{rms}} = \sqrt{\langle \delta^2 \rangle} \propto M^{-(n+3)/6} \] (14.22) Similarly, as we show below, a power-law spectrum implies a power-law correlation function: \[ \xi(r) = \left( \frac{r}{r_0} \right)^{-\gamma} \] (14.23) with $ \gamma = n + 3 $. Notice (from eq. 14.12) that $ r_0 $ is the distance from a galaxy at which the probability of finding another galaxy is twice what it would be if galaxies were distributed evenly on the sky. Thus, $ r_0 $ is a convenient measure of the clustering length scale. To see that a power-law spectrum implies a power-law correlation function, recall eq. 14.19: \[ \Delta^2(k) = \frac{2}{\pi} k^3 \int_0^\infty \xi(r) \frac{\sin kr}{kr} r^2 \, dr \] Now substitute $ \xi(r) = (r/r_0)^{-\gamma} $: \[ \Delta^2(k) = \frac{2k^2 r_0^\gamma}{\pi} \int r^{1-\gamma} \sin kr \, dr \] Looking up the solution to the integral we find: \[ \Delta^2(k) = \frac{2}{\pi} (kr_0)^\gamma \Gamma(2 - \gamma) \sin \frac{(2 - \gamma)\pi}{2} = \beta (kr_0)^\gamma \] (14.24) valid for $ \gamma < 3 $ ($ n < 0 $). Let’s look at the possible range of values of $ n $. Clearly, our assumption that the Universe be homogeneous on large scales, requires $ n > -3 $, so that the variance $ \langle \delta^2 \rangle $ decreases as $ x $ increases in eq. 14.21 (or, alternatively, we require $ \xi(r) \to 0 $ at very large $ r $; hence $ \gamma > 0 $ in eq. 14.23). The value $ n = 0 $ means the same power on all scales, or what is sometimes referred to as white noise. You would obtain such a power spectrum if you threw down a large number of point masses at random. This is also known as the Poissonian power spectrum because it corresponds to fluctuations between different cells that scale as $ 1/\sqrt{M_{\text{cell}}} $. The measured galaxy correlation function (see Fig. 14.6) is consistent with a power law of the form: \[ \xi_g(r) \simeq \left( \frac{r}{5 \ h^{-1} \ \text{Mpc}} \right)^{-1.8} \] (14.25) which corresponds to $ n \simeq -1.2 $, although $ r_0 $ (but not $ \gamma $) also depends on galaxy type: red (elliptical) galaxies tend to be more clustered than blue (spiral) galaxies, perhaps because they formed earlier, or because ellipticals are formed by mergers (which are more frequent when galaxies are heavily clustered). Most important of all is the scale-invariant spectrum (also known as the Zeldovich, or Harrison-Zeldovich spectrum) which corresponds to $ n = 1 $. A spectral index of 1 has important consequences. If we consider a perturbation $ \delta \Phi $ in the gravitational potential, from the Poisson equation: \[ \nabla^2 \delta \Phi = 4\pi G \rho_0 \delta ; \] in Fourier space we have: \[ \delta \Phi_k = -4\pi G \rho_0 \delta_k / k^2 \] that is: \[ \delta \Phi_k \propto \frac{\delta_k}{k^2} \propto k^{-3/2}. \] Since $\Delta^2(k) \propto k^3\delta_k^2$ (eq. 14.18), for $n = 1$ we have $\Delta^2(k) \propto k^4$ and $$\Delta_\Phi^2 \propto \delta\Phi_k^2k^3 = \text{constant}$$ Since potential perturbations govern the flatness of spacetime, a scale-invariant spectrum corresponds to a metric that is fractal: spacetime has the same degree of ‘wrinkles’ on each resolution scale. A scale-invariant spectrum with $n = 1$ (approximately) is one of the predictions of inflationary theories and appears to be confirmed by observations of $P(k)$ on the largest scales as measured by the temperature anisotropies of the CMB. ### 14.4 Filtering and Moments A common concept in the manipulation of cosmological density fields is that of filtering, which is just the convolution of the density field with some window function: $\delta \rightarrow \delta f$ or in Fourier space $\delta_k \rightarrow \delta_k f_k$. The filtered power spectrum is $P(k)\|f_k\|^2$. Many observable results can be expressed in this form. Two common 3D filter functions are: (i) a Gaussian, which in real space is: \[ f(r) = \frac{V}{(2\pi)^{3/2}R_G^3} e^{-\frac{r^2}{2R_G^2}} \] and in Fourier space becomes: \[ f_k = e^{-\frac{k^2 R_G^2}{2}} \] and (ii) a spherical top-hat window function which in real space is \[ f(r) = \frac{3V}{4\pi R_T^3} \quad (r < R_T) \] and in Fourier space becomes \[ f_k(kR_T) = \frac{3}{(kR_T)^3} [\sin(kR_T) - (kR_T)\cos(kR_T)] = \frac{3j_1(kR_T)}{kR_T}, \] where $ j_1 $ is the spherical Bessel function. We are often interested not in the convolved field in itself, but in its variance for use as a convenient statistic—an example might be the rms fluctuations in the number of objects in a cell. By the convolution theorem, this means that we are interested in the second moment of the power spectrum times the squared Fourier transform of the filter. A commonly used parameter is $ \sigma_8 $, the filtered variance in spheres of radius $ R_T = 8\,h^{-1}\,\text{Mpc} $—roughly corresponding to the scale of massive galaxy clusters—given by: \[ \sigma_8^2 = \frac{V}{2\pi^2} \int \frac{dk}{k} k^3 P(k) \left\| f(k\,8\,h^{-1}\,\text{Mpc}) \right\|^2. \tag{14.26} \] Remember that $ k $ in the power spectrum is the comoving wavenumber and this is why the factor $ h^{-1} $ appears in the scale. Current estimates of $ \sigma_8 $ (which can be obtained from e.g. cosmic shear surveys or the abundance of massive galaxy clusters) are in the range $ \sigma_8 \simeq 0.7 - 1.1 $. ### 14.5 Complications: Redshift Space Distortions and Biased Galaxy Formation In order to interpret the observed 3D distribution of galaxies in terms of the underlying power spectrum of the matter distribution, we need to take into account two further complications: peculiar velocities (relative to the Hubble flow) which affect our determination of distance from the measured galaxy redshifts, and the fact that light (i.e. galaxies) may not be unbiased tracers of the mass. That is, even if we measure accurately the redshifts of many galaxies in a region on the sky, the result is not a true 3D picture. This is because we do not observe galaxies in 3D. Rather, we observe their angular position on the sky, $\theta$, and redshift $z$ (at the distances of interest there is no $z$-independent distance estimator). But redshift has two components: the cosmological component due to the expansion of the universe, and the Doppler effect of peculiar velocities: $$1 + z \rightarrow (1 + z)(1 + v/c) \quad \text{or} \quad z = \frac{DH_0 + v}{c}$$ We can thus define a redshift space $\mathbf{s}$ which is a transform of the real (or proper) space $\mathbf{r}$, as follows: $$s_1 = r_1 = \frac{zc}{H_0} \theta_1; \quad s_2 = r_2 = \frac{zc}{H_0} \theta_2; \quad s_3 = r_3 + \frac{v_3}{H_0}$$ It is the radial axis of redshift which is modified by the Doppler effects of peculiar velocities. The complication is that the peculiar velocities arise from the clustering itself. Thus, the apparent clustering pattern in redshift space differs systematically from that in real space and the spatial correlation function of galaxies, $\xi_g(\mathbf{r})$, which is isotropic in real space is no longer isotropic in redshift space. There are two effects at work here. The first, termed the ‘Fingers of God’ (see Fig. 14.1), is due to the velocity dispersion of galaxies within rich clusters and stretches out a cluster in redshift space. Since this affects only redshift and not position on the sky, the stretching occurs only radially (this is why the ‘fingers’ point back to observer). The other important redshift distortion is the Kaiser effect, due to galaxies bound to a central mass and still undergoing infall. It differs from the Fingers-of-God in that the peculiar velocities are coherent, not random, towards the central mass, though the effect is more subtle. The two effects are sketched in Fig. 14.7. It can be shown that the redshift-space and real-space density fields are related via: \[ \delta_{m,z} = \delta_{m,r} \left[ 1 + f(\Omega_{m,0}) \mu^2 \right] \] where $ \mu $ is the cosine of the angle between the velocity vector and the line of sight, and $ f(\Omega_{m,0}) \approx \Omega_{m,0}^{0.6} $ is the ‘velocity suppression factor’ proposed by Peebles. The second complication arises from the fact that in galaxy redshift surveys we map out the distribution of the light, whereas we are interested in the mass density field. The relation between mass and light is determined by complex physical processes, but is generally described by a linear bias parameter $ b $ (that is, we assume some linear response of the galaxy formation process to small density perturbations), such that: \[ \delta_{\text{lum}} = b \cdot \delta_m = \delta_m + (b - 1) \delta_m \] The point of the trivial rearrangement is to emphasize that the observed density fluctuation is a mixture of the dynamically generated density fluctuation, plus an additional term due to bias, which populates different regions of space in different ways. The first term is associated with peculiar velocities, but the second is not—the enhancements in galaxy densities are just some additional pattern. In redshift space, we therefore add the anisotropic perturbations due to the dynamical component to the isotropic biased component, to obtain \[ \delta_{\text{lum},z} = \delta_{\text{m,r}} \left[ 1 + f(\Omega_{\text{m,0}}) \mu^2 \right] + (b-1)\delta_{\text{m,r}} = \delta_{\text{lum,r}} \left[ 1 + \frac{f(\Omega_{\text{m,0}}) \mu^2}{b} \right] \] (14.27) Redshift-space effects thus give us a characteristic anisotropy of clustering, which can be used to measure the parameter $ \beta = \Omega_{\text{m,0}}^{0.6}/b $. The power spectra in redshift and real space are related by: \[ \frac{P_z}{P_r} = \left( 1 + \beta \mu^2 \right)^2 \] ### 14.6 Baryonic Acoustic Oscillations Both the AAT 2dF and the SDSS teams announced in 2005 the discovery of a peak in $ \xi(r) $ at $ r \simeq 150 $ Mpc which they interpreted as the first evidence for acoustic peaks in the galaxy power spectrum (see Figures 14.6 and 14.8). The discovery, which had been anticipated a decade earlier, was heralded as a spectacular confirmation of the standard cosmological model in which mass overdensities grow from the seeds of CMB fluctuations. Since then, following these Baryonic Acoustic Oscillations (or BAO for short) over cosmic time has been a major motivation for reaching to ever-increasing size and depth in large galaxy surveys. In Lectures 9 and 10 we discussed at length the conditions in the Universe around the epoch of recombination. We saw that, prior to recombination and decoupling, the Universe consisted of a hot plasma of photons and baryons which were tightly coupled via Thomson scattering. The competing forces of radiation pressure and gravity set up oscillations in the photon-baryon fluid. These oscillations left their imprint in the anisotropies of the CMB, emitted at $ z_{\text{dec}} = 1090 $. But what about the baryons? After decoupling, a baryon wave corresponding to an overdensity stalls. The radius reached at that point becomes imprinted on the distribution of baryons as a density excess. Since the baryons and dark matter interact though gravity, the dark matter also Figure 14.8: Left: Baryonic acoustic peak in the two-point correlation function of $\sim 10^6$ galaxies at redshifts $0.4 < z < 0.7$ as determined by the Baryon Oscillation Spectroscopic Survey (BOSS) project. The blue solid line is the best-fit BAO model, while the red line shows the fit by a model which does not include the BAO. Right: The BAO feature of the left panel is shown here in the power spectrum of the galaxy distribution: a spike in real space becomes a series of ripples in $k$-space. The results for three successive data releases of the BOSS project are shown separately. The data and the best fits have been normalised by dividing by the smooth model shown by the red continuous line in the left panel. (Figures reproduced from Anderson et al. 2014). preferentially clumps on this scale. There is thus a increased probability that a galaxy will form somewhere in the higher density remains of the stalled baryon wave. The galaxy two-point correlation function would then show a ‘bump’ on this scale $s$, reflecting the higher probability of finding two galaxies separated by a distance $s$. The scale $s$ is usually close to the sound horizon, the comoving distance a sound wave could have travelled in the photon-baryon fluid by the time of decoupling. Given that the density of photons is much higher than the density of baryons, the photons decouple (i.e. they stop noticing the baryons) earlier than the baryons stop noticing the photons. The delay between the two is sometimes referred to as the ‘baryon drag’. Defining the respective epochs as the time when the optical depth is one, $z_{\text{dec}} = 1090$ for the photons (as we saw in Lecture 9), and $z_{\text{drag}} = 1060$. The sound horizon at $z_{\text{drag}}$ is $r_{\text{drag}} = 147.4 \pm 0.3 \text{ Mpc}$ (comoving), as determined from the analysis of the full set of Planck data. 14.6.1 Cosmological Parameters from BAO We saw in Lecture 10.3.1 that the first Doppler peak in the CMB fluctuations acts as a cosmological ‘standard ruler’ from which cosmological parameters can be deduced via the angular diameter distance. The position of the first peak is that expected for a flat Universe with $\Omega_{k,0} = 0$. The CMB anisotropies give us a measure of the angular extent of the sound horizon on the sky (at the surface of last scattering) at a single epoch, $z_{\text{dec}}$. With the baryons, we can follow the evolution of the peak in BAO over cosmic times and thereby perform an analogous angular diameter distance test at different redshifts using $r_{\text{drag}}$ as the standard ruler. We have already seen in Lectures 6 and 10 that it is the combination of different tests, with different sensitivities to the cosmological parameters, that allows us to reduce significantly the allowed parameter space for these parameters. The use of BAO in this context has attracted a great deal of attention in the last ten years for the following reasons: (i) The scale $r_{\text{drag}} \simeq 150 \text{ Mpc}$ is sufficiently large that it remains in the linear regime to the present day; thus, the signal it produces in the large-scale distribution of galaxies is essentially insensitive to the astrophysical processes that occur on much smaller scales. (ii) BAO do not suffer from the systematic uncertainties that potentially limit the progress that can be made with Type Ia supernovae (Lecture 6), in particular the possibility that the relations between colour, luminosity and light curve shape may not be entirely constant with look-back time. Recall that we do not yet have an established physical model for Type Ia explosions: their use as ‘standard candles’ is based entirely on empirical considerations. On the other hand, the small amplitude of the baryon acoustic peak and the large size of the relevant scales imply that volumes of many Gpc$^3$ must be probed and samples of many hundreds of thousands of galaxies must be assembled in order to follow the peak over a range of redshifts. With BAO, it is possible (after correction for the effects described in Section 14.5) to determine the angular diameter distance and the Hubble rate separately, by measuring the clustering scale $s$ respectively along the line of sight (via redshift measurements) and tangentially on the sky (see FigFigure 14.9: The two-dimensional correlation function of galaxies in the BOSS sample in bins of $1h^{-1} \times 1h^{-1}$ Mpc$^2$. The ring of slightly enhanced clustering at $r_\parallel = r_\perp \simeq 100h^{-1}$ Mpc is the BAO signal. (Figure reproduced from Samushia et al. 2014). Specifically: $$H(z) = \frac{c \Delta z}{s_\parallel(z)} \quad (14.28)$$ and $$d_A(z) = \frac{s_\perp}{\Delta \theta (1 + z)} \quad (14.29)$$ Both $H(z)$ and $d_A(z)$ depend on the cosmological parameters $\Omega_{m,0}$, $\Omega_{k,0}$, and $\Omega_{\Lambda,0}$ (eqs. 5.12 and 5.34). Thus, the possibility that by tracking the BAO feature from the present time to $z \sim 1$ may yield clues to the nature of dark energy, which takes over cosmic expansion during this epoch, has motivated huge galaxy surveys in the last decade. Two of the largest are the AAT WiggleZ survey and the SDSS BOSS project, each consisting of hundreds of thousands of galaxy redshifts out to $z \sim 1$. In Figure 14.10 we show joint constraints from these projects on the parameters $H_0$, $\Omega_{m,0}$ and $\Omega_{k,0}$. Figure 14.11 shows confidence contours for the dark energy equation of state parameter $w$ ($p = w\rho$), where $p$ is the pressure and $\rho$ is the density—see Lecture 6.4), assumed to be a constant in the left panel, and assumed in the right panel to be a simple function of the scale factor $a$: $$w(a) = w_0 + w_a (1 - a), \tag{14.30}$$ as already considered in Lecture 6.4. Figure 14.11: Left: Probability contours in the $w$ and $H_0$ obtained by combining BOSS BAO with Planck CMB observations, showing the degeneracy between the Hubble constant and the dark energy equation of state. Right: Constraints on a varying equation of state parameter according to eq. 14.30 from BAO+CMB, as indicated. (Both figures reproduced from Anderson et al. 2014). The outcome of all of these tests is the ‘precision cosmology’ which we discussed at the beginning of this course (Table 1.1). In particular, note that no evidence has been found yet to support suggestions that dark energy is anything more than Einstein’s cosmological constant; the BOSS results reproduced in Figure 14.11 are entirely consistent with $w_a = 0$, $w_0 = -1$. As can be seen from Figure 14.12, the cosmic distance scale indicated from the SN observations is in excellent agreement with that deduced from BAO. ![Figure 14.12: Comparison between the SN and BAO mapping of the cosmic distance scale. For the purpose of this figure, the SN $d_L$ measurements have been converted to $d_A$, assuming $d_A(z) = d_L(z)/(1+z)^2$ (Figure reproduced from Blake et al. 2011).](image) ### 14.7 The Matter Power Spectrum The large scale distribution of galaxies traces the matter power spectrum on scales of 10s to 100s of Mpc. This is only part of the story, however. As illustrated in Figure 14.13, cosmic structure has now been probed over four orders of magnitude, from scales of a few Mpc via the intergalactic Lyman alpha clouds we studied in Lectures 12 and 13, through scales of $\sim 10 \text{Mpc}$ using weak gravitational lensing (to be introduced in Lecture 16), to scales of $\sim 1–10 \text{Gpc}$ with the CMB fluctuations that were the subject of Lecture 10. Figure 14.13: The power spectrum of density fluctuations in the Universe. The $y$-axis scale, labelled ‘Density fluctuations’, shows $\Delta^2(k) \propto k^3 P(k)$ (eq. 14.18), while the $x$-axis is the comoving scale ($1\,\text{Mpc} \sim 3.3\,\text{Mly}$). Different tracers of the density are used on different scales. The turquoise curve shows a fit to the data with the parameters of the standard $\Lambda$CDM cosmological model (Figure credit: Max Tegmark, MIT). Max Tegmark’s website (http://space.mit.edu/home/tegmark/movies.html) has a hands-on tool which allows one to see directly the effect of varying cosmological parameters on the shape and normalisation of $P(k)$.
For a Lasting Peace, for a People's Democracy! Bucharest. Organ of the Information Bureau of the Communist and Workers' Parties PEOPLES CONTINUE THE FIGHT AGAINST PARIS AGREEMENTS The Paris agreements, ratified by the parliaments of Britain, France and a number of other West European countries, have achieved only the revival of German militarism and the inclusion of Western Germany in aggressive military blocs. Their ratification enables the Rome revisionists and their American patrons to set about the formation of a new, stronger, greater Europe and to equip it with all types of modern weapons. At the same time the West German monopolies get the opportunity of increasing the extent of military production. The ratification of the Paris agreements not only creates a new situation in Europe, but also radically changes the whole international situation. It still further aggravates tension in the relations between various countries and intensifies the danger of war. In the statements of their leading bodies and in the speeches of Party leaders the Communist Parties of Western Europe—the most consistent defenders of the national interests of their countries—have shown with the utmost clarity that the ratification of the Paris agreements carries with it a threat to peace. The U.S. imperialist powers, in pressing through the U.S. reactionary forces, is in glaring conflict with the interests and the will of the peoples. "The French people do not and never will consent to any policy of sacrificing their national interests, the policy of war preparations. Never will they let themselves be drawn into an aggressive war against the Soviet Union," read the statement of the French Communist Party in connection with the ratification of the Paris agreements by the Council of the Republic. These words expressed the will of all French patriots, the will of all honest people in the countries of Europe, fighting for peace and national independence. Unflinchingly pursuing a policy of peace and of ensuring the interests of the peoples, the CPSU has repeatedly drawn the attention of the Governments of the Western powers, and particularly of Britain and France, to the danger of reviving German militarism. The Soviet Union repeatedly pointed out that the actions of the Western powers are incompatible with the obligations assumed by them under the agreements and treaties. As Ratification of the Paris agreements by no means signifies the end of the struggle of the peoples against the resurrection of German militarism. It will develop with even greater vigour. Condemning the progressive imperialist activities directed towards the renewal of German militarism and, consequently, the aggravation of the international situation, the peoples are more and more strongly demanding the unification of the forces of all European countries, irrespective of their social and political system, the establishment of a general security system of collective security and the preservation and consolidation of peace. This clearly expressed will of the peoples is a powerful factor, one which today cannot be ignored. However, the imperialist powers, and first and foremost the ruling circles of the U.S.A., intend to continue their policy of "strength" and they do not wish to heed the will of the peoples. Fearful of the achievements of peaceful construction in the countries of the socialist camp, the reactionaries of the working-class movement in Europe and the national liberation movement in Asia, the American reactionaries and their European lackeys are continuing their preparations for unleashing another war. It is just for this purpose that they put together military blocs and gangster alliances against the countries of socialism, as well as against the national liberation movement of the peoples of the colonial and dependent countries. The favourite trump card of imperialism is precisely still the old and exposed false allegation of the "Communist menace", with the help of which the imperialist governments continue to enmeshing their peoples in war and then involving them in today being fought. Many excursion parties are flocking to the Lenin Memorial Museum in Kazan, where they show great interest in learning about the life and revolutionary activities of Lenin, who began his revolutionary activities. The flow of visitors to the Kiev and Lvoch branches of the Central Lenin Museum has also increased considerably. The workers at many Soviet industrial establishments have undertaken to mark the anniversary with fresh labour achievements. On the Eve of the 85th Anniversary of Lenin's Birth The memory of Vladimir Ilyich Lenin, the great founder of the Communist Party and the Soviet state, the leader and teacher of the working people of the world, is deeply revered. In these days peace-loving peoples of all countries are preparing to widely celebrate the 85th anniversary of his birth. SOVIET UNION Talks and lectures on V. I. Lenin's life and revolutionary activities are being given in factories and mills, on construction sites, in collective farms, in MTS, in offices and educational establishments. In the Moscow City Committee of the Party a special Lenin anniversary lecture was delivered by 40 speakers and participants. The philosophy section of the Board of the Society for the Dissemination of Political and Scientific Knowledge has issued methodical advice and material for lecturers. Moscow's Central Lenin Museum is flooded with visitors. A few days ago a statue of Lenin was erected on the central platform of the Leningrad Railway Station. In Moscow, Leningrad and other cities, the anniversary with the memory of Lenin are these days attracting endless streams of Soviet people. Ulyanovsk, Lenin's birthplace, is particularly rich in such places. Every day sees more and more guests arriving there from all parts of the Soviet Union and from many other countries. Among the results of the practical realisation of Lenin's immortal thesis is the growth of this city of his birth. Not far away the world's longest electrical transmission cable from Kulyabinsk to Moscow is being laid. HUNGARY All over the country lectures are being held on Lenin's life and activities, widely featuring his teachings on socialistic construction, on collective farms, on the collectivisation of agriculture and the worker-peasant alliance. All Party organisations are reporting on their university meetings. Representatives of the Central Committee of the Hungarian Working People's Party will deliver lectures on Lenin's immortal teaching at the biggest industrial establishments in the country. RUMANIA Meetings of Party activists and propagandists on the Lenin anniversary have taken place in most localities attended by Party regional committee members, activists from the state and Party apparatus, tutors and heads of Party coordination committees, the founders of sections, workers, propagandaists and students at Marx-Leninism universities and evening schools. Lecturers in the Central Committee of the Rumanian Workers' Party delivered reports on the subjects: "Lenin—great genius of progressive mankind" and "Leninism—blessing of the working people of our country in the struggle for building Socialism and in defence of peace". During this period the V. I. Lenin—J. V. Stalin Museum in Bucharest is flooded with visitors. MOUNTING DETERMINATION OF PEOPLES TO CURB ATOM MANIACS Over 400 Million Chinese People Demand Ban on Atomic Weapon The collection of signatures to the Vienna Appeal has been completed in China. Altogether 400,503,000 citizens of the People's Republic of China have signed the Appeal. People of diverse political views and convictions, patriots representing various nationalities, actively participated in the campaign. Among them were workers and peasants, women and youth, government employees, officers and soldiers of the People's Liberation Army. In putting their signatures to the Appeal, sons and daughters of China have once again shown their firm will and determination to uphold peace, to fight against the threat of atomic war, for the prohibition of atomic weapons and the cessation of their production. ITALIAN PEACE SUPPORTERS INTENSIFY THEIR ACTIVITY The National Peace Committee meeting in Rome on April 7 discussed the initial results of the signature campaign at the preparatory session for the World Peace Assembly. Addressing the meeting, Professor Adamoli, Secretary of the Committee, said that "the Italian Peace Movement has achieved its results during these last two months". Representatives of mass democratic organisations reported on measures which were being taken or would be taken in support of the struggle for peace. Maria M. Rossi, Chairman of the Italian Women's Union, said that Italian women would hold numerous peace demonstrations in the first week of May, on the occasion of the tenth anniversary of the end of the second world war. The Secretary of the Italian Peasants' Confederation of Labour and Member of Parliament, pointed out that the keynote of the coming May Day would be the struggle against atomic war preparations and for the destruction of thermo-nuclear weapons. The Committee resolved to hold a "Youth for Peace Day" on April 17 in support of the signature campaign. The Peace Committee in Florence Province, which had 323,470 signatures to its credit, urged all peace workers in the province to intensify their efforts to complete the campaign by May 8. In order to achieve the goal of collecting 650,000 signatures, the Committee decided to hold a week-long struggle for peace and for the successful collection of signatures between April 17 and 23. SIGNATURE CAMPAIGN IN CHILE The Chilean working people are enthusiastically supporting the Vienna Appeal. Governmental organisations representatives opened the signature campaign on April 3. Among the first who signed were outstanding personalities of various political, trade union and cultural organisations: Bussuy, Chairman of the Radical Party; Deputy Rafael A. Gumucio, Chairman of the Confederation of Labour and Member of the Homeland; Salvador Allende, Chairman of the People's Front; and Vice-President of the Senate: Balmaceda Castro, Chairman of the Chamber of Deputies; Pablo Neruda, poet; Benedicto Chauqui, Chairman of the Writers' Trade Union; Senators Eugenio González and Carlos A. Martínez, members of the Peothe national interests, the policy of war preparations. Never will they let themselves be drawn into an aggressive war against the Soviet Union. They read the text of the French Communist Party in connection with the ratification of the Paris agreements by the Council of the Republic. These agreements revealed the will of all French patriots; the will of the French people in the countries of Europe, fighting for peace and national independence. Undertaking preparing a policy of peace and of ensuring the security of the people, the Soviet Union repeatedly drew the attention of the Governments of the Western powers, and primarily of Britain and France, to the danger of reviving German militarism. The Soviet Union repeatedly pointed out that the actions of the Western powers were incompatible with the obligations assumed by them under international agreements and treaties. As far back as the end of last year—for example, the Soviet Government declared in Notes to Britain and France that it could not settle itself on the fact that the British and French Governments were pursuing a course which clearly runs counter to the Anglo-Soviet Treaty of 1942 and the Franco-Soviet Treaty of 1944. It declared that by their actions they had cancelled out these treaties and converted them into a series of agreements to conceal their aggressive foreign policy from the public. With the ratification of the Paris agreements Britain and France transform themselves from allies of the USSR into allies of the German militarists. On the basis of the foregoing, the Council of Ministers of the USSR the other day submitted for the consideration of the Supreme Soviet of the USSR proposals to annul the Anglo-Soviet and Franco-Soviet treaties. With the ratification of the Paris agreements these treaties are rendered null and void and cannot serve the aims for which they were concluded. By this act the Soviet Government once more demonstrated to the whole world the firmness of its peaceful foreign policy. By its decision the Soviet Government again showed that it, as hitherto, is resolutely opposed to any aggression in Europe and anywhere in the world, and to any attempt at preparing and unleashing another war. The workers, peasants, intellectuals, and all the honest, ordinary people of France and Britain cannot but deplore by the signing and ratification of the Paris agreements. Their ruling circles have betrayed the vital interests of their peoples, renounced the social pacts sealed in blood in the struggle against Nazi enslavement, and trampled upon the national honour and dignity of their countries. The peoples do not and never will forget the sacrifices and privations brought to them by German militarism. The vast majority of the population of Europe and of the whole world are actively taking their stand against imperialism, preparing themselves for a new war. In their own interests and those of the German people themselves, the peoples of Western Europe and, primarily, those of France, Italy, and Britain categorically reject the Paris agreements and will do everything in their power to prevent the agreements from being put into effect, in favour for a peaceful settlement of the German problem, and for the establishment of a united, independent, democratic and neutralist Germany. Not only the German people forgotten the grave lessons of their history. Proof of this is the mass movement against the revival of militarism in Western Germany and the heroic fight of the German Democratic Republic—the mainstay of peace-loving forces among the German people—against the aggressive drivings of the Bonn revenge-seekers. There are these days attracting endless streams of Soviet people. Lenin's birthday is particularly rich in such places. Every day sees more and more guests arriving there from all parts of the Soviet Union and from many other countries. A large number of practical realisation of Lenin's immortal behests is the growth of this city of brotherhood, which avails itself of the electrical transmission cable—from Kishinev to Moscow—today being built. Many Soviet citizens are flocking to the Lenin Memorial Museum in Kazan, where they show great interest in learning about the period Lenin spent in Kazan, where he began his revolutionary activities. The flow of visitors to the Kisev and Leningrad branches of the Central Lenin Museum has also increased considerably. The workers in many Soviet industrial establishments have undertaken to mark the anniversary with fresh labour achievements. POLAND Active preparations are under way for the Lenin anniversary in towns and villages, and particularly at places connected with Lenin's stay in Poland from 1912 to 1914. The Lenin Museum in Poronino is being reorganised and the Czarew Lenin Museum in Warsaw is being new equipped, reflecting Lenin's close ties with the Polish working class movement. A Lenin Museum is also being organised in Biala, Janowice, near Poronino, where Lenin and Krupskaya lived for a long period. Warsaw's Lenin Museum is about to open. A number of new books about Lenin's life and revolutionary activities are being prepared for the press by the Ksiazka i Wiedza Publishing House. CZECHOSLOVAKIA The keynote of the Czechoslovak working people's celebration of the Lenin anniversary is the slogan: "With the banner of Leninism we shall build Socialism in our country!". On the eve of Lenin Day a celebration of the anniversary will take place in Prague and similar meetings will be held in all regional cities. Functionaries from the central organisations of the Communist Party, workers of regional Party committees and propagandists will make reports at meetings to be organised in district centres. Talks on Lenin's life and activities will be arranged in all schools and colleges. New exhibitions are opened in the Lenin Museums in Prague and Bratislava. FRANCE The keynote of the Czechoslovak working people's celebration of the Lenin anniversary is the slogan: "With the banner of Leninism we shall build Socialism in our country!". On the eve of Lenin Day a celebration of the anniversary will take place in Prague and similar meetings will be held in all regional cities. Functionaries from the central organisations of the Communist Party, workers of regional Party committees and propagandists will make reports at meetings to be organised in district centres. Talks on Lenin's life and activities will be arranged in all schools and colleges. New exhibitions are opened in the Lenin Museums in Prague and Bratislava. ALBANIA Lectures and talks on Lenin's life and activities are taking place at factories, offices and in villages. A vast number of people are visiting the Lenin and Stalin Museums. The press is widely featuring the great significance of the birth of Leninism. For the occasion the State Publishing House has printed a number of Lenin's works in the Albanian language. BULGARIA Reports and lectures on the topic "Leninism—the banner in the fight for peace, democracy and socialism" will be organised at enterprises, offices, educational establishments and in the villages. Amateur theatrical groups attached to public libraries are arranging anniversary entertainments. Exhibitions are being organised which reflect the achievements of the peoples of the Soviet Union who are carrying into practice Lenin's ideas on the building of Communism. All newspapers are publishing articles on Lenin's life and activities. SIGNATURE CAMPAIGN IN CHILE The Chilean working people are enthusiastically supporting the Vietnamese Peace Committee. Groups of peace committee representatives opened the signature campaign on April 3. Among the first who signed were officials of the government, various political, religious and public circles: Seniors Lira Bossay, Chairman of the Radical Party; Deputy Rafael A. Gumucio, Chairman of the National Front; Felipe (Catholic Party); Ramón Alvarez Gómez, Chairman of the National People's Movement; Marcos Rodriguez Barceló, Chairman of the Union for the Homeland; Salvador Allende, Chairman of the People's Front and Vice-President of the Senate; Baltasar Castro, Chairman of the Chamber of Deputies; Pablo Neruda, poet; Dr. Luis Chaquai, Chairman of the Writers' Trade Union; Senators Eugenio González and Carlos A. Martínez, members of the People's Socialist Party. The Appeal has been signed by various federations of miners, railwaymen and metal, building, textile and agricultural workers etc. SPANISH PATRIOTS DEMAND BAN ON ATOMIC WEAPONS The Vienna Appeal finds support among the broadest sections of Spanish emigres and Latin American emigres. The Spanish Peace Committee in Mexico City has launched a signature campaign and published an appeal to the Spanish public. This was signed by anti-fascist Republican personalities: Dr. G. de Pineda, Dr. Ruiz Rebollo and Honorato de Castro; by the Socialists Jesus de la Vallina and Ignacio Fernández; by Spaniards in the country, including Luis Vicedo de Rios, Juan Rejano and Jose Rejano and by non-party writer Leon Felipe. The appeal was also signed by Manuel Gibas, Gregorio Jover, anarchists and others. The campaigners are giving episodes from their experiences. For example a widow mother of two small children, referred me to the Appeal: "I want neither war nor bombs. I want peace. I have accused Yanis to cease treading on Spanish soil". Another Spanish woman said: "I want the peace of the world. I do not want war to start nor my sons or the sons of other mothers to be killed in it." In the teeth of brutal repression by the Franco-British police, the signature campaign is also proceeding in Spain. The newspaper España Democrática, published in Montevideo, wrote: "The Spanish people, like all other peoples, has begun to respond, both inside and outside Spain, to the Appeal of the World Peace Council." The representative of the French Communist Party that the Dutch people would guard peace as vigilantly as the French people. At a closed session the Congress then elected a new Central Committee. Work on rehabilitating and developing the economy is proceeding at full speed in the Korean People's Democratic Republic. Above: one of the shops of a rebuilt ironworks in Hwanghae. LENIN'S TEACHING—OUR GUIDING STAR Kim Ir Sen Chairman, Central Committee, Korean Party of Labour On April 22 all progressive mankind is celebrating an outstanding event—the 85th anniversary of the birth of Vladimir Ilyich Lenin—supreme genius of revolution, leader and teacher of the working people of the world, incomparable mastermind of the science of building a resplendent Communist society. Lenin's memory is inexpressibly dear to the peoples. His teaching reflects the urgent requirements of social and economic development; the interests, hopes and aspirations of the exploited masses. It indicates to the oppressed and enslaved peoples the only correct path to follow to achieve victory in their struggle for freedom, and inspires them to fight with determination for their national and social emancipation. Proceeding from the fundamental precepts of Marx and Engels, Lenin—in line with the factual conditions, of the epoch of imperialism—developed a harmonious teaching on which is an important element of Leninism, an integral part of the general revolutionary struggle of the working class and its allies to overthrow the rule of the exploiters, establish the dictatorship of the proletariat and build Socialism. Lenin showed that for the proletarian revolution to be victorious it was essential for it to unite with the national liberation movement of the oppressed and enslaved peoples, this being the sure way to the peoples' liberation from imperialist oppression. Lenin attached immense importance to the national liberation movement in the countries of Asia. As early as 1913, immediately after the Asian war, he wrote: "Everywhere in Asia a mighty democratic movement is growing, spreading and gaining in strength. Hundreds of millions of people are awakening to life, light and liberty. What delight this world movement is arousing in the hearts of all conscious workers who know that the path to collectivism lies through democracy." In the past few decades events in Asia have developed just as Lenin foretold. The colonial peoples of Asia, including Britain, with its rapidly growing might and prestige, is a revolutionising factor of the greatest importance in the liberation movement of the Asian peoples. More than half of Asia's population of over 100 million have forever put their "acquired" colonial past behind them and are constantly breaking fresh ground, building a new, free life. After many years of struggle for their national liberation, against imperialism and reaction, the great Chinese people and their historic victories under the leadership altered the relation of forces in favour of Socialism and progress, and to the detriment of imperialist reaction. The same is true not only in Asia but on the vast world arena of the struggle between the two camps. The formation of the Chinese People's Democratic Republic, the establishment of the People's Democratic Republic of Vietnam and the transition to the building of Socialism—these are a triumph for the teaching of the great Lenin and a resplendent embodiment. Following Lenin's all-conquering teaching, the peoples of the Korean People's Democratic Republic, the Mongolian People's Republic and the Democratic Republic of Viet Nam have already accomplished much towards building a bright future. The insidious schemes of the U.S. British, French and other colonisers in relation to India, Indonesia and Burma are failing as a reactionary pressure for them to corrupt individual sections of the working class and sometimes a fairly considerable minority, and win them to the side of the capitalists of a given industry or nation against all the others. And so there is created a conflict between the proletariat and opportunism, which revealed itself first and most clearly in England, owing to the fact that certain features of imperialist development were more than usual sooner or later. For thirty years or so from the middle of the nineteenth century, Britain had a virtual monopoly of the world market and as the "workshop of the world" and in this period opportunism came to dominate the British labour movement. But when, in the last quarter of the century, rival imperialisms arose, and Britain's international monopoly was increasingly undermined, Lenin showed that the basis of opportunism was by no means sound. Despite the fact that asked, that All monopoly has disappeared? On the contrary, he shows in that penetrating analysis "Imperialism and the Spirit in the Socialist Movement" that there still exists a basis for opportunism: "Formerly a 'bourgeois Labour Party', to use Engels' remarkable phrase, expression, could be formed only by some section of the bourgeoisie which enjoyed a monopoly, and enjoyed it for a long period. Now the 'bourgeois Labour Party' is inevitable and typical for all the imperialist countries." True, Britain had lost her monopoly of the world market, but the rapid expansion of through. The peoples of those countries have cast off the yoke of colonial slavery and are now defending their valiantly and hard won national independence. In all the Asian countries which are still in a state of colonial dependence, the front of the liberation struggle is steadily broadening and ever louder rises the cry of the oppressed and enslaved: "Colonizers, hands off the country of Asia!" I. Lenin's teaching is of tremendous significance for the successful struggle of the Korean people for their national liberation. For nearly forty years Korea languished under the oppressive yoke of Japanese imperialism, one of the most notorious of the colonial tyrannies of that time. Her situation there was very truly described by Lenin in a speech made towards the end of 1918. He said: "Like the two imperialist countries, Japan and America, they want to fight, they will fight, for this reason: they are in the wrong for the right to loot. Japon will loot in order that she may continue her plunder of Korea, Japon proceeds with unprecedented rapacity, plundering with most cynical invocations with purely Asiatic torture." It was under these conditions that Korea began to develop her national liberation movement, which at first was of a spontaneous, unorganised character. In the twenties, with the formation and growth of a modern working class in Korea and the emergence of the masses into the fight for liberation, the struggle gradually became to assume a political character and involved the broadest strata of the working people. But our national liberation movement lacked an organising, guiding force. That role could be fulfilled only by a party of a new type armed with the advanced, all-conquering teaching of Marxism-Leninism. The impact of the Great October Socialist Revolution upon the development of our people's liberation struggle was all decisive. Its victory opened up the road to the spread and spreading of the great revolutionising ideas of Marxism-Leninism in our country. In those days the best Korean patriots were the most earnest students of Lenin's works. His counsels were an inspiration to them, the guiding star that helped them steer the course in their people's struggle for liberation. Illegal circles for the study of Marxism-Leninism were organised among workers and progressive intellectuals in the various parts of our country. Through these circles the Marxist-Leninist ideas were propagated to the broad masses of workers and peasants, and, overcoming the influence of petty-bourgeois nationalist theories and tendencies upon our people's national liberation movement, provided a firm ideological foundation for our struggle. Lenin's teaching, with its utmost clarity, purposefulness and its iron logic regarding the problems of the strategy and tactics of the liberation movement, evoked a lively response in the hearts of Korean patriots and nurtured a new generation of ardent adherents and followers. Our people's struggle rose to a new level, Lenin's teachings gave us a sharp political character and clarity of purpose. Under the influence of Marxism-Leninism the edge of this struggle was turned against the Japanese colonialists and the Korean landlords, capitalists and other national traitors who collaborated with them. The country's working-class movement, which was closely interwoven with the peasant movement, the patriotic action as an ally of the working class in the effort to liberate the country from colonial oppression and establish a new, free rural society. The growing class and political consciousness of the advanced section of the Korean working class, peasantry and intelligentsia reached its fullest point thirty years ago—in April 1925—when the Communist Party of Korea, which forthwith became the inspiring force of our national liberation movement. Following its foundation a wave of organised industrial strikes and peasant revolts swept the country. The Korean Communists had to work under exceptionally hard conditions, for the entire country was overrun by Japanese secret police, police spies, provocateurs and terrorists. Under these conditions, owing to the penetration of counter-revolutionary bourgeois intellectuals and various opportunist elements into the ranks of the Communist Party and its leading bodies, and also because of the intervention of the Japanese secret police, the ranks of the Party and its leading bodies were greatly weakened. The Party proved incapable of relying on the work of broad masses and ensuring genuinely revolutionary, Leninist leadership of our people's struggle. The result was that three years later, in 1928, the Communist Party of Korea ceased to exist as an organised force. Staunch Communists, however, continued the struggle and remained in the vanguard of the people's national liberation movement within its ranks. In their struggle against Japanese imperialism and marked the transition from a passive to an active form of struggle. Despite the colonists' reign of brutal terrorism and persecution, despite the unbridled lying propaganda against the fighters for freedom and independence despite all the shifts employed to disrupt and destroy the ranks of the partisan movement, Korea's stalwart Communists raised the banner of the liberation struggle and, with the sympathy and support of the masses, carried it safely through all trials and tribulations. Under the guidance of the Communists, partisan detachments, columns and detachments of the partisan movement took its stand on the all-conquering teaching of Leninism, and the source from which the participants in the movement drew their strength and their faith in victory was the heroic Soviet Union, the unfailing beacon of Leninist ideas. Our partisan movement drew its strength from the close ties with the people who regarded the partisan as devoted fighters for their happiness and therefore aided and supported the movement in every way they could. The Korean partisans fought both on Korean territory and in the territories of the anti-Communist regimes, the hatred against the common enemies of the Korean and Chinese peoples—Japanese imperialism—in close military-cooperation with the Chinese People's Revolutionary Army. This joint struggle, in the period of the upsurge of the national liberation movement laid a firm foundation for the fraternal international friendship and solidarity of the two peoples. The British Communist Party has developed a long way since Lenin wrote in this strain: "We are not Marxists. For us Lenin's teaching on the necessity of building a really mass Communist Party which would become the leading force of the entire labour movement in Britain is still fully applicable today. Our duty is to correct the organisational weakness of the Party, increase its membership and markedly intensify its influence among the broad masses of the people. The Party must strive to make for a far more effective and consistent public appearance of the Communist Party in every aspect of its activity, with the closest possible relationship being established between our fight for immediate demands and the fight for the realisation of our programme, our declared Programme "The British Road to Socialism". Our Party will devote all its energies to drawing the labour movement and the majority of the British people into the struggle for its fulfilment. We know that the will vindicate this Programme despite the resistance of the right-wing Labour leadership and its policy of splitting the working-class movement. Life has demonstrated that Lenin's ideas are being realised with the utmost precision. And as we strive to build a Communist Party strong enough to lead the victorious struggle for Socialism in Britain, we follow Lenin's teachings in our struggle, an ever-present source of strength. (Continued on page 4) Concerning the struggle of the peoples of Malaya, Kenya and North Africa for their freedom and national independence, Dr. Singh declared that the people of Malaya must be given the opportunity to establish their own national government. We too, he continued, hold that the enslaved peoples everywhere be granted the liberty that is theirs by right. Dr. Singh criticised the schemes of the imperialists who are setting up military bases in Asia and seeking to involve the Asian peoples in their military alliances. He demanded that the Chinese People's Republic be given its rightful place in UNO and that the representative of the Chiang Kai-shek clique be removed. A supplementary report of the first item was made by Kuo Mio-joe, the delegate of the Chinese delegation: "On the day the Chinese People's Republic was proclaimed", he said, "we announced that we wished to establish relations with other countries on the basis of equality, mutual advantage and mutual respect for territorial integrity and sovereignty. He cited concrete facts testifying to the peace policy pursued by the CPR with the object of reducing international tension. On the subject of Taiwan, a cause of international friction, Kuo Mio-joe said that this question was due to U.S. interference in the internal affairs of the CPR. "We declare that not only the problem of Taiwan, but all international problems can only be settled on the basis of the principles of peaceful co-existence." Kuo Mio-joe expressed his firm confidence that the peoples of Asia would make a new contribution to the defence of world peace and the improvement of the well-being of humanity. Speaking in the discussion, Soviet delegate Alexandr Korneichuk set forth in detail the Chinese-Soviet Treaty. He said, "Many times many fates have hanged in the balance and there have been many changes in the international situation, but the friendship and allied relations between our countries, based on the basis of the Treaty, get the seal—have not only remained inviolable, they have become even stronger. Some provisions of the Treaty have a reality beyond the limits of the struggle against the Nazi invaders, in the course of which the Soviet Union and Poland, in cooperation with the Western Allies, fought each other with military aid and in other ways, ended in victory. Of course the help rendered by the great and powerful Soviet Union was of decisive and incomparably greater significance for the Polish people than given to the Soviet peoples by a Poland which was but rising from the ruins. The Soviet Union's aid to Poland in the war against the common enemy was not confined only to the main, epoch-making fact of the liberation of Polish soil by the heroic and victorious Soviet Army. At the time of the Nazi occupation of Poland the Soviet Union was already giving assistance to Polish patriots on Soviet soil who wanted to take up arms against the enemy hordes. Having taken their form, arm and get ready a Polish army which together with partisan detachments of the People's Army became the keystone of the regular Polish Armed Forces. The Soviet Government provided these units with the necessary arms and equipment, and placed them under the direct command of the Polish Government. It should be recalled that the Western countries, such as France, Britain and the U.S.A., examined and obtained from the Polish bourgeois government a special agreement on reimbursement for the equipping and maintenance of Polish military units raised during the war. This agreement, on the side of the coalition of the Western Powers. After the second world war the Western states likewise demanded that Poland pay the war debts incurred by the enemy government for equipping and maintaining the military units in the West. Of invaluable significance was the help given by the Soviet Union to the Polish Armed Forces during the post-war period of our country's liberation, in the form of cadres of experienced instructors and advisers, material and technical equipment from the Soviet Union. Without this help the Polish Army could not have so rapidly prepared for the struggle, since the old officer personnel and other leaders killed or taken prisoner by the Nazis or were, in the majority of cases, hostile to the ideas of people's Poland and were concentrated in administrative positions in the army. Thanks to the Soviet Union's tremendous aid, two Polish armies were able to take part in the final stages of the war. They fought bravely in the battles of Warsaw, Olsztyn, Gdynia, the Szczecin peninsula, forced the Oder and the Elbe and took part in the battles for Berlin and Saxony, and in the liberation of Czechoslovakia. Peace and Security in Europe held in common on the initiative of the USSR towards the peoples of the world. The Polish people fully endorse the Declaration of the Supreme Soviet of the USSR concerning the latest statement by N.A. Bulganin, Chairman of the Council of Ministers of the USSR, on international negotiations. In turn, the Polish people are confident of the Soviet Union's support to the protection of their security and the security of their frontiers, particularly the frontiers of friendship on the Oder and the Neisse. Poland is also striving to play its part in the defence of peace and security in Europe. In the field of military assistance, in particular, it is developing peaceful economic and cultural relations not only with the countries of the peace camp, but also with some capitalist countries similar to her own, but also with many capitalist countries. In view of the threat of German militarism, the Polish Government, following the traditions of Polish-French friendship and in the interests of the two peoples in safeguarding the peace of Europe, has repeatedly warned against an alliance with German militarism. It cancelled the Franco-Soviet Treaty. To Article 3 of the Polish-Soviet Treaty peace-time developments have given added point. Under it the Soviet Union and Poland undertook: "To take all the joint measures in their power to remove any danger of renewed aggression on the part of Germany or any other state that may ally itself with Germany either directly or in any other form." Well, if not an alliance with aggressive Western Germany, is the so-called West European Union which the Western powers are knocking together to create a base for the aggression against the Soviet Union? The fact that Western Germany has been admitted to the aggressive Atlantic bloc is likewise an attempt to draw the people of our country into the orbit of the aggressors. The Polish Army could not have been so rapidly prepared for the struggle, since the old officer personnel and other leaders killed or taken prisoner by the Nazis or were, in the majority of cases, hostile to the ideas of people's Poland and were concentrated in administrative positions in the army. The higher costs of these prime necessities is the direct result of the arms race carried on by the West German monopolists. Household utensils have also risen substantially. The Polish people are profoundly grateful to the Soviet Government for its great contribution to our capital—the Palace of Culture and Science, designed by Soviet architects and built at the expense of the Soviet Union, by Soviet architects and with Soviet hands. In a few months the Palace will be completed and will become the greatest centre of social, scientific and cultural life in Poland. The Polish people meet with deep gratitude the initiative of the Soviet Government in offering help to Poland in the peaceful use of atomic energy. We are well aware that Soviet assistance in this sphere will considerably accelerate the economic development of our country and the creation of conditions for further progress in science. For her part, Poland is also contributing to the development of atomic energy in the Soviet Union by supplying necessary raw materials. The Polish-Soviet Treaty of April 21, 1945, has consolidated the friendly relations between the peoples of both countries in the course of the joint struggle against the aggressors. The vigorous activities of the people under the leadership of the Communist Party of the Soviet Union and the Polish United Workers' Party are year by year strengthening the friendship between our peoples and imbuing it with new content. Woe to those who think that by exploiting the former discord between our peoples, they will some day be able to set them against one another! These gentlemen will miscalculate. To all attempts to separate our peoples will answer by strengthening even more the mutual friendship within the great camp of peace and Socialism. Daily this mine sends coal, extracted over and above the plan, to towns, industrial enterprises and new building projects, in trains carrying the slogan "Coal for Peace". These labour victories of the Ostrava-Karviná miners inspire the workers of all other coal areas in the country to work for increased coal production. Miners of the Karviná basin, pits of the North Carpathian coal basin—"Silesia", "Marshall Konev", "May Day" and others—have made pledges to surpass this year's plan by 210,000 tons of coal and to save 4,000,000 crowns. Miners of the Ostrava-Karviná coalfield, the biggest in Czechoslovakia, are achieving their production quotas of this year ahead of schedule. In February alone, the miners' brigades of this area, working on cyclic shifts, produced coal exceeding the fixed target by 100,000 tons of coal. Workers of the "Zing" mine, fulfilling their plan for the first quarter of the year, produced 168,000 tons of coal. As a result of mastering the advanced methods of work, workers at this mine cut production costs by 400,000 crowns. Workers of the "Ml" mine are also successfully carrying out their production plan. Labour Victories of Czechoslovak Miners Movement in Canada for Ban on Atomic Weapons In the western prairie Province of Saskatchewan, in Canada, it has long been the practice of peace supporters to regularly hold anti-atomic weapon meetings urging them to take a stand for peace. Year after year, anti-atomic lobbyists and farmers whose townfolk had gathered in the provincial capital of Regina, calling upon the Co-operative Commonwealth Federation (CCF) government to give strong opposition to the widespread and strong anti-war feeling of western Canadian farmers. Early in the present campaign for signatures to the World Peace Council Appeal, (which opened in Canada on March 8), 14 members of the provincial parliament in Saskatchewan affixed their names to the petition. Recently the Saskatchewan legislature as a whole unanimously approved a resolution asking the government of Canada work for the achievement of "world disarmament by mutual consent together with abolition of the use, possession and manufacture, not only of all nuclear weapons but also of all other weapons of mass destruction, to the end that the marvelous new forces made available to man shall be used for welfare, not war and that the money may be based on the solid foundations of mutual understanding and co-operation". THE PEOPLE OF FRANCE WILL NOT RECONCILE THEMSELVES TO A POLICY OF NATIONAL BETRAYAL Ratification of the London and Paris agreements by the French Parliament is a dangerous step in the preparations for aggressive war being engineered by the Atlantic coalition. The restoration of a West German army, which will be provided with weapons of mass annihilation, and the integration of Western Germany in NATO, constitute the main foundation for the operation of the military machine created by the Western powers under the direction of the U.S. imperialists. That this is exactly how matters stand has been admitted indirectly by French Foreign Minister Bidault who stated in the Council of the Republic: "All the Allied and allied military chiefs are unanimous in thinking that there is an actual link between preparing the nuclear-thermonuclear defence to our security and the German contribution to defence, and that not in spite of, but as the consequence of the existence of nuclear weapons. It is a matter of creating the conditions for a military arrangement with the minimum of effort, that is, one that is best adapted to modern strategy. It is a matter of advancing the initial positions as far to the East as possible." Ratification of the London and Paris agreements assumes a particularly menacing character, viewed in the fact that it followed on the North Atlantic bloc's decision of December 17, 1954, to use atomic and thermonuclear weapons. The material preparations for war are being accompanied by an intense ideological campaign by the imperialists who are trying to get public opinion to accept the conception of an aggressive or, as they call it, preventive atomic war. At the same time they are doing their hardest to spread the idea that this will be a one-way war only. However, there can be no doubt that if the imperialists succeed in their threats to unleash an atomic war, they will start a lightning blow in ratification and their capitalist system, founded on plunder and predatory exploitation, will perish in the storm they themselves will have unleashed. By sowing the wind they will reap the whirlwind. The French Government has deliberately placed the atomic detonator—the revenge-seeking Wehrmacht—on very bared nerves of our country. It has consciously put the detonator into the hands of people who have repeatedly made betrothal claims to France, as the U.S.A., Poland, Czechoslovakia and the USSR. It has allowed these revenge-seeking forces that the French Government, obedient to the orders of U.S. and British ruling circles, agreed to remove France's role as a great, independent power. At the same time the Government went even further, by putting out a policy which will result in our country being deprived of the most reliable guarantee it had against a repetition of the aggressive designs of German militarism—the Franco-Soviet Treaty. French ruling circles tried to represent the repeated warnings of the Soviet Union as "propaganda manoeuvres". And now, as a result of the ratification of the Paris agreement refuses to satisfy the legitimate demands of the working people, on whom it continues to shower promises. It is absolutely obvious that underneath the armour plate will come an atomic arm race. It is general knowledge that, following the British Government, the French Government has already begun production of atomic bombs in France. However, protests evoked by this plan were so powerful that the governing committee of the Socialist Party expressed its opposition that the Government was compelled to give up its intention. Edgar Faure declared at a press conference: "We have reached a 'great deal of thought' his Government had decided to call a halt to "specifically" military research in France. As always, preparations for an aggressive war are accompanied by attacks on the democratic reforms. Those joining the Government is endeavouring to deprive the people of any possibility of making a stand against the aggressive designs of the imperialists. Hardly had the Council of the Republic voted the ratification of the London and Paris agreements than the National Assembly adopted a truly extraordinary law on "a state of emergency" which is even more serious than a state of siege. The immediate purpose of this law is to further intensify repression against the population of Algeria. It can, however, equally be applied against the French people. Thus the ruling circles of the French bourgeoisie have become more sordid, without any hesitation, the French and the existence of France to their selfish class interests. The bourgeoisie will defend their interests and those of the nation are irreconcilable. In this dirty piece of work the bourgeois nationalist leaders, who are against the whole nation, the right-wing fascist leaders showed themselves as the firmest supporters of the Gaullist Centre, disregarding the lessons of the past and deliberately ignoring Munich and its consequences, and found that the most brazen anti-Soviet and Anti-Communist slander various "justifications" for the policies pursued by the capitalists. Being the strongest bourgeois nationalist party in the country, the party of the working class, the French Communist Party is obliged to the consistent defence of national independence and peace, and to confirm the absolute identity of the working class with those of the nation as a whole. But if the stand taken by the Government and the parliament is a reactionary majority in relation to the London and Paris agreements can be compared, to a considerable extent, with that of their predecessors at the time of Munich, the situation in 1938 cannot be compared with 1952. In my interview with Pravda correspondent on March 21 last, Maurice Thorez said: "The Government and the people are not one and the same. "The French people will never let them themselves be drawn into a war against the Soviet Union which has interested themselves to those of our country and has never Meeting of Central Committee, New Democratic Youth League of China The recent (second) meeting of the Central Committee of the New Democratic Youth League of China discussed the question of further improving the Communist education of the youth. It was pointed out that in the past year the League had achieved fresh success in mobilising the organisation of broad masses of young people for participation in the construction, as a result of which its role as the Party's assistant had been more firmly established. At the time the New Youth League has been further strengthened organisationally and increased in numbers. Its total strength at present is 13 million members. Speakers at the meeting pointed out that laying the foundations of socialism in China with its bourgeois class still existing in the country, was accompanied by a sharp and complex class struggle. The leading theory form, it seemed, to strengthen the struggle against the corroding influence of any survival of bourgeois ideas in the minds of the young people, to expose idealistic views, and to organise them by means of dialectical materialism. It was stressed that the most important task for the League organisation was to thoroughly and thoroughly to educate youth in the Communist spirit and primarily to develop among them a spirit of solidarity towards labour and heighten their labour enthusiasm. The meeting also outlined tasks for strengthening the organisation and adopted appropriate decisions. Achievements of Theatrical Arts in Albania The State Philharmonic Society was founded in Albania 5 years ago. It now has opera, dancing, choir and dramatic groups, whose activities are of great importance in the domestic group life. People's Theatre is particularly popular. In the past year it performs plays by Albanian playwrights, depicting the national liberation struggle of the Albanian people during the battles of the new life. Last year the theatre showed two new plays, "Our Soil" by Kol Yakov and "The Country Girl" by Fumir Gjat, describing the socialist transformation of the countryside. The theatrical group takes great pleasure in playing Russian classics and the works of Soviet playwrights. In the past few years they have performed "The Inspector-General" by N. V. Gogol, "Madame DuBarry" by A. Korneichev, "Wedding" by Dostoevsky, "Debacle" by B. Lavrentiev, and others. Although these were a performance of these plays, "The Country Girl" written by the Chinese playwrights Li Chuan and Wang Ning. The theatre is now preparing to stage this play. The interest of Albanians in the plays presented by the People's Theatre is growing. Last year the theatre was attended by 80,000 people, or 30,000 more than in 1953. RISING PRICES IN LATIN AMERICA As a result of the rule of the American imperialists, prices are constantly rising in the countries of Latin America. In recent times prices of the products of the industries of the Administrative Gate of Hoffmann-Hütte AG, Alfred Krupp and other representatives of Ruhr industry, demanded that Adenauer give them priority for the supply of coal that is being transported just as in the days of the Comintern of the organisation. Now, when they use the phrase "the close alliance with the West", they mean before everything else an alliance with Wall Street. More and more frequently reports are seen in the West German press that the deal with American businessmen is a way of getting them to provide the orders in the Ruhr area. Not without reason are they banking on the fact that the companies of Wall Street, who hold a fair number of shares in West German enterprises and thus have great interest in monopolies are bound to make the West German government change their tactics and wanting to convert the Ruhr into a military and strategic base of the North Atlantic Pact. Apart from the fact that the U.S.A. is delivering arms to the West German army, the fact is, ratification of the Paris Agreement would give a free hand to the American imperialists to impose their will on the West German monopoly circles. The French Government, in its own interests, will persist in the story they themselves will have unleashed. By sowing the wind they will reap the whirlwind. The French Government has deliberately placed itself at the disposal of the revenge-seeking Wehrmacht and the very borders of our country. It has consciously put this detonator into the hands of people who have repeatedly made territorial claims on France, such as the Poles, the Czechoslovaks and the USSR. It is in favour of these revenge-seeking forces that the French Government, obedient to the orders of U.S. and British ruling circles, agreed to recognise France's role as a great, independent power. At the same time the Government went even further by carrying out a policy which will result in our country being deprived of the most reliable guarantee it had against a repetition of the aggressive designs of German militarism—the Franco-Soviet Treaty. French ruling circles tried to represent the repeated warnings of the Soviet Union as "propaganda manoeuvres". And now, when the Soviet Government has submitted for the ratification of the Parliament of the Supreme Soviet of the USSR the proposal to annul the Franco-Soviet Treaty, these same circles assume as true that they "regretted" this decision. But this decision is merely a continuation of the policy in the international sphere, of the ratification of the Paris agreements, a consequence which is acutely felt throughout all France. The London and Paris agreements, providing for the rearmament of Western Germany, inevitably open up the way for a further arms race. Already the proposed budget allocations enable one to forecast an increase in war expenditure with its inevitable corollary—increased poverty for the people. At the same time the Government is pursuing an insane policy of provocation, disregarding the lessons of the past, and on top of this, it is trying to take advantage of the present situation to weaken the position of the Soviet Union and to force the Government to agree to immediate talks with the USSR on all questions which can now be discussed. The approaching and growing danger which the Paris agreements represented for the countries concerned, led to the revival of the Wehrmacht, armed with atomic weapons, and the presence of U.S. military bases on the French territory from which preparations with weapons of mass destruction can take off, give the people of France ever more pressing grounds for protest. And yet, together with all other peoples, the destruction of stockpiles of atomic weapons and the abolition of nuclear production. In this great mounting campaign for the security and independence of their country, the French people are not alone. Their firm and unshakable support in the wise, firm, peaceful foreign policy of the Soviet Union. They find support in the German Democratic Republic and the working people of Western Germany, who are fighting against rearming the German militarists. They find support in all peace-loving and revolutionary fighters against the preparation and unleashing of a new war. The French people do not and never will accept the policy of national betrayal and war carried on by the governments which have succeeded each other in power since 1945. They will never allow themselves to be drawn into an aggression or against the Soviet Union. The French Government is trying to shed the Franco-Soviet Treaty of Alliance and Mutual Assistance. But the French people will not allow them to, to preserve the strength of their bonds with the people of the Soviet Union. They clearly realise that this is organised and given the fullest expression, can compel the warmongers to retreat. RISING PRICES IN LATIN AMERICA As a result of the rule of the American imperialists, prices are constantly rising in the countries of Latin America. In recent years prices of the products of labour have increased in Brazil, Chile, Venezuela and in a number of other countries. For example, in March the Federal Supply and Procurement Commission of Brazil decided to raise the price of petrol by 30%, and to increase transport fares. The commission is also considering a number of other price increases. The Brazilian newspaper Imprensa Popular reported that in 15 days alone the price of potatoes in the country increased 50% and fish 40%. According to the Venezuelan newspaper El Nacional in February the price of rice rose 8%, poultry 20%, fresh fish 10% and so on. Recently, the price of a number of drugs more than doubled. The newspaper says that in the past few years the consumption of bread, especially among the poor sections of the population, has fallen drastically. "In rural areas", the newspaper goes on, "bread is consumed only once a week, the exhaustion of the people is easily apparent. The conditions are conducive to the spread of disease." In Chile the official paper La Nacion reports that "prices are rocketing day by day". On the Outcome of Andhra Elections A meeting of the Central Committee of the Communist Party of India, held from 17 to 29 March in Delhi, discussed the outcome of the recent elections to the Assembly of Andhra (Southern State) and questioned the results. The C.C. statement on the meeting, published in its weekly, the Age, points out that the 470,000 votes polled by the Party were a considerable success for the Party compared with the 1952 election. The statement continues: "The Party polled a total of 31% of the total votes in a single-handed fight against the powerful and combined resources of the Congress and the parties that had joined hands with it. This testifies to the important place the Party occupies in the life of the Andhra people. "The fact that the Party secured in the Assembly is no indicator of this strength of the Party among the people. That the Party which got 31% of the votes could secure only 7% of the seats, while the Congress, which got just above 50% of the total votes, secured 61% of the seats, amply underlines the fact that under the British system of single-member constituencies, which our Constitution has adopted, the League of the People will never be the true reflectors of public opinion in the country." The Central Committee noted that a major drawback in the Party's campaign was the fact that it did not place before the people with sufficient emphasis the importance of what India had recently played in the international arena in favour of world peace, against imperialist war-mongering and for Asian solidarity, an indispensable factor. It is the Communist Party of India that has been fighting throughout for a consistent policy of world peace and Asian solidarity and that this was an important factor in bringing about these welcome developments. The statement points out that the fact that "the Party secured 470,000 votes in face of the heavy odds, was a striking demonstration of the strength of the communists and the Party of the millions of people in Andhra." The Central Committee called upon all members of the Party to learn from the Andhra elections and ceaselessly strive to strengthen the influence of the Party among the toiling people by supporting their demand for land and higher wages and to organise the masses through the campaign popularising the ideas of Socialism and democracy. The Central Committee urged the Party to continue to bring about the unity of the democratic masses by developing a united mass movement on all common issues facing them—political, economic, national and international. Strike Action in Capitalist Countries In the U.S.A., the strike of the Southern Bell Telephone Co. involving some 50,000 telephone workers and employees in nine southern states are taking part. Police terror and repression are being applied against the strikers. On April 9 hundreds of strikers in Birmingham, Alabama, organised a demonstration against the police telephone espionage. Police chief Battle—at the head of a strongly armed special detachment and firemen at the ready with the water hose—ordered the demonstrators to disperse. The workers, however, refused to budge. The demonstration then maintained them, arresting 18 men. The strike of 25,000 workers of the Louisville—Nashville Railroad Co. in this district continued. Hundreds of five other centres are also on strike. In Italy, according to the newspaper Unita, some 45,000 workers of the great Milanese automobile concern, FIAT, went on strike on April 6. The strike continued for four hours in the chemical works and for 24 hours at the mines. Strikers demanded that special additional bonuses, paid only to office workers, should be paid to the other workers. In Australia on March 12 an armed clash developed at the Melbourne docks as the result of a 24-hour protest strike by the dockers. The loading and unloading of ships was dislocated in Sydney. The strike was called to protest against the dismissal of certain groups of dockers and against the employers' attitude on the question of holidays. Everything for militarisation—is this the slogan of the Syngman Rhee "belligerents".
COWAPOLOOZA RETURNS September 2nd & 3rd featuring The Trews City Beautiful Awards in full bloom Pg. 4 Summer Streetfest set for August 12–13 Pg. 26 OPEN AIR BURN PERMIT ATTENTION HOMEOWNER/RESIDENT A permit is required for all Open-Air Burning. The holder of this permit must abide by the City of Woodstock Open-Air Burning By-Law #8843-15. Highlights of this By-Law include; but not limited to: • Locate the Outdoor Fire Container at least 4 metres from any building, structure, property line, tree, hedge, fence, roadway, overhead wire or other combustible article. • Locate the Outdoor Fire Container on a non-combustible level surface. • Only conduct the Open-Air Burning between 4:00 p.m. and Midnight, or when used as a Cooking Fire between 11:00 a.m. and 4:00 p.m. • Only burn commercially produced charcoal, briquettes, or clean, dry, seasoned wood and not burn noxious/hazardous materials. • Have an effective extinguishing agent of sufficient size and capability to extinguish the fire and ensure the fire is completely extinguished before the site is vacated. • Not burn if there are rain or fog conditions, if a Smog Alert has been declared or during a municipal fire ban. • Take extra precaution in dry conditions. • Ensure the Open-Air Burning does not create a Nuisance. Fines relating to Open-Air Burning 827.4.1 Did fail to obtain an Open-Air Burning Permit: $50 827.4.4 Did fail to comply with the provisions and conditions of the Open-Air Burning By-law or permit: $75 827.6.5 Did continue or permit an Open-Air Burning after being directed to discontinue: $410 The following is a list of materials NOT ALLOWED to be burned: “Noxious Materials” means materials that emit or are likely to emit noxious fumes, smoke or other discharge when burned and includes, but is not limited to, tires, plastics, rubber products, drywall, demolition waste, construction waste, paint, animal organic waste, vegetable waste, food waste, biomedical waste, tar, asphalt products, battery boxes, pressure-treated wood, creosote-treated wood, and painted wood. DO NOT BURN LEAVES, BRUSH, YARD WASTE & GARBAGE! Please bring Brush & Yard Waste to the EnviroDepot located at 944 James Street corner of James Street and Springbank Avenue. Woodstock Fire Department P.O. Box 1539, 1203 Parkinson Road, Woodstock, ON N4S 0A7 519-537-3412 ext. 5203 firstname.lastname@example.org Follow this link to learn more... The Corporation of the City of Woodstock Community Grants Program The City of Woodstock is accepting grant applications under the Community Grants Program, Policy GA003. Woodstock organizations wishing to apply for a grant are required to apply by 4:30 pm on September 1, 2022. Application and eligibility information is available by phoning the Clerk’s Department at 519-539-1291, or by visiting the City of Woodstock’s Website: www.cityofwoodstock.ca Grants are available to volunteer organizations that are non-profit, or charitable. Consideration will be given to projects that promote a more healthy and active community within the City of Woodstock. Grant applicants must be located in the City of Woodstock and the majority of their participants must be Woodstock residents. Applications must be submitted using the prescribed form. Sunayana Katikapalli, Deputy City Clerk The Corporation of the City of Woodstock 500 Dundas Street, P.O. Box 1539 Woodstock, Ontario N4S 0A7 IN THIS ISSUE 4 CITY BEAUTIFUL AWARDS The City Beautiful Awards have always showcased Woodstock’s eye-catching gardens and this summer it’s back. 6 THE TREWS SET TO ROCK COWAPOLOOZA Woodstock will be the place to be in September when chart-topping hitmakers The Trews take centre stage at Cowapolooga. 16 CANADA DAY A HUGE SUCCESS Extra space for Woodstock’s popular Canada Day celebrations meant more fun activities for everyone. 26 STREETFEST FUN & MUSIC It’s been on hiatus but the City’s downtown core will come alive with a bigger and better Streetfest this month. NEXT EDITION The September 2022 edition of WOW will be delivered with Canada Post beginning on August 29. ABOUT THE COVER Cowapolooga 19 is back and happening on Labour Day weekend, September 2nd and 3rd. The headliner for Saturday night is popular band, The Trews. CITY SCHEDULES AND SERVICES 2 Fire Dept: Open Air Burn Permit 2 Community Grants Program 10 Election 2022: Election Staff Needed 10 Election 2022: Contribution Limits 12 Woodstock Tax & Assessment Info 18 Transit and Para-Transit Schedules 19 Transit Changes on September 6th 20 Woodstock Public Library 24 Woodstock Museum NHS 25 Woodstock Art Gallery 27 What’s On Woodstock Rate Card 28 Cowapolooga 19 Check out the COW Tales ‘Way Back When’ contest on page 15 and enter today! A: The Woodstock Warriors. Photo by Andrew Norris On hold since the event was last presented in 2019, the City of Woodstock’s annual City Beautiful Awards was back in glorious colour to brighten up the lives of residents for the summer of 2022. “This year our goal was to revive and refresh this program,” explained City of Woodstock’s Manager of Special Events, Kristen Brodhagen. “We strived to further engage the community. The goal of the program is to beautify our neighbourhoods through gardening, while encouraging community engagement through nominations submitted by friends, neighbours and outside parties, of beautiful gardens seen throughout the City of Woodstock. “This year we implemented online nominations, which made it easier for people to submit their choices. They did so by going to the cityofwoodstock.ca/citybeautiful, where they were also able to submit photos of the nominated gardens. These photos were then added to the City Beautiful Facebook Event Page. In addition, there was the option of posting submissions on social media and using the hashtag #citybeautiful2022.” The deadline for nominations was July 24. Finalists were selected the first week of August. This year finalists were invited to a Garden Party in Southside Park, making for an ideal ambiance for garden enthusiasts, all while enjoying food, lawn games, music, announcement of winners and more. The five winning categories were Residential, New Landscape Residential (within the last year), Industrial, Commercial and Institutional. Different categories of prizes, instead of plaques, were a welcomed part of this year’s City Beautiful Awards. “First place winners received a $300 gift card to a local garden centre and second place received a $100 gift card,” Kristen said. “Which also supported and recognized local gardening centres. “The panel of judges consisted of dignitaries and representatives from the Woodstock Horticultural Society. Properties entered in the program were within the City of Woodstock limits, visible from the street and nominated by the owner or by an outside party and subject to verification by the awards committee. “We have been looking forward to this great event because of the hiatus, as well, in part due to a slight drop in interest throughout the years. This revamped version served to heighten enthusiasm for this wonderful program now and in coming years.” destinations travel and cruise centre Sweet 16 Grand Reopening Wednesday, August 24, 2022 2:00 PM to 7:00 PM 521A Dundas Street Woodstock 519-533-0502 Come celebrate 16 years with us! Talk to our partners Celebrity Cruises® Air Canada Vacations Rocky Mountaineer Emerald Cruises Scenic Luxury Cruises & Tours Majestic Resorts www.destinationstravel.ca Door Prizes! Ensemble Travel Group Experience that takes you places The Trews to rock the city at Woodstock’s Cowapolooza The toboggan hills of Southside Park will be alive with the energizing sound of rock music courtesy of chart-topping, award-winning The Trews as they headline the long-anticipated September 2-3 return of the City of Woodstock’s wildly popular Cowapolooza. Established in the Nova Scotia town of Antigonish in 1997 the band is comprised of founding core members brothers Colin and John-Angus MacDonald (vocals/guitar and lead guitar/vocals, respectively) and bassist Jack Syperek along with Chris Gormley on drums since 2018. Now centred in Hamilton, Ontario, the crowd-pleasing hard rock combo, currently on its Canada-wide I Wanna Play tour, has produced several monster hits including Not Ready to Go, Hold Me in Your Arms, Tired of Waiting, Highway of Heroes, Rise in the Wake and many more. “We are very excited to have a huge name like The Trews as part of Cowapolooza,” said The City of Woodstock’s Manager of Special Events Kristen Brodhagen. “After the lengthy hiatus, this is a great band with many accolades and ever-increasing popularity and what a fabulous showcase as our headline act on Saturday night. “Local audiences will recognize all their hits from over the years and welcome them with open arms punctuated with continuous applause and loud cheers that will ring through the night at Southside Park.” In addition, she pointed to numerous other family-friendly presentations on tap for the two-day festival. For Friday, dubbed Vintage Night, there will a Show and Shine Car Show for the participating classic car owners and enthusiasts from 5-8 pm. “As well as this stroll down vehicular memory lane, the Scarborough based Pauly & The Greaseballs will take centre stage,” Kristen added. “So, if you’re into great songs like Sha Na Na, Happy Days along with tunes from the movie Grease, be sure to catch this great act from 6:00–7:30 pm. Pauly & The Greaseballs will kick off Cowapolooza and the Labour Day weekend on Friday, September 2 at 6:00 pm. Bruno Nesci will perform his renowned Elvis Lives show on Friday night at Cowapolooza in Southside Park. “Jersey Nights and the Tribute to Grease will have fans singing and maybe even dancing to every tune from this soulful and funky group of Ontario musicians. Next on the bill from 8:00–9:30 pm is Bruno Nesci with his renowned Elvis Lives show.” A well-known figure in the Elvis Tribute Artist World, he has taken his much-loved act to the world’s stages, performing for the last 22 years as Elvis Presley – the one and only King of Rock and Roll. Bruno is the only Canadian Elvis Tribute Artist to place in the Memphis, Tennessee’s Ultimate Elvis Contest Top 10 four years in a row. He has even performed with members of Elvis Presley’s actual band. “For Saturday, we’ve introduced an afternoon of fun, Cowapolooza Kids where kids can enjoy all manner of free activities from 2:00–6:00 pm,” Kristen said. “Beginning at 6:30, After the Lounge, an excellent and popular hard rock band based from London, Ontario with world tour experience, will hit the main stage. London-based After the Lounge will start the show on Saturday with their popular hard rock music. “The release of the band’s 2019 five-song EP contains great work with top flight producers Garth Richardson (Rage Against The Machine, Red Hot Chili Peppers) and Darius Szczepaniak (Big Sugar, Sum 41).” Starting 8:30 pm, The Trews, with their chart-topping mix of alt and heavy rock and known for being “Road warriors who are at their best live on centre stage,” will own the rock and roll spotlight in Southside Park. Initially known as One I’d Trouser, a line they borrowed from a Monty Python song in the movie The Meaning of Life, they have toured with The Rolling Stones and Robert Plant of Led Zeppelin fame. Adopting The Trews tag in 2002, the group released their debut album under that name in August 2003 and the next year was nominated for the New Group of the Year award at the 2004 Junos. One of Canada’s hardest working bands, the tireless group notches hundreds of shows yearly. They enjoyed continued success both on the road and in the studio with the 2003 Juno-nominated hit single Not Ready to Go from their gold-certified debut first full-length House of 111 Fame. The Trews have been touring their latest album all summer. In 2010, the band issued the stand-alone single Highway of Heroes, a song written for Capt. Nichola Goddard, an old schoolmate of the band’s who was the first female Canadian soldier killed in Afghanistan. All proceeds from the single were donated to the Canadian Hero Fund charity. The Trews’ most recent album Wanderer was released November 19, 2021. The group, living up to their Road Warriors tag, are providing fans with high-energy power performances playing to packed houses and overflowing outdoor crowds from East to West across Canada. For more up-to-date information on Cowapolooza 2022, visit [Cowapolooza.ca](http://Cowapolooza.ca), or the City of Woodstock on Facebook and/or Instagram. Check out the COW Tales ‘Way Back When’ contest on page 15 and enter today! A: $12,500,000. A PLACE TO EXPANDING THE POSSIBILITIES Providing enrichment to active adults in Oxford County and developing premier event spaces. Learn how you can contribute at www.southgatectr.ca/aplacetobe We are a not-for-profit organization whose mission is to engage the 50+ community in an open, active, social environment driven by volunteers. We promote wellness to fill one’s mind, body and soul. We do this through innovative programming and a welcoming environment and culture. We are also home to LOCAL ROOTS, a locally run and sourced kitchen that offers nutritious and delicious home-cooked meals and desserts for reasonable prices. OPEN TO THE PUBLIC – to grab a sandwich, salad, snack; sit down and have a meal with friends at Local Roots Cafe, or order ahead for curbside pickup (or free delivery) or let Local Roots Catering cater your next function either at the Centre or at the venue of your choice. drop in for any class - Fitness classes - Cardio, Pickleball, Stretch, Weights, Yoga, Zumba - Dancing - Line and Couples Dancing - Education programs and a Library - Card Games, Billiards, Darts - Trail Walking, Nordic Pole Walking and Bicycle Groups Drop-in class prices: $5 or $10 if instructor-led. or join us for Dinners, Dancing, Bus Trips, Social Time and more! www.southgatctr.ca southgatctr south_gate_centre The key to any successful event is having the right people at the right time to do the job successfully. The Woodstock municipal and school board election scheduled for October 24th will be no different. More than one hundred temporary staffing positions will need to be filled to be able to run a smooth and timely election. The City of Woodstock election team has already commenced their recruitment efforts. The call for election workers was posted on the City’s website in June and a number of applications have already been received electronically. The City of Woodstock uses traditional paper ballot voting with the use of electronic tabulators to speed the results tally at the end of election day. Traditional paper ballot elections do require more human resources, and numerous roles will be required at the polling locations. Positions to be filled and brief role responsibilities are as follows: - Managing Deputy Returning Officer: oversees an election polling location - Deputy Returning Officer: issues ballots to qualified electors - Poll Clerk: electronically strikes voters off the voters’ list - Revisions Clerk: makes electronic revisions to the voters’ list - Vote Tabulator Operator: processes ballots into the vote tabulator - Greeter: ensures voters are directed to the appropriate areas - Floater: someone who is able to fill in for any of the other roles Individuals with past municipal, provincial, or federal election experience are encouraged to apply, not only for the skill set that they will bring to the job, but the understanding that it will be a long and tiring day. Election staff are required to be at the polls to set up before opening and stay after the close of polls until the work is done. That includes clean up, reconciliation, and other duties necessary to wrap up the day. Election staff training will be provided and is essential for being prepared for advance polls and election day polls. Election workers are critical to ensuring a successful, fair, and accurate election and are an important part of the democratic process. Those interested in working the Woodstock municipal and school board election should apply online via the City’s website at www.cityofwoodstock.ca. Applications will be accepted until mid-September, with hiring and training to follow. Contribution Limits for Electors Did you know… that electors who contribute to municipal candidate and third party advertisement campaigns whether it is money, goods or services cannot contribute more than: (i) a total of $1,200 to any one candidate or third party advertiser in an election, and (ii) a total of $5,000 to two or more candidates for offices on the same council or local board, or to two or more registered third parties registered in the same municipality. The names and addresses of contributors and the amounts contributed will be recorded on candidates’ and third party advertisers’ publicly available financial statements following the election. Any contributor who has exceeded the contribution limits will have their name automatically sent to the Compliance Audit Committee for a decision on whether to commence legal proceedings against the contributor. Have your say! Give feedback, ask a question, or get updates on Oxford County programs and services at www.oxfordcounty.ca/speakup What’s happening now 2024 Transportation Master Plan The Transportation Master Plan will set out Oxford County’s overall vision and goals for its transportation system for the next 20 years. Where do we need to focus? Give your feedback online, look for us at Canada’s Outdoor Farm Show or Tillsonburg Ribfest, or join our virtual information session this fall. Water and Wastewater Master Plan Oxford County communities are growing and so is our water and wastewater infrastructure. Learn more, ask a question, give feedback, or take part in the upcoming online information session. Staff will also be available to answer questions at Canada’s Outdoor Farm Show and Tillsonburg Ribfest. 2022 Construction Oxford County undertakes projects year-round to improve roads, properties and infrastructure. Get updates on major project taking place this year or ask a question. To view construction maps for work taking place in the County, visit www.oxfordcounty.ca/construction. City of Woodstock Tax & Assessment Information \| Budget Item \| Value \| \|--------------------------------------------------\|----------------\| \| 2022 Total Budget \| $133,406,996 \| \| 2022 Revenues: \| \| \| General Revenues \| 28,749,440 \| \| To Be Raised Through Taxation \| 104,657,556 \| \| TOTAL \| $133,406,996 \| Property Tax Calculation: Step 1: Budget & Tax Levy approved by City Council Step 2: Assessment Provided by Municipal Property Assessment Corporation Step 3: Tax Levy ÷ Total Assessment = Tax Rate Step 4: Your Taxes = Tax Rate × Assessed Value of Your Property Comparative Tax Levies for 2022 & 2021 Taxes on an Average Residential Property \| Tax Levies \| 2022 \| 2021 \| Difference \| \|------------------\|-----------\|-----------\|------------\| \| Assessed Value \| $261,420 \| $259,775 \| $1,645 \| \| Municipal \| 2,618.48 \| 2,537.29 \| 81.19 \| \| County \| 982.81 \| 953.47 \| 29.34 \| \| Education \| 399.97 \| 397.46 \| 2.52 \| \| TOTAL \| $4,001.26 \| $3,888.22 \| $113.04 \| The Municipal Property Assessment Corporation supplies the assessed value to us. If you don’t agree with your assessed value or you require additional information regarding your assessment, please call the Assessment Office at 1-866-296-6722. Questions about your assessment? Call MPAC: 1-866-296-6722 How each dollar raised by taxation in 2022 will be spent: - City of Woodstock: 61.93¢ - County: 23.15¢ - Education: 14.92¢ - Police: 16.74¢ - Fire: 9.01¢ - General Government: 9.05¢ - Planning & Development: 0.90¢ - Other Cultural: 1.27¢ - Library: 2.55¢ - Parks & Recreation: 6.68¢ - Capital Expenditures: Out of Revenue: 3.82¢ - Transit: 2.88¢ - Roadways, Storm: 9.03¢ TOTAL: City of Woodstock, 61.93¢ Woodstock City Hall, P.O. Box 1539, 500 Dundas Street, Woodstock, Ontario N4S 0A7 Ph: 519-539-1291 City of Woodstock – Revenue Sources: Questions about your taxes? Call the Tax Department: 519-539-1291 City of Woodstock – Percentage of Taxes Paid by Each Property Class: Payment Information Taxes are payable at City Hall, 500 Dundas Street, Woodstock, Ontario. The office is open from 8:30 a.m. to 4:30 p.m., Monday to Friday. Cheques must be payable to the City of Woodstock. For your convenience taxes may be paid by mail. Payments should be sent to Tax Office, P.O. Box 1539, Woodstock, Ontario N4S 0A7. Please enclose your tax bill with your remittance. It will be receipted and returned to you. Other payment options include preauthorized payment (registration form available on our website at www.cityofwoodstock.ca under ‘Applications & Forms’), internet banking, debit, post-dated cheque or cash. The first installment of your final tax bill is due August 31, 2022 and the second installment on October 31, 2022. If payments are not received by the due dates, a penalty of 1.25% will be added on the first day of default and on the first day of each month thereafter until payment is received. To receive your tax notifications by email, please complete the electronic property tax notice agreement found at www.cityofwoodstock.ca under ‘Applications & Forms,’ and submit to City Hall. The birth of Cowapolooza Cowapolooza was introduced to Woodstock and area in the summer of 2002. The City created a festival to promote and preserve Woodstock’s heritage as the “Dairy Capital” as well as to draw attention to our fast growing and progressive community. The Community Services Department took a new direction in marketing the Friendly City by capitalizing on its natural acronym C.O.W. - City of Woodstock and the fact that we’re the dairy capital. It’s easy to say “apolo zoo” is a commonly used reference to indicate or suggest a festival… Thus, C.O.W.apolooza was born. Bugs Bunny invades Woodstock When focusing on the Woodstock Art Gallery over the years, one tends to discuss great artists like Florence Carlyle, Devon Paquette, Blanche Longworth, John McEwen and others. But Bugs Bunny, Elmer Fudd and Daffy Duck? Well, they appeared in the Friendly City from November 10, 2018 to January 26, 2019 when the animated characters and others were part of the exhibition The Art of Warner Bros. Cartoons, a look at how these cartoons were made. Included were numerous cels, model sheets, animation drawings and concept paintings outlining the evolution of Bugs, Elmer, Porky Pig, Wile E. Coyote and other inhabitants of the film studio’s family of popular animated figures. City of Woodstock Theatre thrived in the 1950s With the Second World War over, military personnel settling in back home and families looking for quality local entertainment, Theatre Woodstock was the place to go during the 1950s. The company then performed on the WCI stage. From the early to late years of the decade there were more than 2,000 subscribers, a very healthy number. In 1950 the plays were Junior Miss, Thunder Rock, See How They Run, Belvedere and The Paragon. The decade ended with 1959’s productions of Sabrina Fair, Born Yesterday, Solid Gold Cadillac and Inherit the Wind. Meanwhile on the night of July 13, 1953 just 38 kilometres down the road and under a massive tent, acclaimed stage/film actor Sir Alec Guinness in the lead role of Tyrone Guthrie’s production of Richard III was helping kick off the inaugural season of the Stratford Festival. COW Tales have been contributed by Geoff Dale and Andrew Norris. Visit us online at www.facebook.com/WhatsOnWoodstock COW-TALES WAY BACK WHEN CONTEST THE WINNER of the May/June/July ‘Way Back When’ Contest is Jon Gerantonis of Woodstock! He correctly answered that Pavlo headlined at the first two “Art in the Park” events. Jon wins a $50 gift card from Boston Pizza Woodstock, plus he now qualifies for a $100 Boston Pizza Woodstock gift card to be drawn from all the monthly winners in November. THANK YOU TO OUR SPONSOR! BOSTON PIZZA WOODSTOCK 431 Norwich Ave 519-536-7800 www.bostonpizza.com DO YOU REMEMBER WOODSTOCK “WAY BACK WHEN?” If so, you’re on your way to winning our contest. Send in or drop off your answer by the posted deadline. We will randomly pick one winner from the correct responses. The winner’s name will appear in the next edition of What’s On Woodstock. Here are some questions to get you thinking. Answer the last question (in bold) to enter the contest. Q. When did the present Woodstock bus service began its operations in the Friendly City? (See pg. 26) Q. What was the construction cost of the Woodstock District Community Complex? (See pg. 7) Q. About how many tulips imported from Holland does the City of Woodstock’s Park Department plant in the fall? (See pg. 23) Q. What local hockey team did the late/great Walter Gretzky play for during the mid 1950s? (See pg. 3) Q. What Woodstock resident who frequently sought office in the provincial government also appeared at the Stratford Festival and in films? Send your answer along with your name and phone number to email@example.com by Friday, August 12, 2022. You can also drop your answer in the contest box at City Hall. COMpletely FREE! Navy League Wednesdays, 6:30–9:00 p.m. Youth Ages 9–12 Fun program geared to teamwork, leadership, friendship and citizenship and it’s all FREE! COMpletely FREE! Sea Cadets Tuesdays, 6:30–9:00 p.m. Youth Ages 12–18 Activities included in program: Drill • Seamanship • Band • Range • Sailing • Summer Camp For inquiries and registration email: firstname.lastname@example.org Find us online! facebook.com/nlccunicorn and rcsccwoodstock.ca Canada Day 2022 memorable for special events manager With ideal weather conditions and additional space for family-oriented activities, a huge turnout of residents and visitors who attended the City of Woodstock’s Canada Day Celebration proved – after a three-year absence – to be a hugely successful celebration for participants, spectators and organizers at the 2022 event. Reviewing her first major event with the City of Woodstock, the City’s Manager of Special Events, Kristen Brodhagen, described it as, “absolutely amazing and well attended despite the threat of rain throughout the day.” “So many members of the community attended the celebration in Southside Park,” she said. “Smiling faces of all ages enjoying a wide variety of activities, demonstrated just how much Canada Day has been missed. “Everyone in attendance was so glad to gather to celebrate. The Community had nothing but good things to say about this special event. When the fireworks began, the excitement was apparent with people cheering out loud at each burst of light.” Relocating this year’s impressive fireworks, meant considerably more room to stage the numerous activities, for example a full Canadian Kids Zone, where the seemingly endless activities were free for young participants. “The main stage hosted crowd-pleasing entertainers throughout the day,” Kristen added. “The seating was ideal because, similar to the upcoming Cowapalooza, spectators could sit comfortably on the toboggan hills with an excellent view of the performers there and from the beverage gardens. Food and Beverage vendors and people taking in the fun also had more space. “Another popular attraction was the Touch-a-Truck activity, which allowed many delighted children to meet Police K9 dogs Taz and Striker, the chance climb inside a police cruiser, a City bus, a school bus, Public Works Equipment, and much more.” With Southside Park and surrounding areas packed for the fireworks, generously sponsored by Toyota Motor Manufacturing Canada Inc., the fireworks could be seen throughout Woodstock. “I was simply overjoyed with the turnout,” Kristen said. “It was great to see everyone so truly excited. The buzz on social media leading up to and during the event was very impressive. “Staff from numerous City departments, volunteers, sponsors, service organizations such as the Woodstock Lions Club, who hosted the beverage garden and many other stakeholders, were all willing to go above and beyond, going the extra mile to make this a very special day. Without this kind of support, such a day could not have been possible.” Kristen pointed out that this is a family-oriented event designed for all ages young and young-at-heart featuring everything from main stage entertainers like Scarecrow and No Sugar Tonight to face painting, pony rides, an inflatable, mini-Ferris wheel, a photobooth and a meet-and-greet with Moana, Rapunzel and Spiderman. “With so many enjoying themselves, exceptional inter-departmental support, countless others volunteering their time, this is the very definition of community,” Kristen concluded. “It makes me proud, happy and eager for future City of Woodstock events.” It was so easy to make friends at the City of Woodstock’s Canada Day 2022 celebrations as the delighted Manager of Special Events Kristen Brodhagen discovered when she visited the pony ride attraction in Southside Park. Now hiring! Let’s get to work. Quality Inspector Needed! Quality Inspectors work on the production flow in Inspection, Sorting and Containment as well as perform Rework & Repair Projects. What do we offer? • $18.50/Hour paid weekly via Direct Deposit • Referral bonus and Sign On Bonuses! • Opportunity for advancement • Work-life balance • Variety of assignments • Free online world-class training Is This the Right Job for you? • Visual inspection of various automotive parts for defects • Vehicle Consumer Preparation and Inspection • Repacking of automotive parts Requirements: • Rotating Shifts Bi-weekly (Day/Evening) • Ability to stand/lift/push pull • Steel Toes Work Boots (CSA Approved With Green Label) Sound right for you? Apply now! Teri Laughington at 1.844.759.8150 or email@example.com Joblinks is a free service that provides employment support to people with a disability or a verifiable disorder age 16+. • Employment planning • Resume and cover letter assistance • Interview preparation • Job trials and training • On-site coaching • Free certification workshops Call to speak to a job developer today 519- 537- 8036 \| firstname.lastname@example.org \| 60 Young St Woodstock, ON WOODSTOCK TRANSIT GO GREEN TRANSIT Hours of Operation: (30 Minute Service) Mon. to Fri. ............... 6:00 am–10:00 pm Saturdays .................... 8:00 am–10:00 pm (All Bus Stops display a Route Service Schedule) Info Line: 519-539-1291 ext. 3104 (Mon. to Fri.) 8:30 am–4:30 pm Transit Fare Rates & Special Discount Passes CASH FARES* Adult/Senior .................................................. $2.50 Students (age 5–18) ........................................ $2.50 Children (under 5) .......................................... FREE * Note: Exact change is required on the bus. SPECIAL DISCOUNT / ONE CARD PASSES Han-D-Ride Value Pass, 12 Rides .................. $25 Student/Senior (60+) Pass, Monthly .............. $48 Adult Pass (non-transferable), Monthly .......... $60 Group Pass (2–5 riders), All day ..................... $7.50 PURCHASE MONTHLY PASS AND HAN-D-RIDE DISCOUNT AT THESE LOCATIONS • City Hall • Community Complex • Engineering/Public Works • Foodland • Pioneer Gas Station, Norwich Ave • Southside Aquatic Centre • St. Mary’s H.S. (Student & Han-D-Ride only) • Walmart Lottery Kiosk • Woodstock Art Gallery • Woodstock Museum NHS Please note: Passes are not available on the bus, except for Group Pass, which is only available on bus. STride Passes are only valid from July 1–Aug 31. WOODSTOCK TRANSIT GO GREEN PARA-TRANSPORT Para-Transportation Services Available for Registered Eligible Individuals Para-Transit Service provided by Voyago Transit Cash Fare $2.50 Regular hours of operation Mon-Fri 6:00 am–10:00 pm Sat 8:00 am–10:00 pm Service must be pre-booked 24 hours in advance. Call 519-539-2382 ext. 2510 (TTY: 519-539-7268) between the hours of 8:30 am–7:00 pm, Monday through Friday and 9:00 am–7:00 pm on Saturday. (Voicemail is available outside of regular hours). All passes accepted on conventional transit are now accepted on Para-Transit. Registration forms are available at City Hall. Note: Photo I.D. cards will be required in order to use this service. Questions concerning eligibility criteria? Phone 519-539-1291 Changes coming to Woodstock Transit Beginning September 6, 2022, Woodstock Transit fares will increase for the first time since 2016. In addition, a change to Route 1 is also coming into effect. See the details below. \| Options \| Current (since 2016) \| New Fares Effective September 6, 2022 \| \|-------------------------------\|----------------------\|---------------------------------------\| \| Cash Fares \| $2.50 \| $2.75 \| \| Handi-Ride (12 rides) \| $25.00 \| $27.50 \| \| Adult Monthly Pass \| $60.00 \| $66.00 \| \| Senior Monthly Pass \| $48.00 \| $53.00 \| \| Student Monthly Pass \| $48.00 \| $53.00 \| \| STride Pass (Jul & Aug) \| $25.00 \| $27.50 (summer of 2023) \| \| Group Day Pass \| $7.50 \| $8.25 \| Currently, Route 1 transitions from Huron St. to Devonshire Ave. via Lancaster St. and Knightsbridge Rd. Beginning September 6, Route 1 turns from Huron St. directly onto Devonshire Ave. Please note, two new bus stops will also be added. www.woodstocktransit.ca Fall Storytimes Welcome back to the Library! Once again we will be offering in-person storytimes at the Library! Each program includes age-appropriate stories, rhymes, songs, and activities led by a library professional to help children develop early literacy skills and a love of reading. Space is limited. Visit the link on the Kids Storytime page on our website to register. Registration for the fall session starts Tuesday, September 6. Tales & Tunes (3–5 years) Wednesdays .................................................................10:15–11:00 am September 14–October 19 Tales & Tunes is a musical storytime for preschoolers that will cultivate a love of books with stories, songs, active rhymes, and a craft. Registration required. Toddler Tales (12–35 months) Wednesdays .................................................................11:15–11:45 am September 14–October 19 Thursdays.................................................................10:15–10:45 am September 15–October 20 Toddler Tales is an active program for toddlers and their caregivers with stories, rhymes, songs, and a simple craft. Registration required. Babytime (birth to 12 months) Thursdays .................................................................11:00–11:30 am September 15–October 20 Babytime is an interactive program for infants and their caregivers that introduces them to a life-long love of books with songs, active rhymes and stories. Registration required. Walking Wonders (birth to 12 months) Fridays ..............................................................................11:00–11:45 am September 16–October 21 A storytime for infants and their caregivers that begins outside the library with a stroller walk and ends with songs, rhymes, and stories at a nearby park! Enjoy time with your little one and social time with other parents and caregivers. We will not meet if the weather is rainy. No registration required. Summer Programs for Children Little Reader’s Book Club Register any time and start reading together! Engaging the littlest reader is simple: read a book – any book – to your newborn or toddler! The goal is to read 1000 books before they start Kindergarten – you’ll be surprised how easy it can be! Our online book club will help you track your little reader’s progress. Visit www.mywpl.ca for more information about how to sign up for this very special book club. I Spy Challenge (6–12 years) August 2, Summer Vibes Drop into the library and check out the display case in the Children’s Department to test your skills with our monthly I Spy quizzes for great prizes! Library Story Walk (family) Saturdays ...........................................................................10:00 am–4:00 pm August 6, 13, 20, 27 Take a walk outside around the Library and enjoy a story as you walk from page to page! No registration required. TD Summer Reading Club Program runs June 13 to September 3 Registration is ongoing Starting June 13, families can register online for our Beanstack TD Summer Reading Club and then drop into the library to pick up your TD Summer Reading Club kit that includes a book for you to track your badges and a Bingo card. Each time you complete a Bingo card challenge, come into the library to have it stamped and earn prizes! You can also track the number of books read throughout the summer to earn digital badges and opportunities to enter our end of summer draws for great prizes! Monday Mashup Mondays will feature a mashup of fun programs and activities for kids including STEAM activities, crafts, and more! Registration required. Balloon Twisting (8–12 years) 2:00–4:00 pm, Monday, August 8 Balloon artist, Melissa Sherk, will lead participants in this workshop where they will create an assortment of amazing balloon creations to take home. Virtual Visit with Ripley’s Aquarium (6–12 years) 10:15 am–12:00 pm, Monday, August 15 Have you ever wondered what life at the aquarium is like? Here’s your chance to find out! Join us in-person at the library as we go on a virtual tour of the aquarium together. After the tour, you will get the chance to make your very own aquarium-inspired art piece! Balloon Cars (8–12 years) 10:30 am–12:00 pm, Monday, August 22 Join us to create, decorate and race balloon powered dragsters using simple materials for a fun exploration of energy and mechanisms! Little Crafters (3–5 years) Tuesdays..................... 10:30–11:30 am August 2–23 A fun filled hour brimming with awesome crafts, stories, and activities for preschoolers with a different theme each week. Registration required. Craft Club (6–9 years) Tuesdays..................... 2:00–3:30 pm August 2–23 Join the club and try out some fun crafts and activities with a different theme each week. Registration required. Boredom Busters (10–13 years) Wednesdays.......................................................... 2:00–3:30 pm August 3–24 Bored and looking for something fun to do? Then sign-up Wednesday afternoons for awesome crafts and activities. Registration required. Read On! (6–12 years) Thursdays......................... 2:00–3:30 pm August 4–25 Each week we will celebrate a famous children’s author or illustrator, or a favourite storybook character with crafts and activities. Registration required. Game On! (Family) Fridays ................................................................. 2:00–3:30 pm August 5–26 Drop into the program room for an afternoon of fun games! Play giant Snakes & Ladders, Bingo, video games or design and craft your own game. A different activity each week. No registration required. Summer Programs for Teens Teen Summer Drop In (12–17 years) Tuesdays ................................................................. 6:30–8:00 pm Come by the Library on Tuesday nights throughout the Summer for crafts, videogames, VR, and other fun activities. Some programs will require registration. Board Game Night Tuesday, August 2 Bring your friends for an evening of great board games like Catan, Pandemic, Ticket to Ride and more! Henna Workshop 6:00–8:00 pm, Tuesday, August 9 Join us for a workshop with premier henna artist, Maggie, certified by the International Certification for Natural Henna Arts. Participants will learn about the history and various styles of henna, plus get their own design courtesy of Maggie. Registration required. Trivia Night Tuesday, August 16 Test your trivia knowledge while you play Kahoot trivia with your friends. Craft Night – Tie Dye T Shirts Tuesday, August 23 Bring a t-shirt and learn the art of tie dye! TAG – Teen Advisory Group (13–17 years) 2nd Tuesday of the month, September to June 7:00–8:00 pm We are looking for teens who want the opportunity to share their ideas for ways to improve our teen space, YA collections and to help plan fun events for teens. Earn community service hours towards your high school diploma. Pick up an application at the library or visit our website to download the application. The deadline for applications is Friday, September 2, 2022. Applicants will be contacted by phone for an interview. Oxford Reads 2022 Driven: the Secret Life of Taxi Drivers by Marcello Di Cintio In partnership with Oxford County Library, our 2022 Oxford Reads title is Driven: The Secret Life of Taxi Drivers by Marcello Di Cintio. In a series of interviews with North American taxi drivers, the author turns the reader’s attention from the passengers to the drivers, focusing on their stories. The result is a thought-provoking book about immigration, struggle, survival, and perseverance. Look for other related events celebrating the Oxford Reads title, happening throughout Woodstock and Oxford County in September and October and more information on the Zoom Gala Author Event on Saturday, October 22. Book a Librarian Book a time for one-on-one assistance on any topic Mondays & Tuesdays .............................................. 2:30–3:30 pm Thursdays............................................................... 6:30–7:30 pm Fridays ................................................................. 10:15–11:15 am Call the library to book a 30 minute in-person session to talk to a librarian about any topic: navigating your device or laptop; downloading eBook and eAudio books; streaming free eMusic or eMovies; and more. Lawn Chair Afternoon Book Club 2nd Tuesday of the month, 2:00–3:00 pm Weather permitting, bring your lawn chair and gather on the east lawn to join in on lively discussion and to share what you are reading. If the weather is rainy, come inside and head to the adult fiction area of the Library. August 9 Easy Beauty by Chloe Cooper Jones September 13 Driven: The Secret Lives of Taxi Drivers by Marcello Di Cintio Zoom Evening Book Club 7:00–8:00 pm Check the Adult Program page of our website to register each month for your Zoom evening book club invite to enjoy an evening of book discussion and conversation. Wednesday, August 10 Easy Beauty by Chloe Cooper Jones Thursday, September 8 Driven: The Secret Lives of Taxi Drivers by Marcello Di Cintio Kahoot Pub Trivia Night 7:00–8:30 pm, Wednesday, August 17 Follow the link from our website to register online using Kahoot for our monthly live trivia night! You can test your smarts against other trivia enthusiasts. You can still enjoy your Upper Thames Brewing Co. beer from home! Virtual Trail Guide WPL YouTube video posted biweekly on Monday evenings starting May 2 to August 22 Tune into our YouTube channel, myWPL, for a new virtual trail guide. Get all the tips and suggestions for how to best enjoy the many hiking trails, walkways, and bike paths in the Woodstock area. Each post will feature a different trail. Woodstock Public Library 445 Hunter Street, Woodstock, ON Phone: 519-539-4801 Web: www.mywpl.ca Left in Stitches! Crafting Circle (TEENS AND ADULTS) Saturdays ................................................................. 2:00–3:00 pm August 13 Do you knit, crochet, sew, or cross-stitch? Looking for an opportunity to find fellow crafters in your community? Then drop into the library to show off your latest projects, discuss techniques, make new friends, and craft together. We’ll meet upstairs in the fiction area of the library. All are welcome. Crafty Adults 7:00–8:00 pm, Thursdays Join us in the program room for an evening of crafting. Registration required. Spaces are limited. DIY Yarn Banners Thursday, August 18 Add colour and texture to any space with these simple decorative yarn banners. A variety of yarn colours will be available, or if you have a partial ball of yarn bring it along. Bring your own refreshments. Registration is ongoing. Check out the COW Tales ‘Way Back When’ contest on page 15 and enter today! A: More than 40,000. 75th Anniversary Exhibit March 12 to August 20 Created by the Woodstock Museum NHS with help from Theatre Woodstock SAMPLES OF PRIDE A sampling of The ArQuives’ National Portrait Collection June 1 – September 3 Celebrate Pride Month with a bit of history. THE ARQUIVES Canada’s LGBTQ2+ Archives RUTH HARTLEY FORM AND FLOWERS On view until September 24, 2022 VISUAL ELEMENTS 64 ANNUAL JURIED EXHIBITION On view until September 24, 2022 JURORS Peter Flannery Ruth Hartley John Hartman Saturday, September 17 2pm Walk & talk with the jurors of Visual Elements 64. Awards for Best in Show and People's Choice will be announced. 3pm Artist talk with Ruth Hartley Excitement builds for Streetfest 2022 With the two-year Summer Streetfest hiatus in the past, the much-anticipated seasonal highlight for the City of Woodstock, is ready for its return to the downtown core in grand and exciting style from August 12-13. “After Kate Leatherbarrow, one of our local downtown business owners met with the Downtown BIA staff and then myself, it was evident that the enthusiasm was there, and Merchants would be more than pleased, and eager to get onboard for this fantastic traditional event,” said organizing hoc committee Chairperson and Vice-chair of the Downtown Woodstock BIA, Melanie Burns. “Earlier in the year when the BIA would customarily start the huge undertaking of planning the event, there was still uncertainty in the air with COVID restrictions, so it was a bit of an unknown scenario with respect to a decision to stage Streetfest 2022 or hold off until 2023. Since that time, restrictions were eased, outdoor events started back up including our Summer Market Series, and now more than ever we welcome any idea that helps to promote our downtown and its businesses, so the prospect of a Streetfest was back on the table.” The creation of an ad hoc Streetfest committee for the first time has been of major assistance in dealing with a variety of concerns including a much shorter period of time in which Streetfest would be organized and also the July 8 retirement of Downtown Woodstock BIA Virginia Armstrong. “Comprised of various downtown business owners, the committee has been extremely helpful, offering ideas, reaching out to contacts, getting the Streetfest word out there, acting as a sounding board, overall pitching in 100%, and their passion and support for the event is clear. We’re very grateful for the committee and any volunteers that will make this event the success we know it’s going to be.” There will be a lot of activity and family fun as you stroll down the street, seeing all the local entertainment, vendors showcasing their goods, artisans, musicians, kids’ activities, organizations, demonstrations, extended patios, tasty food, thirst-quenching refreshments and much more. Despite the shortage of time and subsequent rush to organize this year’s event, the mood amongst participants and the community is supportive and excited. “We’re thrilled that the ever-popular Streetfest Cruise for South Gate Centre will be back this year too on the Sunday, with the section of Dundas Street remaining closed to allow for the 300 cars on display. The car show is always a fan favourite!” More information on Summer Streetfest 2022 can be found on the Downtown Woodstock BIA Facebook page as well as the website www.downtownwoodstock.ca/summer-streetfest. Check out the COW Tales ‘Way Back When’ contest on page 15 and enter today! August 8 Cops and Rodder Monday Night Cruise Nights, South Gate Centre, 5:00–8:00pm. Show off your ride! Admission is free, but donations are encouraged! 9 Lawn Chair Afternoon Book Club, Woodstock Public Library; 2:00–3:00pm. Easy Beauty by Chloe Cooper Jones will be discussed. Visit mywpl.ca for details. 11, 25 Summer Market Series, Downtown Woodstock, Museum Square, 12:00–7:00pm. For details visit downtownwoodstock.ca/summermarket. 12, 13 Summer Streetfest, Downtown Woodstock. Live music, vendors, shopping, food trucks, patios and family fun activities. For details, visit www.downtownwoodstock.ca/summer-streetfest. 13 Left in Stitches! Crafting Circle, Woodstock Public Library, 2:00–3:00pm. Teens and adults are welcome to drop in to show off your latest projects, discuss techniques and make new friends! Visit mywpl.ca. 18 Open Stage Night, Early Bird Coffee, 375 Dundas St, 6:00–9:00pm. Share your acoustic music, poetry, spoken word and art. Special menu available. Join as performer or patron. Contact Jenilee Halls at 519-535-3555 or email@example.com. 18–20 Theatre Woodstock STAGES presents Willy Wonka Kids, Market Centre, Aug. 18, 19 & 20 at 7:00pm. Aug. 19 at 11:00am. theatrewoodstock.com or 519-537-2582. 31 First instalment of final tax bill is due. Pay in person or by internet banking, debit or post-dated cheque. See www.cityofwoodstock.ca. September 2–3 Cowapoloza 19, Southside Park. Friday, 6:00pm: Pauly & The Greaseballs and Bruno Nesci as ‘Elvis Lives.’ Saturday, 2:00pm: Cowapolozza Kids with free fun for families. 6:30pm: After the Lounge followed by The Trews at 8:30pm. Visit Cowapolozza.ca for details. 6 Transit Fares increase today and Route 1 changes at Huron and Devonshire. See details on pg. 19. 8 Zoom Evening Book Club. Check the Adult Program page at mywpl.ca for your invitation to discuss Driven: The Secret Lives of Taxi Drivers by Marcello Di Cintio. 8, 22 Summer Market Series, Downtown Woodstock, Museum Square, 12:00–7:00pm. For details visit downtownwoodstock.ca/summermarket. 17 Summer Open House, Woodstock Art Gallery, 2:00pm. Walk and talk with jurors of Visual Elements 64, 3:00pm. Artist talk with Ruth Hartley. For details, please visit www.woodstockartgallery.ca. 17 Hike for Hospice, Roth Park. Tribute Ceremony at 10:00am. Register or donate online at supportv.on.ca/hikeforhospice. 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\| Version: \| Date approved: \| Approved by: \| Date of Review: \| \|---------\|----------------\|--------------\|-----------------\| \| V9.3 \| June 2023 \| Faculty \| June 2026 \| 1. Introduction: The Purpose of Assessment At Union Theological College assessment is an integrated and integral part of learning and teaching. It is the principal instrument by which we: - recognise, reward and monitor levels of achievement; - identify areas for development in both teaching and student learning; - maintain academic standards; and - help to prepare students for life beyond the College, particularly in Christian ministry. This policy document provides the principles and expectations that define and safeguard the management of assessment according to QAA expectations. It is intended to be explicit, transparent and accessible to all relevant audiences. The principles in this policy have been formulated in accordance with the following documents: - The UK Quality Code for Higher Education; - QAA Advice and Guidance: Assessment (2018); - the Framework for Higher Education Qualifications; and - the QAA Subject Benchmark Statement: Theology and Religious Studies (2019). There are many different forms of assessment, serving a variety of purposes. These include: - promoting student learning by providing the student with appropriate feedback; - evaluating student knowledge, understanding, abilities, skills or competencies; - providing a mark or grade that enables a student’s performance to be established, and may also be used to make progress decisions; and - enabling the public (including employers) and higher education providers, to know that an individual has attained an appropriate level of achievement that reflects the academic standards set by the awarding institution and agreed UK norms, including the Frameworks for Higher Education Qualifications. This may include meeting the requirements of the Presbyterian Church in Ireland’s Council for Training in Ministry. In addition, as a higher education institution with responsibility for the academic standards of awards made in its name, the College is required to have effective procedures for: • designing, approving, monitoring and reviewing the assessment strategies for programmes and awards; • implementing rigorous assessment policies and practices that ensure the standard for each award and award element is set and maintained at the appropriate level, and that student performance is properly judged against this; and • evaluating how academic standards are maintained through assessment practice, which also serves to encourage effective learning. 2. General Principles of Assessment These principles draw on published guidance on best practice in assessment in higher education and reflect the Guiding Principles of the UK Quality Code Advice and Guidance for Assessment (2018). (i) Assessment methods and criteria are aligned to learning outcomes and teaching activities Assessment tasks will be aligned with and will measure student attainment of the intended learning outcomes in an effective way. All programmes and modules have documents which provide learning outcomes and assessment methods and weightings – these are available to all students via the VLE. (ii) Assessment is reliable, consistent, fair and valid In order for assessment to be accurate and repeatable there will be clear and consistent processes for the setting, marking, grading and moderation of assignments. A variety of assessment tasks will be used so that the whole range of learning outcomes may be appropriately assessed. (iii) Assessment design is approached holistically Requirements in terms of programme and module design are communicated and guided by the Programme Design and Programme and Module Review Policy. The approval of the assessment package for any module includes scrutiny of assessment elements and how they contribute to the assessment of programme level learning outcomes. The College also has policies dealing with the Recognition of Prior Learning and Work-Based Learning Opportunities. (iv) Assessment is inclusive and equitable The College will endeavour to ensure that all assigned tasks do not disadvantage any group or individual, e.g. students with disabilities. This is to ensure that all students are provided with an equal opportunity to demonstrate their achievement of the learning outcomes – this includes, where necessary, reasonable adjustments. The role of the external examiner, as laid out in the Externality Policy, is one of the processes by which the College maintains oversight of the assessment process to ensure that students have an equal opportunity to demonstrate their achievement. (v) Assessment is explicit and transparent Assessment tasks will be clear and will be communicated to students, staff and external examiners in a timely manner. All programme and module documents provide a statement of how students will be assessed. Assessment is accompanied by marking criteria and, where relevant, a conceptual equivalent marking scale. (vi) Assessment and feedback is purposeful and supports the learning process Students will receive feedback on all assessment tasks (both formative and summative) in a timely manner. Feedback on assessed work is an important mechanism for enhancing students’ ability to interpret assessment criteria and to gain further awareness of assessment standards. Normal practice is for assessed work to be returned within a three-week period in order that the feedback may have a formative function for subsequent assessment. (vii) Assessment is timely All programmes and modules are required to provide a statement of how and when students will be assessed. This is made available to students via the VLE in programme handbooks and module outlines. Where students require reassessment, sufficient time for further learning is available before resit/resubmission dates. (viii) Assessment is efficient and manageable Assessment will be used as a tool for learning and engagement. Assessment should be aligned with intended learning outcomes in order to make assessment efficient. Assessment should not overload either staff or students and the scheduling of summative assessment will ensure that students have sufficient time to develop the intended learning outcomes. (ix) Students are supported and prepared for assessment Beginning with the initial induction, the nature and basis of assessment is communicated to students in order to promote assessment literacy. There will be an appropriate mix of formative and summative assessment within each module. Feedback is an integral part of the way in which students are given appropriate support to develop the competencies required to meet the learning outcomes. (x) Assessment encourages academic integrity The College promotes academic integrity in the area of assessment through the following means: prior guidance which highlights the importance of academic integrity and informs students of the consequences of academic offences; modelling best practice in lectures and tutorials; designing assessment tasks in such a way as to minimise the opportunities for plagiarism, self-plagiarism and contract cheating; and utilising Unicheck plagiarism detection software. Programme teams are encouraged to self-evaluate the effectiveness of assessment strategies at programme level and to align with identified best practice in the sector. The NUS Assessment and Feedback Benchmarking Tool which is provided as an appendix will assist programme teams in the process of self-evaluation. 3. Quality Assurance and Enhancement 3.1 Definition of Assessment A programme must include both formative and summative assessments: - Formative assessment provides students with opportunities to develop their knowledge and understanding of assessment so that they understand how to improve the quality of work. It may or may not include a mark and for purely formative assessment the mark does not contribute to the final module grade. - Summative assessment is the formal assessment of how students demonstrate that they have fulfilled the outcomes of the programme of study and that they have achieved the standard required for progression towards an award. - While some assessment may be entirely formative (for instance, classroom or seminar activities) summative assessment often includes a formative element. 3.2 Assessment Strategies In order for the College’s assessment to be consistent with the national standard of awards it should be carried out by competent and impartial examiners with the involvement of external examiners (see the College’s Externality Policy). The College’s processes for staff recruitment and development ensure that everyone involved in student assessment is competent to undertake their roles and fulfil their responsibilities. Assessment is designed in a ‘top down’ manner i.e. design begins with the programme and then goes down into modules. Assessment should be designed in such a way that, where appropriate, it meets the requirements of the Presbyterian Church in Ireland’s Council for Training in Ministry. Assessments will be marked according to published marking criteria. Details of how degree classifications are calculated will be transparent and can be found in the PTFI Postgraduate Taught Study Regulations and in the Study Regulations for Undergraduate Students. Each module will provide formative feedback (oral, written, or electronic) to individuals or a group of students. 3.3 Assessment Tasks and Learning Outcomes All assessment elements will be aligned with the relevant learning outcomes. All specified programme learning outcomes will be appropriately tested through the summative assessments of the programme’s modules. Modular assessment tasks will be designed to test the achievement of all the specified module learning outcomes. The award of any credit and or degree is based on the achievement of the intended learning outcomes as demonstrated through summative assessment. 3.4 Verification of Assessment The Faculty should ensure that there is consistency across departments in the form of assessed work (e.g. length, complexity and volume) and the components of the assessment (intended learning outcomes should be assessed through the minimum of discrete tasks). Departments are responsible for the internal scrutiny of all proposed assessment tasks prior to submission to external examiners for comment and approval. Module review provides a significant opportunity to review how effective assessment has been in measuring course learning outcomes. 3.5 Communication to Students The module documents should include details of all approved assessment, the marking criteria, the method of submission and the date of submission or other assessment arrangements. This will be available on the VLE for all students. Faculty and students engage in a dialogue designed to promote a shared understanding of the nature and basis of assessment. This begins in the orientation process and continues through a student’s programme, particularly through use of feedback. The aim is to develop assessment literacy i.e. to help students to develop the ability to understand the process of assessment and to help students develop the confidence and ability to evaluate, and improve on, their own performance. Whilst the College will ensure that all assessment information is available it is a student’s responsibility to make themselves aware of all assessment details. 3.6 Word Count A minimum and/or maximum word count may be specified as part of the assessment criteria for a component or module. The word count must specify whether footnotes, bibliographies, and appendices etc. are to be included. Where a word count is included, the module information for students must provide clear details of any penalties that will apply. 3.7 Academic Integrity Students must maintain the highest standards of academic integrity whilst studying at the College. All work submitted for assessment must be the student’s own, unless authorisation has been given for collaboration, and all work must be appropriately cited and referenced. The College operates effective processes for promoting academic integrity and identifying, investigating and responding to unacceptable academic practice by practical measures such as: - minimising the availability of opportunities for plagiarism, self-plagiarism and contract cheating by utilising a variety of assessment methods and by regularly refreshing assessment topics; - actively highlighting matters of academic integrity, modelling best practice in lectures and tutorials, and making students aware of the consequences of academic offences; - utilising plagiarism detection software; and - investigating, and where necessary, penalising unacceptable academic practice relating to assessment. All written assignments submitted via the VLE will be subject to scrutiny by the cloud-based plagiarism detection application Unicheck.$^1$ All work is marked anonymously unless there are sound educational reasons for not doing so, or the type of assessment makes anonymous marking impractical e.g. an oral test or an essay in which discussion with the tutor on the topic identifies the student. The College will investigate and, where necessary, penalise any conduct which is likely to give an unfair advantage to the candidate, affect the security of assessment, and/or affect the standards of the degrees awarded by College including, inter alia plagiarism, self-plagiarism, impersonation, collusion, falsification, exam misconduct, or contract cheating. Details of the processes for postgraduate students are laid out in the Academic Misconduct Procedures, an appendix to the Academic Integrity Policy. The processes for undergraduate students are laid out in the Academic Integrity Procedures (UG). 3.8 Reasonable Adjustments The College will make reasonable adjustments to assessment to support students with a disability (including a specific Learning Disability) or other long-term health condition. The aim of reasonable adjustment is to ensure that all students are provided with the opportunity to demonstrate the full extent of their academic abilities, irrespective of a disability or long-term condition. --- $^1$ [https://unicheck.com/](https://unicheck.com/) Students should notify the College of any such condition at the time of enrolment or as soon as possible thereafter so that appropriate support measures may be put in place. Alternative assessment is one way to ensure that assessment tasks are sufficiently inclusive and give all students fair opportunities to demonstrate the course learning outcomes. 3.9 Exceptional Circumstances Students must notify the College of any circumstances which are sudden, unexpected, significantly disruptive, and beyond the student’s control and which may affect their performance at assessment, such as a serious illness or the death of a close relative. The College will ensure that appropriate arrangements are put in place for such students, such as an extension or deferral of assessment to a later date. 3.10 Submission of Written Assessment Elements Students are expected to submit all written elements by the published deadline. Module documents will explain any penalties that may be incurred for late submission. A student who is unable to submit coursework without good cause may be deemed by the Exam Board to have failed the assessment concerned. 3.11 Attendance at Scheduled Assessments Students are expected to attend all scheduled assessments e.g. presentations, workshops or class tests. A student who is unable to attend a scheduled assessment without good cause may be deemed by the Exam Board to have failed the assessment concerned. 3.12 Examinations It is the responsibility of candidates to attend at the prescribed place and time. A student absent without good cause from an examination will be deemed by the Exam Board to have failed the examination. 3.13 Resit and Re-submission When a student does not meet the progression and award requirements at the first attempt they may be permitted to undertake a resit or should be reassessed in the failed module(s). 3.13.1 Resitting Assessment Where resitting is required and permitted a student will be provided with timely academic feedback and guidance prior to re-assessment. They may be offered, but are not automatically entitled to, additional tutoring and supervision. There is no fee for a resit. Resitting should be by the same method of assessment. Where such a method is difficult or impossible (e.g. a group project) then the Board of Examiners may set a different assessment that allows the student to demonstrate achievement of the intended learning outcomes. The maximum mark when resitting reassessment is capped at the pass mark. Should a student obtain a lower mark in the second attempt the higher mark will stand. 3.13.2 Repeating Assessment Where a repeat of assessment is required and a student is given a second attempt at assessment in the following academic year. The student must re-enrol in the modules and further fees will be required. The maximum mark when repeating assessment is capped at the pass mark. 3.14 Marking and Grading Criteria A student’s performance will be marked according to clear assessment criteria as set out in the module assessment document. Assessment criteria will: - examine the extent to which the published learning outcomes have been achieved; - be set at the required standard and level of the module; and - be of a comparable standard to equivalent awards elsewhere in the UK. Single blind marking and moderation is required for assignments. All PGT dissertations should be double blind marked and moderated with the markers determining an agreed draft mark. 3.15 Feedback Students will be provided with feedback which will: - relate to the learning outcomes and marking criteria; - be clear, constructive and motivating; - be sufficiently detailed; - be critical with the intention of enabling student development; - place ownership of learning in the student’s hands; and - be returned within the specified timeframe (usually within three weeks following the deadline for submission). Formative feedback is often delivered in the classroom or in seminar activities. Students may also receive formative feedback through digital learning resources e.g. responsive learning apps like Cerego or in the feedback provided in discussion boards in the VLE. This feedback may be both individual (relating to a specific student’s work) or generic, referring to issues arising from the work produced by a cohort of students (this is particularly useful with exam feedback). Formative feedback at an early stage in a module can help to identify those students who may need additional support. Feedback should, wherever possible, be tailored so that it may be used by the students in future assignments. Feedback will be provided to students within 3 weeks of the deadline for submission. At the start of each programme, and then periodically thereafter, students should be reminded about the importance of feedback to their learning. As part of the annual monitoring process, the views of students on the methods, content and timing of feedback is gathered. Module review will consider if the feedback offered to students was timely, constructive and developmental. ### 3.16 Moderation The College understands moderation to be a particular form of second marking based on a representative sample of student work to verify the consistent application of assessment criteria and marking schemes. Moderation is required for all components of summative assessment, irrespective of the level of the work or the credit weighting of the assessments. The Head of Department has overall responsibility for overseeing the planning and implementation of appropriate internal moderation processes on a programme or module. The grades generated by the first marker(s) are scrutinised to verify the consistent application of assessment criteria and marking schemes. This process of second marking may involve the sampling of work across the range of marks. In this case the sample must include the following: - all fails; - examples from all bands; and - several of the highest marks. If the second markers agree with the marks for the sampled students, it can be assumed that marking is accurate for the population. However, if the second markers disagree significantly with one or more marks, the sample must be extended to give confidence in the accuracy of marks for all students in the assessment. Any amendment to the marks of the sample must be applied to the rest of the cohort in order to ensure equity and consistency. The process of internal moderations should also ensure the consistency of marking across all modules within the department. Examples of moderated assessment will be provided, via the External Examiner SharePoint site to the external examiner for consideration prior to the meeting of the Board. This should be accompanied by a completed Module Moderator Report to EE document. External examiners shall be informed of the identity of all internal markers and moderators for each module. 3.17 Board of Examiners Assessment within all PTFI programmes is conducted under the supervision and control of the Board of Examiners. The Externality Policy, together with PGT Regulations outline the role of the Board of Examiners. The Programme Board of Examiners for the BA Hons Theology will be chaired by the Partnership Liaison Manager from St Mary’s University Twickenham and will report to the St Mary’s University Undergraduate Examinations Board which will confirm marks and awards. The UG Study Regulations outline the role of the Board of Examiners. 3.18 Assessment Review The programme and module review policy and processes will consider how the assessment may continue to be developed and enhanced.
EMISSIONS REDUCTION ALBERTA Investing in technologies for a lower carbon future. 2017-2020 BUSINESS PLAN April 2017 Emissions Reduction Alberta is a registered tradename of the Climate Change and Emissions Management (CCEMC) Corporation. Emissions Reduction Alberta’s (ERA) budget and Business Plan for the period June 1, 2017 through May 31, 2020 was prepared in accordance with the requirements of the Climate Change and Emissions Management Fund Administration Regulation, which is enacted pursuant to the Climate Change and Emissions Management Act. All of ERA’s policies, accountability obligations and relationships have been considered in preparing this budget and Business Plan. As well, the Government of Alberta’s business plan, public policy statements such as the Climate Leadership Plan and the business plans and priorities of relevant government departments such as the Alberta Climate Change Office, Alberta Economic Development and Trade and Alberta Energy were considered, along with the climate related technology needs of Alberta’s industry and innovation system. ERA is committed to achieving the planned results laid out in this budget and Business Plan, approved by the ERA Board of Directors. We are Emissions Reduction Alberta – ERA. We are innovators. We are builders. And we are ground breakers. We invest in and propel promising technologies that reduce greenhouse gas (GHG) emissions along the path of innovation from idea to market. Our plans are big and our vision is ambitious. We know imagining new possibilities is the first step to advancing innovation. As innovators, we imagine a better future. A sustainable, lower carbon future. One we can create together. Imagine a future where industry, innovators and government are aligned on common outcomes. Imagine a future where entrepreneurs and industries operate to a higher standard of economic and environmental sustainability. Imagine a future where scientists, researchers and technology developers get the support and investment they need to develop and commercialize game-changing technologies. And where those technologies pave the way for new companies and new industries. Imagine a future where emissions are captured and used to create everyday products – from chemicals and fertilizers to cement and hockey sticks. Imagine a future where new technologies mean new jobs – where thousands of Albertans go to work creating cleaner, more sustainable energy sources every day. And where those cleaner, more sustainable sources of energy power our homes, businesses, industries, and communities. Imagine a future where those who share and support our vision know they are helping to create a better province for future generations. Imagine a future we can build together where Alberta’s reputation is synonymous with economic growth, community health and environmental leadership on a local, national and global scale. This future is possible. It will take work. But we know it will be worth it. As builders, our investments are a cornerstone in the foundation for a prosperous Alberta with a diverse economy, a healthy environment, and technologies that are sought throughout the world. This type of progress takes time and sustained commitment. ERA has proven that this progress is possible. Our efforts are helping to create tomorrow. From supporting inventors to collaborating with investors and industry, we are working together to identify and develop solutions that address our most urgent challenges. Doing the same thing better is no longer enough. We need to develop new ideas that lead to new technologies and new products. As ground breakers, we know there’s no reward without risk. ERA is investing in a diverse portfolio of transformative, sustainable technologies that reduce emissions. This is our moment to push technology beyond conventional limits. We have the opportunity not only to innovate, but to change the game entirely. But we need to act now. In the future, we should never have to ask ourselves if we have done enough. We can produce oil with lower emissions. We can create power from landfill waste. We can eliminate methane emissions. And we can create a stronger innovation ecosystem that generates new industries and jobs in Alberta. We have the people, the resources and the drive to do all of this and show the world that Alberta can be a leader in clean energy production. The future is uncertain, but our ability to make a difference has never been clearer. The world is calling for action – ERA is responding. Our actions will help define who we are as a province, and how the world sees us as clean energy leaders. We are dreamers – but we are also doers. Together, we can do more than imagine a better future. We can build one. A future that our families and communities will benefit from, and one we can all be proud to have helped create. At Emissions Reduction Alberta (ERA), we know that imagining new possibilities is the first step to advancing innovation. We’re accelerating families of technologies that have the potential to deliver step changes in how we produce and use energy. Imagine if the waste we send to landfills today could be used to produce useful products tomorrow. Workers could be employed at sites across Alberta to manage complex waste management facilities that provide electricity, biofuels, compost and other valuable materials for their local communities. Municipalities could have access to new revenue streams. Imagine if we could eliminate methane emissions in Alberta. Methane’s impact on climate change is 25 times that of carbon dioxide. In 2014, methane emissions from the oil and gas sector were responsible for over 30 megatonnes of carbon dioxide equivalent in GHG emissions. Alberta is leading in policy and technology to address this issue. Imagine if we were able to drastically reduce the need for heat and water to recover bitumen from the oil sands. Innovative extraction technologies have the potential to reduce GHG emissions by 50 per cent or more for every barrel of oil produced. This is our future – a future that ERA is helping to build. To get there, we’re working closely with government, industry and innovators to ensure alignment with policy direction, and to support promising technologies sought by the market. We are also putting the right delivery mechanisms in place – an efficient business model, a balanced project portfolio, robust performance metrics, and the stable, predictable funding needed to support the best and the brightest ideas. It’s not a distant dream. This is our moment. Let’s make it count. Sincerely, Kathy Sendall, C.M., LL.D. Chair Emissions Reduction Alberta ERA is helping this province become the best place to turn ideas into products, and products into companies. We are on the right track. We have rebranded our organization to provide greater clarity around our mandate. In the coming year we are continuing our efforts to advance operational excellence by assessing our business delivery model to ensure we remain efficient and responsive. Collaboration is key – and we’ve benefitted greatly from strong partnerships with organizations such as Alberta Innovates and Sustainable Development Technology Canada (SDTC). We learn from each other, and we will build on this experience and continue to broaden our network over the coming years. Our Technology Roadmap serves as our compass, providing the direction we need to make wise investment choices that support the outcomes of the Climate Leadership Plan and meet the needs of industry and innovators. This Roadmap will guide our portfolio for years to come. And through it all, we support the innovators who strive to advance the technologies the world demands. We will strengthen our capacity to accelerate development of the strongest technologies and we will connect innovators to the supports they need to be successful. Together, government, industry and innovators are advancing a common vision. By leveraging the incredible capacity and goodwill in this province we can chart a path forward for the clean and innovative technologies Alberta needs to be successful in a lower carbon future. Sincerely, Steve MacDonald CEO Emissions Reduction Alberta Mandate To identify and accelerate innovative solutions that secure Alberta’s success in a lower carbon economy. Vision Alberta is recognized as an innovation and technology leader in a lower carbon world. 2017 – 2020 Strategic Priorities To achieve its vision and mandate, ERA will: 1. Accelerate GHG reducing technologies Fund innovative solutions that result in meaningful GHG emissions reductions in Alberta and contribute to a lower carbon world. 2. Advance innovation system priorities Leverage our strengths to contribute to critical climate change innovation priorities in Alberta. To deliver on priorities 1 and 2, ERA will: 3. Measure and communicate success Define and report on metrics to demonstrate results. 4. Advance operational excellence Strive for excellence in operations and efficiency while maintaining responsiveness to stakeholders and funders. Core Values Leadership, innovation, collaboration, transparency, integrity Key Performance Metrics Environment: GHG emissions reductions Economy: direct investment, GDP impact, job creation Technology: project technology readiness level$^1$ (TRL) progression Community: stakeholder awareness and attitudes --- $^1$ Technology Readiness Levels (TRL) are a type of measurement system used to assess the maturity level of a particular technology. TRL ratings are assigned based on the project’s readiness. TRL 1 (scientific research) is the lowest and TRL 9 (proven/commercialized) is the highest. # TABLE OF CONTENTS WE ARE EMISSIONS REDUCTION ALBERTA .......................................................... iii MESSAGE FROM THE CHAIR ........................................................................... v ERA CORPORATE OVERVIEW ........................................................................... vii Mandate .................................................................................................................. vii Vision ...................................................................................................................... vii 2017 – 2020 Strategic Priorities ........................................................................... vii Core Values ........................................................................................................... vii Key Performance Metrics ....................................................................................... viii ## 1.0 EXECUTIVE SUMMARY .................................................................................. 1 1.1 Strategic Priority #1: Accelerate GHG Reducing Technologies .................... 4 1.2 Strategic Priority #2: Advance Innovation System Priorities ....................... 5 1.3 Strategic Priority #3: Measure and Communicate Success .......................... 6 1.4 Strategic Priority #4: Advance Operational Excellence ................................. 7 ## 2.0 ABOUT OUR ORGANIZATION ....................................................................... 8 2.1 We Are Emissions Reduction Alberta ............................................................. 8 2.1.1 New Brand .................................................................................................. 9 2.2 We Are Accelerating Emissions Reductions ................................................ 11 2.3 We Are Part of a Larger Plan .......................................................................... 13 2.3.1 Supporting Alberta’s Climate Leadership ............................................... 13 2.3.2 Aligning with Alberta’s Innovation System ........................................... 14 ## 3.0 STRATEGIC CONTEXT – THE CHALLENGE ............................................. 16 3.1 The Technology Imperative ............................................................................ 16 3.1.1 Achieving GHG Reductions in Multiple Timeframes ............................... 16 3.2 Critical Innovation System Gaps .................................................................... 17 3.2.1 Market Pull and Policy Push .................................................................... 17 3.2.2. Business Development and Competency Gaps .................................. 17 3.2.3 Lack of Capital and Stranded Grants ...................................................... 18 3.3 Aligning Efforts Through a Complete Solutions Approach .......................... 19 ## 4.0 SUCCESSFULLY ACCELERATING INNOVATION ....................................... 20 4.1 Technology Roadmap ..................................................................................... 20 4.1.1 ERA Technology Roadmap Investment Areas of Focus ......................... 20 4.2 Strategic Initiatives and Partnerships .............................................................. 22 4.2.1 Partnership Intake Pilot ........................................................................... 22 4.2.2. Innovator Support Pilot ......................................................................... 23 4.3 Future Funding Opportunities ......................................................................... 25 4.3.1. Technologies to Help Meet the 100 Megatonne Per Year GHG Emissions Limit for the Oil Sands ................................................................. 25 4.3.2. Technologies to Optimize Biological Resources ........................................................................... 27 4.3.3. Technologies to Support the Phase-out of Coal and Increase Non-emitting Electricity .............. 28 4.3.4. Technologies to Encourage Industrial Process Efficiency ............................................................... 28 4.4 Ongoing Operational Improvements .................................................................................................. 31 4.4.1 Business Delivery Model Assessment ......................................................................................... 31 4.4.2 Biological Program Assessment .................................................................................................... 31 5.0 STRATEGIC PRIORITIES .................................................................................................................. 33 5.1 Strategic Priority #1: Accelerate GHG Reducing Technologies ..................................................... 34 5.2 Strategic Priority #2: Advance Innovation System Priorities ......................................................... 37 5.3 Strategic Priority #3: Measure and Communicate Success ............................................................. 39 5.4 Strategic Priority #4: Advance Operational Excellence ..................................................................... 41 6.0 MEASURING SUCCESS .................................................................................................................. 43 6.1 METRICS APPROACH ..................................................................................................................... 44 6.2 PERFORMANCE MEASURES AND REPORTING ........................................................................... 46 7.0 OPERATING BUDGET ..................................................................................................................... 47 At Emissions Reduction Alberta (ERA), we are imagining a new era of possibilities. By supporting the deployment of promising technologies and accelerating the development of game-changing innovation, we are working to reduce greenhouse gas (GHG) emissions and secure Alberta’s success in a lower carbon economy. ERA is a key partner in implementing Alberta’s Climate Leadership Plan and meeting the province’s 2030 Innovation Targets. Our funding, which comes from the Government of Alberta’s Climate Change and Emissions Management Fund (CCEMF), is helping to shape a province with a diverse economy, a healthy environment and a robust innovation ecosystem. Created in 2009 as the Climate Change and Emissions Management Corporation$^2$, our organization was rebranded in 2016, to make it clear that we are a part of Alberta’s climate change efforts and to better reflect our mandate. Although our name has changed, ERA’s commitment to reducing GHG emissions has never been stronger. Our close relationship with the newly consolidated Alberta Innovates organization remains critical, and we continue to review and assess our business model to ensure we are efficiently, effectively and transparently delivering results. Since 2009, ERA has committed more than $330 million to over 100 projects. Our portfolio represents a total project value of approximately $2.2 billion. Our focus is on technologies that have the most potential to help Alberta achieve its ambitious, long-term GHG emission reduction goals. However, we have also funded demonstration and deployment projects that are already reducing GHGs, and are estimated to achieve more than seven megatonnes in cumulative net emissions reductions by 2020. ERA’s investments contribute significantly to the provincial economy. A 2017 study by Alberta’s Department of Economic Development and Trade found that ERA’s projects are expected to result in direct economic benefits to Alberta of approximately 4,000 person-year jobs and $485 million of GDP growth between 2011 and 2021. When indirect and induced --- $^2$ The CCEMC legal name continues to exist but is not public-facing. Emissions Reduction Alberta (ERA) is a legal trade name of Climate Change and Emissions Management (CCEMC) Corporation. $^1$ A person-year job is equal to one year of employment for one individual. economic impacts$^4$ are included, ERA and related investments are expected to result in more than 15,000 person-year jobs and GDP growth of approximately $1.8 billion over the same ten-year period. ERA’s portfolio includes projects that will address Alberta’s climate leadership priorities and 2030 Innovation Targets, including reducing emissions in the oil sands, reducing methane emissions, phasing out coal-fired electricity generation, and increasing deployment of renewable energy. We invest in the solutions that industry needs to address the problems Alberta must solve today, while also seeking out transformative technologies to address Alberta’s largest sources of GHG emissions over the longer term. To ensure our investments respond to Alberta’s climate change needs and priorities, we have established four key strategic priorities. These include: 1. Accelerate GHG Reducing Technologies 2. Advance Innovation System Priorities 3. Measure and Communicate Success 4. Advance Operational Excellence ERA has also developed a Technology Roadmap to guide our funding decisions and inform our portfolio going forward. The Roadmap defines technology pathways and areas of focus for future ERA investments that support Alberta’s desired climate change outcomes. It can also assist the broader innovation system in aligning around common climate change and innovation investment goals and priorities. Funding alone will not accelerate new technologies to commercialization. Today’s innovators face significant and numerous challenges that hinder technologies from scaling up so they can be adopted by industry. Success requires backing innovative technologies with smart financing and strong business models, and creating an effective and efficient environment where good policies and strong regulatory frameworks enable us to deliver on our mandate. Collaboration is critical to success, and ERA is working closely with partners from government, industry, and academia to secure a lower carbon future for Alberta. Together, we are helping to create complete solutions, including the suite of policy, --- $^4$ Direct impacts are those directly from the projects; indirect impacts come from the demand created by project investment; induced impacts are residual impacts to the economy. regulatory, program, and business innovation tools required to address system challenges and deploy new technologies. Alberta has articulated its desired climate change outcomes and priorities through the Climate Leadership Plan. This 2017-2020 Business Plan sets out the activities and the resources required for ERA to play a key role in achieving success. Our four strategic priorities, summarized in this executive summary and described in further detail in the sections that follow, provide the framework for our actions. ERA’s $100 million budget gives us the means to effectively execute on our Plan. Critical among the actions we will undertake, is the delivery of two funding opportunities per year averaging $40 million each, in alignment with the investment areas of focus established in our Technology Roadmap. These calls for proposals will be augmented by our Partnership Intake Pilot – an opportunity for ERA to fund innovative GHG-reducing projects that are brought forward by our trusted funding partners in the system. We have set aside $15 million for the Pilot, which will allow us to consider funding promising technologies outside of our traditional call for proposal process, while leveraging the due diligence processes undertaken by partners like Alberta Innovates and Sustainable Development Technology Canada (SDTC). At ERA, we are committed to helping Alberta become a recognized innovation and technology leader in a lower carbon world. In the pages that follow you will learn in greater detail how we are doing more than imagining a better future – we are helping build one. 1.1 Strategic Priority #1: Accelerate GHG Reducing Technologies Fund innovative solutions that result in meaningful GHG emissions reductions in Alberta and contribute to a lower carbon world. What we plan to do - Rigorously select projects that facilitate GHG emission reductions and represent best-value for investment - Strategically align portfolio investments with GOA priorities - Engage with key stakeholders to understand and be responsive to Alberta Climate Leadership Plan policies as well as market demands What we plan to deliver - Innovative projects focused on reducing GHG emissions and addressing identified market needs in Alberta - Investments informed by ERA’s Technology Roadmap - Quantitative sectoral GHG emissions analysis - Host workshops, conferences and board events What we seek to accomplish - Increase investment in Alberta-based projects that will contribute to reducing GHGs in Alberta and Canada - Increase jobs in Alberta’s clean technology sectors - Increase investment in solutions that align with Alberta’s Climate Leadership needs, 2030 Innovation Targets, and Alberta’s market demand Where we plan to have an impact - Eliminated coal-fired electricity generation emissions and increased renewable energy; reduced oil sands emissions; reduced methane emissions; and increased process efficiency - Maintain Alberta’s economic competitiveness What we plan to measure - GHG emissions reductions - Investment - GDP impact - Job creation 1.2 Strategic Priority #2: Advance Innovation System Priorities Leverage our strengths to contribute to critical climate change innovation priorities in Alberta. What we plan to do - Maintain existing and establish new partnerships that maximize and leverage shared investment capacity and expertise - Facilitate strategic partnerships among projects and resource/knowledge suppliers What we plan to deliver - Leveraged investments - Strong strategic partnerships in Alberta, Canada, and internationally - Knowledge and resource sharing to support clean technology development What we seek to accomplish - Increase capital for innovation and technology - Increase commercialization and long-term viability of GHG emission reduction technologies with identified consumers Where we plan to have an impact - Increased supply and use of clean technology, products and practices - Increased skills and employment in clean technology sectors - Accelerated adoption of clean innovation What we plan to measure - Number of projects - Partnership and collaborative activities - Investment leverage - Project technology readiness level (TRL) progression 1.3 Strategic Priority #3: Measure and Communicate Success Define and report on metrics to demonstrate results. What we plan to do - Monitor and evaluate progress of funded projects - Communicate progress of ERA’s funded projects What we plan to deliver - Reporting of project GHG emission reductions, economic impacts, and learning from technology development - Stewardship Reports - Participation, sponsorship and hosting of events aligned with ERA’s mandate What we seek to accomplish - Increase awareness of value for investment for ERA funders - Increase awareness of ERA’s strengths and credibility as a leader in GHG emission reduction - Increase recognition of Alberta as an innovation and clean technology leader Where we plan to have an impact - Increased support and engagement of Albertans What we plan to measure - Stakeholder awareness of and attitudes towards ERA - Number and impact of communications and outreach events - Contribution to Climate Leadership Plan measures and 2030 Innovation Targets 1.4 Strategic Priority #4: Advance Operational Excellence Strive for excellence in operations and efficiency while maintaining responsiveness to stakeholders and funders. What we plan to do - Incorporate information and learning to improve ERA’s intake, evaluation, and funding processes What we plan to deliver - Alignment of operating actives with GOA priorities - Business delivery model review What we seek to accomplish - Increase operational effectiveness and efficiency in ERA’s decision making cycle Where we plan to have an impact - Alberta is recognized as a climate leader What we plan to measure - Operating costs as a percentage of approved project commitments - Length of ERA intake and decision-making cycle - Board effectiveness 2.0 ABOUT OUR ORGANIZATION 2.1 We Are Emissions Reduction Alberta ERA was created in 2009, as the Climate Change and Emissions Management (CCEMC) Corporation to support Alberta’s climate change goals. We invest in transformative technologies to help create a sustainable and diversified economy that attracts investment, creates jobs, expands market access, and delivers improved environmental outcomes. Aligned with Alberta’s Climate Leadership Plan and 2030 Innovation Targets, ERA is an integral player in achieving these ambitious goals. While many jurisdictions have a mechanism to invest in clean technologies, the ERA model is unique. The province of Alberta provides ERA with grants that enable us to fulfill our mandate. Our funding is sourced from Alberta’s large emitters who are required to reduce their GHG emissions to meet a regulated target. Such emitters may elect to comply with these regulations by paying into the Climate Change and Emissions Management Fund (CCEMF) if this option is less costly than physically reducing their emissions. The Fund is the source for grants to ERA. Since 2009, ERA has committed more than $330 million in funding to more than 100 projects. ERA funding is leveraged, and for every dollar we invest, nearly six dollars are also invested by industry, innovators and other project funders$^5$. ERA is a Delegated Administrative Organization (DAO), which is incorporated under the Canada Not For Profit Corporations Act. While ERA operates at arm’s length from the province, there are a host of regulatory and contractual mechanisms in place to ensure accountability to the government and responsibility for environmental stewardship in Alberta. These include a designating regulation, the Climate Change and Emissions Management Fund Administration Regulation, a memorandum of understanding (MOU) and a grant agreement. The Minister of Alberta Environment and Parks and the Minister Responsible for the Climate Change Office appoints the Chair of ERA. Like all DAOs, ERA is required to annually submit a business plan and an annual report to the Minister and is subject to the Freedom of Information and Protection of Privacy Act. ERA’s interest is in reducing GHG emissions, removing barriers to technology development and commercialization, and sharing the knowledge gained to accelerate the development of the --- $^5$ The leveraging figure is a ratio of ERA commitment to total project value. It is significantly influenced by Blackspring Ridge, a major wind project in southern Alberta. If that project is removed, ERA leveraging is about 4:1, based on our current portfolio. technologies Alberta needs to meet its climate change goals. Our investments have focused on demonstration and deployment projects, but they span the innovation spectrum. As an arms-length organization, we are well placed to deal with the risks of innovation, including failure. Our independent, transparent and rigorous due diligence and selection process is designed to minimize this risk. When projects are not successful we use the knowledge we gain from those experiences to innovate more quickly in all areas. 2.1.1 New Brand Formerly CCEMC, ERA was rebranded in 2016, to make it clear that the organization is part of Alberta’s climate change efforts and to better reflect ERA’s mandate. The name change also speaks to changes in how we deliver on that mandate. We are more actively managing our investments by adopting a systems or “complete solutions” approach, and through the development of a Technology Roadmap (section 4.1) to help guide our investments and ensure our portfolio is in strong alignment with policy direction and the needs of large emitters. We are making additional strategic changes to accelerate technology development. These include actively seeking out new opportunities for collaboration, and piloting new mechanisms to fund promising technologies for reducing Alberta’s environmental footprint (section 4.2). Since its formation in 2009, ERA’s business needs have been delivered by a network of service providers contracted to carry out specific functions, such as accounting, legal, and communications. To support our work, we are adding dedicated strategic and technical staff resources where it is the most efficient and effective (section 4.4). Although our name has changed, our commitment to reducing GHG emissions has never been stronger. Our relationship with the newly consolidated Alberta Innovates organization remains strong, and existing partnerships like these remain critical to our success. The CCEMC legal name continues to exist but is not public facing. Emissions Reduction Alberta (ERA) is a legal trade name of Climate Change and Emissions Management (CCEMC) Corporation. Existing contribution agreements do not change as a result of our new name; ERA continues to fund and support previously approved CCEMC projects. 2.2 We Are Accelerating Emissions Reductions ERA is actively working to accelerate more than 100 projects that have the potential to reduce GHG emissions in Alberta. While ERA’s primary focus is on technologies that will reduce GHG emissions beyond 2020, ERA has also supported projects that have produced near-term reductions. These are estimated to achieve more than seven megatonnes in cumulative net emissions reductions by 2020, with additional market potential$^6$ of more than four megatonnes by the same year. In the year ahead, ERA will advance several important opportunities to accelerate GHG reducing technologies. In spring 2017, we announced successful funding recipients under Round Two of the ERA Grand Challenge: Innovative Carbon Uses. The competition was designed to scan the globe for ideas that could be used in Alberta to turn carbon dioxide waste streams into valuable products. Round One gave up to $500,000 to 24 projects to prove out early stage concepts. Round Two narrowed the field to four recipients who have each received commitments of up to $3 million dollars to advance their technologies. For the Grand Challenge projects, the ultimate aim is to provide a net GHG reduction of one megatonne (1,000,000 tonnes) annually. In Round Three of the Grand Challenge, one of the four groups from Round Two will be selected to receive a grant of up to $10 million to advance their technology in Alberta. The Round Three Grand Challenge winner will be announced by 2020. In 2017, we will also announce recipients from our joint call for proposals with SDTC. The call offered a unique funding opportunity to Canadian clean technology innovators and entrepreneurs. Together we made up to $40 million in funding available, with a maximum of $10 million per project, to individual GHG reducing technologies from Canadian small and medium-sized enterprises that are deployable in Alberta. --- $^6$ Market potential is calculated by ERA to estimate emission reductions that might be expected to occur under forecast market conditions. Considerations include policies and measures currently in place, and arising from the successful commercial adoption of technologies into Alberta, GHG emissions intensity, the estimated market size, various economic indicators and the lifespan of the technology. Finally, in 2017 we will select recipients of funding under ERA’s Methane Challenge. The climate change impact of methane is significant – twenty-five times greater than carbon dioxide over a 100-year period. The Alberta Climate Leadership Plan and Alberta’s 2030 Innovation Targets aim to reduce methane emissions by 45 per cent by 2025. Launched in 2016, the Methane Challenge made up to $40 million in funding available to develop technologies that address methane detection, methane quantification, or reduction of methane emissions in Alberta. ERA projects have positive economic impacts, as well as environmental impacts, in Alberta and Canada. Seventy-six projects representing over 90 per cent of ERA’s investment portfolio are Alberta-based. Sixty-two of ERA’s projects, representing a total commitment of $190 million, are led by small- and medium-sized enterprises. ERA’s investments also result in increased economic activity and employment. A 2017 study by Alberta’s Department of Economic Development and Trade$^7$ found that during the ten-year period from 2011 to 2021 ERA’s investments in projects will support at least $200 million in salaries and benefits, $500 million in capital spending, and an additional $1.1 billion in sub-contracting costs, which will include further capital and operational spending. During this same ten-year period, ERA projects are expected to result in direct economic benefits to Alberta of approximately 4,000 person-year jobs and $485 million of GDP growth. The total economic impact of ERA investment, including indirect and induced impacts,$^8$ is estimated to be an increase of approximately $1.8 billion to Alberta’s GDP, with more than 15,000 person-year jobs added over the same period.$^9$ ERA AND RELATED INVESTMENTS – IMPACT ON GDP AND JOBS, ALBERTA AND CANADA \| \| Direct Alberta \| Total Alberta \| Total Canada \| \|----------------------\|----------------\|---------------\|--------------\| \| GDP ($ millions) \| $485 \| $1,770 \| $2,314 \| \| Jobs (person-years) \| 4,000 \| 15,500 \| 21,900 \| Source: Alberta Department of Economic Development and Trade modeling using Statistics Canada Input-Output Model --- $^7$ Using Statistics Canada’s input-output model. $^8$ Direct impacts are those directly from the projects; indirect impacts come from the demand created by project investment; induced impacts are residual impacts to the economy. $^9$ Provincial GDP increase is less than total investment. Although projects may be located in Alberta, some goods and services are provided to Alberta-based projects by other provinces, resulting in spillover effects. 2.3 We Are Part of a Larger Plan 2.3.1 Supporting Alberta’s Climate Leadership Alberta’s Climate Leadership Plan represents important progress for Alberta, and is an example of meaningful action by the province in support of Canada’s obligation to meet GHG reduction targets. It is aligned with GHG mitigation priorities for Canada and with international agreements, and provides a mix of policy tools with the potential to deliver significant GHG reductions. Alberta’s price on carbon is a critical tool for driving such reductions, and the carbon price paid by large final emitters is the source for ERA’s funding. Meeting global targets will require ambitious and comprehensive programs of GHG mitigation options not just for Alberta, but for Canada and globally. Realizing these ambitious targets will require focused alignment around common priorities. ERA has worked with government, industry and stakeholders to develop a Technology Roadmap that will not only guide ERA’s investments, but will also help align the system around common research and innovation priorities in support of the Climate Leadership Plan. While our investment portfolio was originally designed to reflect the priorities identified in Alberta’s 2008 Climate Change Strategy, ERA’s investments remain strongly aligned with the priorities of the government’s 2016 Climate Leadership Plan. ERA’s portfolio includes projects that address Climate Leadership Plan priorities including the 100 megatonne oil sands emissions cap, reducing methane emissions, phasing out coal-fired electricity generation, and increasing deployment of renewable energy. For example, ERA has committed nearly $100 million to renewable energy projects with a total value of almost $900 million. ERA has also committed more than $71 million to support projects to accelerate emissions reductions from in situ oil production and an additional $29 million to address emissions from oil and natural gas extraction. The key to Alberta’s economic wellbeing does not lie within the energy industry alone. ERA’s portfolio touches all industry sectors, including opportunities to reduce emission from biological sources. We are currently supporting 25 biological projects with a commitment of nearly $30 million, in areas like forestry and agriculture. 2.3.2 Aligning with Alberta’s Innovation System Alberta’s innovation system is home to multiple government and private agents, service providers, and academic institutions that assist the government in its work to achieve its climate change objectives, while also supporting innovators and entrepreneurs. Alberta offers a continuum of support organizations intended to allow innovators, entrepreneurs, small businesses, and large industry alike to move forward with new technologies to meet global challenges. The system is growing and evolving and includes a broad spectrum of organizations and initiatives with climate change emerging as a key priority. ALBERTA’S INNOVATION ECOSYSTEM Note: This is not an exhaustive list. At one end of the spectrum, Alberta’s innovation system includes those seeking policy options, including government departments like the Alberta Climate Change Office, Alberta Economic Development and Trade, and Alberta Energy. It also includes policy instruments such as the Climate Leadership Plan, the work done by the Climate Technology Task Force, and the advice provided by the Oil Sands Advisory Group. At the other end, it includes organizations like TEC Edmonton and Innovate Calgary, who provide the business development supports that help move technologies towards commercialization. This also involves groups that provide financial solutions such as Alberta Treasury Branch (ATB), the Business Development Bank of Canada (BDC), and angel and venture capital organizations. Finally, it includes groups that focus on technology development, like ERA, SDTC, Alberta Innovates, post-secondary and research organizations, and industry. Organizations across Alberta’s innovation system need to work together to scale-up the most promising solutions. To do so, the system needs clear and focused strategic outcomes, so all players can align their efforts. Alberta has the pieces in place; now we need them aligned and working together to create the seamless handoffs required for success. To support this alignment, the province is developing a suite of Innovation Targets to achieve by 2030. The targets are intended to be realistic and measurable, while inspiring collective action to develop transformational solutions that advance our desired outcomes. These aspirational, yet feasible targets, established in Alberta’s areas of strength and emerging opportunities, are intended to help the province: - Stimulate bold ideas and actions from innovators, industry and entrepreneurs; - Guide research investment to support new knowledge where it’s needed; and - Support a robust pipeline of innovations from early stage, to scale-up, to market-ready. ERA’s path forward is clear. Our Technology Roadmap will help chart the course towards shared climate change and innovation goals that result in meaningful GHG reductions in Alberta. Alberta’s 2030 Innovation Targets The Government of Alberta is setting aspirational, yet achievable innovation targets to achieve by 2030. These include: Grow Alberta’s Green Economy Support the cleantech sector to increase industry sales revenue by 25%, thereby increasing Alberta’s global market share by 20% Reduce GHG Emissions Support Alberta’s climate change goals by accelerating solutions to reduce methane emissions by 45% by 2025 and ensure a dynamic portfolio of GHG emission reduction technologies (2014 base) Increase Value & Market Access Support the successful commercialization of new value-added products to increase the market value of Alberta’s oil and gas exports by 25% and expanding access to market Improve Oil Sands Efficiency Oil sands production efficiency and economics improve by decreasing fresh water use by 50%, GHG emissions by 50% on a per barrel basis, and supply cost of bitumen to be globally competitive Renewable Energy Renewable sources, like wind and solar, will contribute 30% of Alberta’s electricity generation. Drive Bioindustrial Investment Industry operating in the value-added bioindustrial sector will attract an additional $3 billion private sector investment in Alberta 3.0 STRATEGIC CONTEXT – THE CHALLENGE 3.1 The Technology Imperative Without a doubt, meeting the world’s growing energy demand while reducing GHG emissions requires innovation and transformative technologies. Incremental improvements and energy efficiency gains that allow us to do the same things better are essential, especially in the short-term, but they alone will not get us where we need to go. Deployment of next generation technologies is a critical component of a global solution to address climate change in the long term. 3.1.1 Achieving GHG Reductions in Multiple Timeframes The technology imperative makes it clear that addressing climate change requires investment across multiple timescales – both near and long term. There are “off-the-shelf” solutions available today that can contribute to reducing GHG emissions in the near future, as well as solutions that need a financial “push” to move to commercialization. These economically attractive options like energy efficiency can help, but these alone will not produce the GHG reductions that are required to meet the commitments set out in the United Nations Framework Convention on Climate Change (UNFCCC) Paris Agreement. It is a tremendous challenge that will require accelerating development of game-changing technologies. Long-term reductions require focused and sustained investment in breakthrough solutions, or the “10X improvements.” Advancing such potentially game-changing technologies is risky, but offers the potential for much greater emissions reductions. 3.2 Critical Innovation System Gaps Today, innovators face significant and numerous system gaps that hinder technologies from scaling up so they can be adopted by industry. Public funding alone will not accelerate these new technologies to commercialization. Addressing these gaps requires an all-hands-on-deck approach, with government and industry sitting at the same table. 3.2.1 Market Pull and Policy Push Innovation System Gaps In order for a new technology to advance to commercialization, it must provide a solution that industry needs. Policy and regulation, such as carbon pricing and performance standards, can create incentives for industry to seek out opportunities to improve operations, reduce costs and find efficiencies. Alberta needs to consider both market pull and policy push in determining its technology investments. To be effective, we should invest in solutions that tackle the problems Alberta must solve today, while also seeking out transformative technologies to address Alberta’s largest GHG sources over the longer term. 3.2.2 Business Development and Competency Gaps Even with a strong demand for a solution from the market, deployment of a new technology requires a successful business model. Furthermore, business models must identify a first customer for the solution – ideally someone who is willing to partner to demonstrate or validate the technology. An idea also needs the right team assembled around it – one that can begin to consider supply chain management, manufacturing, sales, and that can take the technology into product commercialization. 3.2.3 Lack of Scale-Up Capital Solutions to address the climate change challenge require investments of significant scale and magnitude. In 2015, the International Energy Agency (IEA) estimated that $13.5 trillion in capital will be required between now and the year 2030 to fund commitments made under the Paris climate agreement. Countries are investing billions of dollars in climate change innovation, and Alberta’s emissions and energy challenges require a scale of investment that is commensurate with its climate leadership ambitions. Furthermore, clean energy technologies in particular require significant capital investment to develop and commercialize. High potential innovations have been left on the table because there are insufficient funds for investment. Lack of capital investment for demonstration, scale-up, and product launch can impede development, since the ultimate customers for a technology are often unwilling to take on the risk inherent in these stages, and development companies are typically not yet able to access traditional bank financing. Directing public money to demonstration projects can help to de-risk private sector investment and ERA funding has helped advance promising technologies in Alberta. However, some of these technologies are now at a development stage where significant capital is still required before private financial institutions will invest. While these may be promising technologies, they are struggling to access the level of large patient capital that is required to move to commercialization. 3.3 Aligning Efforts Through a Complete Solutions Approach ERA’s mandate is to invest in technology solutions, but this is not our sole focus. Although funding is part of the solution, creating partial solutions will not result in success. Success will require smart financing and strong business models, and creating an effective and efficient environment where good policies and strong regulatory frameworks enable us to deliver results. To support economic diversification, job creation, education, training and climate change action, ERA will work in close alignment with the evolving Alberta innovation system. We will do our part to create complete solutions, including the suite of policy, regulatory, program, and business innovation tools required to address system gaps and deploy new technologies. By putting these conditions for success in place, we will make it clear to investors and inventors, and all the players in between, that Alberta is a place to turn ideas into products, and products into companies. Going forward, ERA will play a role not only as a funder, but also in providing mentorship, engaging in complementary strategies being developed by government, and collaborating with organizations that promote innovation in Alberta and across Canada, including Alberta Innovates, Ontario Centres of Excellence (OCE) and SDTC. The private sector is also stepping up through unique models like Canada’s Oil Sands Innovation Alliance (COSIA), a collaborative alliance of oil sands producers working to improve environmental performance. Large emitters are ERA’s partners in the system, too, investing in innovation and choosing to pay into the Climate Change and Emissions Management Fund that funds our operations. 4.0 ERA: SUCCESSFULLY ACCELERATING INNOVATION Innovation and technology are critical to delivering on Alberta’s desired climate change outcomes and priorities. ERA is putting the right delivery mechanisms in place to play a key role in achieving success. These include a balanced portfolio, an efficient and effective business model, clear and focused priorities for our investment and operations, robust performance metrics, and stable, predictable funding. The sections that follow describe the initiatives and actions required to deliver on our mandate, while our $100 million budget (Section 7.0) gives us the means to effectively execute on this Business Plan. 4.1 Technology Roadmap As part of engaging in more active management of its portfolio, ERA has developed a Technology Roadmap to help guide its investment decisions and inform its portfolio mix. It is designed to assist ERA in addressing the critical system challenges and gaps highlighted in Section 3.0 of this Business Plan by ensuring ERA’s investments are achieving GHG reductions in multiple timeframes; providing solutions the market needs, building on Alberta’s existing strengths and creating new opportunities; and building on guidance from Alberta’s climate and innovation system. The Roadmap defines potential innovation and technology pathways for achieving desired climate change policy outcomes, maps the tactical options and initiatives to deliver needed solutions for each pathway, and identifies potential high impact technology investments that can help demonstrate Alberta’s climate change leadership. It also provides advice regarding specific responsibilities and accountabilities of players in the innovation system. The Roadmap can help align the broader innovation system to deliver meaningful GHG reductions in Alberta. If successful, the Roadmap will assist the innovation system in focusing on common climate change and innovation goals, technology pathways and priorities, and defined implementation timeframes. 4.1.1 ERA Technology Roadmap Investment Areas of Focus ERA has identified four areas of focus as a result of its work to-date on developing the Roadmap: 1. Transformative technologies and innovation to reduce the GHG footprint of the fossil fuel supply chain and reduce methane emissions while reducing production costs; --- 10 ERA’s Technology Roadmap is available on the ERA website at ERAalberta.ca 2. Technology and innovation to reduce the GHG footprint of Alberta’s electricity supply mix and add more non-emitting supply to meet overall demand; 3. Innovation and early stage technologies for biological resource optimization in supporting energy system transformation, such as biofuels/bioproducts and carbon retention opportunities; and 4. Industrial process efficiency technologies to deliver GHG reductions through opportunities such as energy conservation and energy efficiency. AREAS OF FOCUS - Reduced GHG Footprint of Fossil Fuel Supply - Advanced recovery - Fugitive emissions - Partial Upgrading - Beyond combustion - Low Emitting Electricity Supply - Co-generation (✓) - CCUS (✓) - Coal phase out - Biological Resource Optimization - Biofuels - Bio-products - materials - BioPower (✓) - Industrial Process Efficiency - Industrial efficiency (✓) - Process improvements (✓) POTENTIAL INITIATIVES - Electricity- oil sands integration (✓) - Geothermal (✓) - Products of CO₂ (✓) - Wind, Solar - Storage - Hydropower - Carbon retention - N₂O & CH₄ emissions - Waste management - Low emitting heat generation (✓ ✓) Check marks indicate where potential initiatives apply under more than one area of focus. The unprecedented pace of technological change, as well as the breadth and the depth of many radical changes unleashed by both the new digital age and energy production technologies (such as fracking), represent major uncertainties for the direction of innovation. At the same time, global and Canadian climate policies remain uncertain, could evolve rapidly and will likely become even greater drivers for technological innovation and change. ERA’s Technology Roadmap should be viewed as a living document, and part of a continuous process designed to support a flexible and nimble organization that can adjust to new information, new challenges and new opportunities. Furthermore, the process for decision making on the GHG mitigation options and how mitigation programs can be implemented is complex. While the Roadmap will be used first and foremost to guide ERA investment decisions, we will continue to engage broadly with government and stakeholders to seek advice and validate the priorities and directions of the Roadmap. 4.2 Strategic Initiatives and Partnerships Partnerships are central to success, and ERA is working collaboratively with government, industry and other stakeholders to secure a lower carbon future for Alberta. Partnerships enable us to leverage funds, share risk, and accelerate technology development. They are especially important in the Alberta context where advancing energy technologies can cost hundreds of millions of dollars. Partnerships provide an opportunity to align around outcomes, challenges and directed innovation opportunities. Partnerships can also limit duplication of lengthy due diligence processes and shorten funding timelines for promising technologies. And they help to convene and close the gaps on technological, business development, financial resources, and capacity. Our recent collaborative efforts include a call for proposals offered in partnership with SDTC, as well as working with COSIA to jointly advance critical CO₂ conversion technologies through the ERA Grand Challenge and the NRG COSIA XPRIZE. Our ongoing relationship with the newly consolidated Alberta Innovates is critical to achieving our strategic and operational goals. More importantly, the partnership provides the innovators and technologies we fund with a simplified means for accessing our resources and supports. We have learned a great deal through collaboration, and partnerships will continue to play an important role in accelerating technology development in the years ahead. We will seek to further existing partnerships with organizations like SDTC, COSIA, and OCE, as well as look to develop new collaborative relationships with academic and research institutions, federal organizations such as Natural Resources Canada (NRCan), and financial institutions like Alberta Treasury Branch (ATB), who are exploring opportunities for clean technology investment and green financing. We are also exploring new ways of doing business that will allow us to better leverage our partnerships towards shared outcomes. The following pilots are being launched to assess how they contribute to accelerating innovation and more rapidly move ideas to commercialization in Alberta. 4.2.1 Partnership Intake Pilot ERA will continue to use a competitive process to select projects through its core funding program, generally inviting submissions twice a year. This involves a rigorous due diligence process to select projects for funding that are most aligned with our mandate and the investment priorities identified in our Technology Roadmap. The call for proposals process is an effective and efficient process for evaluating multiple opportunities and for comparing the relative merits of different opportunities side-by-side. However, the scope and timing of ERA’s calls for proposals process has resulted in some challenges and missed opportunities. Examples include: • Projects that receive funding from ERA and one or more partnering organizations often undergo multiple lengthy, and sometimes duplicative due diligence processes; • ERA is sometimes presented with strong opportunities through partnering organizations, such as Alberta Innovates, but is unable to evaluate these opportunities in a timely manner because the next call for proposals is not open or is not aligned by focus area; and • ERA often evaluates proposals that are strong, but contain weaknesses that result in a recommendation not to fund. If applicants are able to address their weaknesses, they may not have a timely opportunity to re-enter into the ERA funding process. To address these challenges and develop greater flexibility, ERA is undertaking a process on a trial basis that allows proposals from “trusted partners” to be evaluated and considered for funding in an ongoing manner. Through the Partnership Intake Pilot, ERA will develop a formal definition and criteria for its trusted partners. In general, a trusted partner will include funding organizations with rigorous, fair and transparent due diligence processes comparable in principle to ERA’s, including elements such as peer review and technical expertise. This could include provincial organizations and funders such as Alberta Innovates and OCE; federal entities like SDTC and NRCan; research and polytechnic institutions; and industry, financial institutions and private funders whose investment priorities are aligned with ERA’s mandate and desired outcomes. The Pilot will provide credible technology developers more timely access to ERA funding; allow ERA to leverage our trusted partners’ due diligence processes; and allow ERA to develop capacity and processes for evaluating applications on an ongoing basis. The Pilot will also help inform the benefits and resource requirements for consideration of a continuous intake model in the future. ERA will run this Pilot for one year, at which time it will review the outcomes and learnings and decide on next steps. 4.2.2 Innovator Support Pilot The innovation system in Canada and Alberta is complex, but rich in resources and capacity. ERA is uniquely positioned to leverage and convene capacity in the system to foster the commercialization of innovative technologies, over and above the funding and technical expertise it brings to the table. When projects are selected and contracted for funding, it is common practice for ERA to assign a project advisor to help steward the project in accordance with its funding agreement. Furthermore, ERA has worked with select funded or contracted projects to address business, financial or technological readiness challenges with some success. ERA has also begun to explicitly incorporate commercial potential criteria for each project into the funding applications and contribution agreements. To enhance this perspective, ERA has engaged IC.TEC, a collaborative relationship between Alberta incubators Innovate Calgary and TEC Edmonton. IC.TEC is jointly supporting ERA proponents alongside Alberta Innovates, and participating in the upfront project review process to select recipients of ERA funding. ERA has also worked with IC.TEC to develop a web-based series of educational modules. The series is focused on providing broad awareness to entrepreneurs about business topics that are necessary from the idea stage, entering the market, through expanding the market. The modules are being piloted with ERA’s Grand Challenge and Methane Challenge funding recipients, and we are working with government departments to determine how this material could be leveraged for the further benefit of the innovation system in Alberta and, if desired, across Canada. Given the success of these efforts, ERA sees an opportunity to explore additional proponent support for the benefit of unfunded projects or technologies. Together with SDTC, ERA is jointly piloting a more structured process for growing the support capacity to assist promising projects and technologies. A number of unfunded but promising technologies identified under the joint ERA-SDTC funding call offer an opportunity to pilot such a process. This “SWAT team” capacity would leverage the knowledge of existing entities and experts in the innovation ecosystem, with ERA and SDTC providing a triage and connecting function to help identify and bring together the appropriate resources needed for success. This Innovator Support Pilot will target projects or technologies that show promise but do not yet qualify for funding due to specific challenges. The SWAT team model affords ERA and SDTC the opportunity to identify at an early stage potential barriers to commercialization and flag the resources required to overcome these barriers. Initiating this process prior to funding would allow barriers to be identified and addressed before entering into a contribution agreement, leading to more successful funded projects and fewer stranded grants. This SWAT team approach would also allow projects to be on-ramped for funding more quickly once specific barriers are addressed, since the bulk of the due diligence would have already been completed. An important element of such a program will be to develop the criteria to determine what constitutes a “promising” project or technology that merits additional time and resources. It will also be important to determine through the Pilot what costs ERA is prepared to bear in providing proponent support; what internal resources we are prepared to dedicate to this effort; what period of time we are willing to dedicate, required financial and staff resources; and how we can maximize existing external financial and human capital resources in the system. 4.3 Future Funding Opportunities ERA invests in innovative technologies that reduce GHGs, align with the outcomes of the Climate Leadership Plan, and provide solutions the market needs. This investment will be made available primarily through the delivery of two funding opportunities per year averaging $40 million each. These calls for proposals will be augmented by $15 million we will invest under our Partnership Intake Pilot (section 4.2.1). ERA’s Technology Roadmap (section 4.1) provides us with areas of focus for investment and guideposts to help shape our portfolio. Based on the policy direction provided by the Climate Leadership Plan, and the priorities and guideposts laid out in the Roadmap, there are four potential funding areas that ERA is exploring for its future funding opportunities. 4.3.1 Technologies to Help Meet the 100 Megatonne Per Year GHG Emissions Limit for the Oil Sands Alberta’s oil sands sector accounts for about one-quarter of Alberta’s annual emissions, emitting roughly 70 megatonnes per year. The Alberta government is implementing measures intended to create conditions for the oil sands sector to innovate and become more globally competitive. These include transitioning to an oil sands-based performance standard for the $30/tonne carbon price and legislating a 100 megatonne overall limit to oil sands GHG emissions. The limit is intended to help drive technological progress, ensure Alberta’s operators have the necessary time to develop and implement new technology that reduces emissions intensity, help bend Alberta’s overall emissions trajectory downward, and support continued economic growth through increased production. If we are not able to effectively reduce the GHG footprint of the oil sands, Alberta may lose future revenues and continue to struggle with issues like market access and social license. Industry has recognized the need for solutions to address this critical challenge. GHGs represent one of the four key Environmental Priority Areas (EPAs) identified by COSIA. Through this collaborative industry organization representing approximately 90 per cent of oil sands production, member companies are investigating ways to reduce energy use and associated GHG emissions through the development of innovative technologies for oil sands in situ and mining operations. Industry players are also jointly funding Evok Innovations, a cleantech fund that accelerates the development and commercialization of solutions to the most pressing environmental and economic challenges facing the oil and gas sector today. Among their goals is to achieve net-zero carbon emissions across the entire oil and gas value chain. Government also recognizes that continuing to grow our economy depends on applying technology to reduce our carbon output per barrel. In 2016, the province established an Oil Sands Advisory Group (OSAG) composed of members from industry, environmental organizations and Indigenous and non-Indigenous communities to provide advice on the oil sands aspects of the Climate Leadership Plan. The OSAG mandate includes considering how to implement the 100 megatonne per year carbon emissions limit and providing advice to government on investing carbon revenues in innovations to reduce future emissions intensity. ERA needs to work with both industry and the OSAG to advance this potential funding opportunity area in alignment with government outcomes and priorities. In early 2017, ERA hosted a workshop to increase understanding and alignment with the OSAG, and to garner input into ERA’s Technology Roadmap in the context of the oil sands sector. The discussion included a spectrum of stakeholders including oil sands companies, industry associations and non-governmental organizations, provincial and federal government departments and agencies, academia, technology incubators and accelerators, and investors. Key emerging themes of the workshop centered largely on the need to balance seemingly competing principles when considering innovation and investment priorities for this sector. For example, ERA should seek opportunities to: - Support resiliency of existing infrastructure AND growth opportunities for new facilities; - Address industrial greenhouse gases AND grow the economy; and - Invest in “big bets” AND develop a diversified portfolio. These and other discussions have revealed several promising technology families and options to help address this challenge in the oil sands. For example, technologies that can reduce or eliminate the need for water for situ development are widely viewed as essential to reducing GHG emissions in the oil sands, including solvent technologies and others that use solvents with electromagnetic heating. However, as with many clean technologies under development, a critical challenge facing innovation in the oil sands is securing capital for late stage technology demonstration and first use deployment. Table 1 provides a framework for potential technology themes that ERA could support under this funding opportunity. Table 1. Potential Oil Sands Technology Themes \| \| Mining Operations Technology Themes \| In Situ Operations Technology Themes \| \|---\|---\|---\| \| Large Step-Change Improvements of Established Technology Platforms and Infrastructure (Brownfield) \| Reduce GHG emissions from Tailings ponds \| Improved efficiency in delivery, utilization, and recovery of steam, e.g., - Solvent enhanced SAGD - Non-condensable gas injection \| \| New Technology Paradigms (Major Expansions & Greenfield Applications) \| Carbon Capture and (Utilization or Conversion) \| Non-aqueous bitumen extraction technologies \| \| \| \| Carbon Capture and (Utilization or Conversion) \| \| \| \| Non-steam based technologies, e.g., - Solvent-based recovery - Electric &/or radiofrequency heating \| 4.3.2 Technologies to Optimize Biological Resources Innovative technologies for biological GHG emissions management offer important investment opportunities for ERA. Agriculture, forestry and municipal waste management result in the release of biological-source GHGs of approximately 25 megatonnes annually, and methane from livestock digestion and manure, nitrous oxide from fertilizer and crop residue, methane from landfill gas and biosolids, and carbon dioxide from the use of fossil fuels and liming all offer opportunities for reduction, as do forest industry and waste management emissions. The use of biological processes and products to replace fossil carbons or “biocleantech” also holds significant promise to reduce emissions from other sectors. Areas of opportunity for Alberta include using agricultural and forest residues and municipal wastes to produce renewable natural gas; biomass co-generation for district heat and power and industrial process heat (oil sands in situ for example); biofuels for the transportation fleet; substitution of coal for electrical energy, cement and lime production; and biocrude upgrading. Unlike other industrial sectors, biological industries share a few unique attributes. Since many agricultural, forestry and municipal emissions sources are below Alberta’s regulatory threshold, emission measurement, monitoring and reduction have not become part of the core business for these sectors. Furthermore, economic incentives for emissions control are relatively small. In addition, both activities and emissions are generally more dispersed, so management strategies as well as technology development are unique and critically important. Biological sectors also offer opportunities to reduce emissions through carbon retention. The land can act as a sink, sequestering emitted anthropogenic carbon through practices like avoided deforestation, afforestation, and “negative emissions” technologies such as bioenergy with carbon capture. Technologies to help accurately measure and assess biological carbon retention and sequestration will be important for capitalizing on these opportunities. Through ERA’s assessment of its Biological GHG Management Program (section 4.4.2), several key areas for technology investment were identified. Technologies that monitor, collect, aggregate and analyze spatially explicit emissions data are essential for improved GHG management in land, forestry and agriculture. Further, such technologies are critical to a complete solutions approach for this sector that will support business development, policy creation, provincial reporting, and development of regulations and incentives relating to biological systems. Customized technologies for existing Alberta applications represent another important opportunity for investment. Adoption of biomass-based technology is often hampered by the inability to integrate new technologies with existing infrastructure. Technologies that facilitate use of biogenic carbons will inherently reduce emissions while generating new, high-quality jobs. An example of this approach includes the development and testing of biomass conversion units that can reduce the need to move bulky forest residues long distances for conversion to heat and power. Finally, advanced technology demonstrations are critical to furthering innovation in the biological sectors. As with many sectors, aversion to technology risk represents a barrier to adoption of technologies in Alberta’s biocleantech sector, and support is required to advance both the technology and the business model to commercial scale. Capital requirements for demonstration plants are high, but success offers opportunities to reduce GHGs while increasing economic development and employment. 4.3.3 Technologies to Support the Phase-out of Coal and Increase Non-emitting Electricity The Climate Leadership Plan commits to putting an end to coal-fired power emissions and transitioning to cleaner sources of electricity. Under the Plan, coal-fired electricity generation will be phased-out by 2030. The Plan also sets a “30 by ‘30” renewable energy target, in which 30 per cent of electricity used by Albertans will come from renewable sources like solar, wind and hydro by 2030. In partnership with the electricity sector, ERA can help accelerate and de-risk technologies to transition away from coal. Opportunities exist for innovative technologies to support Alberta’s climate goals, including new ways of harnessing non-emitting fuels, development of energy storage and distributed energy technologies, and technologies that generate energy from biological resources or geothermal fuel sources. While this represents an important potential funding area for ERA, work is still underway by Government to create the strong and stable policy and regulatory environment required to support this opportunity. The province is working to implement the advice provided by Alberta’s coal facilitator regarding the coal phase-out, and programs to accelerate deployment of renewable energy are still being developed, including the competitive and transparent bidding process that will be implemented under the Renewable Electricity Program. ERA will work closely with government, the Alberta Electric System Operator (AESO), and industry in the coming months to understand the specific opportunities to accelerate innovation that can respond to the policy and regulatory signals to phase-out coal-fired electricity generation, increase renewable energy, and address the technology needs of the market. 4.3.4 Technologies to Encourage Industrial Process Efficiency Energy and industrial process efficiency improvements are recognized as an effective way to reduce GHG emissions, while reducing costs for industry and saving consumers money. ERA has supported a number of technologies that improve industrial process and energy efficiency. They include, as examples, demonstrating Combined Heat and Power units in commercial and institutional buildings and demonstrating a high-efficiency evaporator system at a pulp mill. In 2015, ERA issued a call for projects that could deliver significant and sustainable near-term GHG reductions in Alberta, which included several industrial energy efficiency projects. Ultimately, the call was cancelled in order to ensure that investments in this area were aligned with ERA’s mandate and the policy direction of the Climate Leadership Plan. The Government of Alberta has committed to supporting energy efficiency and community energy system programs to help reduce energy use and associated costs, reduce GHG emissions, and support green jobs for families, businesses, industries, municipalities, and others. Under the Climate Leadership Plan the government has announced the establishment of Energy Efficiency Alberta, a new provincial agency that will deliver a variety of programs and services for energy efficiency and small-scale renewables. In 2016, the Government established the Energy Efficiency Advisory Panel to make recommendations on the types of energy savings programs that Energy Efficiency Alberta will deliver in the short and medium-term, as well as help set out its long-term vision. The Panel’s report to government included a number of recommendations related to innovation. As part of the long-term vision, the report suggests that the work of the Agency should help Albertans “embrace energy efficiency and readily access new energy-saving technologies, whether at home, school or work.” It also recommends that the Agency be formally represented and linked to government innovation structures and initiatives, and that “contribution to innovation” be used as a potential criterion for certain programming of the Agency. Accelerating technologies and investing in innovative projects that improve energy and process efficiency are important mechanisms for industry to cut both costs and carbon. This helps improve competitiveness on both the price and emissions profile of energy products, and is a critical part of increasing the resiliency and efficiency of our existing infrastructure. Investment in this area often involves supporting processes and technologies that allow us to do what we already do, but better. From a timescale perspective, this generally means delivery of nearer-term reductions through investment in scale-up of later-stage technologies that are closer to “shovel-ready”, as compared to riskier, game-changing technologies that could achieve deeper, but more long-term reductions. As a result, the barriers to implementing industrial process and energy efficiency opportunities are often related to access to capital and financing challenges, rather than being strictly technological in nature. As outlined in our Roadmap, technologies to improve industrial process efficiency should continue to be a part of ERA’s project portfolio, through both our call for proposal model and our Partnership Intake Pilot. Given the capital-intensive nature of industrial process and energy efficiency projects, we will rely on our well established and rigorous evaluation process and requirement that ERA funds be matched by private investment to ensure we are supporting the right projects and making the most efficient and effective use of our funds. ERA will also need to work closely with Energy Efficiency Alberta to ensure we are playing a complementary role in supporting this opportunity area going forward. The risks associated with not adopting these important technologies are significant. In addition to reducing GHG emissions, adoption of efficient technologies is necessary to close a growing productivity gap with our major competitors.\textsuperscript{11} The IEA has estimated that 70 per cent of potential energy savings in Canada’s industrial sector remains untapped for existing energy efficient technologies. If Alberta is not able to enhance industrial energy efficiency, it will impact the ability of the province’s largest industries to compete in the global marketplace. \textsuperscript{11} https://www.nrcan.gc.ca/sites/www.nrcan.gc.ca/files/www/pdf/publications/emmc/15-0138_Industrial%20report_e_acc.pdf 4.4 Ongoing Operational Improvements 4.4.1 Business Delivery Model Assessment ERA is currently assessing its business delivery model to ensure the organization can address its business needs efficiently and effectively and in a way that is aligned with Alberta’s Climate Leadership Plan, addresses market pull, and ensures promising technologies can be accelerated from ideation to commercialization through Alberta’s innovation system. Since we were established in 2009, ERA’s business needs have been carried out by a network of outstanding service providers and delivery partners contracted to carry out specific functions. However, every good business delivery model requires review and assessment to ensure it is providing the best possible value. This assessment aims to ensure accountability to stakeholders and that ERA is operating as efficiently, effectively and transparently as possible. As part of the work, ERA is transitioning to an organization with an increased number of staffed roles, supported by external services providers. Work to assess the delivery model is being supported by outside expertise and will include a review of ERA’s functional work areas and organizational structure, current business delivery methods and processes, and external service provider agreements. 4.4.2 Biological Program Assessment As part of the business delivery model assessment, and in an effort to further flesh out the priority areas of the Technology Roadmap, ERA undertook an assessment of its Biological GHG Management Program. Optimizing biological resources is a priority area for ERA going forward, as identified in the Roadmap. However, the current Biological GHG Management Program is funded by ERA but hosted by Alberta Innovates, and has features that make it unique from other aspects of ERA business. The assessment reviewed the Program’s outcomes, successes, and lessons learned since its inception, and will serve to develop an approach that will support Alberta Innovates and ERA delivering on the biological priority area in an integrated fashion over the long term. The assessment will inform ERA’s funding opportunity areas going forward (see section 4.3.2) and will serve to further Alberta Innovates and ERA’s partnership and integrated approach to investment in biological GHG management opportunities. As a result of this work, management anticipates the following changes to how we deliver on this priority: - A smaller number of focused investment priorities within the biological opportunity space; - Clearer role delineation, hand-offs and accountability among Alberta Innovates and ERA, enabling delivery on this priority area in a more integrated fashion over the long-term; • A delivery model more aligned in process, transparency and due diligence with other ERA priority areas of the Technology Roadmap (e.g., traditional call for proposals), with the Partnership Intake and Innovator Support Pilots providing opportunities to address challenges unique to biological sectors; • Trusted partnerships established with smaller organizations that demonstrate a shared interest and expertise in ERA’s identified investment priorities; and • Continued leverage of the expertise convened under the program’s Expert Advisory Committee (EAC) through review teams and future hosted workshops to advance Roadmap priority areas. 5.0 STRATEGIC PRIORITIES Alberta has articulated its strategic climate change desired outcomes and priorities through the Climate Leadership Plan. Innovation and technology will play a critical role. ERA has heard from key players in the innovation system that there are important challenges and areas for innovation success that must be addressed to deliver on those outcomes. Through the four strategic priorities and associated outputs and activities outlined below, ERA is demonstrating how it fits within the Alberta innovation system, and how it will play a key role in achieving success. Our $100 million budget (section 7.0) gives us the means to carry out these priorities. 5.1 Strategic Priority #1: Accelerate GHG Reducing Technologies Fund innovative solutions that result in meaningful GHG emissions reductions in Alberta and contribute to a lower carbon world. What we plan to do Rigorously select projects that facilitate GHG emission reductions and represent best-value for investment - Invest in both open and directed innovation opportunities that reduce GHG emissions. Strategically align portfolio investments with GOA priorities - Invest in innovation that aligns with the Climate Leadership Plan and other related Government of Alberta policies. Engage with key stakeholders to understand and be responsive to Alberta Climate Leadership Plan policies as well as market demands - Active and deliberate management of the ERA portfolio by the Board and management is informed by ongoing engagement with government, industry and innovators. What we plan to deliver Innovative projects focused on reducing GHG emissions or address identified market needs in Alberta - Fund and identify innovative technology solutions through a minimum of two funding calls per year (average $40 million each) and under the Partnership Intake Pilot ($15 million) focused in areas that align with the Technology Roadmap. Investments informed by ERA’s Technology Roadmap - ERA’s investment decisions are guided by a Technology Roadmap that takes into account both “policy push” from government and “market pull” from industry. - Invest in projects that align with Roadmap strategic focus areas and initiatives. ESEIEH ERA has invested in technologies that could significantly reduce the carbon footprint of the oil sands. Our Enhanced Solvent Extraction Incorporating Electromagnetic Heating project, or ESEIEH (“easy”) is a clear example of innovation and collaboration, led by a consortium of oil sands companies working with Harris Corporation. While this project will not produce GHG reductions by 2020, the technology has the potential to be a game-changer in the oil sands, and could significantly reduce the carbon footprint of the oil sands industry if it can be proven and deployed. Quantitative sectoral GHG emissions analysis - Ongoing quantitative sectoral GHG emissions analysis to inform ERA investment portfolio mix and the outcomes of the Climate Leadership Plan. Host workshops, conferences and board events - Host a major conference event every other year. - Engage in targeted outreach, collaboration and workshops with government, industry, academia, and other key stakeholders to inform ERA’s investment decisions and to help inform policy development. What we seek to accomplish Increase investment in Alberta-based projects that will contribute to reducing GHGs in Alberta and Canada - Technological learnings and knowledge sharing to help accelerate commercial deployment of GHG reducing technologies. Increase jobs in Alberta’s clean technology sectors - Measurable jobs (temporary and permanent), GDP creation in new sectors, and economic benefit (direct and indirect) created in Alberta from projects funded, in part, by ERA. Increase investment in solutions that align with Alberta’s Climate Leadership Plan needs, 2030 Innovation Targets, and Alberta’s market demand - Increase public and private sector investment in technologies that are demanded by the marketplace, diversify Alberta’s economy and increase employment in the short and long term. SBI Fine Chemicals The SBI Fine Chemicals demonstration plant in Edmonton is an example of a bioenergy project ERA is supporting. SBI is developing a drop-in diesel fuel from non-food grade canola that is virtually indistinguishable from traditional diesel. SBI plans to sell the fuel to refineries to be mixed with other diesel products to help meet renewable fuel standards. Today, Alberta must import renewable fuel to meet these requirements. SBI has attracted international interest, but the company has struggled to raise money in Canada. We estimate the SBI project could reduce GHG emissions by more than 38,000 tonnes of carbon dioxide equivalent (CO$_2$e) by 2020. Where we plan to have an impact Eliminated coal-fired electricity generation emissions and increased renewable energy; reduced oil sands emissions; reduced methane emissions; and increased process efficiency - Accelerate bold solutions that reduce GHG emissions in Alberta, Canada, and internationally. Maintain Alberta’s economic competitiveness - Alberta achieves greater economic diversification through industries supported by the innovation system. - Increase attraction of investment to Alberta. - Enhance global reputation for Alberta and Canada as an effective steward of the environment. What we plan to measure - GHG emissions reductions (project and market potential; portfolio and cumulative) - Investment (portfolio and cumulative; ERA and total project; by jurisdiction) - GDP impact (direct and total; by industry and jurisdiction) - Job creation (direct and total; by industry and jurisdiction) 5.2 Strategic Priority #2: Advance Innovation System Priorities Leverage our strengths to contribute to critical climate change innovation priorities in Alberta. What we plan to do Maintain existing and establish new partnerships that maximize and leverage shared investment capacity and expertise; for example, Energy Efficiency Alberta, Alberta Innovates, COSIA and SDTC - Develop shared value partnerships to raise the awareness of ERA’s strengths and credibility as an organization that reduces GHG emissions and is contributing to a lower carbon world. Facilitate strategic partnerships among projects and resource/knowledge suppliers - Engage in targeted outreach, collaboration and communications to help educate key stakeholders and to inform policy development. What we plan to deliver Leverage investments - Funding calls structured to leverage investment from our key partners (e.g., federal and provincial governments, municipalities, large emitters and other industry partners). Strong strategic partnerships in Alberta, Canada, and internationally - Strong strategic partnerships that accelerate technology development in Alberta and build ERA’s reputation (e.g., provincial and federal entities, research and polytechnic institutions, financial institutions and private funders). Knowledge and resource sharing to support clean technology - Cross pollination of ideas, actions, and shared resources are the way of doing business between interconnected organizations. - Collaborative resources available to and utilized by relevant entrepreneurs. Joint SDTC-ERA Call for Proposals In 2016, ERA and SDTC jointly launched a unique funding opportunity to Canadian clean technology innovators and entrepreneurs that addressed the interests of both organizations. Together, we made funding available for individual GHG reducing technologies from Canadian small and medium-sized enterprises that are deployable in Alberta. The competition produced more than 130 submissions, with funding recipients announced in spring 2017. The call offered applicants a streamlined, harmonized model with one window for access to two pools of money, making it easier for applicants to access funding from both organizations. The process also allowed ERA and SDTC to gain a deeper understanding of each other’s best practices. The knowledge ERA gained in the process will be used to make enhancements to our funding process to the benefit of innovators. What we seek to accomplish Increase capital for innovation and technology - Investment is leveraged to create larger pools of capital for innovation and technology than would otherwise be available. Increase commercialization and long-term viability of GHG emission reduction technologies with identified consumers - Investment in solutions that have a clear customer demand results in increased technology commercialization and GHG reductions. Where we plan to have an impact Increased supply and use of clean technology, products and practices - More efficient and effective use of publicly funded programs focused on stimulating GHG emission reducing technology deployment. Accelerated adoption of clean innovation - Successful and profitable companies commercialize solutions demanded by the market place. Increased skills and employment in clean technology sectors - Increased attraction of investment to Alberta. What we plan to measure - Number of projects (total and completed) - Investment leverage - Partnership and collaborative activities (number established; joint funding) - Project technology readiness level (TRL) progression 5.3 Strategic Priority #3: Measure and Communicate Success Define and report on metrics to demonstrate results. What we plan to do Monitor and evaluate progress of funded projects - Active monitoring and stewardship of current and future funded technology projects. Communicate progress of ERA’s funded projects - Celebrate and communicate our expertise, successes, and learnings. - Demonstrate the return on ERA’s investments. What we plan to deliver Reporting of project GHG emission reductions, economic impacts, and learning from technology development - Annual report published on ERA website. - Benchmark study and ongoing assessment of the level of awareness of and attitudes toward ERA. - Reporting of project outcomes and impacts, including total GHG emission reductions, GDP impacts, and job creation. Stewardship reports - Demonstrate progress in support of Climate Leadership Plan, innovation system, and Technology Roadmap targets and deliverables. - Quarterly reporting regarding measures of success. Participation, sponsorship and hosting of events aligned with ERA’s mandate - Host and participate in media and outreach events celebrating Alberta’s climate and innovation success stories. - Host and participate in conference and workshop events that help identify, accelerate, and celebrate innovative solutions to reducing GHGs in Alberta. Communicating Success ERA uses a number of mechanisms to communicate its successes to government, to the innovation community, and to the public. Our annual report is a key mechanism for delivering on our commitment to government to measuring progress and demonstrating success. The report is published on our website each year and profiles the game changing solutions we are advancing along the innovation chain to address GHG emissions and benefit Alberta’s economy and environment. Each quarter, ERA provides a Stewardship Update to government. This public document provides a snapshot of ERA’s current project portfolio and our progress in support of targets and deliverables defined in the Climate Leadership Plan. ERA also works with the government to celebrate our funding recipients and project successes. A good example is the spring 2017 announcement of our Grand Challenge Round 2 winners, who were recognized in a news release jointly issued by ERA and the Government of Alberta and at a media event held at the Propel Energy Tech Conference. What we seek to accomplish Increase awareness of value for investment for ERA funders - ERA is viewed by government and other stakeholders as an effective partner for accelerating solutions to reduce GHG emissions through the innovation system. Increase awareness of ERA’s strengths and credibility as a leader in GHG emission reduction - Increased confidence in Alberta’s investment in GHG emission reduction technologies. Increase recognition of Alberta as an innovation and clean technology leader - Increased global reputation regarding Alberta’s environmental stewardship efforts and results. Where we plan to have an impact Increased support and engagement of Albertans - Recognition of ERA as a key contributor to Alberta’s innovation and technology leadership in a lower carbon world. What we plan to measure - Stakeholder awareness of and attitudes towards ERA (by sector and jurisdiction) - Number and impact of communications and outreach events (hosted and sponsored) - Contribution to Climate Leadership Plan measures and 2030 Innovation Targets 5.4 Strategic Priority #4: Advance Operational Excellence Strive for excellence in operations and efficiency while maintaining responsiveness to stakeholders and funders. What we plan to do Incorporate information and learning to improve ERA’s intake, evaluation, and funding processes - Review and revise Board and management operating activities and practices to maximize contribution to Government of Alberta priorities. - Improve the ERA intake process and make the decision making cycle more efficient, including exploring opportunities for continuous intake. - Build our corporate capacity by maintaining a strong link to Alberta Innovates Clean Energy and Biological teams and other key service providers. - Create a sustainable and predictable funding model. What we plan to deliver Alignment of operating actives with GOA priorities, policies and procedures - Business Plan and annual report provided to government each year in accordance with The Climate Change and Emissions Management Fund Administration Regulation and ERA’s MOU and grant agreement with the province. - Establishment of clear and focused outcomes and objectives, short and long-range goals and robust metrics that align with those of the province. Partnership Intake Pilot Like the innovators we support, at ERA we learn by doing. We have successfully funded over 100 projects through our call for proposal model, but we know there are additional opportunities to support promising technologies outside of this structured process. To provide greater flexibility, we are piloting a process that will allow ERA to evaluate and consider proposals from trusted partners outside of our standard calls for proposals. This will also allow ERA to leverage the due diligence processes of trusted partners like Alberta Innovates and SDTC – increasing our efficiency and decreasing turnaround time for funding, while maintaining the rigor and transparency of our evaluation processes. Business Delivery Model Review - Efficient, effective and transparent operations that ensure accountability to stakeholders. - Decrease turnaround time from the beginning of a call to the approval of funded projects. - Multi-year funding commitment to the innovation system. What we seek to accomplish Increase operational effectiveness and efficiency in ERA’s decision making cycle - Measurable organizational results aligned with stated goals and budgets. - ERA’s operations contribute to overall innovation system goals and objectives. Where we plan to have an impact Alberta is recognized as a climate leader - Increased confidence in ERA’s ability to support Alberta’s action on climate change. What we plan to measure - Operating costs as a percentage of approved project commitments - Length of ERA intake and decision-making cycle - Board effectiveness 6.0 MEASURING SUCCESS One of ERA’s key strategic priority areas is to “Measure and Communicate Success”. Performance management and communication excellence are critical to demonstrating that ERA is delivering on its mandate, vision, strategic objectives, established goals, and core values. Relevance, quality, and timeliness are important dimensions of measuring and communicating our performance, and ERA understands the need for ongoing development and process improvement for sharing results with our partners. ERA is an established and integrated partner of the overall innovation system, and its efforts are aligned with the system’s defined provincial, national, and international metrics. To demonstrate its contribution, ERA tracks and reports metrics on a cumulative and annualized basis. The Climate Change and Emissions Management Fund Administration Regulation and ERA’s MOU and grant agreement with the Province encapsulate our shared commitment to establishing common outcomes and objectives, setting short and long-range goals and measuring progress. Our Business Plan and annual report, which ERA is required to provide to the Government annually in May and November, respectively, are key tools for ERA to communicate that it is delivering on that commitment. ERA’s primary mandate is accelerating technologies that reduce GHG emissions in Alberta. To demonstrate and communicate how we are delivering results, and as set out in the MOU with the Province, ERA is committed to establishing and reporting on portfolio-based performance outcomes and measures that quantify our projected or estimated “return on investment” in terms of GHG emission reductions at a portfolio and cumulative level. While reduced GHG emissions are core to both ERA’s mandate and Alberta’s Climate Leadership Plan, it is not the ultimate outcome. ERA’s vision and the outcomes of the Climate Leadership Plan are aligned in striving to deliver a lower carbon, diversified economy and enhanced wellbeing for Albertans. The Province has also committed that the revenue generated from the carbon price will be reinvested back into Alberta’s economy. While ERA’s mandate allows us to invest in technologies from anywhere in the world, we require that there is a demonstrated benefit to Alberta. As a result, 92 per cent of ERA’s funding goes to Alberta-based projects. Furthermore, we have committed in our Grant Agreement that we will report to the Province any cases where ERA has identified a promising investment opportunity from outside Alberta’s borders, and will clearly indicate the specific benefit to Alberta derived from that investment. ERA is working with the Province to establish goals and metrics that also quantify our expected contributions to Alberta’s desired economic and societal outcomes, including economic competitiveness, investment attraction, and employment. 6.1 Metrics Approach ERA is building a stronger performance measurement approach that is fully aligned with the measurement efforts led by the Government of Alberta. ERA has engaged key government departments, including the Alberta Climate Change Office and Economic Development and Trade, to ensure that the goals and activities laid out in our Business Plan directly support the province’s outcomes and objectives around reduced GHG emissions; a lower carbon, diversified economy; and increased community well-being. ERA currently quantifies and reports on projected GHG emissions reductions that will be delivered by our projects, on both a portfolio and cumulative basis. Going forward, we will work with the Alberta Climate Change Office to ensure that our portfolio-based reporting aligns with and supports key systems-level desired outcomes of the Climate Leadership Plan, such as increasing renewable energy, energy efficiency, and supply of lower emission energy sources. ERA calculates two different but related emissions reductions projections for our investment portfolio. The first is the total of the GHG emissions reductions anticipated from each project directly. This value is provided by our project proponents and reviewed by ERA to ensure the basis and methodology for the estimate is sound. The second metric is the market potential for GHG reductions. Market potential estimates the total emission reductions expected to occur should the technology be commercialized and adopted under forecast market conditions. A number of considerations and assumptions underpin this calculation, including policies and measures currently in place and arising from the successful commercial adoption of technologies into Alberta, GHG emissions intensity, the estimated market size, various economic indicators and the lifespan of the technology. Currently, the market potential for reductions is calculated using a standardized methodology and common assumptions that are applied to each project. This allows the estimated market GHG reductions from each project to be easily compared. However, this “one size fits all” approach may not result in the most accurate estimate of market potential for each type of technology or company. As such, ERA is taking steps to improve this calculation by using assumptions like expected market adoption rate and estimated market share value that are unique for each technology, rather than the common assumptions used in the past. In addition, efforts are being made to extend the market emission reduction estimates out to 2050 to provide projections on the longer-term emission reduction benefits of ERA’s portfolio. In addition to environmental metrics, ERA is improving its reporting on economic and societal outcomes. Two metrics that have been identified as key to these outcomes include gross domestic product (GDP) and job creation resulting from ERA investments. In 2016, our organization worked with the Department of Economic Development and Trade to estimate the economic impact of ERA’s projects and related investments during the ten year period from 2010 to 2019 (section 2.2). This work benefitted from the rigor of the data that ERA gathers from its projects. Going forward, ERA will work with the department to ensure we continue to gather information and report on metrics that will both inform and align with Government efforts to measure and quantify contributions to economic growth, investment attraction, and employment. In this vein, ERA will also undertake a process improvement exercise to identify additional data that needs to be collected from project proponents – both what we collect and when we collect it. This will include information related to employment by project and the flow of investment for projects, including amounts spent in and out of Alberta, as well as partner contributions flowing into Alberta. Changes to our Environmental Data Management & Compliance Reporting System, ERIMS, are underway to reflect these updates and enable efficient data collection and reporting going forward. Given that ERA’s investments often deliver results years in the future, many of our performance metrics are forward-looking, projecting future GHG emissions reductions, investment and job creation. However, in addition to such forward-looking performance measures, a program of post-audit performance measures to track how closely actual performance compares with our projections is also necessary. This reporting should be done in the context that investment in innovation carries an intrinsic level of risk, and the role of ERA’s investments is to help de-risk prospective future contributors to the Alberta economy. In 2017, ERA will develop processes to monitor impacts on emissions and economic activity, including leveraged investment, during the course of the projects. Longer-term impacts following completion of the funded project will also be tracked. These include environmental impacts (domestic and international) as well as economic impacts, such as employment, attracted investment, domestic and export sales. Outcomes will then be compared and reported against forward-looking projections made at the time of investment. As part of this “retrospective” measurement program, ERA will develop an analysis of how technologies within ERA’s portfolio have progressed along the innovation spectrum from a technology readiness level perspective, in part as a result of ERA funding. This work will be important to inform how ERA’s work is helping to accelerate technologies, as well as better understand the broader system challenges faced by our projects. ## 6.2 Performance measures and reporting \| Environment \| • GHG emission reductions achieved by each project (estimated and actual) • Related environmental benefits reported by each project • Reporting to demonstrate contributions to Climate Leadership Plan goals and measures of success • Post-audit performance reporting to track how actual performance compares with projections \| \| Economic \| • Investment in projects by strategic focus area (ERA and total) • Investment leverage • Reporting on estimated contributions to economic competitiveness, including GDP and job creation • Post-audit performance reporting to track how actual performance compares with projections • Operating costs as a percentage of funds required to fulfill approved project commitments \| \| Technology \| • Number of funding rounds per year • Number of collaborative / partner resources developed • Reporting on contributions to 2030 Innovation Targets • Reporting on ERA project technology readiness level (TRL) progression \| \| Community \| • Reporting on alignment of operating activities with Government of Alberta policies and procedures • Length of ERA intake and decision-making cycle • Reporting on level of awareness of and attitudes toward ERA • Number and impact of communications and outreach events \| ## 7.0 OPERATING BUDGET ### Emissions Reduction Alberta (ERA) #### 2017/18 to 2019/20 Operating Budget \| \| 2016/17 Budget $ \| 2016/17 Forecast Actual $ \| 2017/18 Budget $ \| 2018/19 Budget $ \| 2019/20 Budget $ \| \|--------------------------------\|------------------\|---------------------------\|------------------\|------------------\|------------------\| \| Revenue \| \| \| \| \| \| \| Grant revenue \| 70,000,000 \| 33,000,000 \| 100,000,000 \| 100,000,000 \| 100,000,000 \| \| Interest income \| 3,156,544 \| 3,133,049 \| 3,219,756 \| 3,345,671 \| 2,908,894 \| \| Total Revenue \| 73,156,544 \| 36,133,049 \| 103,219,756 \| 103,345,671 \| 102,908,894 \| \| Program Expenditures \| 95,150,760 \| 55,732,511 \| 83,171,273 \| 101,758,558 \| 92,270,025 \| \| Revenue less Program Expenditures \| (21,994,216) \| (19,599,462) \| 20,048,483 \| 1,587,113 \| 10,638,869 \| \| Operating Expenses \| \| \| \| \| \| \| General & Administrative Expenses \| \| \| \| \| \| \| Corporate costs (i.e. phone, printing, meals & travel) \| 80,000 \| 60,000 \| 80,000 \| 81,600 \| 83,232 \| \| Insurance \| 20,000 \| 12,000 \| 20,000 \| 20,400 \| 20,808 \| \| GST expense \| 156,000 \| 156,000 \| 150,000 \| 155,000 \| 160,000 \| \| Total General & Admin Expenses \| 256,000 \| 228,000 \| 250,000 \| 257,000 \| 264,040 \| \| Contractor / Service Provider Expenses \| \| \| \| \| \| \| Administration, financial risk reviews, GHG reviews, project monitoring and internal project audits \| 1,650,845 \| 1,725,630 \| 1,699,877 \| 1,733,875 \| 1,768,552 \| \| Project review, evaluation and management \| 1,046,627 \| 1,168,323 \| 1,111,910 \| 1,134,148 \| 1,156,831 \| \| Legal \| 440,000 \| 440,000 \| 400,000 \| 408,000 \| 416,160 \| \| Operations \| 415,000 \| 363,218 \| 515,000 \| 525,300 \| 535,806 \| \| Communications \| 794,975 \| 860,322 \| 883,450 \| 901,119 \| 919,141 \| \| Commercialization Support \| 251,000 \| 183,500 \| 225,000 \| 229,500 \| 234,090 \| \| Total Mgmt Support Contractors \| 4,598,447 \| 4,740,993 \| 4,835,238 \| 4,931,942 \| 5,039,581 \| \| Other Contracted Services and Special Initiatives \| \| \| \| \| \| \| Consulting contracted services \| 450,000 \| 265,000 \| 435,000 \| 443,700 \| 452,574 \| \| Biological and Strategic Programs \| 720,000 \| 595,000 \| 400,000 \| 408,000 \| 416,160 \| \| Spark 2017 Conference Costs \| 250,000 \| 150,000 \| 100,000 \| 75,000 \| 75,000 \| \| Total Other Contracted Services and Special Initiatives \| 1,420,000 \| 1,010,000 \| 935,000 \| 926,700 \| 943,734 \| \| Governance \| \| \| \| \| \| \| Board remuneration and expense \| 75,000 \| 75,000 \| 75,000 \| 76,500 \| 78,030 \| \| Professional fees (i.e. audit) \| 45,000 \| 45,000 \| 45,000 \| 45,900 \| 46,818 \| \| Total Governance \| 120,000 \| 120,000 \| 120,000 \| 122,400 \| 124,848 \| \| Total Operating Expense \| 6,394,447 \| 6,098,993 \| 6,140,238 \| 6,238,042 \| 6,363,203 \| \| Surplus / (Deficiency) of Funds for the year \| (28,388,663) \| (25,698,454) \| 13,908,245 \| (4,650,929) \| 4,275,665 \| \| Total Funds Under Management - beginning of year \| 262,433,078 \| 265,936,846 \| 240,238,392 \| 254,146,637 \| 249,495,707 \| \| Total Funds Under Management - end of year \| 234,044,415 \| 240,238,392 \| 254,146,637 \| 249,495,707 \| 253,771,373 \| \| Committed Funds for Approved Projects \| 470,494,241 \| 428,652,911 \| 523,652,911 \| 623,652,911 \| 723,652,911 \| \| Total Project Funds paid to date \| (241,171,028) \| (199,020,924) \| (282,192,197) \| (383,950,755) \| (476,220,780) \| \| Remaining Funds required to fulfill approved project commitments \| 229,323,213 \| 229,631,987 \| 241,460,714 \| 239,702,156 \| 247,432,131 \| \| Uncommitted Funds \| 4,721,202 \| 10,606,405 \| 12,685,923 \| 9,793,551 \| 6,339,241 \| Operating costs as a % of Funds Required to Fulfill Approved Project Commitments - 2016/17: 2.8% - 2017/18: 2.7% - 2018/19: 2.5% - 2019/20: 2.6% Notes and assumptions (a) ‘Grant Revenue’ for all three years is forecast to be $100 million per year. ERA’s allocation is decided each year after the compliance deadline has passed. ERA’s Grant agreement with the Government of Alberta is currently being executed and renewal is expected by the end of this month. Payment of the FY17 Grant allocation of $33 remains outstanding as of budget preparation. (b) ‘Interest income’ has been based on cash flow projections for the Corporation. Interest rate assumptions are based on interest rates currently being earned by the Corporation at 1.20% for the Premier Investment Account for amounts held over $200M and 0.90% for the Operating Account. (c) ‘Program expenditures’ have been budgeted based on signed contribution agreements or on a set of assumptions regarding approved and anticipated funding for projects. (d) ‘General and Administration Expenses’ are budgeted to be consistent with the current year operating model incorporating the changes being considered by Management. (e) ‘Administration, due diligence, project monitoring and internal project audits’ costs are anticipated to be consistent with FY17 budget and activity levels. (f) ‘Project review, evaluation and management’ costs are expected to be consistent with FY17 budget and forecast levels. (g) ‘Legal’ costs are expected to be consistent with FY17 budget and forecast results. (h) ‘Operations’ costs are expected to be in line with the current contracts, including the Director of Policy and Planning, which will now be a direct bill to ERA and has moved to ‘Operations’ from ‘Project review, evaluation and management’. (i) ‘Communications’ costs have been contemplated in conjunction with the ERA Communications Plan for FY18. Increase in FY18 relates to delivery of Spark 2017 and the EDT conference in spring of 2018. (j) ‘Communication Support’ costs have been budgeted to increase in FY18 over the FY17 forecast due to increased engagement with Grand Challenge Proponents and partners through SWOT and Partnership. (k) ‘Consulting Contracted Services’ include research consulting costs to support the RFP process, research initiatives and collaboration projects. FY18 budget contemplates an increase in level of engagement with partners over the FY17 forecast amount and an increase has been budgeted accordingly. (l) ‘Biological Program’ is currently being rationalized by Management and the delivery model related to this program has yet to be determined. A placeholder has been included in the budget for this program. (m) ‘Spark 2017 Conference’ is planned to be held in November 2017. Costs represent ERA’s anticipated net investment in the conference. (n) ‘Board remuneration and expense’ budget remains consistent with the current year forecast. (o) ‘Professional fees’ comprise audit fees and remain consistent with the current year forecast. (p) Based on Call 1 data made for the month ended December 31, 2016. Represents CCEMC’s total funds under management. (q) Based on actual funding and costs for the most active projects in Round 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 12. Grand Challenge, Adaptation and Biological and assumptions for Call 1 and 2. For future approved rounds, this has been based on estimates. Funds are shown as committed once the EOI cycle has started for a particular Call. \| \| $ \| \|----------------------\|--------------------\| \| Round \| \| \| Round 1 \| 53,697,721 \| \| Round 2 \| 24,047,999 \| \| Round 3 \| 10,000,000 \| \| Round 4 \| 36,023,000 \| \| Round 5 \| 4,093,859 \| \| Round 6 \| 6,716,405 \| \| Round 7 \| 26,304,788 \| \| Adaptation \| 6,990,862 \| \| Biological \| 10,000,000 \| \| Grand Challenge \| 36,023,000 \| \| Round 8 \| 9,161,141 \| \| Round 9 \| 15,558,175 \| \| Round 10 \| 86,143,300 \| \| SWOT / Partnership Fund \| 15,000,000 \| \| Round 12 -SDTC Joint Call \| \| \| Call 1 – Methane \| 40,000,000 \| \| Call 2 – TBD \| 40,000,000 \| \| Future Rounds \| \| \| 2017/18 \| 95,000,000 \| \| 2018/19 \| 100,000,000 \| \| 2019/20 \| 100,000,000 \| (r) This metric represents total ERA Operating costs for the year as a percentage of the funds required to fulfill all remaining project commitments approved by the ERA Board of Directors. (s) This budget is dependent on the level of financial support and direction from the Government of Alberta. Should the Grant vary materially from $100 million, the operating budget will be adjusted to reflect the associated changes in activity level.
COMMUNICATION FROM THE COMMISSION TO THE COUNCIL, THE EUROPEAN PARLIAMENT, THE ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS on the implementation of measures to combat child sex tourism i) The scale and the seriousness of the problem of child sex tourism led the European Commission, as part of the general contribution of the European Union to strengthening the fight against the sexual abuse and exploitation of children, to adopt on 27 November 1996 a Communication devoted specifically to the fight against this scourge$^1$. Apart from the practical interest of identifying concrete elements in response to the above-mentioned problem, the main purpose of the Communication from the Commission is to provide a reference framework for Community action on combating child sex tourism, placing this in a medium- and long-term perspective. The overall strategy set out in the document is twofold$^2$: on the one hand, to reduce demand, in particular through co-operation with the tourist industry and the non-governmental organisations concerned (co-ordination of information and awareness-raising campaigns, strengthening codes of conduct and self-regulatory schemes for the industry, etc.); on the other, attacking sources of supply in tourist destination countries by all appropriate means, including Community policies on external relations and development cooperation. The importance of this second line of action was reiterated by the Commission when it drew up its support strategy for the development of sustainable tourism in the developing countries. This explicitly states that work should be carried out in order to further the taking into account of the specific problem of child sex tourism within the framework of structured political dialogue with the countries most affected, particularly at regional level$^3$. ii) The European Commission’s initiative at the end of 1996 appears all the more timely since this is an area in which measures by the European Union are considered both desirable and necessary by the vast majority of the citizens of Europe. Moreover, the Resolution of the European Parliament of 6 November 1997$^4$ and the Declaration of the Council of (Tourism) Ministers of 26 November 1997 revealed broad institutional agreement on the main thrust of the Commission’s Communication, as does the Opinion of the Economic and Social Committee of 2 July 1998$^5$. These are encouraging signs$^6$ to intensify efforts aimed at contributing effectively, through specific --- $^1$ OJEC No C 3 of 07.01.1997, pp. 2-12 $^2$ In this context, see in particular the reply dated 10 October 1997 given by Mrs Gradin, on behalf of the Commission, to Written Question E-2622/97 from Mrs Christine Oddy on the international exploitation of the victims of sex tourism in Asia, OJEC No C 102 of 03.04.1998, pp. 75-76. $^3$ COM(1998)563 final of 14.10.1998 $^4$ OJEC No C 358 of 24.11.1997, pp. 37-43 $^5$ OJEC No C 284 of 14.09.1998, pp. 92-110 $^6$ This encouragement has been reiterated, as in its resolution of 7 October 1998, the European Parliament “welcomes the initiatives launched in implementation of the measures envisaged” in the Commission Communication of 1996 (OJEC No C 328 of 26.10.1998, p. 110), while the Council of (Development) Ministers’ Resolution of 30 November 1998 on Sustainable Tourism in Developing measures, to ensuring that tourism emerges the winner from the struggle against child sex tourism. In financial terms, support for the Commission’s initiative is reflected in the creation of a new budget line B7-663 entitled “Combating sex tourism in third countries”, with a budget of 500 000 ECU in 1998$^7$. The budget available, which was doubled in 1999$^8$, is intended “for setting up and co-ordinating public awareness campaigns to combat sex tourism affecting children”. In addition, further funds are available under Community policies, programmes and initiatives with an interest in the problem. The Commission works to ensure the coherence and co-ordination of these various programmes and budget lines. Beyond the welcome for the Commission’s approach, these measures reaffirm the Community’s ability “to mobilise a greater political and financial commitment, both within Europe and in its relations with third countries”, as specifically stated in the 1996 Communication. iii) The measures proposed to combat child sex tourism were launched in 1997 and have been maintained at a sustained pace since then. Their implementation has provided the Commission with an opportunity, not only to mobilise its various Services and strengthen internal coordination, but also to promote open and effective partnership as a precondition for its action. In this context, mention must be made both of the inter-service meetings to monitor implementation of the Commission’s Communication and of the meetings of the working party set up specially under the initiative to strengthen co-ordination at European level of national information and awareness-raising campaigns against child sex tourism. The inter-service meetings allowed the various Commission Services with an interest in the issue to hold regular exchanges of views on their respective measures taken under the reference framework laid down by the Commission, to systematically strengthen the co-ordination of those measures relevant to combating child sex tourism and to make periodic assessments of the state of progress in implementing the measures provided for in the Communication. The working party meetings – thanks to the participation of not only the various Commission Services concerned, but also of experts nominated by the representatives of the Member States in the Tourism Advisory Committee and of experts invited by the Commission – also made it possible to ensure the successful “steering” of the projects selected for cofinancing$^9$. These meetings of the working party also promoted the exchange of information and helped to improve dissemination of the results of various measures undertaken to combat child sex tourism. Finally, they fostered moves towards partnership on measures of common interest. --- Countries specifically refers to the fight against “sexual tourism”, especially that concerning children, referring in that context to the (Tourism) Council Declaration of 26 November 1997. $^7$ For budgetary comments, see OJEC No L 44 of 16.02.1998, p. 1167. $^8$ For budgetary comments, see OJEC No L 39 of 12.02.1999, p. 1150. $^9$ In accordance with the terms of the call for proposals and the related invitation to tender, published in the Official Journal of the European Communities of 31 July 1997. The considerable work achieved in the above-mentioned meetings is behind the "significant efforts [by the Commission] to increase co-ordination of various measures", with a view to reducing the risk of isolated efforts, again, as stated in the 1996 Communication. iv) In operational terms, particular attention was paid to drawing up and adhering to transparent arrangements, as well to the strict application of the rules of good administrative and financial management. This approach helped to ensure appropriate use of the resources available with the rigour and concern for efficiency which are particularly necessary in view of the ethical aspects of this issue. In this context, emphasis was placed on a limited number of targeted objectives responding to the need to dissuade and punish sexual abusers of children, to stem the flow of sex tourists from the Member States, and to contribute to the fight against child sex tourism in third countries. v) The following presentation, which gives a report on implementation of the measures planned and the progress achieved in the fight against child sex tourism for the period 1997-1998$^{10}$ also incorporates, where necessary, the operational follow-up to be undertaken in the context of launching and/or implementing new measures in 1999. 1. IMPROVING KNOWLEDGE OF THE PHENOMENON OF CHILD SEX TOURISM In this context, particular attention was paid to collecting and exchanging information on the major trends in the development of child sex tourism at world level, as well as on the principal causes and consequences of this phenomenon. Better information on Europeans' perception of the problem was also obtained. 1.1 Because of the importance - particularly for organising information and awareness-raising campaigns - of being able to rely on the results of previous opinion polls, the European Commission launched a survey of Europeans' views on the phenomenon of child sex tourism. The results of this survey at European Union level, carried out between 7 April and 27 May 1998, are useful points of reference for all those involved in the fight against the scourge of child sex tourism. They have been made available to all those involved in this fight and should be of considerable help in shedding light on the choices to be made in terms of intervention strategies. For this purpose, a summary presentation of the results of this survey$^{11}$ was disseminated from July 1998, both electronically and on paper. The final report based on this survey, --- $^{10}$ For an overview of the implementation of the Agenda for Action adopted at the first World Congress against Commercial Sexual Exploitation of Children (Stockholm, Sweden, August 1996), see ECPAT International, Moving to Action, 1998, 105 p. $^{11}$ European Commission - DG XXIII, Europeans and their views on child sex tourism, Summary presentation of the results of a Eurobarometer survey, July 1998, 29 p. published by the Office for Official Publications of the European Communities\textsuperscript{12}, was for its part made available in September 1998. Access to the raw data from this survey has been authorised on a case to case basis, particularly for research centres or individual researchers, whose completed and/or planned work is of interest in terms of improving knowledge of child sex tourism\textsuperscript{13}, on condition that the data is processed in accordance with professional ethics and professional best practice. The results of this survey show, in particular, that: - a large proportion (85%) of the population questioned is “aware” of the problem, which it considers to be “widespread” (63%) and “on the increase worldwide” (55%); - although the phenomenon also affects the territory of the European Union, it is perceived by a majority of Europeans as particularly acute in Asia (83%), Latin America (69%), central and eastern Europe (68%) and Africa (67%); - in general, child sex tourism is seen in Europe as being linked to poverty (72%), child sex abuse (55%), international trafficking in children (49%), social exclusion (37%) or extreme forms of child labour (25%); - there was almost universal moral condemnation (92%) of the practice, which was deemed “illegal” by 88% of Europeans, with a slightly smaller number (74%) including in this definition acts committed outside the territory of the Member States; - to combat child sex tourism, seen as a largely “avoidable” problem by 63% of the European citizens responding to the survey, priority is given to punitive measures (38%) and prevention (36%), ahead of help for the child victims (22%); - while a majority of those questioned expressed dissatisfaction with national initiatives in these three areas, 85% felt that EU intervention was desirable and 88% that it was essential. Quite apart from the numerous conclusions which will undoubtedly be drawn from these initial indications of public opinion, there is already one obvious consequence, namely, the need to step up efforts to find tangible responses to the concerns clearly expressed by European citizens regarding the perversion of tourism which child sex tourism represents. In order to complement this survey of European opinion on child sex tourism, the Commission took advantage of its participation in international tourism events to make a specific analysis - on various occasions and in various places - of tourism professionals’ awareness of this problem. This approach also had the additional advantage of helping to \textsuperscript{12} European Commission - DG XXIII, \textit{L'opinion des Européens sur le tourisme sexuel impliquant des enfants}, Rapport final d'une enquête Eurobaromètre, Office for Official Publications of the European Communities, September 1998, 149 p. \textsuperscript{13} See for example Carter, S. (1998) \textit{Levels of uncertainty amongst Europeans about ‘sex tourism’ involving children: an analysis of the Eurobarometer survey}. In this further analysis of the basic patterns reported by this survey, Carter has focused on those respondents expressing “uncertainty” in response to some of the questions asked. He argues that those people who express uncertainty may be an important sub-group who need to be targeted by future information and awareness-raising campaigns. assess the impact on these professionals of Community initiatives to combat this appalling problem. The opportunity provided by the gathering of tourism professionals at the 23rd Brussels Travel Fair (24-26 November 1998) was used to carry out an initial survey, particularly since the Commission had decided to become actively involved in this trade fair, both by its presence with a stand, and by organising the First European Meeting of the Main Partners in the Fight against Child Sex Tourism (conference). A survey team therefore conducted interviews with 249 tourism professionals present in Brussels, primarily from Belgium, with a small minority of professionals from other European countries. The results of these interviews were presented in a study report$^{14}$ which was mainly disseminated electronically. The importance of the Internationale Tourismus-Börse in Berlin (6-10 March 1999), with several thousand exhibitors from more than a hundred countries, justified that a second survey be carried out, especially since the Commission had decided to give the subject of child sex tourism a certain visibility in its presence at the fair, particularly through a series of ten information panels on its stand. A survey team therefore conducted interviews with 162 tourism professionals present in Berlin - most of them from European countries, principally Germany. The results of these interviews were presented in a study report$^{15}$ which was mainly disseminated electronically. Of the main results obtained relating to tourism professionals’ awareness of the problem of child sex tourism, at least two are worthy of particular mention, namely: the professionals say they are largely willing to join in measures to combat this problem, and that the involvement of the European Commission in this would support them enormously in their specific commitments. Operational conclusion No 1 – The planned participation of the Commission in other international tourism events, and in particular the 1999 World Travel Market to be held in London next November, could be an opportunity to deepen the existing analysis, eg by holding focus groups for discussion, to supplement the face-to-face interviews, if appropriate. 1.2 In parallel, emphasis was placed on surveying and disseminating existing information on topics of common interest and major importance identified in the Commission’s 1996 Communication. Two of these were dealt with specifically at the First European Meeting of the Main Partners in the Fight against Child Sex Tourism, organised by the Commission$^{16}$. --- $^{14}$ European Commission - DG XXIII, Etude de la sensibilité des professionnels du tourisme à la problématique du tourisme sexuel impliquant des enfants, réalisée à l’occasion de la Brussels Travel Fair (BTF) 1998, coordinated by Strat & Com, Brussels, November 1998 $^{15}$ European Commission - DG XXIII, Etude de la sensibilité des professionnels du tourisme à la problématique du tourisme sexuel impliquant des enfants, réalisée à l’occasion de l’Internationale Tourismus-Börse (ITB) 1999, coordinated by Strat & Com, Brussels, March 1999 $^{16}$ For an overall presentation of the main research work carried out elsewhere, refer to the publication coordinated by Stephen Clift and Simon Carter, Tourism and Sex, Cassell Academic, 1999, 224 p. This event thus provided an opportunity to draw up a detailed report on the “identity, motivation and behaviour of sex tourists” and the “links between tourism and prostitution in general, and child prostitution in particular”, to use the language of the 1996 Communication. It must be pointed out that the results of the research put paid to a number of misconceptions. It was emphasised that, contrary to a widely-held view, “most child prostitutes of whatever age are actually integrated into the mainstream prostitution market serving all prostitute users, rather than working in some discrete ‘market niche’ that caters solely to the desires of ‘paedophiles’ or child molesters. … While some of their clients are paedophiles, a great many of them, probably the majority, are first and foremost prostitute users who become child sexual abusers through their prostitute use, rather than the other way about”$^{17}$. Operational conclusion No 2 - The launch, via the “STOP” programme, of studies and research to examine the links between the phenomenon of child sex tourism and the growth of trafficking in very young women was explicitly included amongst the proposals in the Commission’s Communication for further measures in the fight against trafficking in women$^{18}$. Priority could be given to defining the principal topics of study and lines of research with a view to encouraging their implementation as soon as possible. By analogy, some Community action programmes in the area of public health could be requested, in order to contribute to developing an analysis of the phenomenon of child sex tourism, as regards evaluating the consequences of this scourge in terms of public health, or, at least, to develop tools to undertake this evaluation. 1.3 In accordance with the terms of the 1996 Communication, the scope for supporting the carrying out and dissemination of further studies aimed at providing a better understanding of world trends in the phenomenon was also examined. Of particular concern to the Commission is the rise in cases of sexual exploitation of children in the countries of eastern and central Europe, which in some cases involve cross-border trafficking. In this context, a sensitive understanding is necessary of the changing dynamics of child sex tourism, as leading not only to flows of “clients” to central and eastern Europe, but also to flows of child “prostitutes” to western Europe. Operational conclusion No 3 – Launch of a study on current aspects of child sex tourism in central and eastern Europe, with the aim of providing: - a detailed analysis of the nature and extent of child sex tourism in this area and of the measures taken by the countries concerned to combat such practices; recommendations on the kind of support that could be given by the Community, and how it could be provided most efficiently; information on potential partners --- $^{17}$ Extract from the presentation of Ms Julia O’Connell Davidson at the First European Meeting of the Main Partners in the Fight against Child Sex Tourism, November 1998. $^{18}$ COM(1998)726 final of 09.12.1998, p. 23 who could contribute most effectively to implementing Community victim protection programmes. Carrying out such a study on the development of child sex tourism in the countries of central and eastern Europe would also be fully in line with the European Parliament Resolution of 6 November 1997, which underlined "the need to involve the CEEC and CIS countries closely with the various measures undertaken in the European Union to combat this type of crime". The Commission has already paid particular attention to the situation of children in the countries of central and eastern Europe in its Opinions on their applications for membership of 1997 and its Regular Reports of 1998. These have focused, for example, on problems such as abandoned children and the inadequacy of laws on child prostitution and sexual abuse of children. The Commission will continue to cover these matters in its future Regular Reports. 2. STRENGTHENING THE EFFECTIVENESS OF LAWS AND LAW ENFORCEMENT, INCLUDING EXTRATERRITORIAL CRIMINAL LAWS The Eurobarometer survey carried out in 1998 showed that, in order to combat child sex tourism, respondents gave priority to punitive measures and prevention, ahead of help for child victims. Having said that, only 17% are very or fairly satisfied with what was being done in their countries to suppress this scourge, while six out of ten Europeans (59%) are barely or not at all satisfied with the present situation. Hence the importance of the progress made by the European Union in the "effective deterrence of child sex abusers and of appropriate punishment for their actions", to use the terms of the Commission's Communication of 1996. Experience does show that the development of police and judicial cooperation in Europe has had a positive effect on suppressing child sex tourism. 2.1 A primary point of reference in this respect is the Joint Action of the Council of 24 February 1997 concerning action to combat trafficking in human beings and sexual abuse of children$^{19}$, which states that each Member State undertakes to review its national laws on measures relating to types of behaviour such as the sexual exploitation of children or submitting them to sexual abuse. It is stated that each Member State shall review its existing law and practices in order to ensure, on the one hand, that such types of behaviour are classified as criminal offences and, on the other, that these offences and participation in or attempt to commit them are, without exception, punishable by effective, proportionate and dissuasive criminal penalties. Above all, the fact that the requirement of double criminalisation remains possible in exceptional cases should not conceal the essential contribution of this Joint Action to the --- $^{19}$ OJEC No L 63 of 04.03.1997, pp. 2-6 fight against child sex tourism, i.e. the affirmation of the principle of extraterritorial jurisdiction over “a national or habitual resident of that Member State”. It is significant that the Council, asked in more general terms about implementation of child protection measures, stated in its reply, as regards the foregoing: “As a rule, this criminalisation will have extraterritorial effects, e.g. as regards so-called ‘sex tourism’”$^{20}$ Operational conclusion No 4 - The Council’s assessment “on the basis of appropriate information [of] the fulfilment by Member States of their obligations under this Joint Action, by the end of 1999” could provide an opportunity, with particular regard to the suppression of child sex tourism, for a review of developments in national legislation and its application in the European Union. Quite apart from any findings which might be obtained as to the reliability and effectiveness of current arrangements in Europe, it can already be established that “extraterritorial criminal laws on the part of the countries of origin should not be seen as a substitute for effective laws, policies and law/policy enforcement in the destination countries of paedophiles or child sex tourists. Rather, extraterritorial criminal laws are a complement to the laws, policies and law/policy enforcement of destination countries.”$^{21}$ 2.2 It must also be stressed that the Council had previously adopted two other Joint Actions which are also relevant to the fight against child sex tourism. 2.2.1 The Council’s Joint Action of 29 November 1996 sets up an exchange programme for the training of persons competent in the field of combating trafficking in human beings and the sexual exploitation of children$^{22}$. The aim of this action, and of the “STOP” programme, which it sets up, is to establish a framework for training, information, study and exchange measures for persons responsible for action against trafficking in human beings and the sexual exploitation of children. The programme covers the period 1996-2000. It has a budget of 6.5 million ECU, to be used for projects of European interest and involving more than one Member State. The annual appropriations must be authorised by the budgetary authority. The Commission is responsible for implementing the projects set out in the Joint Action and reports annually to the European Parliament and the Council on implementation of the programme. Of the projects of interest to the fight against child sex tourism which are funded under the “STOP” programme, two should be briefly presented here: - Case studies on the effectiveness of laws and procedures to protect children against commercial sexual exploitation – A project focusing on --- $^{20}$ Answer given on 4 July 1997 by the Council to Written Question P-2693/96 by Mr Clive Needle, on Council implementation of measures to protect children, in OJEC No C 391 of 23.12.1997, pp. 1-2. $^{21}$ Vitit Muntarbhorn, Extraterritorial Criminal Laws against Child Sexual Exploitation, United Nations Children’s Fund, 1998, p. 91 $^{22}$ OJEC No L 322 of 12.12.1996, pp. 7-10 extraterritorial legislation as a way to combat child sex tourism (Organiser: Defence for Children International, the Netherlands). - Training courses for Philippine police officers with special reference to victim support, with a view to assisting the law enforcement agencies in the Philippines in combating child sex tourism, prostitution and child abuse (Organiser: Ministry of the Interior, Technical International Police Cooperation Department, France, in cooperation with the United Kingdom). Other projects aimed at combating sex tourism are being examined under the framework for the 1999 budget of the STOP programme. Operational conclusion No 5 – In view of the need to improve mutual understanding of legal systems, to promote awareness of the similarities between them and, hence, to reduce any existing obstacles to increased cooperation between countries in the field of combating child sex tourism, there could be a priority project to associate the applicant countries, or other third countries particularly affected by this scourge, with the measures initiated by the European Union. Moreover, the Commission will help the applicant countries to introduce the legislative measures needed to bring them into line with the Union’s acquis in this field, and particularly the Joint Action of February 1997 on the criminalisation of traffickers and sexual abusers of children. 2.2.2 The Europol Drugs Unit was already entrusted with certain activities to assist Member States in their fight against certain forms of transnational crime. The Council’s Joint Action of 16 December 1996 extended this unit’s mandate to include trafficking in human beings$^{23}$. Since then, the Council Decision of 3 December 1998 has supplemented the definition of the form of crime known as “traffic in human beings” found in the Annex to the Europol Convention$^{24}$. As defined in that Annex, “traffic in human beings” means “subjection of a person to the real and illegal sway of other persons by using violence or menaces or by abuse of authority or intrigue, especially with a view to the exploitation of prostitution, forms of sexual exploitation and assault of minors or trade in abandoned children. These forms of exploitation also include the production, sale or distribution of child-pornography material”. Operational conclusion No 6 - From the point of view of trafficking in human beings, child sex tourism could receive greater attention in Europol’s work, the aim being, on the basis of developing exchanges of information by intensifying cooperation between the authorities responsible for applying legislation, to identify the factors in the success or failure in implementing the punitive aspect of the fight against this scourge and, if necessary, to draw any operational conclusions. In this context, it has also been stressed that: “Many countries have posted liaison officers at their Embassies – initially to fight drug crime, in liaison with the national police. A good strategy is definitely to extend their mandates so as to fully involve the --- $^{23}$ OJEC No L 342 of 31.12.1996, p. 4 $^{24}$ OJEC No C 26 of 30.01.1999, p. 21 liaison officers of the European Embassies in the countries most affected by the problem of sex tourism, to also deal with this.\textsuperscript{25} 2.3 Finally, it should be pointed out that the DAPHNE initiative has provided support to the activities of non-governmental or non-profit organisations involved in combating violence against women, young people and children covering all forms of sexual and non-sexual violence both within and outside the family\textsuperscript{26}. Three million ecus were allocated to this initiative in 1997, and slightly more in 1998. Five million euro are available for 1999. The Commission will support actions, which give added value to the work already going on at national level. Actions should, as a rule, include at least two Member States, and should promote the exchange of best practices. They could include training, support for networks of NGOs, support to pilot projects, studies, research and the dissemination of information and cooperation between NGOs and public authorities. Of the many projects, which have received Community funding under this framework\textsuperscript{27}, several are relevant to the fight against child sex tourism, particularly the following one: - Co-ordination of hotline providers to reduce child pornography on the Internet by promoting networking and exchange between these providers and law enforcement authorities throughout Europe – Internet Hotline Providers in Europe Forum (INHOPE Forum). In this respect, it should be born in mind that the Conclusions of the General Affairs Council of 5 October 1998 on the fight against child pornography stressed the need to fight, in particular, “child prostitution linked to sex tourism and, in particular, child pornography on the Internet”. Operational conclusion No 7 – In the first call for proposals for 1999 under the DAPHNE initiative\textsuperscript{28}, the Commission is aiming to design and implement a project in the specific field of emergency hotlines for children and young people, involving the fifteen Member States, the results of which must be transferable and usable in the applicant countries. In this context, measures could be considered to raise the hotline operators’ awareness on identifying child sex tourism issues, thus opening the way to more active search and follow-up activities. The adoption of the Community action plan to promote safer use of the Internet by combating illegal and harmful content on global networks\textsuperscript{29}, with a budget of 25 million \textsuperscript{25} Extract from the presentation by Mr Roar Gronnerud (Head of General Crime Branch, Secretariat-General, INTERPOL) at the First European Meeting of the Main Partners in the Fight against Child Sex Tourism, November 1998. \textsuperscript{26} See the reply dated 10 October 1997 given by Mrs Gradin on behalf of the Commission to Written Question E-2776/97 from Ms Marjo Matikainen-Kallström on the protection of children, in OJEC No C 82 of 17.03.1998, pp. 141-142. \textsuperscript{27} For a summary, see the European Commission, Spokesman’s Service, Press Information dated 23 December 1997 (IP/97/1181) and 21 January 1999 (IP/99/40). \textsuperscript{28} OJEC No C 60 of 02.03.1999, pp. 22-24 \textsuperscript{29} OJEC No L 33 of 06.02.1999, pp. 1-11 euro for the period 1999-2002, could provide scope for supplementary initiatives in this respect\textsuperscript{30}. 3. INTENSIFYING EFFORTS TO STEM THE FLOW OF SEX TOURISTS FROM MEMBER STATES There is no lack of reasons justifying regulatory or self-regulatory measures, amongst them being the “concern for long-term preservation of the business’s activities (own objectives and aims, preservation of the brand image, long-term profitability, increasing awareness of the problems posed by sex tourism, the need to avoid downgrading certain tourist destinations)”\textsuperscript{31}. In this respect, the Eurobarometer of Europeans’ opinions on child sex tourism indicates that, for 54% of Europeans, the mere fact of knowing that such practices are taking place at a tourist destination is enough to dissuade them from going there; that 69% would demand that the services offered there should not be linked in any way to them, and 74% would be particularly careful if they went to any holiday destination known as the site such of practices. It is therefore not surprising that the common denominator of the various measures initiated by the European Union to stem the flow of sex tourists from the Member States has been: “to “encourage responsibility”, to use the wording already selected for the reference to the fight against this scourge in the Commission report on Community measures affecting tourism (1995-1996)\textsuperscript{32}. 3.1 The initiative in favour of strengthening co-ordination at European level of national information and awareness-raising campaigns on child sex tourism was launched at the start of 1998. 3.1.1 The first communication projects carried out that year with funding from the European Commission were selected following a very strict assessment and selection procedure, which itself followed a call for proposals and a very rigorous invitation to tender, both published in July 1997\textsuperscript{33}. These projects involved the participation of a team of experts in communication and the development of two mutually complementary projects. The terre des hommes project - covering three Member States (Germany, Belgium and France) and Switzerland, and involving the terre des hommes network and some airlines - aimed to design, produce and disseminate an in-flight video spot for flights to so-called high-risk destinations, to be accompanied by information for airline staff. \textsuperscript{30} For example, in the context of the call for proposals on the establishment of a European network of hotlines as part of the implementation of the action plan. See OJEC No C 92 of 01.04.1999, p. 11. \textsuperscript{31} See the presentation by Mrs Monique Canto-Sperber (Director of Research at the CNRS) at the First European Meeting of the Main Partners in the Fight against Child Sex Tourism, November 1998. \textsuperscript{32} COM(97)332 final of 02.07.1997, point 2.4 \textsuperscript{33} OJEC No C 232 of 31.07.1997, pp. 23-24 and OJEC No S 147 of 31.07.1997, pp. 37-38. The objective of the project was - and remains - to make the passengers of the various airlines aware of the problem of child sex tourism. To achieve this, the spot entitled “Toys” (playing on the idea that children are not “toys”) produced by terre des hommes is made available to airlines upon request for showing on their long-haul flights. Lufthansa was the first airline to decide to show this spot, for three months as from 20 November 1998 on all its long-haul flights. Olympic Airways and Air Europa have since joined this initiative. Other airlines have also shown interest. Negotiations are currently under way through terre des hommes sections in the Netherlands, Italy and Switzerland. This project also gave rise to considerable media coverage, particularly in Germany. There were 29 million media contacts in total, of which 14 million on TV. This is all the more remarkable in that the very nature of the project, and its medium, make it a priori a vector aimed only at airlines and their passengers. These initial successes by Terre des Hommes should help to publicise this innovative project and attract more airlines to the moves initiated with the support of the European Commission and the German Ministry of Youth$^{34}$. The Groupe Développement project - covering four Member States, Germany, Belgium, France and the Netherlands) and involving Europe-wide associations (ECPAT and ECTAA networks) - aimed to design, produce and disseminate leaflets for travellers to so-called “high-risk” destinations, as well as resource material on sex tourism for training tourism professionals. Preliminary work was done on researching Community projects carried out in the last five years, giving a view of the fight against sex tourism in the information and awareness campaigns already implemented$^{35}$. Information for travellers - the first part of the project - was provided by distributing a leaflet, including “luggage tags” which the travellers were asked to put on their baggage or hand luggage to show their commitment to the fight against child sex tourism. Since July 1998, almost 400,000 of these leaflets have been handed to travellers in Germany, Belgium, France and the Netherlands. In these four countries, the tourism professionals who are in direct contact with the target group amongst the general public have played an essential role in distributing the leaflet to their customers. The project leader is currently encouraging other NGOs, tour operators or governmental bodies to join this “luggage tag” initiative$^{36}$. --- $^{34}$ This support was recently reflected in a joint letter from the Presidency of the Council and the Commission to the Ministers for Youth of the Member States of the European Union. $^{35}$ Research Report on European Communication Actions for Travellers and Trainers to Combat Child Sex Tourism (1993-1998), Research carried out by Groupe Développement and ECPAT Netherlands, March 1999. $^{36}$ Guidelines on developing a luggage tag against Child Sex Tourism – Experiences from Belgium, Germany, France and the Netherlands, March 1999. Training of tourism professionals - the second part of the project - was encouraged by the development of teaching tools for tourism trainers. The existing French teaching resource kit has been adapted for use in Belgium, Germany and the Netherlands\textsuperscript{37}. The various training resource kits were tested in pilot courses involving tourism trainees. Here again, by its very nature, the project is suitable for extension to other countries in Europe. Despite certain weaknesses in the internal coordination of the various partners in the Groupe Développement, the interest aroused by this project supported by the European Commission should encourage others to continue in this vein, with stronger and wider cooperation. 3.1.2 In addition to these two projects, a communication project in the name of the Commission was launched in the second half of 1998. It was decided to concentrate on a targeted operation because of the usefulness and suitability of this approach and its potential impact at European level. In this context, it appeared particularly appropriate to consider organizing an “event” at a tourism fair. The first European meeting of the main partners in the fight against child sex tourism was thus held at the \textit{Brussels Travel Fair (BTF)}, a trade fair for tourism which took place in Brussels from 24 to 26 November 1998. The participation of the Commission as a guest of honour at the fair, which focused on the topic of the fight against child sex tourism, was a genuine new departure. The size of the stand, at the “heart” of the fair, on this topic, and the size of the conference dedicated to it, ensured that the issue had a high profile. The presence of prominent persons, the foremost being H.M. Albert II, and the participation of recognised experts, contributed greatly to the quality of the work and to the success of this “event”. Particular attention is being paid to ensuring the appropriate follow-up to this meeting\textsuperscript{38}. The invitation to the Commission, following the \textit{Brussels Travel Fair}, to take part in other specialised events at which the problem of child sex tourism could also be raised led to the assembly of an “itinerant” exhibition (a series of panels and the corresponding documentation) devoted to Community action in the area. The \textit{Feria Internacional de Turismo (FITUR)} in Madrid (27-31 January 1999), which was attended by more than 100,000 people, was the first to host this exhibition. It was also incorporated into the Commission’s stand at the \textit{Internationale Tourismus-Börse (ITB)} in Berlin (6-10 March 1999), the largest meeting of tourism professionals in the whole world. Moreover, the mobilisation of several networks for disseminating Community information on this topic led to the distribution of an information leaflet on European Union action to combat child sex tourism. Production of this document provided the opportunity to define a consistent design for all the media used by the Commission, thereby giving Community action an easily recognised identity in all communications. The European Commission’s involvement in planning projects “in its own name” seems \textit{a posteriori} to be an important element in the fight against child sex tourism. It also gives \textsuperscript{37} \textit{Training Kit for Tourism Trainers against Child Sex Tourism – Experiences from Belgium, Germany, France & the Netherlands}, March 1999. \textsuperscript{38} The speeches and contributions of the participants are the subject of a publication entitled \textit{First European Meeting of the Main Partners in the Fight against Child Sex Tourism}, November 1998. greater control - essential in view of the necessary differentiation of the various initiatives - in terms of both yield and returns from the information and awareness-raising campaigns carried out elsewhere. Operational conclusion No 8 – The evaluation of the two projects supported by the Commission indicates that this type of action should be further pursued on the basis of a new call for proposals and invitation to tender, thereby preparing the way for new initiatives to extend and/or supplement those already implemented, with a view to strengthening co-ordination at European level of national information and awareness-raising campaigns. If necessary, the Commission should also continue to draw up other communication projects of its own. In this context, particular attention should continue to be paid to initiatives in the area of initial education and ongoing training which can contribute effectively to information and awareness-raising amongst tourism professionals and trainees about the “ethical dimension of responsible tourism, which seeks to preserve the dignity and physical and moral integrity of the child”, as stated in the Commission Communication of 1996. Attention will also be paid to initiatives by media professionals aimed at ensuring the most appropriate treatment - particularly as regards application of their professional ethics - of the topic of child sex tourism. The International Federation of Journalists has already had occasion to stress, in this respect, that information campaigns should also aim “to support media efforts to raise professional awareness and to improve media-performance beyond reportage, which is sensationalist and often portrays children only as helpless victims. Greater care needs to be taken to ensure that the positive and active voice of children is heard in the debate about defence of child rights”$^{39}$. ### 3.2 Other Commission initiatives aimed at increased involvement of professional circles have also produced tangible results, particularly in terms of drawing up and strengthening codes of conduct and other self-regulatory schemes for the tourism industry. For information, a dozen resolutions, declarations, charters or codes of conduct have already been adopted by organisations representing employees in tourism (ETLC), or by professional associations in the tourism industry, e.g. for air passenger transport (IATA), organising or selling trips or holiday stays (IFTO, UFTAA, ECTAA), hotels and restaurants (IHRA, HOTREC) - including certain specific forms such as youth hostels (EUFED). The declaration by ECTAA against child sex tourism, adopted on 28 November 1996, is a good example of the efforts already undertaken by certain branches of the tourist industry. The fact that all the national associations of travel agents and tour operators that are members or observers in ECTAA have undertaken, in particular, “to exclude immediately any member whose involvement in activities linked to sex tourism is proved” shows the determination of the tourism industry to contribute, within the limits of its means of action, to the fight against this scourge. --- $^{39}$ Extract from the presentation of Mr. Aidan White (General Secretary of the IFJ), at the First European Meeting of the Main Partners in the Fight against Child Sex Tourism, November 1998. The pronouncements and proposals for action coming from professional circles - and in particular those featuring in the contributions produced by the European tourism industry associations which were consulted by the Commission following the adoption of its Communication of 1996 - were the subject of an exchange of views at a technical meeting with the tourism industry on 30 June 1997 which concentrated on measures to stem the flow of sex tourists from Member States. In this respect, the attention of the professional representatives present was drawn, in particular, to drawing up and strengthening codes of conduct and other self-regulatory schemes which the Commission intends to encourage, as set out in the 1996 Communication. Since the Commission had explicitly come out "in favour of a basic minimum of commitments to be met by the various branches of the tourism industry, it has noted with interest the various projects launched in this regard and is following their progress. One example is the "Code of Conduct against Child Sex Tourism for Tour Operators" drawn up ECPAT Sweden. Operational conclusion No 9 – In view of the need to ensure the effectiveness of the codes of conduct and other self-regulatory schemes in the tourism industry, the proposal is maintained that the Commission may "involve itself in evaluating the implementation of these codes of conduct, which is the weak point of any such provisions", to quote the 1996 Communication. If that were to be the case, use could be made of the experience gained on this issue at Community level, in areas such as the environment and social affairs\textsuperscript{40}, where recourse to professional ethics, while not losing sight of economic facts, appears an essential condition for the success of "socially responsible" businesses. 3.3 The 1996 Communication also referred to "a concerted approach in relation to [...] an initiative at international level", i.e. the World Tourism Organisation proposal to set up a Task Force entitled "Tourism and Child Prostitution Watch". The participants in the meetings of this Task Force have been regularly informed in detail of the exact state of work at European level, in order to achieve full transparency with regard to actions undertaken to combat child sex tourism and to avoid any possible overlap in supporting efforts to eradicate this practice. As from November 1997, an item entitled "cooperation with the European Commission" has been a regular item on the agenda of these meetings, which are normally held twice a year. It was in this forum that the possibility was raised of the handing-over, at international level, of tools and "products" deriving from projects implemented with financial support from the European Commission. Such an approach offers \textit{a priori} the advantage of increasing, on the one hand, the impact of initiatives whose effectiveness has been demonstrated and, on the other, the yield from funding already made available or currently available - including private funding made available as a supplement to public money, and not "in competition" with it. \textsuperscript{40} As regards adherence to fundamental working standards, see in particular the reply given on 2 March 1998 by Sir Leon Brittan on behalf of the Commission to Written Question E-0086/98 from Mr Carlos Robles Piquer on a \textit{code of conduct for EU enterprises}, in OJEC No C 323 of 21.10.1998, p. 21. Operational conclusion No 10 – A study should therefore be made of the conditions and means of giving tangible form to the cooperation initiated with the WTO Task Force, as well as with those international organisations particularly active in the field of protecting children, the foremost being UNICEF. Efforts could be made to raise the profile of the issue of “child sex tourism” in the context of the 10th anniversary of the adoption in 1989 of the UN Convention on the Rights of the Child. 4. DEVELOPING MEASURES TO COMBAT SEX TOURISM IN THIRD COUNTRIES The importance which the European Union attaches to respect for democratic principles and human rights is reflected, in particular, in its contribution to the work of various international organisations and bodies. One notable consequence of this is the inclusion of the problem of child sex tourism in various documents and position statements, particularly those described below. - The Progress Report prepared by the Commission for the 42nd session of the United Nations Commission on the Status of Women (March 1998), whose work was devoted to the problem of violence against women. The European Union was represented there and adopted a declaration condemning all forms of violence against women$^{41}$. - The Commission’s working document on the “Measures adopted by the European Union to combat extreme forms of child labour”$^{42}$, prepared for the Conference of the International Labour Organisation (June 1998). The Commission was pleased to note that the initial discussions on that occasion led to the adoption of “conclusions proposing a convention and a recommendation for adoption in 1999 on the worst forms of child labour”$^{43}$. What is more, the question of child labour in tourism, and the links between the latter and child sex tourism, is the subject of increasing attention$^{44}$. - The Chairman’s Statement at the end of the second Asia-Europe Summit (ASEM) in April 1998, referring to an initiative aimed at promoting the well-being of children$^{45}$ and preparing the way for the meeting of experts. --- $^{41}$ See the reply by the Council dated 28 May 1998 to Written Question E-0614/98 from Mrs Maria Izquierdo Rojo on violence against women, in OJEC No C 304 of 02.10.1998, p. 140. $^{42}$ SEC(97)1265, of 24.06.1997 $^{43}$ See the reply dated 16 July 1998 given by Mr Van den Broek on behalf of the Commission to Written Question E-1786/98 from Mr Joaquin Sisó Cruellas on the International march against the exploitation of child labour, in OJEC No C 50 of 22.02.1999, pp. 92-93. $^{44}$ For further information, see the presentation by Mrs Christine Pfüss (Ak Tourismus und Entwicklung) at the First European Meeting of the Main Partners in the Fight against Child Sex Tourism, November 1998. $^{45}$ The aim of this initiative is to develop co-operation on issues relating to child welfare, including the fight against commercial sexual exploitation of children, of which child sex tourism is only one of several aspects. held on this topic a few months later (London, October 1998). Work is underway regarding the three follow-up actions agreed at this meeting, namely: an ASEM resource centre website, a meeting of police and law enforcement agencies and an exchange scheme for social and civil society workers dealing with child welfare. - The synthesis paper on the position of the European Union regarding a draft decision on sustainable tourism, in the framework of the April 1999 meeting of the UN Commission on Sustainable Development. The decision finally adopted incorporates the essential concerns expressed by the European Union regarding the fight against exploitation of children. In this context, it should be remembered that the Community strategy of support for the development of sustainable tourism in the developing countries stresses, as regards the fight against child sex tourism, that "the need for specific action in this field to supplement the measures to support the tourism sector must be taken into account from the outset in drawing up national and regional strategies". Moreover, it explicitly provides for work to continue "on addressing this matter as part of a structured political dialogue with the countries most affected, and particularly at regional level". The adoption by the ACP-EU Joint Assembly of a resolution on the situation of children in the ACP countries$^{46}$, calling upon "the ACP countries to introduce more stringent national laws against ... sex tourism ... and to ensure that they are respected", calling for close bilateral and international judicial cooperation between the EU and ACP countries which are sex tourism destinations, as well as international cooperation with law-enforcement agencies in third countries in combating ... sex tourism" and calling on "the Union, the Member States and the ACP countries to provide effective education on ... sex tourism ... and to involve the international tourism industry in these efforts". Nevertheless, the contribution to the fight against sex tourism in third countries, in the context of external relations and development cooperation, may have appeared relatively slow to develop, despite major organizational efforts. 4.1 This is particularly the case as regards rationalising the methods of intervention and co-ordination of Community resources available for protection of the child victims of sex tourism. In this respect, the need for the following was reiterated: - to examine the possibility and assess the scope for using existing financial instruments to provide more specific support for the fight against child sex tourism; - to agree on a "common body" of references, in particular for identifying and processing applications for funding for the protection of the victims of child sex tourism in third countries. Operational conclusion No 11 - Identification visits to certain "sensitive" destinations, in order to survey the situation and formulate recommendations for --- $^{46}$ Resolution adopted by the ACP-EU Joint Assembly during its XXVIIIth session, held in Strasbourg (France) from 29 March to 1 April 1999. action. Amongst the indicators mentioned for selecting such target destinations were: the preponderance of flows of tourists and travellers to the area in question, the scale of sex tourism (compared, in particular, with other forms of exploitation) in the area in question, and the degree of involvement of the third country/countries concerned in the fight against this scourge. 4.2 Consideration of respect for human rights in contractual relations between the Community and third countries has not been given particular attention in relation to the problem of child sex tourism. However, in general terms, the European Union has pursued its policy of developing and strengthening democracy and the rule of law, as well as universal respect for human rights and fundamental freedoms. By making each agreement the instrument of a global approach to political, social and economic development, it has continued to make respect for democratic principles and human rights an essential element of its agreements with third countries. In this respect, important decisions were taken, including the Council Decision of 11 March 1999 on the procedure for implementing Article 366a of the fourth ACP-EC Convention$^{47}$. As regards the links between working standards and international trade, mention must be made of certain signs of progress, such as the inclusion of “incentive clauses” for respect of fundamental social standards in the generalised system of preferences granted to developing countries$^{48}$. The important question of better integration into the CFSP of policies to ensure respect for fundamental rights has also been raised. In this context, it should be pointed out, by way of example, that the demands for economic sanctions - particularly in the field of tourism - against the Burmese authorities guilty of serious violations of human rights led to the extension of restrictions on the issue of visas to those responsible for tourism in Burma, as well as to a reminder that tourists from Europe were advised not to visit Burma.$^{49}$ Operational conclusion No 12 - Information and awareness-raising programmes on this subject could also be developed for the delegations, representations and external offices of the European Commission and, if necessary, for the consular and diplomatic staff of the Member States, or even for the officials most directly concerned in their immigration services. --- $^{47}$ OJEC No L 75 of 20.03.1999, pp. 32-33 $^{48}$ Regarding this “system of social encouragement”, see in particular the reply dated 24 September 1998 given by Mr. Pinheiro on behalf of the Commission to Written Question E-2024/98 from Ms. Laura De Esteban Martin on a code of conduct for Community businesses operating specifically in developing countries, in OJEC N° C 118 of 29.04.1999, pp.16-17. $^{49}$ Cf. the reply dated 16 November 1998 given by the Council to Written Question E-2526/98 from Mr. Graham Watson on political oppression in Burma, in OJEC N° C 135 of 14.05.1999, p.69. Finally, as foreseen in the 1996 Commission Communication, the Member States of the European Union have been called upon to close ranks against child sex tourism. Particular attention was therefore devoted in 1997 to informing and raising the awareness of the representatives of the Member States in the Tourism Advisory Committee, particularly with regard to the measures proposed in the Communication which were of direct concern to them, and primarily a possible "Position Statement" from the Council on the fight against child sex tourism. The meetings of 4 March 1997, 17 June 1997 and 21 October 1997 were all occasions for exchanges of views on this question between the Commission and the representatives of the Member States in that Committee, on the basis of contributions produced by the latter, in response to consultation on the Commission Communication. These exchanges of views proved extremely useful when preparing the Council of (Tourism) Ministers on 26 November 1997, the agenda of which included an exchange of views on the Commission Communication, and which ended with the adoption of a Declaration. Conclusion The Commission is carrying out with determination the task with which it was entrusted. Over the last two years, the Commission has implemented the ensemble of operational proposals decided upon in 1996 in order to fight child sex tourism. The results appear encouraging, to the extent that they reflect a firm political commitment to resolve a major social problem which everyone has a responsibility to address. Nevertheless, the commercial sexual exploitation of children is unfortunately still a reality which, in certain regions of the world, appears to be worsening. It is therefore necessary that the Commission and the Member States pursue unremittingly their efforts to combat this scourge, which is an attack on human dignity. 1. Improving knowledge of the phenomenon of child sex tourism 1.1 Survey of Europeans' views on the phenomenon of child sex tourism The technical specifications of this survey, carried out by INRA(EUROPE), on the basis of 16,165 interviews, are provided in the annexes of the corresponding publications. The cost of the poll was 267,194.50 ECU, plus the cost of 3,421 ECU - not initially foreseen - for the summary presentation of results. 14,500 copies of the summary presentation of results were printed, for a total cost of 5,535 ECU (restricted call for tenders). 1,200 copies of the final report were printed, for a total cost of 2,930 ECU (restricted call for tenders). 1.2 Surveying and disseminating existing information on topics of common interest and major importance 1.3 Better understanding of world trends in the phenomenon 2. Strengthening the effectiveness of laws and law enforcement, including extraterritorial criminal laws 2.1 Joint Action of the Council of 24 February 1997, concerning action to combat trafficking in human beings and sexual abuse of children 2.2 Other Joint Actions also relevant to the fight against child sex tourism 2.2.1 Joint Action of the Council of 29 November 1996 (STOP programme) 2.2.2 Joint Action of the Council of 16 December 1996 2.3 DAPHNE initiative 3. Intensifying efforts to stem the flow of sex tourists from Member States 3.1 Strengthening co-ordination at European level of national information and awareness-raising campaigns 3.1.1 Communication projects carried out with funding from the European Commission Service provision contract for a total amount of 90,530 ECU for the team of communication experts (Strat & Com). Grant of 96,375 ECU, representing 60% of the total planned cost of 160,625 ECU, for the project of terre des hommes. Grant of 139,977 ECU, representing 58,74% of the total planned cost of 238,295 ECU, for the project of Groupe Développement 3.1.2. Communication project undertaken in the name of the Commission The First European Meeting of the Main Partners in the Fight against Child Sex Tourism, as part of the Brussels Travel Fair (BTF) 1998. Stand (240 m²) et conferencee (+/- 300 people, over two days) on this subject, for an amount disbursed of the order of 100,000 ECU. Information leaflet on the European Union communication projects to combat child sex tourism. Printing of 21,600 copies for a total cost of 1,108 ECU (restricted call for tenders). 3.2 Drawing up and strengthening codes of conduct and other self-regulatory schemes for the tourism industry 3.3 «Concerted approach in relation to [...] an initiative at international level» 4. Developing measures to combat sex tourism in third countries 4.1 Rationalising the methods of intervention and co-ordination of available Community resources 4.2 Consideration of respect for human rights in contractual relations between the Community and third countries
Working on the Inside, Living on the Outside: Migrant Domestic Workers in Jordan Diana Dai April 2017 Under the supervision of Dr. Frances S. Hasso, Associate Professor in Gender, Sexuality and Feminist Studies Submitted in Partial Fulfillment of the Requirements for Graduation with Distinction Program in International Comparative Studies Trinity College of Arts and Sciences # Table of Contents \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| Table of Contents \| 2 \| \| Acknowledgements \| 4 \| \| Abstract \| 5 \| \| Introduction \| 6 \| \| Local as Feminine and The Implications of “Agency” \| 9 \| \| My Thesis: Inclusion, Labor, and Struggle \| 17 \| \| Research Methods \| 22 \| \| People \| 23 \| \| Additional Interviews \| 27 \| \| Places \| 27 \| \| Chapter One \| 29 \| \| An Overview of Regional and International Labor Migration in Jordan, the Middle East, and Philippines After 1973 \| 29 \| \| Social and Economic Impacts of Jordanian Emigration \| 34 \| \| Domestic Servitude and Migrant Domestics in Jordan \| 36 \| \| Amman as a Global City \| 39 \| \| Labor Exportation in the Philippines: Extractive Citizenship, Nation-Building, and New Heroes \| 42 \| \| Conclusion \| 48 \| \| Chapter Two \| 50 \| \| (In)Distinguishing Inside and Outside \| 50 \| \| The Embedded Structures of (I)legality \| 55 \| \| Does Legality Exist?: Conversations in Jordan \| 58 \| \| Embodied Illegality \| 65 \| \| The Kafala System: Historical Insights and Contemporary Patterns \| 68 \| \| An Informal Market of Legal Documentation \| 71 \| \| Being “Outside” \| 76 \| \| Going “Outside” \| 77 \| \| Conclusion: “The Dull Compulsion of Economic Relations” \| 80 \| \| Chapter Three \| 82 \| \| Acts of Conversion: Surplus, Scarcity, and Extraction \| 82 \| \| Section 1: The Remittances Discourse \| 85 \| \| Neutralizing Remittances and “Practical Arrangements” \| 85 \| \| A Fact: Unremitting Remitters \| 86 \| \| Section 2: Wages en masse, Bodies en masse \| 88 \| \| Filipina Remitters, Filipina Bodies \| 88 \| \| Section 3: Earning Wages \| 92 \| \| Bodies, Wages, and Employers \| 92 \| \| Obscuring Exploitation Through Intimacy and Affective Language \| 101 \| \| Section 4: Using Money \| 106 \| \| Making Commensurable \| 106 \| \| Consumption and the Trap of Money: How Acts of Freedom are Imbedded in the Logic of Money \| 110 \| \| Conclusion: Lessons about Choice \| 114 \| Chapter Four: A Case Study of UNIFEM’s “Empowering Women Migrant Workers in Asia” and the Politics of Depoliticization NGO-isation and Depoliticizing Political Change ................................................................. 117 Main Implementation Mechanisms and Funding .................................................................. 118 Stifling Grassroots Efforts ........................................................................................................... 122 The “Perfect Student” and the Pretension of Progress ......................................................... 124 Continued Focus on Development Discourse ........................................................................ 128 Political Satire or Normalizing Abuse? Discursive Effects of the Abu-Mahjoob Cartoons .... 130 Give us a Better Patriarchy ....................................................................................................... 133 Privatizing Abuse ...................................................................................................................... 136 Conclusion ................................................................................................................................ 140 Conclusion: Ceaseless Migrations ............................................................................................ 142 Bibliography ............................................................................................................................... 145 Acknowledgements My first and greatest thanks goes to my advisor, Professor Frances Hasso. All I truly want from my undergraduate experience is to find inspiring, tough, compassionate, and intellectual mentors to learn from, listen to, and converse with. I am lucky and honored to have worked under your instruction this past year, as a student and an advisee. The time and effort you took to meet with me, read my drafts, and guide me through this process has taught me to think and write in a totally different (and better) way. Thank you for your labor, and for the numerous entertaining conversations. Many, many, many thanks to Professor Jessica Namakkal for your irreplaceable guidance this past year. Writing a thesis takes quite the toll, emotionally and physically, but your support throughout this entire process has kept me grounded and focused, and I am truly grateful for that. Thank you to Professor Sara Ababneh at the Center for Strategic in Amman, Jordan. Your lessons in October 2015 during the IHP Human Rights program was one of catalysts that sparked my passion for critical theory. Working as your research assistant the following summer at CSS was also essential to developing the intellectual foundations of this thesis, and my intellectual orientation overall. I am deeply inspired by your work, and hope that in the future I may emulate the same rigor and depth in my research. To my fellow peers in the Class of 2017 ICS Honors program – we might be a small group, but we wrote some pretty incredible stuff. Thank you as well for your support and time. To my dear friends at Duke and everywhere else, thank you for making me laugh during all the tough times, for listening to my ideas, and for just being there. Thank you especially to Maxwell Duncan, for your unyielding support, companionship, and love. Thank you to my family, a family of immigrants and their children. Mom and Dad -- it is your journey across borders and oceans in search of something better that inspires me in my life every day. To Andrew, thank you for being you. Finally, thank you to the migrant domestic workers in Jordan who provided the narratives that now populate these pages. How could I ever express all of my gratitude? Recalling each and every story you told me still to this day fills me with strength and courage. I truly hope to see you all again one day. This project would not have been possible without the generosity of the Duke Human Rights Center at the Franklin Humanities Institute. Migrant workers are often seen as the archetypical excluded figure. This image becomes even more vivid and convincing when the worker is identified as woman, non-white, and poor. In response to this excluded figure, public and scholarly discourse has been focused on the language of inclusion and integration, which often implies expanding citizenship, amnesty, legal status, and other forms of juridical clemency. This thesis pushes against the tendency to see exclusion and inclusion as a natural binary and with clearly demarcated borders. Instead, I argue that spaces and conditions of exclusion and inclusion are contingent upon and subject to state power and dominant discourses. What this means in relation to migrant domestic workers in Jordan is that being “included” -- whether by the law, by the family, by the state -- can often yield ambiguous results. Using the notion of inclusion as a starting point, my thesis investigates the complex dynamics of labor migration in Jordan and the Philippines, the role of both these states in the governance and “inclusion” of migrants/citizens, and the role of capitalist ideology in the exploitation of migrant domestics. I find that, on the one hand, being included into the law, family, or state subjects one to more control, surveillance, and discipline. On the other hand, being “excluded” from the law, family, or state can open up possibilities for more autonomy, choice, and consensual relations. Introduction In October 2015, I found myself in Amman for the second time. As a keen and bright-eyed student, I had dutifully signed myself up to participate in the IHP Human Rights program, sponsored by the School of International Training. Over the course of one semester, our cohort of twenty-seven students ventured from New York City to Kathmandu, Amman, and Santiago to learn as much as we could about “human rights in a transnational context.” Problematic as that may sound – and it was often problematic – the program gave me the opportunity to hear numerous local activists who were all committed to struggles within their immediate community. Jordan was our second stop, and I was most eager for that particular leg of the trip because I had been there the summer before on a handsomely funded service-learning trip called DukeEngage and considered myself somewhat of an insider. I knew a thing or two: what the food was like, how to get around the city, how they (the people) treated foreigners, and where one could find some young English-speaking, cigarette-smoking, brooding Arab musicians and artists who could tell my friends about the “real” Middle East. I admit to my own over-confidence and self-obsession. I wish I could have displayed just a bit more thoughtfulness and sensitivity to my new surroundings. For what it is worth, I have many stories about other U.S. study-abroad students who felt the same desire for adventure and sense of moral superiority for having “seen” the Middle East as a “Westerner”. Throughout the writing of this thesis, and through other classes I took at Duke, my intellectual fetishization of certain issues popular in the study of this region – women, refugees, Islam, colonialism, democracy – became a little more dislodged with each day that I read, learned, listened, and questioned. This thesis is the product of my experiences in Jordan during this visit and an additional research trip I took in the summer of 2016. But my exposure to domestic workers did not begin with Jordan, since I grew up in Hong Kong, a city known for its large population of migrant domestic workers. Between the ages of 13 and 15, my family employed a young woman from Indonesia – a “helper”, a term commonly used in Hong Kong to refer to domestic workers. Until her very last of work with us, I felt a certain uneasiness knowing that she was sleeping in the room next to mine. Seven years later, I continue to sift through feelings of guilt, confusion, and awkwardness from that period. I attended an international private school where many, if not all, of my classmates were raised and taken care of by one or more domestic workers. I grew accustomed to seeing large numbers of Filipina or Indonesian women populating the parks and sidewalks of the city every Sunday, as well as helpers lining up outside schools every day at 3:00 m., chatting and mingling with other helpers as they waited to pick up the children of their employers. The mistreatment of domestic workers hardly ever entered my mind before I came to the United States for college. I remember a brief stint in high school where the issue of domestic workers’ rights was brought to my attention: our high school Human Rights Club spent a few weeks raising awareness about something called the “right to abode.” One of my good friends, a chatty, authoritative girl, was president of the club. Sometimes during lunch hour she would discuss the issues with me, telling me stories of horrific treatment towards helpers (“happening right here in Hong Kong!”) Most of the time, I listened absent-mindedly. “I was not horrific. Anybody with any common sense should know how to treat another person with respect.” And that was that. Other than the few weeks where the school halls were studded with posters with black-and-white pictures of sad-looking women peering out a window, the issue of domestic workers was taken for granted. The purpose of these confessions is to disclose and contextualize where I stand as a student interested in writing a thesis about migrant domestic workers in the Middle East: sometimes naïve and ill-informed, but not always. During my years in Hong Kong, I got to know some of my friends’ helpers very well; most of them I saw on a weekly, if not daily, basis. The worker from Indonesia that my parents had employed was also not entirely a stranger to me (we traveled around China for two weeks with her by our side). These are women that I have shared secrets with, laughed with, and been angry and frustrated with. Women who have made food for me, cleaned up after me, supervised, waited, and entertained me. Women whose personal lives I have always been curious to know about, but could never bring myself to ask. How to make sense of all this, and the emotions that I feel? This thesis is a first and significant attempt to do so, and although I certainly cannot extrapolate the insights from my own life to “make sense” of the practices, people, and experiences I discuss in this paper, it is also not possible to compartmentalize myself and my biases in my writing or analyses. This is a tension that I try to keep alive throughout this thesis, although I do not shy away from the reality that I might sometimes be unsuccessful. In the remainder of this chapter, I begin with two analytical discussions, the latter of which includes my thesis outline. Following this, I include the economic and social background relevant to situating migrant domestic work in the Jordanian context. Lastly, I present my research methods. Within my analytical discussions, I introduce some major themes and concepts that set the stage for my research topic and theoretical contributions. The first discussion is dedicated to the question of agency: I analyze how agency is defined and used in the literature on domestic work, and consider the implications of its use. The discussion focuses on how migrant domestics are embedded with, are constituted by, and contribute to the global processes and discourses that affect their lives, in both deleterious and beneficial ways, and how this reality complicates theoretical applications of agency. The second discussion has to do with the main organizing principle of my thesis: inclusion. In particular, I discuss what is at stake when we evoke the notion of inclusion, and why inclusion on the state’s terms will always be a double-edged, laborious struggle. Local as Feminine and The Implications of “Agency” This thesis began as an attempt to understand the structural-level causes and subject-level effects of an understudied migration pathway: the Philippines to Jordan, and along the way, Southeast Asia to the Middle East. Soon into my inquiry, however, I realized that this approach was limited and problematic. In particular, the problem arises when grand theories of globalization are used to understand or explain “local” instances of experience, resistance, or participation. Carla Freeman masterfully elucidates this when she argues that studies about globalization have implicitly followed a dichotomous model in which theory and global processes are rendered masculine, while local empirical observations (always about culture and people) are rendered feminine (Freeman 2001). The focus of my thesis is mostly processes that define globalization, for which Freedman provides a comprehensive baseline definition: “the spatial reorganization of production across national borders and a vast acceleration in the global circulation of capital, goods, labor, and ideas, all of which have generally been traced in their contemporary form to the economic and political shifts in the 1970s” (1008). These processes operationalize not only at the institutional or state level (i.e. guest worker programs, more stringent immigration policy, higher volumes of foreign trade and investment, more unequal implementation of development projects and policy), but also at the subject level, in which individuals engage in practices that are “both embedded within and at the same time transforming practices of global capitalism” (1008). As I became aware of this tendency to see the global as masculine and the local as feminine, I soon became aware of it in other analyses as well, particularly in writings about migrant domestic workers -- and even more particularly, in writings about migrant domestic workers in the Middle East. This brought me to the concept of agency, which I identified as an intriguing common thread among all the works on migrant domestic work that I consulted. As a social science project, there was no way my research could have avoided engaging with the question of agency. As a project about real people, I am invariably faced with the task of elevating them above victim status and maintaining their personhood, while also making the crucial analytical point that individuals are fully embedded within, constituted by, and affected by oppressive structures and ideologies (global capitalism, state power, nationalism, sexism, racism). This dilemma calls to mind the structure versus agency debate, within which this project is inherently invested. Indeed, all of the works I read on this topic were concerned with agency -- sometimes, I argue, in an obligatory fashion, as a way to avoid the charge that the women under study are being represented as passive objects. On the one hand, this analytical move perhaps grew out of the completely justified imperative within feminist studies to push back on the portrayal of women, particularly “Third World women,” as passive and oppressed (and thus opposite to the “enlightened” and “free” women of the West). One the other hand, I pose a delicate question: whether the readiness to name agency has evolved into a “familiar formulation” of the “third world woman” as someone who, by nature, is psychologically outside, against, and immune to ideology and structure. If, as Freeman argues, the “local” is not merely a set of effects of (and thus, resistant and reactive to) globalization, but are also “constitutive ingredients” of its processes, where and how do we accurately name agency? I saw the concept of agency being applied in a wide range of disciplines. For example, feminist writing in migration scholarship is careful not to perpetuate trafficking discourse (Agustin 2005; Mahdavi 2016, 14-17). Most are diligent to name their opposition to the outright application of purely economic models for understanding the migration of women, for example, push-pull theory. Thus, we avoid the trap of arguing that migrants’ decisions are simply determined by their economic circumstances (Oishi 2005, 13; Parreñas 2001; Mahdavi 2016, 19). We see the agency argument in scholarship on domestic workers in particular, some of which focuses on the political organization or agency of domestic workers, and others which focus on the micro, meso, or personal occurrences of agency even when the opportunity for collective mobilization is not there (Pande 2012). On that particular point, Pardis Mahdavi’s Crossing the Gulf (2016) is one example of agency being found within the “intimate lives” of migrant domestics working in Dubai, Abu Dhabi, and Kuwait City. Mahdavi understands the intimate to be “a space where migrants assert their agency and citizenship in the absence of their ability to do so vis-à-vis the state” (5). By focusing on intimate lives rather than economic behaviors, Mahdavi finds that immobility and mobility are governed by bonds of love and familial duties and not always by the codified rules of states. While state policies and “inflexible regimes” set the rules of mobility, migrant domestics make choices to stay or leave based on happenings in their intimate lives, which end up being spaces to “navigate and negotiate agency” (30). Mahdavi critiques the trafficking narrative used to describe the situation of migrant domestics in the Gulf. She writes that “essentializing domestic workers as products of their abuse rather than emphasizing the complexities of their choices further challenges the agency of those who struggle to negotiate their potential courses of action, make decisions, and control their own lives” (75). Thus, for Mahdavi, migrant domestics have personal lives that are not necessarily governed by the conditions of their work life, which might include economic hardship, precarious legal status, or physical or emotional abuse. A longing for adventure, the freedom to explore one’s sexuality, or the wish to escape a stale life at home are all considered important dimensions of migrant life that must be acknowledged theoretically, as they often become sources of agentic action. In a chapter titled, “Inflexible Citizenship and Flexible Practices”, Mahdavi presents several stories of migrant domestics acting “creatively” and “flexibly” (77). She opens the chapter with a story about Lucinda, who followed her mother from the Philippines to Kuwait in the hopes of making enough money through domestic work so they both return. In the end, Lucinda’s mother found a new life for herself in Kuwait and Lucinda decided to stay because she felt there was nothing for her back in the Philippines. Lucinda enrolled in night classes and found a job as a data manager in a local hospital (74). Mahdavi uses this story to show how migrant domestics, as whole and capable human beings, respond deftly to their liminality, criminalization, and estrangement. Although Lucinda had no documents allowing her to remain in Kuwait, she arranged for such papers with the help of a local family. Despite her illegal status, caused by the “inflexibility” of the regime, Lucinda exercised her own flexible agency by deciding to stay. Agency is also dealt with in Rhacel Parreñas’ book Servants of Globalization (2001), one of the most cited texts in scholarship on migrant workers and Filipina migrant workers. Using a “subject-level approach,” Parreñas draws our attention to “dislocations” between migrants and the macrostructures that pin them down into particular material positions, such as global capitalism, patriarchy, state labor and emigration policies, family obligations, and class mobility or immobility (30-35). According to Parreñas, Filipina domestic workers exhibit agency when they negotiate these dislocations. Utilizing Butler’s concept of the “bind of agency,” Parreñas argues that the agency of Filipinas has a dual effect of “resisting” and “recuperating” power (34). One example of this “bind” is the reiteration of gender inequalities through the international division of reproductive labor. Parreñas shows how race- and class-privileged women reassign the burden of domestic work to migrant Filipina women. Some of these Filipina workers in turn reassign their own burden of domestic work by employing poorer women of a lower class background in the Philippines to look after her children (62). In their ability to transfer reproductive work to someone else, migrant Filipina domestics are exercising their agency, but in ways that reinforce power structures. Parreñas consistently conceptualizes agency as “enabled and limited by the structures that constitute subjects” (emphasis added, 24). She affirms later: “even though the forms of resistance that migrant Filipina domestic workers deploy against dislocations do not involve the direct diminishment of structural or institutional power, their acts of resistance must be credited” (34). Parreñas’ framing of agency as something both enabled and limited by structure strikes me as particularly paradoxical, perhaps circular. Migrant domestics can and do exercise autonomy, authority, decisiveness, and will as they move about their lives – I do not question that. The appropriate questions to ask, however are, first, why we would doubt these characteristics in the first place (or why we are particularly fascinated by women’s autonomy, authority, and will) and second, whether these characteristics necessarily constitute agency, especially when they feed back into hegemonic structures and ideologies. Similar to Parreñas’ notion of agency as a recursive back and forth process between subjects and power structures, Gul Ozyegin (2001) in Untidy Gender argues that agency exists because power is relational, and thus both employers and domestic workers influence and negotiate the work relationshi Speaking in the context of Turkey and studying rural migrant women working in the city Ozyegin argues that, because power is relational, discourses of inequality end up being a resource for domestic workers when they use them to accomplish certain material benefits, even as those discourses also lead to their own subordination (18). This way of thinking allows us to acknowledge the contradictory effects of domestic workers’ subtle forms of agency in the face of “intimate” oppression. Ozyegin documents that domestic workers “inflict class guilt” onto their employers to obtain material benefits like wage increases (145) and deploy traditional notions of femininity to criticize their employers among themselves for being “bad mothers” and “not a woman” because they cannot do housework (149). Other times, domestic workers have “economic agency” in their use of earned money: “the salience of a sense of economic agency in women’s understanding of their own identities appeared when they went into debt to purchase a set of steel cookware or to help out adult children with clandestinely saved cash” (206). Like Parreñas and Mahdavi, Ozyegin’s examples of agentic action do not weaken or disrupt power structures. Domestic workers might challenge the people and structures that subordinate them and navigate the obstacles, but can we say they are changing the terms of power relations or disrupting them? Perhaps there has been an overzealous application of agency as a theoretical concept so that feminist scholarship in particular is more likely to focus on the activities of the powerless rather than the structures of power. Are there less theoretically- and politically-burdened terms for discussing the negotiations, activities, and motivations of domestic workers? For example, could we use bodily autonomy to discuss the ability to decide how one moves their body and where and how one sleeps, eats, and seeks pleasure? Perhaps strategic decision-making to describe how workers choose a course of action that may be easy or unbearably painful based on particular priorities. Finally, we could use affirmation of self-worth to describe how workers maintain dignity and wholeness in their understandings of self in less than ideal situations, for example, by deciding to work as a freelancer with multiple employees rather than one, or by keeping in contact with family and friends, or by manipulating social interactions with employers. While these are certainly actions that indicate some autonomy, creativity, thinking, and self-protection by migrant domestic workers, they are not dramatically different from the daily doings of any reasonable person who must work to make a living. Following or forgetting lovers, parenting from afar, keeping in the boss’s good graces, and skirting the rules when necessary are part of the reality of getting by as one lives and works within capitalism. Parreñas and Ozyegin’s research shows, moreover, that the more “agency” we see by domestic workers, the more oppressive and reinforced existing systems seem to become. It would be more fruitful to theorize actions and their effects within the structures and conditions of economy, work, citizenship, and migration that produce and limit them. In other words, rather than foregrounding the autonomy of domestic workers, I contend we need to better understand the limited choices for survival in a capitalist society and how they help constitute our desires and subjectivities. In general, agency as a concept is weak because it is vaguely defined and generously applied, in the process hiding much of what is discursively at work. Intellectual efforts to rescue “marginal” women from victimhood often works to glamorize even the smallest conscious or unconscious emancipatory actions, making me wary of the assumptions and consequences. Why are serious students of feminism and labor particularly surprised that domestic workers exhibit intelligence, stratagem, rationality, indolence, disobedience, extravagance and humor? Does the fact that migrant domestics are predominately poor, non-white, and oppressed make such actions agency by default? I keep these questions alive whenever I become too eager or enthusiastic about the false promises of “agency” as an analytical or political concept. This thesis is not meant to contribute to the debate about agency as it currently stands (“do people have agency or not?”). Rather, I theorize the doings and subjectivities of migrant domestic workers as effects of institutional and discursive systems of power. In that way, my thesis follows a feminist poststructuralist tradition, which pushes against “humanist” conceptions of agency that assume identity to be continuous, rational, coherent, and knowable. Bronwyn Davies’ masterful explication of what agency is (and is not) within feminist poststructuralism has been especially useful for my analysis in this thesis: Choices are understood as more akin to “forced choices”, since the subject’s positioning within particular discourses makes the “chosen” line of action the only possible action, not because there are no other lines of action but because one has been subjectively constituted through one’s placement within that discourse to want that line of action. By making clear the way in which a person is subjected by discourse, poststructuralist theory shows how agency is fundamentally illusory (Davies 1991, 46). Throughout my research, I found Davis’ observation of being “subjected by discourses” a powerful and precise description. At any point in time, the women I interviewed and spent time with relayed experiences that reflected multiple, often contradictory, discourses. Desires too were subjected to institutional arrangements, and dominant discourse (citizenship, femininity, capitalism, nationalism, etc.). I acknowledge how pessimistic this description may seem. I agree with Davies in that the poststructuralist perspective can open new doors for the concept: The speaking/writing subject can move within and between discourses, can see precisely how they subject her, can use the terms of one discourse to counteract, modify, and refuse or go beyond the other, both in terms of her own experienced subjectivity and in the way in which she chooses to speak in relation to the subjectivities of others (46). Above all else, I focus on finding the contradictions, confusion, ambivalence, and skeptical tones. A great deal of that was expressed to me during my field work and my independent reading and analysis. I proceed with caution for the reasons that I have already identified in this section. My Thesis: Inclusion, Labor, and Struggle At the heart of my thesis lies a painful and difficult question: what is given up, forgotten, or concealed in the act of inclusion? In the following Chapters 2, 3, and 4, I attend to this question by examining three manifestations of the theme of inclusion, and subsequently, the desire and human need for it. The first I think of as juridical inclusion: a complimentary recognition by the state that one is a legitimate, law-abiding member of society. The second I tentatively call economic inclusion: an all-encompassing term that describes the validation of a person’s value, productivity, and usefulness. The third is remedial inclusion, which loosely describes acts by the government or by organizations that are intended to “correct a wrong” -- a gesture that signifies that a subordinate group is being looked out for. I demonstrate the particular ideological dichotomies of exclusion and inclusion – illegal/legal, disposable/valuable, powerful/powerless – and show that ultimately these unstable normative positionings collapse, become incoherent, and do not coincide with substantive, radical, change-worthy inclusion and exclusion. How are these somewhat heady and vague descriptions relevant to migrant domestics in Jordan? We begin with the assumption that as migrants, as low-wage workers, and as women, this particular group of people faces marginalization, violence, and exclusion. They are excluded by the state, not only by virtue of their noncitizen status, but also when they are rendered illegal, illicit, or criminal subjects believed to pose a threat to those firmly “inside” the national community. Their racialized, classed, and gendered bodies are excluded in the homes they work in, among the neighbors who live on their street, and by the governments that recruited them. Along with the devaluation of their bodies, their labor is devalued, and they are considered to be non-productive elements of society, despite their necessity. And when the supranational organizations glance down, they see women who have not yet lived up to their full potential, who are not powerful, who are oppressed by their own cultures and people, and who do not (for some reason!) have the means to pick themselves up. Thus, the migrant domestic worker is assumed to be the prototypically excluded figure. And it is against this unwavering assumption of her exclusion that the solution to include is brought up over and over again, in the three manifestations that I introduced above. “How may we bring her back into the fold of the law and the state?” “How may we increase her productivity and her worth to society?” “How may we fix her?” But the problem with these provocations quite obviously is that the migrant domestic’s exclusion, just like her inclusion, is ideologically and discursively constructed within existing power structures where states and capital interests dominate. Hence, one must seriously interrogate the boundary which separates inclusion from exclusion, and ask whether and how that boundary or distinction might be fabricated and false. Chapter 1 of my thesis is an overview of regional and international labor migration in Jordan, the Middle East, and the Philippines after 1973, a relevant place to start since it lays out some of the complexities of the particular migration pattern I am looking at (Philippines to Jordan). Chapter 1’s examines how state policies were crafted against global capitalist processes, exemplifying incoherence behind this notion of a “national inside.” The Philippine case is particularly of interest in how it maintains a notion of inclusivity while simultaneously relying on the export of millions of citizens abroad to work. In Chapter 2, I examine the migrant domestics’ juridical “exclusion” through her condition of being an “illegal” migrant. One the one hand, juridical exclusion (being “illegal”) does indeed pose urgent problems to her well-being: she may be arrested or deported, she may not be getting good work or may not be getting work at all. On the other hand, juridical exclusion might give her certain opportunities: she may be getting better work, better conditions, or her “illegality” is secondary to financial matters (renewing a visa costs money). But a third point we must consider is what juridical inclusion can actually do for the migrant domestic: sometimes it is better work and much-desired stability, other times, distressingly, it gets her nothing. Juridical inclusion may not guarantee protection from arbitrary arrest, from false accusations of theft, from harassment, from confinement, and even from deportation. Therefore, in problematizing juridical exclusion (less migrant illegality) and offering juridical inclusion (more migrant legality), we might find ourselves reaffirming the (false) reality of a boundary between exclusion and inclusion – and, in the words of Amy Brandzel, “reifying the boundaries and borders of exclusion” (Brandzel 2016, 15). The state, I argue, is always interested in reaffirming the notion that there is a pure, equal, unburdened “inside” space. But there are also instances where this reaffirmation involves bringing outsiders in. I argue that, fundamentally, this is about a capitalist interest in people’s labor-power. Again, speaking in the context of illegal migration, Nicholas De Genova states this interest as such: “once within the ‘interior’ of the space of the nation state, ‘illegal’ migrants are presumed (like all other workers) to deliver their labor to market” (De Genova 2013, 1189). This leads me into the contents of Chapter 3, where I look at the nature of state-level and subject-level exploitation of migrant domestic workers by examining money. I ask how money is represented in the state’s discourse on migrant remittances, and I find that it can be shown as scarce or plentiful depending on the context. I also ask how money, as women workers’ wages, is a site of struggle and exploitation. I ask further under what conditions this exploitation occurs. Through various migrant narratives and previous research, I find notions of inclusion – deployed through language of care, loyalty, empathy, love – are again used in the subordination of migrant domestics’ labor. This analysis is complicated when I reorient myself to analyze “positive” social relations, the relations that migrant domestics have with their family, and with themselves. This yields complicated results. Caring for oneself and one’s family, particularly in a transnational context, often involves money, precisely because it is a far-reaching and totalizing form of valuation. Does this observation not suggest, then, the intractability of money and the limits of its liberatory potential for migrant domestic workers? What must we look out for when inclusion is premised on capitalist outcomes, such as increasing wages or having more to spend on consumption? Chapter 4 attends to the efforts by governments and supranational organizations to “solve” exclusion through remedial inclusion. In response to the exploitation and abuse of “their” migrant women workers, for example, the Philippine government has sought to “empower” and manage their “vulnerabilities” (Guevarra 2007). The government does so, however, based on a neoliberal framework that “promotes economic competitiveness and entrepreneurship” in which they “embody an ethic of responsibility as citizens, workers, and women” (523). Thus, remedial inclusion serves only to legitimize state power, by regulating labor (economic productive workers) and gender (good wives and mothers). I selected a fourteen-year long project implemented by the United Nations Development Fund for Women (UNIFEM) from 2001 to 2015 and analyzed the ways it too reflected a form of transnational neoliberal governmentality that has now been thoroughly demonstrated by many other scholars in other contexts (Goldman 2001; Ferguson and Gupta 2002; Guevarra 2007; Hasso 2009; Kunz 2013). My own insights on the UNIFEM project, and derived from a close look at a specific public awareness campaign that was implemented in Jordan in 2007 whereby several cartoons were drawn by a famous Jordanian cartoonist depicting common abuses faced by migrant domestics in the country. This campaign, along with the UNIFEM project as a whole, identifies the domestic workers’ problems as a private, individual, psychological issue originating from either her or her employer, and never from the government. Thus, UNIFEM’s “solution” in Jordan and elsewhere is private and individual in nature – namely, the project succeeded in enforcing a more comprehensive, standardized work contract that is meant to explicate very clearly the rights and obligations of each party. Hence, the remedial efforts taken by UNIFEM and the Jordanian government have indeed “included” the migrant domestic worker – not in a way that is genuinely empowering, but one that is arguably quite disempowering. The state includes her back in the home and back into the law, so that the underlying structures and institutions behind her exploitation remain unaddressed and hidden. Insofar as those underlying structures and institutions includes the home and the law, the state’s remedial efforts have in fact strengthened the preconditions of exploitation. Taken together, chapters 2, 3, and 4 attend to the intricacies, struggle, and contradictions of inclusion in three forms. These struggles are, on the one hand, ideological, but they are also personal and immediate. In my critique of inclusionary state gestures, and in my desire to point out the opportunities certain state-mediated inclusions create for exploitation, I am not disregarding the fact that activists and individuals sometimes fight for inclusion into the state as a matter of survival. Brandzel, citing Roderick Ferguson, discusses these “normative strivings” where “fantasies and seductions [of normative inclusion] are motivated by pain, and a desire to end the suffering and violence of exclusion” (Brandzel 2016, xiv). This struggle for immediate legal, economic, and political inclusion is precisely related to my intervention on agency. Just as agency can obscure oppressive structures and ideologies, so too can inclusion obscure the mechanisms which support substantive exclusion. While determined to make these critiques, I attempt to do so with respect and awareness of the pain and danger that takes place in real-time. Research Methods My research draws on three types of sources. The first type includes past literature and case studies, which I often consult for information and examples to illustrate an analytical point or to help construct a theoretical framing. However, I also try to engage critically with the existing literature – as I have done in this chapter – to contribute my own theoretical insights. The second type of sources I use include laws, reports by human rights organizations and research institutes, news articles, and materials produced by supranational organizations (particularly for Chapter 4). The third type of sources I use are interviews, field notes, and observations I gathered while I was Jordan in October 2015 and summer 2016. I conducted formal interviews with seven domestic workers, five from the Philippines, one from Bangladesh, and one from Sri Lanka. Four out of the five Filipina workers were part of the same social group, and other than interviewing them, I spent most of my time with them casually in multiple different settings. Their names are Carina, Mariana, Mia, and Rita. In my summer of “hanging out” with these four women, I met many of their friends, acquaintances, and boyfriends and I had short, informal conversations with them about a random assortment of topics, usually not related to my research. I met the fifth Filipina worker, Angela, in October 2015. My interview with her was set up through a mutual Jordanian friend whom we both trusted. I was, unfortunately, only able to see Angela once. I lived with the woman from Bangladesh, Mina, for one month in October 2015. She was employed by the host family I was placed in as part of my study abroad program. I never formally interviewed Mina, but my roommate and I conversed with her every day, and often the topic was about her life in Jordan, her work situation, and her family. I met the woman from Sri Lanka, Miriam, I met at a rights-education workshop organized by the Adaleh Center for Human Rights in Jordan. People Carina: A married 33-year old mother of five. Carina is from Manila and has been in Jordan for 11 years. She has been back to the Philippines three times. When asked why she came to Jordan she says it was to help her husband, who didn’t make enough money working in the public sector (“in the municipal”). Carina needs to pay for the education of her five kids and “everything they want.” I consider her my first “friend” from that summer, since she is the one who connected me with the three other women in her friend group. Carina started out in Jordan as a live-in domestic for an older woman. She says that her Madam was “very good”, and that she taught her a lot about working in the home – how to cook Arabic food and also some important Arabic words. Carina worked inside the home for five years, after which she transferred to freelance work (which she has done for six years). Carina considers herself Christian, although her mother is Muslim: “I respect for my mother because my mother is Muslim. But my father is --- 1 All names have been changed to protect the research participants’ privacy. Christian, so I belong in Christian.” Carina has her own apartment, and she lives with two other Filipina workers (who are sisters). She also has three cats and loves singing karaoke at a Chinese restaurant near her home. Mariana: A 34-year old widowed mother of two. Mariana is from Davao City, a major city on Mindanao island in the Philippines. Her husband died eight years ago of lung cancer, which was very tragic for Mariana and her children since she was already working abroad as a migrant domestic at the time (in Kuwait). During that time, Mariana’s family was also not speaking to her. She could only count on her husband’s side of the family to take care of her two children while she was away. When Mariana was in Kuwait, she worked for a family for about a year before running away and working on the outside for another year. After that, she traveled to Qatar where she said she had the worst time (she cycled through five different employers in five months). After Qatar, Mariana came to Jordan and had been there now for three years (between each country she returned to the Philippines for some time). In Jordan, she tried to work inside the home, but kept running into problems (the families wouldn’t pay her wages). So she decided to transfer to the outside. Her predicament is that she was working on a residence permit that had been expired for ten months. Mariana is waiting for the Jordanian government to extend amnesty so that her overstay fines will be forgiven. Then she plans to travel back to the Philippines. Mia: A widowed 33-year old mother of three. Mia is from one of the provinces in the Philippines, and owns a rice farm. She first traveled abroad to work as a domestic in 2005 after her husband died in 2004. Her first country was the UAE, which she left after four years. Since coming to Jordan six and a half years ago, she has been working for a “big Palestinian” family who have three children (the eldest is in university in England, the second eldest is at university in Jordan, and the youngest is planning to study in England the following year). Mia feels bored and stifled in Jordan. She doesn’t like the weather and doesn’t have any interest in going out anymore. Her work days are also quite long (more than 10 hours). During the Ramadan season, she can work up to 14 hours a day. Her feeling towards the family she works for are complicated as well: while she likes the “Sir” and children, she has major issues with the Madam. She was planning to approach the family soon and asking for a wage increase. She was working for 500 JD ($705) a month. If the family doesn’t agree to her conditions, she was thinking about going to a different country – most likely Hong Kong or Taiwan. Rita: A 23-year old from the province of Pangasinan in the Philippines, Rita’s family lives “far from the city” on a farm. Rita comes from a family of five other children. Her 33-year old sister is with her in Jordan (they are roommates) and brought Rita over to work in Jordan three years previously. Rita seems to be a “semi” live-in: she only works for one family from Spain, but it doesn’t seem like she stays with them. The husband works for the UN while the wife stays at home, and they have three young children. Rita has been working for them for a year and loves it. Recently, they took her on vacation to Spain, by the beach. When she first arrived in Jordan, Rita worked for a Lebanese-American woman (and her kids) for ten months. She was not given any rest days during these months and did not like any of the family members. Before coming to Jordan, Rita studied to be a midwife. She eventually wants to work in a hospital in the Philippines. Angela: Angela is in her mid-30s and from Cebu in the Philippines. She came to Jordan in September 2009. For the most part, it has been a miserable experience for her. The first family she worked for was wealthy and lived in the affluent suburb of Abdoun. She was severely overworked (the family had five children). When she approached her Madam about having more rest and time off, she hit her. Not wanting to continue, she returned to employment agency, who found her a second employer. Angela’s second employer was a single man, a young professor at the University of Jordan who had his own house next to his parents’ villa. At this house, Angela was not fed. There were three other Filipinas with her who had to steal leftovers because they were never given any food. Angela also worked for seven months without being paid, and as a result, ran away. She went to the Philippine embassy, who gave her the option of staying in Jordan and continuing to work. She took the offer, and went back to her agency, and was then transferred to a third employer. Here, the situation became a nightmare. When her employer picked her up from the agency, he raped her in the car, and then forced her to work for him for only 200 JD ($281) a month. Soon afterwards, she was sent back to the agency. She was “trapped there” for two months, and was routinely raped. She was able to escape, and currently works for someone that I know (the friend is who connected us). Angela also has another Madam that she works for. Currently, Angela does not have her passport and she is trapped in Jordan. The last employer she had is holding onto it and will not return it. She is also seeking legal redress for what happened to her – with little success. Mina: A 26-year old mother from Bangladesh who I met in October 2015. She has been in Jordan for three years and has been working for the same family since she got here. Although her employer was my host mom, every weekend, Mina was taken to the home of my host mom’s brother and cleaned their house. I believe she also cleaned another sibling’s house. Mina has two children. Her husband and her brothers are working in Dubai and she hopes to join them soon. During my stay with her and the host family, I found out that the host family was planning on firing her very soon. Mina has never had a phone since working in Jordan. When I left the family after a month, I left mine behind for her. Miriam: Miriam has a unique story relative to the others that I heard. She’s an older woman from Sri Lanka, and she came to Jordan 30 years ago, in 1986. Before that, she was in Lebanon for some time. When she first came to Jordan, she worked for a Saudi family for 12 years. After that, she decided to freelance, and has stayed there ever since. Miriam married a Sudanese man in Jordan and has a daughter, Lucy, who is at community college in the U.S. Unfortunately, Miriam’s husband was deported very soon after Lucy’s birth. She does not know what has happened to him since; whether he is dead or alive. But Miriam says she’s happy. According to her there is “no community for Sri Lankans, but the help here [in Jordan] is too much.” She has a car, she has a home, and she also has her own bookshop downtown. Currently, she does domestic work for an American family and also cooks for some restaurants. Additional Interviews I conducted formal interviews at two human rights organizations: Tamkeen Fields for Aid and Adaleh Center for Human Rights Studies. I interviewed lawyers, and mostly discussed the legal cases regarding domestic workers that the lawyers were involved in. I was also able to attend a rights-education workshop held by Adaleh for Sri Lankan domestic workers, where the women could ask questions, share stories, and receive legal advice. Places During my three months of fieldwork, I visited many different locations where migrant domestics congregated. The first was Second Circle (duwar thanni) in Amman. Much like other ethnic enclaves in other major cities, Second Circle has many businesses and shops catering to the migrant domestic workers community, particularly Filipinas. Some of these establishments are run by local Jordanians, but I have also been in establishments co-run by Filipinas. Carina and Ria’s apartment is on Second Circle, which is where many other migrant domestics live. I was also able to visit three different homes (Carina and Ria’s, and their friends’) because they were throwing birthday parties. At these birthday parties, I met other migrant domestics, and a number of Bangladeshi and Indian men who knew the Filipina workers (some of them were boyfriends). At one of the birthday parties, the domestic workers’ Jordanian neighbors came down and enjoyed the party with us. Other than being invited to parties, I also hosted some gatherings. My apartment complex in Amman had a pool, so Carina and her friends would often come over and swim, or we would have dinner parties. I usually interviewed the workers in my living room. I visited different malls with Carina and her friends on Fridays, the first day of the weekend in Jordan and the most common day of rest for migrant domestics. I also attended church with them once. The only location that I went alone to was a volleyball event organized by the United Filipina Organization (UFO), an Embassy-run organization for overseas Filipino workers. Every Friday, UFO holds sporting and entertainment events that are open to anyone. It was at the volleyball event that I bumped into the most men migrant workers (there were not a lot of them at the malls or at Second Circle, as far as I saw). Since I didn’t quite “look” Filipina, but was definitely not Jordanian, a lot of these men came up and tried to talk to me and annoyed me by asking for my number. I used these encounters as an opportunity to ask them questions about their work here. All of them worked in construction (in wealthier areas such as Abdoun and Abdali), and several of them worked in Aqaba, a coastal city and a special economic zone in Jordan. Chapter One: An Overview of Regional and International Labor Migration in Jordan, the Middle East, and Philippines After 1973 When one thinks of the movement of people in the context of Jordan, the mind does not immediately gravitate towards labor immigration, particularly labor immigration from Asia. Most scholarly and public discourse has been preoccupied with Jordan’s refugee population. Bordering Syria, Palestine, and Iraq, Jordan has been and continues to be a major transitory and host country for millions of current and former refugees, predominantly from Palestine, Iraq, and Syria.$^2$ According to Jordan’s most recent population census conducted in 2015, there are 2.9 million non-Jordanian residing in the country. With a citizen population of 6.6 million, this means that non-Jordanians comprise more than 30 percent of the overall population. Of the total 2.9 million non-Jordanians in the country, the majority of them are from surrounding countries in the region: more than 1.2 million are Syrian, followed by Egyptians at 636,270 (6.7 percent of the population), Palestinians without national ID numbers at 634,182 (6.6 percent), Iraqi nationals at 130,911 (1.3 percent), Yemenis at 31,163 (0.3 percent), and Libyans at 22,700 (0.24 percent). The 2015 census reports further that approximately 197,385 non-Jordanian, “other nationalities” reside in Jordan, making up 2 percent of the population (Ghazal, 2016). But Jordan’s demographic proves even more complex than the census represents. For example, of the 6.6 million Jordanian citizens, 2.1 million are registered as Palestinian refugees with the United Nations Relief and Works Agency for Palestine Refugees (UNRWA), while still considered and counted as Jordanian citizens. Of the 1.2 million Syrians that are in Jordan, only $^2$ In Jordan’s contemporary history, one can identify roughly four periods of refugee influx: 1) following the 1948 Palestinian-Israeli War; 2) following the 1967 Six-Day War; 3) after the 2003 U.S. Invasion of Iraq; 4) and most recently, since the 2011 Syrian Uprising and subsequent Civil War. There are also 3104 Sudanese refugees, 767 Somali refugees, and 1286 “other” refugees registered with UNHCR. The total number of refugees registered with UNHCR since August 2016 is 724,256 (De Bel-Air, 2016, 6). 655,831 of them are registered with UNHCR as refugees since August 2016. There are also 58,455 Iraqi refugees registered with UNHCR, and 4,818 Yemeni refugees – and while these are perhaps also underestimates of the respective refugee population, it is important to understand that not all of the 130,911 Iraqis and 31,163 Yemenis in Jordan are refugees (De Bel-Air 2016, 6). These demographic realities prove important because they challenge the Hashemite state’s project of maintaining a “central territorial core” and a “central demographic core,” a strategy of rule that began with the British Mandate in 1920. Since one of the concepts central to this thesis is migrancy, I find it important to consider how these population changes have brought not only logistical and economic contradictions to the ruling family’s claim to legitimacy, but have also posed a threat to their strategy of personalized division – whereby the Jordanian population is “divided” and labeled into different constituencies, who are then discursively positioned against each other (e.g. “royalist East Bankers” versus “subversive West Bankers”), all the while appropriating Bedouin culture – a colonial cultural artifact – as authentically Jordanian. Within this system of divide, the Hashemite family has been able to place itself as the linchpin of peace in Jordan, “a lifeline,” claiming itself as necessary to stabilize the country’s many disparate identity factions (Bouziane & Lenner 2011, 155). These insights, while not directly the topic of my thesis, reveal some of the anxieties facing Jordanian national identity and their relevancy to the preservation of state power. As Joseph Massad argues, these anxieties are captured in the contradictory and separate deployments of a “popular nationalist discourse” and a “juridical nationalist discourse” (Massad 2001, 47), the former of which attempts to fix the nation in time and space (the nation is “infinite”) and the latter which allows the nation to remain elastic, “expanding and contracting while maintaining a central territorial core (the Transjordan of 1925) and a central demographic core (those interpellated in 1928 and their descendants, unless they are politically disloyal to the state or if they are women who marry outside the juridical nation” (47). We can see how both of these nationalist discourses are troubled by the presence of noncitizen migrants. This occurs not so much because these noncitizen migrants are considered “outside threats” coming in, but rather, their territorial presence turns nationalist discourses in on themselves (and the subjects that are constituted by them), forcing one to consider what exactly constitutes the “national inside.” This point becomes even more relevant when – as a result of disquieting and momentous shifts in the global economy – many Jordanian citizens on the “inside” ventured outside of the national territory. Thus, it is important to realize that Jordan is a major migrant-sending country, and has always had a deep historical tradition of migration and movement among its indigenous, rural population – during the Ottoman period, as well as after the establishment of the British Mandate.$^3$ The migration trend that is most relevant in the context of this research is the huge outflows of Jordanians emigrating to the Gulf states after the oil price hike in 1973. The incredible magnitude of this migration was fueled by a combination of economic and social factors in both Jordan and the Gulf countries.$^4$ Most notably, when the OPEC quadrupled the price of oil exports in 1973, the oil-rich countries experienced a large influx of capital. In 1970, the OPEC had a trade deficit with the rest of the world of $3 billion; by 1974, they had a surplus of $60 billion. Such rapid and momentous increases in economic capital help expand the $^3$ For example, some villagers in Jordan were drafted into the Ottoman army and sent to the Balkans, Anatolia, and Egypt during World War I. See Seccombe, I. (2014). Labour Migration and the Transformation of a Village Economy: A Case Study from North-West Jordan. In R. I. Lawless (Editor), The Middle Eastern Village: Changing Economic and Social Relations. London: Routledge. $^4$ The increase in educated Jordanians is often cited as one of the defining forces behind their migration to the Gulf states, particularly as high-skilled laborers. According to Richard Antoun, “formal classroom education, and intrastate and subsequently transnational migration became a standard part of a ‘life-path’ for most Jordanian families” (Antoun, 2009, 14). construction and infrastructure industry, which were materialized on the ground through large volumes of imported labor. Saudi Arabia’s second five-year development plan in 1975, for example, launched labor migration from surrounding countries that involved nearly 3 million migrant workers, 10 to 15 times more than the country had initially planned (Papademetriou 1991, 142). At first, the oil-rich Gulf countries employed regional workers from Yemen, Egypt, Syria, Sudan, Palestine, and Jordan. Within these national migrant communities, however, there are major variations. Yemenis in Saudi Arabia, for example, occupy coveted, elite positions as well as low status positions (Ibrahim, 1990). Among Jordanians and Egyptians, the migrant worker populations also vary. While the majority of workers were considered skilled – working as technicians, clerks, teachers, administrators, etc. – there were also Jordanian and Egyptians working in unskilled position in the construction sector (Papademetriou 1991, 142). Soon after 1973, regional migrant workers were accompanied by an increasing number of workers from South and Southeast Asia.$^5$ Workers from India, Pakistan and Bangladesh were initially recruited, joined by Korea, the Philippines, and Thailand around 1979, and then in the $^5$ Again, I want to stress that this discussion on migration patterns after 1973 is not meant to imply that migration from Asia to the Middle East did not occur before then. If anything, it is important to understand that certain migratory patterns, for example from India to the Gulf states, are built on top of mercantile and colonial relations that existed before the establishment of individual nation-states. It is best to conceptualize the post-1973 migration of South and Southeast Asian to the Gulf as partially historical, but also with significant differences as the means of production and the kind of labor demanded as changed throughout time. Andrew Gardner, for example, explains that Indian migration to the Gulf can be seen as occurring in three stages (Gardner, 2010, 201). The first phase is characterized by Indian merchants who brought cloth, rice, and other foodstuffs to the Gulf, and transported pearls – the major commodity of the Gulf at the time – back to India. During this time, South Asian merchant families often served in high-level positions along with members of the ruling family. The second phase is characterized by the British presence in the region. As a result of the colonial administration, private-sector entrepreneurs, low-level bureaucrats, and other workers came from India to the Gulf to fill the colonial administration. The third phase and current “ongoing” phase is characterized by the development of the oil industry. Contrary to the past two phases, the main type of labor being demanded from South Asian countries were low-skilled, labor-intensive workers for construction and infrastructure projects. 1980s, sizeable numbers of workers were coming from Sri Lankan, Indonesia, and China to the Gulf states (see Choucri, 1986, 256-259). Non-foreigner (i.e. local) laborers who were considered unskilled (and thus could have also worked in construction industry), were transferred over to public sector jobs as the number of South and Southeast Asian workers increased. As Andrew Gardner and other scholars posit, this transferal from unskilled citizen laborers to unskilled foreigner laborers to occupy labor-intensive and “menial” work “formed a keystone in the redistribution of state wealth and, according to many analyses, in the tenuous legitimacy of the ruling families of the respective states” (Gardner, 2010, 202). Perhaps the most important and most recent event that shaped the nature of regional and international labor migration to the Middle East was the 1990 Gulf War. While the number of workers from South and Southeast Asia were indeed increasing soon after 1973, it was not until after 1990, when a large exodus of regional workers in the Gulf states occurred, that Asian labor became the majority of migrant labor (particularly unskilled migrant labor) in oil-rich countries. As a result of the war, regional workers were expelled from Kuwait and Saudi Arabia as a consequence of the other governments’ support of the Iraqi invasion. On the one level, this expulsion was treated as a sign of punishment and disapproval, but as a consequence, regional workers were seen as more politically dangerous and subversive (Castles et al, 2014, 180, Teitelbaum, 2009, 62), and thus no longer exemplified an ideal migrant workforce. For example, before 1990, the Yemenis enjoyed elite status as migrant workers in Saudi Arabia. They did not require work permits and were not beholden to a sponsor (kafil). Yemenis were also able to obtain a visa at any port of entry without their passports, and were the only migrant group allowed to own business in the country. However, these relations soured when the Yemeni government refused to condemn Iraq’s invasion of Kuwait on September 19, 1990. The Saudi government henceforth required that all Yemenis obtain a residence permit, either by finding a Saudi sponsor or a majority owner for their business. As a result, a million Yemenis were expelled and sent back to Yemen, causing shocks both the Yemeni and Saudi economies. With regards to the latter, the Yemenis departure greatly affected the services industries, fueling the increase in importation of labor from Asian countries to occupy these service positions (Ibrahim, 1990). Social and Economic Impacts of Jordanian Emigration How does Jordan, a country with no oil-resources, fit into this complex picture of labor migration? And how did Jordan find itself also employing a large number of migrant workers from South and Southeast Asian countries to fill particular positions in construction, industry, services, and domestic work? The answer has a large part to do with the dramatic social and economic transitions taking place as a result of the Jordanian emigration to the Gulf, that increased the average household income of many Jordanian families and also filled the coffers of the government, thus enabling them to pursue their own construction projects, housing developments, and the like. Furthermore, the fact that many Jordanian emigrants returned to Jordan following their work abroad is also significant, particularly in that their time abroad would have greatly influenced how they reimagined social relations and class identity (Humphrey, 1990, 8). By the early 1980s, nearly forty percent of the employed Jordanians were working outside of the country (Antoun, 2009, 16). Most of these emigrants were well-educated and high-skilled (even the many who came from village). Billions of dollars of remittances were sent back to families, increasing average household income, as well as government revenue. These economic transitions were indeed immense, distorting the economy. In 1984, remittances had become “the largest single component of the Jordanian Gross National Product,” and it made up 25 percent of the GDP. (Samha qtd. in Antoun, 2009, 17; St. Louis Fed. 2016). Writing about the economic and social changes brought about by the migration of Jordanian men from rural areas, Richard Antoun writes that “remittances have produced cement rather than stone and adobe houses, glass windows with painted grilles rather than empty window apertures blocked with stone…and through household tax contributions… paved roads, streetlights, curbs, trash collection…” (Antoun, 2009, 15). Emigration to the Gulf is what partially drove the economic development of Amman (or other cities such as Irbid), by giving families to economic means to migrate from villages to urban centers within the country. Findlay and Samha, for example, suggest that in Jordan “the returning emigrant workers from Saudi Arabia and the Gulf seek to settle, not in their village of origin, but at the most prosperous locus of the entire economy: ‘Amman.’” (Findlay and Samha qtd. in Seccombe, 2014, 141). Ian Seccombe working in the north-west region of region found that, due to emigration, found that “over half of those in employment on return to Jordan were commuting, on a daily basis, to work in the city Irbid.” (141). The key takeaway about the Jordanian emigration abroad is that it had a great effect on reconfiguring and strengthening class identity, and the material means for families to realize particular class aspirations. Jordanian emigrants were often well-educated and highly-skilled, even those coming from the rural areas, indicating that they came from wealthier families. The higher incomes they earned in the Gulf would likely have bolstered this social status. Jordanian emigration also brought new wealth and increased urbanization, as Seccombe, Findlay and Samha, and Antoun’s research indicates, which results in specific patterns of consumption that a low-wage family is not able to engage in. Interestingly, the majority of Jordanian emigrants moved to Saudi Arabia to work, particularly Riyadh. During this period, Saudi Arabia was well-known as a city that hosted tens of thousands of migrant workers, and also the most number of migrant domestic workers from Asian countries of any other countries in the region (Humphreys, 1990, 3). There is reason to believe, therefore, that Jordanian emigrants acquired new images of class presentation while abroad, that were mapped onto notions of domestic servitude that were already existent in Jordan but did not yet feature migrant, non-Arab women.$^6$ Thus, a combination of factors led to the rapid increase in demand for domestic workers in Jordan -- from Asian countries in particular -- during the exact time period when Jordanians were themselves emigrating for work: the accumulation of material means to hire someone who is recruited from abroad, the symbolic value that a domestic worker has in terms of affirming one’s class position, new images of class presentation internalized by Jordanian emigrants while they worked in Saudi Arabia and the other Gulf countries, and changing gender relations and notions of (classed) femininity that by and large culturally stigmatized domestic work (\textit{especially}, waged domestic work taking place outside the home). \textbf{Domestic Servitude and Migrant Domestics in Jordan} We can begin to carefully question the limits and possibilities of migrant domestic work by looking at how it is socially constructed in the Jordanian context. As such, I seek to understand how the symbolic figure of and the material need for the migrant domestic worker is $^6$ In Abd Al-Rahman Munif’s and Samira Kawar’s memoir about their childhoods in 1940s Amman, they write: “Jaqaman called on to help him push the car, especially since Farha, the wife, sister, or maid – no one knew which of them she was – was not strong enough to do the job” (Munif & Kawar, 1996, 232). Finding information about domestic work in Jordan before the 1970s, at least in the English-language scholarship, has been quite difficult. Statements like these indicate that domestic servants were most likely either members of the extended families, or a similar counterpart. The fact that people could not tell a maid apart from a wife or sister is significant. Furthermore, Humphrey’s study claims that, before the immigration of domestic workers from Asia, “domestic servants were Arab women from poor rural households or from Palestinian refugee families from the camps in the suburbs of Amman employed mainly by the Amman middle and upper class” (Humphrey, 1990, 5). a product of political and economic changes in Jordan that have transformed the urban landscape of Amman (where this research takes place), reconfigured gender and class relations, and foregrounded the home as a site where class, gender, and ethnic relations are produced and reproduced through the practices surrounding domestic labor. This history and these shifts, however, are in many ways difficult to trace. For one, due to a lack of census data, the number of domestic workers recruited from Asian countries – namely the Philippines, Sri Lanka, and Bangladesh -- can only be estimated. Michael Humphrey’s study from 1990 is the earliest research I have found that is specifically focused on migrant domestics in Jordan, and it provides some of the first estimates on how large this particular workforce is. Using survey and census data provided by Smadi et. al., Humphrey estimates that in 1984, the number of domestic workers was around 8,000, approximately 5.3 percent of the total migrant worker population at the time. The majority of these domestics were recruited through a combination of private labor agencies (in Jordan) and national labor offices (in home countries). By 2015, the officially reported number of domestic workers in Jordan was 50,000, and additional NGO sources have estimated an additional 30,000 undocumented workers (Tamkeen 2015, 7). Despite these modest figures relative to other major cities in the region, the estimates show that the number of migrant domestics in Jordan has increased more than six-fold, over a span of just thirty-one years. Such a rise reflects the rapidly increasing demand for migrant domestics by Jordanian families, a demand that is driven by real economic need for additional labor in the household, but also driven by new patterns of consumption and class “presentation” which consider domestic workers to be an essential “product” that confirms social position. Articulations of gender relations among a new landscape of economic relations were also important in determining the demand for migrant domestics in Jordanians households, and their construction as lower-class, racialized, and lesser-women. The important observation that I made in my research was that the vast majority of employer-worker interactions were between women (the wife or daughters of the Jordanian family and the migrant domestic), which has important implications for how class, gender, and racial identities are negotiated across the labor relation. A plethora of studies have delved into the complexities of the woman-to-woman labor relation within domestic work. Raka Ray and Seemin Qayum, for example, found that in India, hiring domestic workers was not only something practiced by higher classes; middle and lower-middle classes also found ways to hire a worker. “Given this”, they argue, “domestic workers in India not only perform undesirable work traditionally in the purview of the women of the household, but in so doing, make it possible for employers to aspire to and maintain middle-class status” (Ray & Qayum, 2009, 9). Similar to hypothesis about the symbolic function of domestic workers for Jordanian households, Ray and Qayum’s Indian families also express their class position by gaining the “ability to transfer reproductive work to a lower class…” (ibid.) They continue, however, by pointing out that employers rarely felt stable in their class positions, compelling them to “continuously engage in acts of boundary creation and maintenance to assure their class status” (10). These insights are by no means limited to the Indian context. Rachel Parreñas similarly describes the “international transfer of caretaking” as paramount to the idea of a “hierarchy of womanhood” (Parreñas, 2001, 73), as does Pei-Chia Lan when she discusses the “micropolitics” played out between women as they struggle to maintain their space, status, and identity within close physical proximity to each other (Lan, 2003). Thus, while it might seem that economic growth has allowed families to elevate their class position, gender inequalities are refurbished to fit a new social terrain, and these inequalities reiterate themselves in a different physical form. In the Jordanian context, I find Fida Adely’s research on girls’ education compelling in how it elucidates Jordanian families’ aspirations to achieve a certain level of prestige in their social positions. As Adely argues, educating girls has come to be seen as an important signifier of that achievement. For girls themselves, education can be about prestige, but can also be about the power, capacity, and potential to look after oneself and one’s family (Adely, 2012, 161). At the same time, Adely has found that “despite assumptions about the links between a diploma and girl’s future economic and marital security, many Jordanians still conveyed ambivalence about women’s work outside the home and the types of work that are acceptable or suitable for women” (145). For some women, these ambivalences revolve around “sufficient modest, new forms of Islamic dress, and the propriety of interacting with males in the workplace…” (160). Of course, individual ambivalences and reservations are partially a reflection of inconsistent state discourse as it pertains to gender roles and ideal womanhood. On the one hand, targeted socialization of young people communicates certain gender expectations, particularly in a way that preserves a “culturally authentic” national identity. At the same time, the heterogeneous group of actors that make up the Jordanian state result in fluid and oftentimes contradictory notions of what constitutes ideal citizenship and Jordanian womanhood (157). This is further complicated by Jordan’s position as a political ally and “student” of the West, further effecting the interpellation of Jordanian women. Amman as a Global City New wealth from migration remittances are not the only economic changes that have had class and gender implications in Jordan. Structural adjustments programs in the 1990s, and privatization and increased neoliberal policy in the 2000s, have led to new forms of spatial ordering in Amman, having significant impacts on the city’s urban population (Daher, 2016, 45- In the last decade or so, Amman -- where most domestic workers are employed -- has experienced particularly disquieting transitions that have influenced the way domestic workers are perceived by employers, and vice versa. I am referring to a range of neoliberal state practices that have produced a “re-emergence of Amman as a space of global engagement and entanglement” (Parker, 2009, 111). Christopher Parker’s essay on Amman as “neoliberal assemblage” is instrumental in understanding Amman not as “traditional” or relatively unsensational compared to other cities, but very much a locale that has its own aspirations of becoming a “global city”. Parker documents the changing topography of Amman and how they reflect the rapid accumulation of foreign capital \textit{and} the reconfiguration of social relations. These are visual observations that I too made on my research trip to Amman: the cranes and scaffolding of skyscrapers at the al-Abdali Urban Regeneration Project (the ‘new downtown’), a “stylish” suspension bridge that connects Abdoun (an affluent suburb that also houses the U.S. and British embassies) to Shmeisani (another affluent suburb) to Abdali – thus creating a “triangular fusion of international finance, supranational authority, and local state” (113). These changes have, of course, had a profound impact on the spatial organization on the people of Amman. Most notably, new housing development projects are beginning to “target” low- and low-middle-income areas,\footnote{For example, the private firm Taameer Jordan is the newest addition to the already saturated luxury housing market. Taameer has partnered with the Greater Amman Municipality to “designate sites for low and low-middle-income housing development. This new project, known the al-Jiza complex, will include 15,000 residential units, accommodating 84,371 people. These unit will start at JD 21,500 (approx. $30,000), “a price beyond the reach of the 50\% of Jordanians who live below the housing poverty line” (Parker, 2009, 112).} exacerbating economic inequality and spatial segregation in the city. What I have described in this section illustrates the great intricacies of local processes of globalization, which both migrant domestics and Jordanian families are effected by and contributing to. These local changes also speak to \textit{how} the nature of state-subject relations are changing in accordance to political and economic interests. As Aihwa Ong describes, geopolitical and economic interests have “mutated” the institutions and ideology of citizenship as neoliberal policy restructures the global economy, in a way that complicates the divide between migrants and citizens: The elements that we think of as coming together to create citizenship – rights, entitlements, territoriality, a nation – are becoming disarticulated and rearticulated with forces set into motion by market forces. On the one hand, citizenship elements such as entitlements and benefits are increasingly associated with neoliberal criteria, so that mobile individuals who possess human capital or expertise are highly valued and can exercise citizenship-like claims in diverse locations. Meanwhile, citizens who are judged not to have such tradable competence or potential become devalued and thus vulnerable to exclusionary practices…overlapping spaces of exception create conditions for diverse claims of human value that do not fit neatly into a conventional notion of citizenship, or of a universal regime of human rights. (emphasis added, Ong, 2007, 6-7) Ong’s provocation is that the citizen and noncitizen are no longer sharply distinguished by conventional legal and territorial notions. Recognition by the state no longer guarantees one access to resources or rights, if it ever has. Citizens and noncitizens alike must prove their “right to have rights” by exhibiting characteristics that would be useful in the economic system: flexible, cosmopolitan, enterprising, and economically rational. An important part of Ong’s argument is how the reconfiguration of citizenship has led to uneven distributions of resources and rights within the “same lateral spaces” (122). This is also what Sandro Mezzadra and Brett Neilson have referred to as the “heterogeneity of global spaces,” where simultaneous “practices of mobility,” “operation of borders”, and labor struggles have compressed diverse groups into similar geographic spaces (Mezzadra and Neilson, 2013, 61). These close encounters have strengthened certain relations of inequality, while rendering other relations less relevant. One recalls Saskia Sassen’s concept of a “global city” as a heterogeneous space where selective concentrations of wealth and infrastructure are supported by the laboring bodies of low-wage construction, service, and domestic workers, most of whom are migrants moving with the capital flowing from their hometowns (Sassen, 2005, 30). Labor Exportation in the Philippines: Extractive Citizenship, Nation-Building, and New Heroes One of the earliest institutional marks of a labor management relationship between the Philippines and Jordan is a 1981 memorandum of understanding (MoU) between the Minister of Labor of the Philippines and the Minister of Labor of Jordan.$^8$ The MoU was created in order “to establish the premises for the protection and promotion of the employment and the wellbeing of their [Jordan and the Philippines] workers working in either country” (emphasis added). While this opening statement very clearly implies that the supply and demand of workers will be “mutual” or “equal” in volume and extent, Article 2 of the MoU contradicts this premise quite blatantly. Rather than reiterating the notion of reciprocity developed in the opening statement, Article 2 states that the “Minister of Labor of Jordan expresses the firm intent of his government to hire whenever appropriate Filipino workers…and the Minister of Labor and Employment of the Philippines also expresses the firm intent to provide such manpower need.” In 1988, the MoU between the two Labor Ministers was expanded into a bilateral agreement.$^9$ This institutionalization of market roles is important because it establishes who the producers and $^8$Memorandum of Understanding Between the Minister of Labor of the Republic of the Philippines and the Minister of Labor of the Hashemite Kingdom of Jordan, 5 Dec 1981. Retrieved from: http://www.poea.gov.ph/laborinfo/bilateralLB/BLA_PH_Jordan1981.pdf. $^9$Retrieved from: http://carim-south.eu/carim/public/polsoctexts/PS2JOR031_EN.pdf. consumers of labor will be. Jordan established similar market relationships through MoUs with other labor-sending partners, including Bangladesh (2012), Sri Lanka (2006), Egypt (1985), and Pakistan (1978). The Philippine government on their part has been thoroughly committed to crafting a labor-exportation regime since the 1970s, and has institutionalized many migration pathways by signing numerous bilateral agreements with different host countries. Currently, it is involved in 13 bilateral agreements, the most of any country in the world. Bilateral agreements, on the one hand, increases the volume of migrants along those paths, while also solidifying the government’s control and regulation. For example, in April 2017, the Philippines and Saudi Arabia finally signed three agreements on labor and foreign relations during President Rodrigo Duterte’s visit to the country (Filipino workers have been migrating to Saudi Arabia since the early 1970s). Within these agreements, the government of the Philippines and Saudi Arabia agreed that they would cooperate on the fight against illegal drug use, which has allegedly been an issue within the Filipino migrant community in Saudi Arabia (Romero, 2014). One can clearly see in this the strengthening of state governance through the use of bilateral agreements, which in many ways, dispels the image of labor migration as both a chaotic, unpredictable landscape, and an outcome of individual conviction. At the same time, many top destination countries for overseas Filipino workers are not covered by bilateral agreements, including Singapore and Japan, indicating that the market forces of global capitalism often far precede the interventions of governments. Coinciding with the 1973 oil price hike which brought billions of surplus capital to the Middle East region, the Philippines began fashioning itself as a supplier of labor for these newly capital-rich countries in the Gulf region. In 1974, under the authoritarian regime of Ferdinand Marcos, the government enacted the Labor Code, explicitly endorsing the exportation of Filipino labor as part of the country’s national development strategy. Philippine government institutions were set up to sanction “legal” forms of migration, while direct recruitment by corporations or other governments were prohibited. Labor migration in the Philippines is set up through a complex network of private recruitment agencies and government institutions. Private recruitment agencies, who are in contact with multiple overseas employers, must be authorized by the Philippine Overseas Employment Agency (POEA) in order to grant contracts to migrant workers. In this way, recruitment agencies are subject to state control, but they also seek to maximize their own economic profits by cutting down costs that might empower workers in their migration process or when they arrive at their place of employment. The Philippine’s labor export economy is in a large part influenced by colonial and neocolonial relationships that have delimited for the country a set of possible economic ventures. Colonial relations with the U.S., for example, hindered the growth of the Philippines’ agricultural sector, which the U.S. transformed into a capital intensive and urban-based industry that produced selective crops, primarily for U.S. export (Guevarra, 2006, 525). Escalating trade deficits and the devaluation of the Philippine peso forced the government to turn to the IMF and the World Bank. Unsurprisingly, structural adjustment policies that mandated trade liberalization and the refashioning of local industries for export. Resultantly, between 1970 and 1983, the Philippines’ external debt went from $2 billion to $24 billion (Ibid.). Such drastic economic tumults led to rapidly increasing unemployment, henceforth ushering in Ferdinand Marcos’ labor-export strategy. Dovetailing the economic boom in the Middle East, between 1975 and 1977, Filipinos were employed as construction workers, doctors, nurses, engineers, mechanics, and domestic workers in the oil-rich countries (Ibid.). Since the 1970s, the Philippine labor-export strategy has not only served as a fix to local socioeconomic struggles, but has been subsumed by hegemonic neoliberal ideology and policy. In Migrants for Export, Robyn Rodriguez dubs the state-mediate migration industry “labor brokerage”, a “neoliberal strategy that is comprised of institutional and discursive practices through which the Philippine state mobilizes its citizens and sends them abroad to work…” (Rodriguez, 2011, 2). Rodriguez delves in-depth into how a specific form of “migrant citizenship” is used to engender consent and loyalty to the nation: The system of labor brokerage in the Philippines rests on a particular (one might dare say peculiar) sort of state-citizen relation. Under a regime of labor brokerage, Philippine nationalism is accomplished through one’s departure from the nation-state (xxvi). Under the administration of President Gloria Macapagal Arroyo, the content of the Philippine migrant citizenship has increasingly emphasized notions of heroism and neoliberal ethics. Anna Guevarra describes the transition from Marcos’ more compulsory labor migration to Arroyo’s emphasis on empowerment and choice: This ethic of responsibility exemplifies the state’s current emphasis on devising ways to govern the economic conduct of its citizens following a neoliberal market rationality of economic competitiveness and entrepreneurship. State officials claim that they are not “promoting” overseas employment but simply “managing” labor migration and facilitating the desires and choices of their citizens to seek “greener pastures” elsewhere (Guevarra, 2006, 527). Furthermore, discourse and rituals around heroism are a way for the Philippine state to create a sense of membership and inclusion amongst migrants. Sending balikbayan boxes, for example, is a custom undertaken by millions of Filipino migrants in December whereby they send a large box of gifts from abroad back to their families in time for the holiday season. The now ubiquitous custom was actually a product of the balikbayan program introduced in 1973, which “encouraged emigrants to come ‘home’ to the Philippines” as tourists and investors. Balikbayans were given special incentives, such as the ability to bring back “two duty- and tax-free balikbayan boxes in lieu of luggage upon returning to the Philippines, the opportunity to purchase up to $1000 worth of duty-free merchandise upon arrival, and even the chance to purchase land” (Rodriguez, 2011, 81). Such incentives and continuous rituals have sought to strengthen migrants’ ties with their “homeland”, but are also meant to encourage the return-flow of economic and material goods. Another iteration of the heroism discourse is Bagong Bayani, meaning “new heroes” in Tagalog. As Rodriguez explains, the Philippine government had begun referring to overseas Filipino workers as “new heroes”, portraying migration as an “act of self-sacrificing individuals” (84). With this emphasis on sacrifice came certain requirements about sending remittances. For example, in 1982, Ferdinand Marcos passed an executive order stating that it was “mandatory for every Filipino contract worker abroad to remit regularly in portion of his foreign exchange earnings to his beneficiary in the Philippine through the Philippine banking system.”$^{10}$ The percentage that had to be remitted was set by industry: construction workers, seamen, and doctors had to remit 70 percent their earnings, while domestic workers and “all other workers not falling under the aforementioned categories” had to remit 50 percent of their basic salary. While the mandatory remittance policy phased out after Marcos’ departure, a “Code of Discipline” $^{10}$ Executive Order No. 857 (1982). Retrieved at: http://www.lawphil.net/executive/execord/eo1982/eo_857_1982.html. instituted by the POEA continued to encourage and softly mandate that migrants remit, still couched in language of duty and heroism. As Rodriguez shows in her book on migrant citizenship: “familial responsibility is often represented as an extension of nationalist responsibility” (Rodriguez, 2011, 51). Taking care of one’s family is listed in the Executive Order as one of the main reasons why migrants should remit. This feeds into the notion that Philippine migrant women are sacrificial mothers whose sole purpose for working abroad is to provide income for the family. It is interesting how the encouragement of remitting to take care of one’s family applies equally to all overseas workers, but is actually institutionalized in a way that reinforces gender norms and inequalities. For example, Rodriguez had mentioned that while seafarers and construction workers had to remit 70 percent of their salary, domestic workers only had to remit 50 percent (63). This discrepancy may be instituted to account for the fact that domestic work paid less. Or, it could suggest that the Philippine government still considers men the main breadwinners of the family, even when women are expected to also work for their families. In other words, women migrants cannot, by virtue of their role as a secondary earner, provide the majority of their income to the family. The jobs that Filipino men and women are allowed to occupy begin with how the state educates and trains its migrant labor force prior to and during the migration process. Rodriguez expands on how the Philippine state uses training and education programs that discipline gender, constructing the Filipina as “a caring, docile, meticulous migrant care worker” (Rodriguez, 2008, 799). As citizens of the Philippines, Filipinas do not have the right to reject invasive forms of regulation, such as proof of marriage and mandatory pregnancy tests. While the Philippine state itself does not regulate Filipina workers in this way, they do give host country’s jurisdiction over how they “select” for particular workers, and often this can mean proof of marriage or pregnancy tests. Jordan, for instance, shows marital status on the worker’s work contract with the Jordanian employer. Their marital status is also shown on the informational sheets that are laid out in recruitment offices. By virtue of the fact that the Philippine government prioritizes diplomatic economic and political relations with the signatories of their bilateral agreements, Philippine citizens, particularly women, are not guaranteed protection from invasive information gathering or gender discrimination. Conclusion In this chapter, I have laid out the primary social and economic transitions that took place during the 1970s when Jordan and oil-rich countries began to demand migrant labor from South and Southeast Asia, and the Philippines was ramping-up to provide this labor. The purpose of this discussion is to present the specific complexities of migration in Jordan that are often missed within migration and political science literature. Most scholarly works and public discourse focus on Jordan as a refugee-hosting, or a labor emigrating country. In this conceptualization, there is no room for discussion on the modest but growing population of non-regional migrant workers who are living in the country, and what implications their presence has for the study of Jordanian national identity. The first section of this chapter has hopefully offered a nuanced and detailed overview of what economic, migration, and economic forces were at play in the region that resulted in the recruitment of thousands of migrant workers from Asia after 1973, a number which has now swelled to the millions. Finally, this overview should illustrate a different kind of “migrant-receiving” country, that is not the highly-developed, Western liberal democracies usually featured in literature on domestic workers. In the Jordanian and Middle Eastern context, questions of migrant integration and experience, as well as citizen encounters with migrants, cannot be understood through “conventional” critical frameworks, such as colonized/colonizer, periphery/core, South/North, or Third World/First World. In the second half of the chapter where I discuss the origins and implications of the labor exportation strategy in the Philippines, I hint at the provocation I made in the Introduction about the shortcomings inclusion, especially in terms of citizenship. In the case of the Philippines, we have seen that specific national scripts, symbols, and rituals are paramount to building a sense of community and belonging among the millions of Philippine citizens working abroad. Intuitively, it should seem that a thesis about migrant domestics in a foreign country should chiefly concerned with integration or exploitation within the country of work. However, part of the argument that I want to make, which I attempt to explicate throughout the remainder of this thesis, is that a status of citizenship can simultaneously entitle one to “rights,” as well as subject one to discipline, control, and violence. This leads me directly into the content of my next chapter, which discusses the obscurities – indeed, the violence – of inclusion into the state. On March 21, 2015, the Jordanian Ministry of Labor began a campaign to rectify the “illegal” status of hundreds of thousands of migrant workers who were working in the country without valid work or residency permits.$^{11}$ This “attempt to weed out undocumented foreigners in its workforce” comprised of an amnesty period that would last 60 days -- in which undocumented migrants had the opportunity to “legalize” their work and residency status by visiting a Labor Directorate -- and also included a moratorium on the hiring of all migrant workers, excluding workers for the Qualifying Industrial Zones (QIZs) and domestic workers (Medenilla 2015). For migrant workers, the amnesty period canceled any retroactive fees that the worker had accrued from staying in Jordan on an invalid residence permit, known as overstay fines,$^{12}$ and only required that they pay the fee of renewing their work permit (if expired or invalid)$^{13}$, and/or their residence permit (if expired or invalid).$^{14}$ However, this provision had important conditions: if a worker rectifies their status in the first month they only had to pay for $^{11}$ In August 2016, the Jordanian Ministry of Labor estimated that there are more than 800,000 migrant workers in Jordan, but only 300,000 of them hold valid work permits (Jordan Times 2016). Of the migrant worker population, 50,000 are domestic workers, and 30,000 are considered “irregular” (Tamkeen Fields for Aid 2016, 7). $^{12}$ According to the 1973 Residence and Foreigners’ Affairs Law, Chapter 3 Article 22(a): “A residence permit shall be valid for one year and be renewable subject to the requirements prescribed in this Law.” Chapter 3 Article 34(a) states: “Any foreigner who enters the Kingdom lawfully but who fails to obtain a residence permit or who overstays his permitted period of residence shall be liable to a fine of 10 JD ($14) for each month overstayed or any part thereof.” Article 34b states that this fine increases to 15 JD ($21) after the first month of overstay. $^{13}$ According to the 1997 Regulation of Employment Permits Fees for Non-Jordanian Workers, a work permit is 300 JD ($422) for non-Arab workers (excluding agricultural sector), 180 JD ($254) for Arab workers (excluding agricultural sector), 120 JD ($169) for non-Arab worker in the agricultural sector, and 60 JD ($84) for Arab workers in the agricultural sector. Work permits are valid for one year and are subject to renewal fees equal to the first-time fee. $^{14}$ According to the 1973 Residence and Foreigners’ Affairs Law, Chapter 3 Article 23, the fee for a residence permit is 10 JD ($14), and the renewal fee is 6 JD ($8). the current year’s renewal fees; if the worker rectifies their status in the second month, they would be need to pay last year’s and the current year’s renewal fees. While residence permits only cost 6 JD ($8) to renew, renewing a work permit costs 300 JD ($422) for a “non-Arab” and 180 JD ($254) for an “Arab” worker. Renewing in the second month of the amnesty could thus amount to more than 600 JD ($846). In practice, the likelihood of migrant workers being able to afford these fees (especially as a one-time payment) in the span of only two months is low, especially since the monthly wages of migrant workers do not meet or barely meet these renewal amounts.$^{15}$ Regardless, this extension of “debt relief” for overstay fines is a major financial benefit of the amnesty policy for undocumented migrants, especially for those who have accrued several hundreds of dollars of overstay fines and are unable to leave Jordan as a result (I heard of a Sri Lankan worker who had been in Jordan for eight years without valid residency). Thus, while the amnesty period might not have been entirely that useful for workers that wanted to stay and work in Jordan, it is quite useful for undocumented migrants that want to leave the country. (This is, perhaps, exactly what the Jordanian government’s intention was – “cleansing” the labor market of unmonitored, irregular migrants). In response to the notice, the Philippine government and Embassy in Jordan made moves to ensure that all of their workers were aware of the policy. Secretary Rosalinda Baldoz of the Department of Labor and Employment (DOLE) in the $^{15}$ As of February 2017, the official minimum wage in Jordan for citizens is 220 JD ($310). For migrant workers, minimum wages are quite complicated, are not consistently codified in law, and are not standardized. For example, while minimum wage in the QLZs is set to 110 JD ($155) by law, domestic workers do not have minimum wage set in law (they are “covered” under the labor law, but through separate bylaws that were implemented for them in 2009. These bylaws did not include a minimum wage). Furthermore, there is a differential pay system for migrant domestics, based on their nationality (each sending country unilaterally sets their own minimum wages for their workers). Filipinas, for example, are paid the highest of any nationality, at $400 (283 JD) (France-Presse, 2012), while Sri Lanka requires the monthly wage to be $200 (141 JD) (Mendoza 2011, 10). Philippines stated that “irregular OFWs” in Jordan should “heed the Jordan government’s offer of amnesty and legalize their stay. This is for your own good” (qtd. in Medenilla 2015). While comments like this give the impression that amnesty periods are rare and exceptional, they are implemented very often and across all of the major migrant-receiving countries in the Middle East region. Since 2004, Lebanon has implemented at least four periods of amnesty, always “under special circumstances.” In February 2017, the country extended amnesty to Sri Lankan migrant domestics only as a result of the “close bilateral relations” between the two countries (“Lebanon to Extend Amnesty,” 2017). In August 2016, Qatar implemented a three-month amnesty period, its third in twelve years (Migrant-rights.org, 2016), and just this March 2017, Saudi Arabia also implemented a 90-day amnesty (Shalhoub & Hameed, 2017). The country’s last amnesty was in 2013, and nearly 5 million workers sought legal redress – the largest of any previous amnesty periods. (Migrants-rights.org, 2016). Jordan’s last amnesty period before this one was just a year earlier, from March to May 2014 (Trafficking in Persons Report 2015 202). Amnesty periods occur so frequently and predictably that migrant workers now can anticipate approximately when they will come, and as a result, they factor them into their financial accounting. Carina’s account of amnesty in Jordan, for example, describes it as a regular strategy for not only fine forgiveness, but also for getting free tickets back home: She [the maid] waits for amnesty from the Embassy. Then she have a free ticket. Then go home in the Philippines. I have a lot of friends like that. Mariana also describes the “waiting for amnesty” strategy in Jordan, and how it allows her to avoid paying the exorbitantly high fees of renewing her residency permit: My ID is 10 months expire, so if I renew, I need money 700 JD. So I cannot renew it in 10 months, so my overstay is working every day…This is my problem now. But inshallah I have passport, they amnesty, I will go to the Philippines, I have money to buy ticket. It’s very easy. And in Kuwait as well: I stay in “outside” I think for 1 month and 3 years. And then I go to Philippines. They [Kuwait] have coming amnesty in four months. I buy my own ticket to Philippines. Carina and Mariana’s experiences with amnesty, periods of illegality, and mobility reveal the intricacies and contradictions inherent in state practices that govern and regulate the movement of migrant labor across borders. In particular, I am struck by their calculating tone when they relate to me how amnesty periods can be strategically used – in a way, appropriated -- as a way to save money. In other words, rather than paying several hundreds of dollars to renew a residency permit, it makes more financial sense to let the permit expire – rendering oneself temporarily “illegal” -- then wait for amnesty to “forgive” the overstay fines. In some incidences, one might even get a free ticket back to the Philippines, provided by the Philippine embassy in conjunction with the host country’s amnesty. The implementation of an amnesty policy could, on the one hand, be perceived as the Jordanian government’s quick-fix to “illegal” or “irregular” migration. As a close political ally and client state of the United States, Jordan is expected to exhibit progress in the realm of “human rights”, as per the guidelines of Western agencies (Brand 1998, 95-173). But more than just an issue of upholding diplomatic airs, the amnesty policy demonstrates the imperative of maintaining a discourse of integration, to be achieved through “forgiveness”, “pardoning”, and a further “extension” of the law. The act of integrating, which an amnesty period invariably is, reaffirms the line between a problem-free “society” and a problem-ridden “outside of society” through its performative quality (Schinkel & van Houdt 2010). Schrover and Schinkel, for example, argue that a “discourse of alterity” allows for “binary oppositions” such as migrant/citizen, illegal/legal (Schrover & Schinkel 2013). This discourse of alterity emerges through “discursive problematization”, such as defining, claiming, legitimizing, expanding, and sensationalizing certain “objects” on the ground. In doing so, the state is able to draw boundaries between what they regard as “outside” and what they regard as “inside.” The language and practices of integration and exclusion – a product of these discursive formations -- are then deployed to reaffirm that such boundaries exist. These are exactly the discursive effects that, I argue, Jordan’s amnesty period achieves. Such an insight fundamentally shows how demonstrations of inclusion and integration are used over and over again to mark a boundary between “inside” (equal, ideal) and “outside” (dangerous, illicit), particularly in relation to the state. Schrover and Schinkel expand on their argument by saying that such effects enable the “cleansing” of ‘society’ from problems that it attributes to “outside of society” (1133). Thus, a discourse of integration and the material practices which support it affect not only those elements that are “outside” (migrants, illegals) – it also constitutes, constructs, and disciplines the subjects that are labeled “inside” (citizens, legals). While Mariana and Carina’s physical participation in the amnesty procedure invariably brings them into the fold of “integration”, their calculating tone poses a stark contrast from the notions of forgiveness and pardoning that amnesty is usually understood to be. Within that nuance, I would argue that they push against the ideological and discursive characteristics of amnesty, but take with them the material benefits it yields, “using the terms of one discourse to counteract, modify, refuse, [and] go beyond the other” (Davies 1991, 46). In the end, integration is a double-edged sword: it might provide certain material benefits for undocumented migrants (though not always), but allows states to bring them back into the fold, disciplining them and then differentiating them in a more systematic and formalized way. Following these insights and these empirical observations, in this chapter, I argue that there is no notion of “inside” or “outside” society (defined by the state), and thus no notion of being truly “included” or “excluded” by the state either. If these realms seem distinct at times, it is the effect of state power and practice. Through its institutional structures – namely, an immigration regime – the state enables illegal activity just as much as it enables legal activity. In the first part of this chapter, I examine the condition of being (il)legal, and find that domestic workers are never really “legal” even when they might be. The second part of this chapter focuses on how this indistinction of (il)legality is further exemplified in the “commercialization of legality”, where material well-being (i.e. the need to work for a higher wage, the need to work in better conditions) takes precedence over “being legal”. Here, I present my observations on an informal market for documentation and legal status, where migrants, government officials, private individuals, and recruitment agents all participate. This informal market directly subverts the normative discourse on integration (as an ideal to be achieved), since it demonstrates that the losing and gaining of legal status is hinged to material incentives and needs. The Embedded Structures of (Il)legality Many scholars have illustrated the production of the inherently meaningless distinction between “legality” and “illegality”. Blanca Garcés-Mascareñas, for example, focuses on the condition of illegality as a product of the clash between the demands of “open-border” neoliberalism, and the demands of citizenship, which “requires some degree of closure to the outside” (Garcés-Mascareñas 2012, 35). Migrants legality can depend on a wide range of practices, all of which would arguably be state practices despite not always originating from the law or a government representative. Xiang Biao and Frank Pieke have argued that legality can be the outcome of “bureaucratic statuses manufactured and commercially supplied in the process of migration” (Biao & Pieke 2009, 2). This is particularly relevant for migrant domestic workers in Jordan, since their residency permits are contingent on a private, financial arrangement with a single “sponsor”. Based on costs, paperwork, language barriers, and other bureaucratic and commercial processes, migrant domestics may not always find “legality” preferable. On the other hand, the condition of “illegality” can also be an experiential or phenomenological condition, by which face-to-face encounters with law enforcement, employers, and recruitment agents might render migrants “illegal” or “criminal”, even when they have followed all the appropriate juridical procedures (Willen 2007). Confinement in the home, racial profiling by law enforcement, and false criminal accusations were some of the many experiences that migrant domestics in Jordan have to juggle because their presence challenges the boundaries of sovereignty and national identity. At a global level, discourse about migration invariably includes the issue of illegal migration. As Martin Baldwin-Edwards write, illegal migration is frequently treated in popular political discourse as a “problem”, akin to other non-legitimate economic activities such as smuggling goods on the black market. The activities that are said to comprise illegal migration are plentiful and varied: unauthorized entry, fraudulent entry (entry with false documents), visa overstaying, violation of the terms of a visa, a change of employment that is not authorized by the host country, and rejected asylum seekers who continue to clandestinely stay in a country (Baldwin-Edwards 2009, 1450). Historically, “illegal” migration is embedded within the institution of legal labor migration. After the 1973 oil shock, the Middle East and newly industrialized economies in Asia rapidly became capital-rich and faced a labor shortage. Baldwin-Edwards argues that the politicization and expansion of short-term labor migration as a result of these economic transitions -- most notably through emergence of guestworker programs -- is what helped construct and define illegal migration. Within the literature on migrant domestic workers, there has been an implicit assumption that the exemplary state of legality is citizenship, enshrined in the “right of abode”. Since citizens do not have limits to their residency and work, and are technically entitled to a wide range of benefits that migrants do not enjoy, the tendency has been to treat citizens as included and stable, whereas noncitizens are excluded and precarious. Pardis Mahdavi, for example, discusses the vulnerabilities that migrant workers face when they are undocumented, or when they lack a more permanent residency status (Mahdavi 2016, 71-94). She describes the kafala system as an “inflexible regime” in which migrants must use “flexible” strategies to navigate, such as borrowing money from local friends to renew a visa. The focus here is always on the immigration system, its failings and inconveniences, and the instability of the migrant worker. On the other hand, the citizen is assumed to be outside of these particular state practices. A volume on migrant domestics in Asia and the Middle East, edited by Sara Friedman and Pardis Mahdavi, for example, makes this distinction quite clear. In the introduction, it states that “the migrants’ vulnerabilities before the law derive in many ways from their status as noncitizens who lack the protections and benefits that ostensibly accrue to juridical belonging” (Friedman & Mahdavi, 9). A citizen/noncitizen distinction – particularly in assuming that the former is immune to immigration control -- reaffirms the normative position that being legal, exemplified through citizenship, protects one from the precariousness and danger of illegality. The entrance of the Adaleh Center for Human Rights Studies was tucked underneath a large shady tree on a quiet, residential road. Inside, the office was small and makeshift. When I walked through the doors that morning, I thought there was no one there. The office was quiet, and none of the lights were on. A few moments passed and an older women shuffled out of a room in the back of the office, and when she saw me idly by the doorway with my cumbersome, black backpack, she approached me with an earnest smile. I greeted her, but due to my limited Arabic skills, was unable to sustain a conversation, much to my embarrassment. I strung together what little vocabulary I knew and told her that I was there for a meeting at 11 o’clock, and that I had called two days before to schedule. She nodded, still smiling, and ushered me from the doorway to the main office space. Just as we were moving, a young woman with a stern face framed with a bright yellow hijab stood up from behind the first cubicle on the right. As she came out from behind her desk, she greeted me in English, her firm, deep tone filling up the quiet room. Her name was Heba, and she was a lawyer trainee, having just graduated from law school in Jordan. I told Heba who I was, and that I was here today for an interview with one of Adaleh’s lawyers about migrant domestic workers. She nodded, and led me into the cubicle across from hers, gesturing for me to sit down in the chair beside the desk. Heba then told me that not all of the lawyers were in the office right now, but that there was one, Mr. Salem, who was. She would go ask him if he had any time to speak with me, to which I responded with an enthusiastic nod. I then watched as Heba briskly walked down a hall at the back of the office space. After a few minutes of waiting, Heba returned with Mr. Salem, a spritely man dressed casually in a short, blue plaid shirt, faded black pants and shoes, with round glasses perched on his nose. After exchanging more greetings, names, and information, Mr. Salem settled into his office chair, and Heba pulled up a chair next to me (she would act as our translator). Despite their initial reticence upon meeting, Heba and Mr. Salem became intensely engaged in my questions about the legal issues that faced migrant domestics in Jordan. Despite the fact that Mr. Salem worked at Adaleh mostly on torture cases (a few which did involve migrant domestics), he spoke emphatically and pointedly about legal letdowns and struggles involving domestic workers through the year. As my interview proceeded, I too became drawn into the conversation – this was one of the few candid conversations I was having with Jordanians about domestic workers. For the most part, even with most of my Jordanian friends, I often felt like I was prying too much or being too forward when I asked people about how they felt about domestic workers. The topic seemed to make people uncomfortable, I observed, and oftentimes I was met with a few nods here and there before the topic was changed to something a bit more familiar but no less political – literature, Palestine, the police, communism. And so, Heba’s and Mr. Salem’s expertise and experience on the issue was heartening, and they too expressed the same appreciation towards my interest in the topic, since they both felt that it was politically and publically an unpopular issue to care about. In fact, in the middle of our interview, Heba confessed to me that even her family was “fighting against what she was doing” at Adaleh for domestic workers: “they believe that the worker is an alien. They say to me: ‘why are you trying so hard to fight for the rights of the alien?’” Oftentimes before Heba or Mr. Salem could finish an entire story, the other would be reminded of another case. In the end, I was offered a chaotic mosaic of legal problems that migrant domestics commonly faced, information that has been partially documented and corroborated by other human rights organizations: administrative detention, false accusations of theft and other crimes, deportation, poor implementation of the Labor law and work contracts, statute of limitations, children who are born stateless, exorbitant overstay fines, the list continues (Amnesty International 2008; Wilcke 2011; Tamkeen Fields for Aid 2012; Trafficking in Persons Report 2016, 220-223). From this lengthy conversation at Adaleh, along with additional conversations with migrant domestics, I realized that the condition of being “legal”, of being fully “law-abiding”, is never really achieved or respected. One of the cases that Mr. Salem told me which illustrated this point clearly involved the use of arbitrary deportation enshrined in the Residence and Foreigners’ Affair Law of 1973.$^{16}$ Mr. Salem had worked on a case involving an Ethiopian domestic worker. This worker worked for a “high-ranking person in government” for three years and received no payment at all from him during this time. When she approached her employer about this issue, he contacted officials in the Ministry of Interior who were able to “recommend” the worker for deportation. It was only when she was already at the airport that she was able to call the Adaleh Center. Lawyers at the Center told her not to board the flight, and that they would work with her to file a lawsuit and appeal the government’s decision to deport her \textit{and} claim the proper wages for her work. The Center paid the 300 JD ($422) fee necessary to file an appeal in the High Court of Justice, a civil court that deals exclusively with appealing administrative decisions. Adaleh lawyers questioned the justification for the worker’s deportation: “we asked what this decision was based on, why did [they] deport her, and how she was a threat to the national security of Jordan.” According to Mr. Salem, the five judges on the Higher Administrative Court looked at the case “in a very particular way”, in other words, treating it as exceptional. In the end the judges’ rulings were no surprise – they claimed that according to Article 37 of the Residence and $^{16}$ According to Article 37 of the Law, the Minister of Interior may expel any foreigner from the country without stating a reason. Foreigners’ Affair Law, “the person who made this decision is not obligated to explain why he made it” (in the words of Mr. Salem). There is ample documentation on the use of arbitrary deportation for dealing with migrant subjects, and as a result there has been no lack of scholarly and public attention on this figure of a “deportable noncitizen” (De Genova & Peutz, 2010). But deportability is part of a wider set of repressive tools that states use to define the boundaries of a national community. It is, in other words, not an exceptional, transgressive use of force, but located on a continuum of state practices – along with population placement, displacement, ghettoization, administrative detention – that maintain the “integrity” of state space through confinement and forced movement (De Genova & Peutz, 2010). What I contend, therefore, is that certain state practices which might seem “particular” to migrant workers are not enacted in response to their intrinsic outsidership. Rather, the repetition of these practices, their performative aspect, is what constitutes them as “outside society” (and thus constituting “society” along with it). Of course, institutions like the Constitution have enshrined certain provisions, such as a Jordanian national’s right to not be deported,$^{17}$ giving the impression that there is a “safety zone” defined by boundaries of citizenship which protects one from state violence. At the same time, the loss of Jordanian nationality is codified in the 1954 Nationality Law under Chapter 5, and can occur if subjects “commit or attempts to commit an act deemed to endanger the peace and security of the state”, among other several other transgressive actions. Outside of the law, however, deprivation of Jordanian nationality does and has occurred. A high-profile example of this is when over 2,700 Jordanians originally from Palestine until 1949 had their Jordanian citizenship revoked between $^{17}$Chapter 2 Article 9(i) of the Constitution of the Hashemite Kingdom of Jordan states: “No Jordanian may be deported from the territory of the Kingdom.” Retrieved online from: http://www.refworld.org/pdfid/3ae6b53310.pdf. Such a move, again, can be singled out for its performative, internal, and productive power, and is part of the Jordanian state’s strategy of personalized divide, which separates and labels the “inner” population (i.e. the citizenry) into different constituencies (subject to different treatment and resources) (Shryock 1997, 57-59; Bouziane & Lenner 2011, 155). Thus, it is not that these Jordanians were “not Jordanian enough” that made them vulnerable to the state’s power; it is the act of revocation itself that validates the notion that such identity boundaries exist – specifically, that there are inherent and coherent distinctions between “Jordanian Jordanians” and “Jordanian Palestinians.” Yet, revoking citizenship does not necessarily have to occur for one to experience state violence – even violence that is seen as only reserved for foreigners. For example, in 1997, a Jordanian national was away in Yemen, and upon his return to Jordan, the governor of Amman issued an order for his deportation (Bourouba, 2014, 48). Another case, from 1984, involved a Jordanian man and his wife. According to the details of the case, the Jordanian wife was ordered to be deported, despite the fact that she possessed Jordanian nationality (naturalized through her marriage to the Jordanian citizen) (Bourouba, 2014, 47). A third example is the case of a Jordanian man in his yearly twenties who came from the West Bank to Zarqa (in Jordan) where his parents were living, in 2006. In December 2006, he was arrested for theft, released 20 days later, and then rearrested in January 2007, when he was put into administrative detention pending deportation (Human Rights Watch, 2009, 20). According to his statements to Human Rights Watch, the man possessed a Jordanian national number and all of his family lived in Jordan. --- 18 For details, see Human Rights Watch. (2010, February 10). Stateless Again: Palestinian-origin Jordanian deprived of their nationality (Publication). Retrieved April 19, 2017, from Human Rights Watch website: https://www.hrw.org/report/2010/02/01/stateless-again/palestinian-origin-jordanians-deprived-their-nationality Despite this, he stayed in administrative detention for six months, and the results of his plea to not be deported are unknown. These cases, although not all with bad endings, elucidate the many ways that Jordanian citizens are subject to state violence, despite being on the “inside” of society. My point here is not to argue that the situations of “migrants” and “citizens” can be equated (I am well aware of the disproportionate use of deportation and harassment that migrant workers face). However, I am arguing that acts of immigration control – including the most egregious, deportation – should not be conceptualized as practices enacted upon subjects after the fact of their legal status. Doing so would overlook the inherent inequalities within migrant communities that allow them to make diverse claims of membership (see Aihwa Ong 2007; Vora 2013) and also the inherent inequalities within the Jordanian citizenry, which also become visible with attention to gender and class (see Amwai 2005; Almala 2014). These insights become even more compelling when we look beyond the realm of immigration and legal status, to focus on other dimensions of inclusion, such as access to economic resources (Adely 2012). Thus, state practices should be considered as contributing to the legitimacy of legal status (as definitive markers of inclusion), which give the illusion of coherent and clearly demarcated conditions of exclusion and inclusion. Staying on the law, we can perhaps see this point explicated even more clearly with the use of administrative detention in Jordan. Administrative detention, realized through the 1954 Crime Prevention Law, is yet another state practice that attempts to “cleanse” and maintain society be labeling and then dealing with problems deemed “outside” of it. The Crime Prevention Law allows unelected officials of the executive branch – the governors of Jordan’s 13 governorates and district administrators (mutasarrif) – to detain people who are “about to commit a crime or assist in its commission,” those who “habitually” steal, and anyone who poses a “danger to the people” (Human Rights Watch, 2009, 4). In practice, the Crime Prevention Law is enacted on many individuals who fall outside even these arbitrary provisions. Essentially, the law allows executive officials to circumvent standard criminal procedures, eliminating the possibility of judicial oversight. As Mr. Salem told me, the Adaleh Center receives many cases of administrative detention, some where workers have been detained for more than a year. A 60-page Human Rights Watch report from 2009 describes the use of the Law in the following manner: Among those detained outside of the scope of the Crime Prevention Law are women and men in “protective” custody, and foreigners. Governors invoke the Crime Prevention Law…to place women in “protective” custody because family members, generally men, have threatened these women’s lives for perceived moral lapses…Authorities occasionally detain foreigners administratively when they lack proper identification or residency documents but cannot be immediately deported (Human Rights Watch, 2009, 2). Thus, application of the Crime Prevention Law is, if anything, gender-specific. Jordanian women are placed into administrative detention – called “protective custody” – if she is threatened with violence. This kind of forced custody exemplifies the notions of paternalism and guardianship that underpin women’s citizenship in Jordan, a topic that scholars have elaborated upon and cited as a major indication of citizenship’s inherent inequality (Almala 2014). For migrant workers, the Crime Prevention Law can be seen as a precursor to their deportation, or can become deportation’s replacement (Human Rights Watch, 2009). Within the realm of citizens, this law can also be a way to “remove” people from a certain space without necessarily having to move them across borders. The intricate and messy interactions between citizens, migrants, and these particular practices of the state -- arbitrary deportation measures, administrative detention, revoking citizenship – truly begs the question of whether the condition of being “legal” can ever be achieved, and also whether citizenship can protect one from immigration control and other state violence “reserved” for migrants. This question is not about weak “rule of law”, which considers these transgressions of the state to be “arbitrary” based on a normative position that law is morally good and equitable. Instead, these feelings of arbitrariness and indistinctness is completely characteristic of the state and the law and reveals the fact that state-sanctioned boundaries are neither real nor permanent. The law, in these incidences, could only be considered “arbitrarily” applied under the assumption that there are commonsensical, predetermined categories and “rules” which protect some people and not others. But the state does not respond or recognize these categories. It creates them, and in these creation, (re)creates itself. Embodied Illegality As Sarah Willen and other scholars have argued, illegality is as much of an embodied condition as it is a juridical condition (Willen, 2007). In her essay on migrant workers in Israel, Willen’s calls for a “critical phenomenological” approach to the study of migrant “illegality”, with the goal of continuing to destabilizing the idea that “illegality” is a static label that one simply has or does not have. Willen finds that, due to fears of deportation and arrest, migrant workers in Israel experienced troubled sleep, bodily vigilance, stress, anxiety, and other bodily disturbances (17). Life as a migrant induced certain habits, such as sleeping in one’s clothes at night or taking side streets to avoid being seen (26). Willen’s research elucidates the way that the condition of being “illegal”, regardless of one’s juridical status, is always embodied and experienced. Due to the limitations in scope of this thesis, my chapter can only present a few ethnographic sketches of how migrant domestics in Jordan also embody a condition of “illegality”, but the examples abound. Racial profiling by law enforcement occurred on a daily basis for many workers – Mariana talked about being stopped on the bus in the morning by the police, who demanded papers and money from her on multiple occasions (“maybe he want drink coffee but don’t have money” was her hypothesis). An even clearer example of my point is when domestic workers are falsely accused of actual crimes, particularly theft. Mr. Salem told me that it is common for workers to file theft cases against workers when they run away, so to provide a defense against themselves if the worker accuses the employer of mistreatment. Relatedly, Thoraya El-Rayyes’ documentation of employers’ perspectives towards domestic workers in Jordan found that employers often felt afraid of workers. One female employer reported the following: I prefer she doesn’t have a phone… I can’t understand what she is talking to her family about. And it is possible that one of her relatives will also come here…when they are in the car, they memorize, they memorize the landmarks. I don’t want to accuse anyone, but I want to protect myself from the things that I hear about. They start to ask, “What is this area called?” So I become anxious about leaving her at home alone, about taking her out with me. You become really anxious all the time…and when I come to leave the house, to be honest, I protect the house, I lock it. I don’t leave the key with her – I am afraid, to be honest, that she will run away. Her passport is with me, because if I give it to her I don’t know what she might do with it…you are worried about her well-being but at the same time, you don’t trust her (El-Rayyes, 2015, 11). The relationship between employers and domestic workers can indeed be fraught with tension and distrust, a topic that I expand on in Chapter 3. The main observation that arises from these employers’ narratives right now, however, is not simply an issue of distrust, but also a perception that the domestic worker might do something criminal, violent, or harmful. The most common reaction to these perceptions, therefore, is confining the worker in the house – physically locking her inside and not giving her a key when everyone has left for the day. On one of my visits to Jordan, I was placed in a homestay family that engaged in this exact practice. The family employed a woman from Bangladesh, Mina, a twenty-six year old moth who had been working for the family for three years. On the first day of our stay, just as my roommate and I were leaving in the morning for class (we were the last two members of the household to leave), Mina rushed up to us and demanded (really demanded) that we remember to lock the door from the outside. My roommate and I were confused – why lock the door when Mina was still in the house? We thought that perhaps we had misunderstood her, since there was a language barrier between us. Shrugging our shoulders and nodding half-heartedly, the two of us turned around, went through the front door and closed it. Before even setting a foot down the first step of the stairs, we heard Mina banging on the door from the inside, shouting at us to lock the door with the key that we were given by our host mother. I remember that on that particular day, my roommate and I did not think through clearly what exactly the point of that instruction was. We thought that perhaps Mina had her own key, and she just wanted us to lock the door so she wouldn’t have to worry about a stranger coming in while she was in the house. It was not until a few days later when we realized that Mina did not have her own key, and that locking her into the house was to ensure that she did not leave during the day when everyone else was out. More than that, Mina’s vigilance in reminding us every morning for a month to lock the door – by banging and shouting loudly whenever she did not immediately hear the key sliding into the lock after we’d closed the door – was because our host mother told Mina off if she came home and found the door unlocked. The practice of confining domestics in the house is a daily enactment of the notion of “illegality” that is already supported by multiple juridical provisions, such as the Crime Prevention Law. As Willen’s argues, “illegality” follows the migrant everywhere, “profoundly shaping their subjective experiences of time, space, embodiment, sociality, and self” (Willen 2007, 10). These insights and observations provide yet more support for the notion that (il)legality is constituted by discourse and practice, and are not actually static or real conditions. The Kafala System: Historical Insights and Contemporary Patterns There is often an assumption within the immigration and migration literature that legality, in terms of a physical possession of the correct documentation, is governed mostly through state sanction. This holds particularly true for literature on migration in the Middle East, in large part due to the preoccupation with the kafala system, otherwise known as the sponsorship system. The sponsorship system is a type of guestworker program that is officially and unofficially implemented in all major migrant-receiving countries in the region: Lebanon, Bahrain, Iraq, Jordan, Kuwait, Oman, Qatar, Saudi Arabia, and the UAE. Based on my searches (limited to English sources only), there has not yet been an authoritative history written about the origins of the kafala system. An exception to this is research done in social anthropology by Anh Nga Longva, who traces the system back to labor relations present in the Gulf region’s pearling industry before the 1950s (Longva, 1999). As Longva writes, pearl-diving (al-ghaus) was a labor-intensive and dangerous form of work, undertaken by divers that were debt-bonded to their captains, who were in turn beholden to boat-owning merchants (104). This relationship is further explicated through a conversation with one of Longva’s interlocutors, a Kuwait man in his late sixties who recalls his experience as a pearl diver in 1948: ANL: What was deducted from the diver’s share at the end of the ghaus? Abu Khaled (AK): First of all, his salif (loan)...Second, the amount spent on the food and water consumed by the diver during the season. ANL, surprised: Are you saying that in addition to working under such hard conditions that divers also had to pay for the little they ate? AK, shaking his head: Listen, you make it sound much worse than it really was. Remember that people had no choice. They had to make a living either from the desert or the sea. The salif was not a bad thing because the diver did not have to pay it back...the captain had no right to demand to be paid. What he was entitled to was the diver’s work...if the diver wanted to go to another captain, he had to ask this new captain to pay for his release. If he simply left, the diver would be arrested for absconding. (excerpt from 105) Longva’s interlocutor goes on to describe how the merchant bore the cost of the whole expedition, and in that way, opened up opportunities for the divers. The interlocutor finishes with the following statement: “the rich did not only make the poor work for them, they also took care of them, gave them enough to eat. And remember: when you are poor, you see things differently” (106). One cannot help but be struck by the similarities between these labor relations and the labor relations between migrant workers and their employers within the kafala system. Longva herself warns the reader to be “cautious not to draw an exact parallel” between the two relations, but she does note the “striking similarities.” In particular, the notion of mutuality, and the system of exchanging labor (supplied by worker) for worker’s needs (supplied by employer), certainly illuminates some important insights in the current kafala structure. Thus, like all contemporary guestworker programs (and other labor-extracting institutions) around the world, the kafala system can be seen as an incidence of historical forms of labor relations adapting to new means of production. In contemporary terms, the system functions by tying short-term residency to short-term employment. For domestic workers, a sponsor is a specific person in the household that she will be working at. Not only does the sponsor act as an employer – they enter into a work contract with the domestic worker – but they also take responsibility for her residency in the country of work (they “sponsor” her). Many scholars have written about the exploitative nature of the system. Andrew Gardner, for example, observed how the system allows governments to transfer the responsibilities of immigration enforcement to employers (Gardner 2010, 196-223). Due to the bonded nature of the sponsor-worker relationship, workers are not allowed to switch employment without switching a sponsor. Relatedly, workers have a difficult time leaving their employment contract without forfeiting their sponsorship (note similarities with the historical description above). Workers are only allowed to lawfully leave a contract if they are able to prove in court that their employer has violated the contract (i.e. withheld wages), or if their employer/sponsor terminates the contract. This latter scenario is very uncommon, given the fact that employers pay extremely high fees to the recruitment agency to hire a worker in the first place. In terms of the former scenario, where workers terminate the contract, Mr. Salem, and other human rights lawyers and activists who have documented this issue find that workers filing lawsuits rarely occurs, due to many barriers in place that make it infeasible for workers to access the appropriate judiciary institutions. This is one of the primary factors driving the high case of “criminal” runaways in Jordan and other countries. Despite not having a kafala system by name, Jordanian laws in effect replicate many of the same features observed in the Gulf countries. For example, in the 2009 Regulation of Domestic Workers, Cooks, Gardeners and Similar Categories, it states that “if the worker runs away without good cause attributable to the householder, the worker shall cover all financial obligations set forth under the signed contract of employment, in addition to repatriation costs.”$^{19}$ The clause of “without good cause attributable to the householder” is something to be decided in civil court, and since migrant domestic workers do not have sufficient access to those courts, there is little chance that such a clause could be disproven. Therefore, domestic workers who runaway are almost always penalized for running away, which constructs them as criminal subjects. An Informal Market of Legal Documentation On the one hand, the sponsorship system can be regarded as “inflexible”, as Pardis Mahdavi has called it (Mahdavi, 2016). At the same time, it can also be regarded as a system with many moving parts, loosely strewn together by the bureaucratic actions of everyday people. In other words, rather than a well-oiled and smoothly running machine, the sponsorship system – and by extension, the states that “run” it – are subject to error, confusion, and improvisation, and migrant domestics take full advantage of this. While it is possible to conceptualize the kafala system as an example of the state’s forceful power, in practice, the system is much more “fluid”, and seems to be contingent upon the much more elusive and nuanced incentives of the multiple actors involved. Throughout my fieldwork, I began to piece together a kind of informal market $^{19}$ Retrieved online from: [http://www.ilo.org/dyn/travail/docs/642/Regulation%2090.2009.pdf](http://www.ilo.org/dyn/travail/docs/642/Regulation%2090.2009.pdf). for visas, passport, and cash where domestic workers, recruitment agents, and private individuals alike partook in. For private individuals (including government officials, recruitment agents, and others), the kafala system could become a source of income. For migrant domestics, this appropriation opened up possibilities for alternative working arrangements other than the live-in kind. Thus, with this in mind, one could argue that conditions of legality and illegality were not always solely in line with the government’s intention, but rather produced through individual trades and purchases. The presence of an “on-demand” characteristic to legal migration have been observed in other contexts as well. Most notably, Biao and Pieke’s research on Chinese migration to the United Kingdom made one of the following conclusions: …the state started with a carefully crafted discourse on “good” and “bad” migration, but ended up with a migratory reality that produces these categories on demand. What results is a regulatory arms race between migrants and state agents that may restrict the total number of migrants that are let in, but on the basis of criteria that have been firmly appropriated by migrants themselves and that have often very little to do with the original intentions of policy (Biao and Pieke 2007, 13). Biao and Pieke’s observation that the migration process has been “firmly appropriated by migrants themselves” is based on the fact that a large part of Chinese migration to the UK is facilitated by ethnic enclaves and social networks – Chinese “migration professionals” both in China and in the UK can manipulate biographical evidence to help would-be Chinese migrants “pass” the UK immigration policy, commercializing the distribution of labels such as “legal”, “illegal”, “low-skilled”, and “high-skilled” (20). While the authors did find that migrants did draw on non-Chinese migration professionals when finding new employment, a large part of this informal market was still mediated between former and would-be Chinese migrants. For migrant domestics in Jordan, the story proves quite different. While I did witness this trend of “commercially supplied” legality, I cannot say that it was a process controlled by migrant domestics themselves. This is because, by and large, the “professionals” that helped to supply either documentation or money to migrant domestics are not other migrants, but rather embassy officials, recruitment agents, or private individuals who are otherwise unrelated to the recruitment of domestic workers. In a publication by the Migration Policy Institute (MPI) on migrant labor recruitment in Jordan, investigators found that staff from both the Philippine and Sri Lankan embassies have partook in the “recruiting” or “hiring out” of domestic workers while they were sheltered on embassy grounds. The report records allegations of embassy officials allowing migrants to stay in the embassy shelter, while letting them out to work without proper documents (Mendoza, 2011, 27). Upon their return, embassy staff would “allegedly partake of the wages these migrants earn.” This arrangement could also benefit the migrant domestic, who uses it as an opportunity to seek different work outside of the home or alternative to the live-in arrangement (28). Finally, the third party that benefits materially from arrangements like this are employers. Hiring a domestic worker through the formal channels made up of recruitment agencies and the Labor Ministry is considered long-winded and expensive. Faced with these difficulties, employers seeking a part-timer might work directly through embassy contacts. According to the Philippine Labor Attaché in 2010, this is also practiced by some Jordanian government officials and U.S. embassy personnel who want to hire domestic workers from the Philippines (28). In the same MPI report, investigators found that recruitment agencies actually benefit financially from migrant domestics running away from their employers (back to the agency) or their employers “returning” the worker themselves. If, for example, a worker is employed for a month, but decides to go back to the agency after that, the recruitment agent will charge employers for “having” the worker for a month, “refunding” only a part of the initial cost of hiring. The recruitment agent will then quickly try to find a new employer for the domestic worker, hiring her out again for another couple thousand dollars (31). Without a doubt, this practice is highly exploitative, and does not – unlike the situation with embassy officials discussed above – provide any opportunities for the migrant domestic. Mariana witnessed this practice occurring at her recruitment agency in Qatar, and describes the appalling details of how it occurs. Here, she is telling me about a particular worker who she saw at the agency after the worker’s employer “returned” her: They have also the Filipinas who returned to the agency. Haram. This all broken (indicates skin on forearms). All broken. Because she wash the house of the Madam, the clothes. No washer, make like this (uses hands to making hand-washing gesture). And then they have Clorox. And then, the maid not give the food. The madam not give the food. And when she comes to the agency, she is sick. She is very sick, and the hand is broken. By this point in the conversation, Mariana’s voice is shrill and loud, her arms waving around manically (Carina is sitting quietly by her side on the couch, eyes lowered to the ground): When the employer returned her to the agency, you know what happened? The manager said to employer: “You can apply again. You see the books, there are a lot of pictures with the Filipina. You can apply for another one.” I too much fighting with the manager. Next day, I go back in the agency. He [the manager] said: “Why you are here? You go to the accommodation, why you are here?” “I want to talk to you, sir.” I told to him. [Mariana, speaking as manager] “What happened to you Mariana?” [Mariana] “Why is this girl Filipina yesterday the employer returned, why you ask for him to apply more girl Filipina?” [Mariana as manager] “What’s the problem? This is the business.” [Mariana] “No!” This frightening scene played out by Mariana indicates just how much bodily violence some migrant domestics experience in their places of work. In Chapter 3, I delve more deeply into how the migrant domestics’ body can be devalued to such a point of “disposability,” where she becomes an object to her employers and recruitment agents. For the moment, I make the effort to stay on the point I am making here, which is certainly linked. Namely, that despite the ideological construction of “illegal migrant” as sometimes “bad,” “criminal,” “dangerous,” and “outside” – a sentiment that we have seen employers feel – to recruitment agents, these constructions have much less bearing. What becomes more prominent are the “dull economic compulsions” of capitalism. Recruitment agents profit from runaways and “illegals”, and their “bottom-lines” are ultimately what helps draw the limits and boundaries between the legal and the illegal subject. The migrant domestic is, perhaps, ultimately a worker (labor-commodity) first, and a migrant second. Thus, rather than being subject to rigid laws, or law enforcement, or other conventional notions of exclusion from the “nation”, the worker is merely “left to the natural laws of production” (Marx, 1887/2015, 528). Being “Outside” Private individuals who are not linked to the recruitment business also appropriate the system in similar ways. The abundance of all these actors has been instrumental in facilitating the drive towards “outside” work that many migrant domestics desire, or at the very least, want to try out. In other scholarly work, I have seen the term “outside” work also described as “freelance” work – a term that seems to have also originated from domestic workers themselves (Johnson & Wilcke, 2016, 135-159). In my fieldwork, migrant domestics in Jordan used “outside” and “inside” to describe, quite literally, the space of their work in relation to the home: “outside” designates freelance work, where domestics reside on their own and pick up jobs on a freelance basis, and “inside” designates the live-in arrangement, where domestics reside inside the home of their employer. I soon realized that “outside” work was almost always preferable to “inside” work, even if “inside” work could sometimes provide more stability and less immediate expenses (domestics do not have to pay their own rent or buy their own food, for example). Harkening back to the earlier discussion on Longva’s research in Kuwait, we can see how “inside” domestic work is the “intended” arrangement of the kafala/sponsorship system, and is based on a discourse of mutuality, guardianship, and a labor-for-needs exchange. A market for documentation, however, has made “outside” arrangements more attainable, and subverts the sponsorship system’s ideological underpinnings, despite its procedures still remaining in place. We see this in how Carina describes to me the benefits of “outside” over “inside”: If you stay your home, your home in Madam, you don’t have a freedom. Because your Madam, she handle you. She Madam, she take care of you, because she is your sponsor. But if you outside, you free your sponsor. You have a freedom, you have a time. You’re the one who handle your time. If you want to go to work, if you don’t want, it’s ok. Because you handle your time, because you are outside. Going “Outside” The first method of working on the “outside” is to run away from the home of a former employer and work without valid documentation or sponsorship. This method is what is conventionally perceived, giving the impression that “outside” workers are always “illegal”, always on the run or in hiding, and socially isolated. However, there exists another method of going “outside,” and that is to enter into an agreement with a sponsor who will allow the domestic to work for others on a freelance basis. Carina, Mariana, Rita, and many other women that I met passingly at parties fell into this group of workers. This kind of sponsorship arrangement means that the “employers” of the worker are not her sponsor, allowing for more autonomous work conditions, and in some ways, a more consensual relationship with the sponsor. The mechanics of this arrangement are further explicated by Mariana’s description below. The “Jordanian man” she references, her sponsor, was an employee at the recruitment agency who brought her to Jordan. Mariana had run away from her former employer seven months before (a Syrian family who was not paying her wages). For some time she did cleaning jobs without a valid residency permit (iqama), racking up overstay fines every day for months. Then, the Jordanian amnesty policy was implemented (meaning her overstay fines would be erased), and she took the opportunity to try and get back into formal domestic work. She went back to her old employer, who told her that even though she didn’t have to pay overstay fines, she still needed to pay for her own residency permit and work permit, something she could not afford. An employee at the recruitment agency overheard her predicament and approached her with the following offer: This is the Jordanian man. He told to me “I will help you. You can make your iqama using my name… I said ‘How much money?’ He said ‘500 JD, just 500 JD.’ I said ‘oh my god, where I take 500 JD, I don’t have work now, you know I don’t have papers, and I cannot work good because I don’t have papers.” He told to me “It’s ok yaani, you can pay to me not one time. You can pay to me 100 every month.” So I am very happy at the time. And then he make my iqama, my id. So the 500 JD, I can make it 5 months. I will pay 100, then 100. So the time, I pay. Mariana describes how the Jordanian man would let her pay the fee of her iqama in increments, something she would not have been able to do if she went directly through the Jordanian government. Thus, on top of the fact that she is now able to work “outside” (this Jordanian man was not hiring her, he was only offering to be her sponsor), she is also able to get documentation in a more financially manageable way. On the Jordanian sponsor’s side, he is “renting” his name -- his sponsorship -- to her for a fee that is much higher than the actual fee of renewing either a work or residence permit, allowing him to make a profit of around 200 JD ($281). This is not a practice limited to Jordan by any means; “renting” has been observed by Johnson and Wilcke in Saudi Arabia, as well as by Longva in Kuwait in the 1980s and can range from several hundred numbers to several thousands (Longva, 1999, 107; Johnson & Wilcke, 2016, 140). Johnson and Wilcke, and Longva have also observed in their contexts that individual locals set up businesses and “rent” their name out to multiple migrant domestics at a time, always charging more than the standard, government-issued fee, but allowing migrants to pay in increments so that they can afford it. However, the process proves even more detailed. Mariana continues: I told to him “I want to hold my passport.” And he told me: “Ok, you can pay me 200, then I will let you hold your passport.” So, I pay 200 JD, he let me hold my passport. In this section, Mariana reveals a common practice among these “sponsorship renters”: holding the passport of the worker as a form of insurance that she will continue to pay her increments. As Mariana tells me, if one wants to hold onto the passport, one has to pay more. The passport thus acts as warranty – a valuable commodity that can be priced and valued by cash. Here in Mariana’s story, I am made privy to yet another document that is traded in this market, passports. As Mariana continues, I begin to understand just how so: The work here in Jordan is not good. There is the Madam not need too much cleaning for their house. The work is not steady every day. It’s too much difficult, the work for the Filipina here. And what I do? I make the loan, my passport. To the Arab man. So I loan my passport, with interest. You know why? Because my daughter tell me: “Ma, I need big money now, for the entrance, for the enrollment.” So I said “oh my god, what I do my money, I have only 50 JD, only 40 JD, I need to pay rent my house.” So what I do? I make the loan my passport. So until now, maybe next month, I get inshallah my money I will take my passport in the next month.” Here, Mariana describes how she “loans” out her passport for money whenever she needs to send large amounts of money back to her family. She gives her passport to an “Arab man”, this man gives her money. Mariana is then expected to repay the money, but with interest – only then will she get her passport back. Although I was not able to get any more information about this practice, one can imagine how local Jordanians could earn a sizeable amount of their income from these kinds of transactions, particularly if the interest rates are very high. Mariana’s details about moving between states of illegality and legality, contingent upon her participation in this informal market of documentation, illustrates the hazy line that exists between outright exploitation and free-acting agents. Along with observations made by other authors about the kafala system being used as a means of income and exchange, it can be said that the standard notion that immigration systems are about keeping people out do not necessarily have much bearing in this context. Furthermore, this commercialization shows that oftentimes it is not the state who decides who deserves legality, but rather the informal market, which is both an effect of capitalist ideology, and also institutional residue of the formal immigration system. Conclusion: “The Dull Compulsion of Economic Relations” In this chapter, I raise several points that complicate the present narrative that regulatory failures of the state are ultimately or solely responsible for the exploitation of domestic workers. Research that focuses only on the shortcomings of illegality or being undocumented and over-celebrates reforms to strengthen legal status, invariably upholds the importance of the state and the need for traditional state-centric models of governance. Furthermore, arguments that are framed around domestics illegality implicitly uphold citizenship within the host country as a kind of desirable, utopic ideal. The literature on transnational migrant domestic work almost always omits the conditions of work for citizens, and almost always positions the migrant domestic worker as the poorer, more exploited non-citizen counterpart of a wealthier and protected citizen. This framing disguises the fact that citizenship is an imperfect and highly unequal terrain, and by no means is a guarantee that state violence will not be done unto you. I began this chapter with a discussion about the limits of inclusion, particularly in the form of juridical inclusion. I argued that Jordan’s, and other countries’ extension of amnesty were, on the one hand, an effort to bring migrant workers back into the fold of disciplinary power, and one the other hand, appropriated by migrant domestics to meet their own material ends. Furthermore, I reason that acts of integration are intended to reaffirm the line between “inside society” and “outside society”, resulting in a “discourse of alterity” that allows for “binary oppositions” such as migrant/citizen, illegal/legal. My research in Jordan has led me to discover that the condition of legality can never actually be achieved by migrant workers, since they are still subject to criminalization, racial profiling, confinement, and other violence even when they “follow the rules.” I also find that, in terms of state violence and immigration control, not even Jordanian citizens are necessarily immune from these practices. In the last two sections I examined the kafala system. On the one hand, the kafala system is undeniably a system that allows for bonded labor and debt-bondage, a point that has been historically traced to labor relations present within Gulf’s pearl-diving industry. I then proceed to show how the rigidity of this system is, again, appropriate by different actors within a market, acting upon economic incentives. Of course, this market exists on top of an existing matrix of power relations and oppressive ideologies, positioning migrant domestics at the bottom with the least amount of leverage. Within the “immigration system”, migrant domestics are subject to the state. Within the informal market of documentation, they are subject to the “natural laws of production”, which, as Marx argues, means dependence on capital, a “dependence springing from the conditions of production themselves” (Marx, 1887/2015, 528). At the same time, the “dull compulsions of economic relations” reconfigure the relations between certain actors to mimic not a citizen/noncitizen divide, or an illegal/legal divide. Rather, the relations are much more akin to relations determined by capital and money, the topic of my next chapter. Chapter Three: Acts of Conversion: Surplus, Scarcity, and Extraction "Just as capital has moved around restlessly seeking the highest returns, so people have also been moving further afield in search of higher wages, or a better life, or just to broaden their horizons." – Asian Development Bank, Achieving the Millennium Development Goals in an Era of Global Uncertainty 2009-2010, 79 At Mecca Mall, I wait in a rusty metal chair under the glaring yellow sign of Western Union, and watch as Carina peers through the smudged, glass of the counter, watching the attendant process her money transfer to the Philippines. After about seven minutes, she receives her receipt, looking at it with a furrowed brow as she slowly makes her way to where I’m sitting. She offers the receipt my way and I clumsily stick my nose into the large slip of paper with tiny, pixelated numbers printed on it. Through the frenzy of numbers, I catch a faded “62.000 JD” printed on the page. It is less than I expected, and I found it difficult to conjure up a reaction – so I merrily bobbed my head up and down and avoided Carina’s eye. As a kind of reassurance for both of us, Carina quickly converts the amount in her head and concludes out loud: “4000 Philippine money.” She looks me in the face and raises an eyebrow like she usually does when she’s trying to make a point: “A lot.” I understood the psychological comfort of converting from a strong currency to a weaker one. For me, it’s a convenient way to turn a measly handful of quarters into 10 Hong Kong dollars, or a $10 bill into “almost 100.” These small incidences of exchange in my mind often had its consequences. For me, the different exchange rates often left me overspending while I was in the U.S. Purchasing a $50 textbook online did not seem as severe as purchasing something that was nearly 400 HKD, an amount that I would not have given up so easily had the context been right. For my mother, on the other hand, the exchange rate shocked her into spending even less than she usually would. Walking through an American supermarket, she paid close attention to all the little, yellow price tags, intermittently exclaiming that it was “so much…in Hong Kong this would be x dollars!” In an amusing but inconvenient way (my mother and I fought often fought about money), the exchange rate between U.S.D and HKD was interpreted by my mother and I in different ways, depending on context, and depending on our particular mindsets. Sometimes the numbers compelled one to see excess and surplus, while other times the change in values across national borders shocked one into submission, signaling scarcity and the need to conserve. I begin the chapter with this light-hearted anecdote because it illustrates clearly the dexterous, contradictory, and circular movement between notions of scarcity and surplus in understanding money as an object, as a mediator, and as a totalizing form of valuation. Situated in the context of transnational domestic labor, I am interested in the ways that transnational subjects (here being domestic workers) make sense of and struggle with money in their lives. Money takes on many forms, and the labels that are given to money often change depending on the scale of our analysis and what the nature of the exchange is (remittances, wage, payment, etc.). These forms can certainly be framed as enabling economic freedom for women, and for “their” home countries. On the other hand, money, whether it is remittances or a wage, is constructed ideologically through the lens of gender and race. There exists a tension between these two framings – money as surplus, as excess, as freedom and money as scarcity, as lack, as extraction. This chapter is loosely divided into four sections that deal with the object and ideology of money in its multiple forms. In the first section, I study how logics of money are present in the discourse surrounding remittances, in particular, how monetary valuation allows for a flexible, ever-changing, and politically contingent framing of labor migration and its protagonist, the remitting migrant. But I understand remittances not just to be a crucial component of contemporary neoliberal development discourse – a subject that scholars have already written extensively about – but also as wages en masse. Working off this conceptualization in the second section, I deconstruct remittances by analyzing its gendered and racialized formation, which ultimately brings us to the domestic worker’s body – how it is inscribed, “marketed”, and “used”. As feminist scholar Neferti X.M. Tadiar argues, inscribing bodies to fit capitalist modes of productions requires racialization and the imposition of certain “laboring dispositions” based on notions of class and gender (Tadiar, 2009, 103-142). At the global level, such bodily processes result in the hierarchization of women based on their national-ethnic biosocial profile. In the third section, I stay at the subject-level and look at money as the women workers’ wage. I analyze the struggles, “opportunities”, and exploitation that takes place over the wage, but also extend my analysis into other forms of abuse such as overworking and objectification. I complicate this narrative by looking at how “the personal” and the inclusionary is integral to acts of and justifications for exploitation between employers and workers. In the final section, I analyze the using of money – as a means of consumption and as a social mediator. I consider how money delimits the nature of social relations of migrant domestics with their families and also consider the limitations of “economic freedom.” Section 1: The Remittances Discourse Neutralizing Remittances and “Practical Arrangements” In 2016, the World Bank published their twenty-sixth Migration and Development Brief, an annual report that updates the international development community on trends in migration and remittance flows. Since 2013, these briefs have been published by a sub-organization of the World Bank called the Global Knowledge Partnership on Migration and Development (KNOWMAD), a “global hub of knowledge and policy expertise on migration and development” (World Bank Group, 2016). Within the 2016 brief, like all previous briefs, readers are inundated with figures, numbers, graphs, percentages, bullet points, and tables, a visual confirmation of KNOWMAD’s so-called “expertise”, and a confirmation of remittance’s numerical, hard-fact nature. Under the section titled “Remittance Flows,” the following statement is made: Remittances set home by international migrants from developing countries are estimated to have risen to $432 billion in 2015, an increase of only 0.4 percent over the previous year (emphasis added, 5). Coupled with the swath of other visual and numerical representation of the 2016 Brief, I am left utterly confused by this statement. Is $432 billion supposed to be a lot, or not enough? Have remittances risen, or have they decreased? Readers are asked to celebrate the fact that remittance flows are “larger than official development assistance.” At the same time, remittances are still less than the volume of foreign direct investment (FDI) – private capital flows – but with an important caveat: migrant remittances are “more stable” than FDIs (5). Should FDIs ever go awry or prove unreliable – and of course they will – than the hard-earned income of individual, self-sacrificing, enterprising migrants will get us through the day. As Timothy Mitchell argues, these indistinctions belie an important rhetorical convention that turns “imaginings” into “empirical objects” (Mitchell 2002, 234). As he argues in the context of development in Egypt, “the value of what people produce, the cost of what they consume, and the purchasing power of their currency are determined by global relationship of exchange” (230). Indeed, the “practical arrangements” of publications such as the Migration and Development Brief force us to qualify migrant labor and migrant earnings relationally, and these relational, ideological constructions are contingent upon existing structures of power and oppression. Georg Simmel elucidates this point more abstractly when he states that “the value of objects, thoughts and events can never be inferred from their mere natural existence and content, and their ranking according to value diverges widely from their natural ordering” (Simmel, 2005, 56). According to Simmel then, “objects” such as migrant labor, FDI, and ODA are infused with their value by nature of their relation to each other, and it is impossible to conceive of their value independently. The development discourse’s compulsion to assign monetary value to various social processes, migration being one of them, “neutralizes” these processes so that they can be compared and normatively framed. In this specific instance, remittances (earned, “good”, commemorative) are numerically and morally superior to development assistance (handed-out, undeserved). But, in relation to foreign investment, remittances – and the labor that goes into generating remittances – could never keep pace in terms of size. Where remittances are seen as preferable is due to its stability, its dependability, and its controllability. FDIs might be more lucrative, but one must be wary of too much speculation. A Fact: Unremitting Remitters The individualistic and “earned” assumptions attached to remittances can be understood as an articulation of neoliberal ideology, which emphasizes “entrepreneurial freedoms and skills within an institutionalized framework characterized by strong private property rights, free markets, and free trade” (Harvey, 2005, 2). These ideologies are simultaneously deployed and dissimulated by “experts” who talk and write about remittances within the international development community. International financial institutions (IFIs) like the World Bank, along with various intergovernmental organizations (IGOs) such as the International Organization for Migration (IOM), the International Labor Organization (ILO), make up an institutional network that packages normative assumptions about human endeavor and potential as indisputable, calculated fact, as exemplified with initiatives such as KNOWMAD (Hernandez & Coutin, 2006). Policy experts incessantly give validity to the remitting migrant subject, as she populates the reports, fact books, and infographics of prominent international policy institutions. This idea of a “remitting subject” fully captures a range of value systems present within the discourse on remittances – the remitter is someone a state profits from, someone a state can grow (economically) from, but someone who willingly remits and does so by her own determination. The comparative and relational representation of remittances renders it an alternative source of income, something outside of traditional forms of state governance and revenue generation, because it is the product of the individual achievements of migrant subjects themselves. But, if anything, governments’ ability to claim remittances as their own, as “nationally-produced” income, relies on the solidification and expansion – not the relaxation – of state-centric governance. Most notably, this includes an expansion and commitment to state-level, bilateral agreements, where the movement of people are and must be sanctioned by the governments that “own” those people. Other than policy and institution, however, the discourse on citizenship – the reaffirmation of citizen-migrant subjects’ inclusion in the national community – is instrumental to the claiming of migrant remittances. Section 2: Wages en masse, Bodies en masse Filipina Remitters, Filipina Bodies Today, at $29.7 billion, the Philippines is the third highest recipient of overseas remittances, behind India and China. This high volume of migrant earnings elucidates not only the high economic stakes of migrant remittances in the Philippines, but also the contestations between states and subjects over the nature of these remittances and how they should be managed. On the one hand, remittances can be viewed as a monolithic conglomerate of cash flowing back and forth between countries along post-colonial and neocolonial pathways, but I follow the lead of some scholars who deconstruct remittances by understanding how the exportation of labor has effected, implicated, and marked the individual body of the worker. For example, Tadiar’s work links the export-oriented development strategies of Ferdinand Marcos in the 1970s to the expansion of the “warm-body export industry” that in the 1980s and 1990s (Tadiar, 2009, 103). This expansion, Tadiar argues, is linked to the explosive increase demand workers in the service sector, which Pardis Mahdavi dubs “intimate labor” (Mahdavi, 2016). Tadiar’s work is mainly focused on “domestic bodies”, which means the individual body of the domestic worker, as well as the collective body of the nation (Tadiar, 2004, 113-158). As she argues, bodily violence in its most literal form is “precisely the practice of engendering national racial difference as the basis of their human devaluation (i.e., their production as objects without subjectivity, as household tools or appliances), and correspondingly, of the greater appropriation of the surplus value of their labor” (104) From the perspective of the Philippine government, who is simultaneously interested in the “profit” of labor-exportation and the longevity of a coherent, unified national community, Filipina domestic workers are regarded as “merely bodily synecdoches of a beleaguered nation” (105). There exists, in other words, a central contradiction between extraction, on the one hand, and attachment, one the other hand; a disavowal of the feminized, racialized, and commodified domestic worker and her labor, as well as a celebration of the value she produces. Relevant to the context of the Philippines, then, is the notion of a “feminization” of migration. This sweeping generalization, however, often overlooks the significant variations between female emigration flows and their proportion among all migrant workers. For example, while Albania’s migrant population are thirteen percent women, 56 percent of Filipino migrants are women (Robert, 2015, 20). Hence, the figure of the migrant women, particularly as a low-income, unskilled, and involved in intimate labors, is always (and necessarily) visible, despite the within-country variations and the fact that women represent but half – not more than half – of the world’s transnational migrants. One must ask, then, how the preoccupation with the “feminization” of migration is contingent on an obsessive interest over what happens to the Filipina domestic worker’s body. In many ways, the universal “caring” of the Filipina’s body articulates, first and foremost, an ardent thoughtfulness for the well-being of the “national body”. This is, for example, exemplified by the case of Flor Contemplacion, a domestic worker who was executed in Singapore in 1995 for murdering another Filipina domestic and her ward. According to Tadiar’s analysis, despite the obsession with Contemplacion herself, “it became clear that the contention that her impending execution sparked was in truth over the role of the Philippine state and its national strength vis-à-vis a developed Asian nation, Singapore (Tadiar, 2004, 124). But more than that, this episode of national fervor and “care” -- what “happens” to the Filipina domestic worker -- has often been attributed to the local, “traditional” cultural practices. This is certainly the discourse that we see on the Gulf countries. However, the racialization and gendering of domestic workers is carried out by countries of origin as well, through gendered and racialized practices of labor management which strive to make the Filipina domestic more “competitive” on the global market, and also driven by local gender norms and ideologies (Polanco 2015). On the former point, one can see this playing out as neoliberal qualities of citizenship and gender in the Philippines factors refurbish notions of femininity to make them competitive on the global market. Geraldina Polanco, for example, argues that not only does the state seek to have a “comparative advantage” in the labor brokering business by producing the docile, trustworthy, English-speaking worker – they also find ways to ensure that workers have knowledge of cultural norms in the receiving destinations (Polanco 2015). Polanco shows how labor brokering has come to resemble a highly competitive business, where employers have become ever pickier with the quality of their worker – her race, her language abilities, her personality, her skills, and her education. “Culturally-tailored”, according to Polanco, is the newest feature that Filipina workers have that other Asian women lack (2). Polanco’s study shows us how the gender limits of Philippine citizenship can also be effected by neoliberal practices, and in fact, “new” notions of femininity such as cultural awareness are becoming just as important as traditional notions such as docility. What is ultimately described here is, according to Anna Tsing, the appropriation of differences (by the state, but also by employers and recruitment agents) in “constituting the basic relations of production…making people into labor is not easy. It involves what one might call ‘labor subjectification,’ that is, the process of creating laboring predispositions. In our world today labor subjectification basically never happens without the coercions and temptations of gender, race and national status” (Tsing qtd. n Neferti, 2009, 135). The implications of this “niche-based global capitalism” describes the global practice of reading racialized, sexualized, and gendered bodies and perceiving them as possessing certain skills, certain dispositions, based on biosocial profiles. Domestic work is particularly implicated in this practice because it is ultimately perceived as labor that is hinged on the performance of one’s body – and in that way, one’s “identity”, “who they are.” In the context of Jordan, it helps to rationalize a differential pay system that gives different wages to “different” women. Statements about domestic workers’ abilities based on their nationality are also expressed by their employers, which are informed by the differential pay system (if Filipinas are more, they must perform better) and simultaneously reaffirm the differential pay system’s legitimacy (the Filipina performs better, because her wage says so). The differential pay system in Jordan is also the outcome of institutional battles. While Filipina workers are paid 400 JD ($563) a month, workers from Bangladesh are paid only 170 JD ($239). This system of differential pay is not codified in a comprehensive Jordanian regulation, nor is it merely upheld by the community on their own volition, but is rather the outcome of MOUs and bilateral agreements between Jordan and the countries of origin (the Philippines, Sri Lanka, Bangladesh). In February 2008, after a series of reports documenting abuses against Filipina workers, the Philippines suspended deployment of domestic workers to Jordan in order to bargain for higher minimum wages and assurance that workers would be better treated. The demand for workers from the Philippines was so high that the Jordanian government conceded to the terms in order to resume relations. The Sri Lankan government pursued a similar strategy in August 2009, as did the Indonesian government in 2010. While the former has resumed relations, the Indonesian government has not yet lifted the ban on their workers going to Jordan. Just around the time of the Indonesian ban, Bangladeshi workers began entering the country -- first as agricultural workers, followed by increasing numbers of domestic workers. This trend was institutionalized by another MOU in 2012. As I mentioned, Bangladeshi workers have been taking the lowest amount of pay out of all the other nationalities, followed by Sri Lankans, and then Filipinas. This hierarchy has often been attributed, also, to the “quality” of each country’s governments -- the Philippine state knows how to prepare and train their women, the Sri Lankan state does not. Section 3: Earning Wages Bodies, Wages, and Employers On my second trip back to Jordan, I was placed in a Palestinian-Jordanian host family that employed a woman from Bangladesh. Mina, a twenty-six-year old mother, had been working for the family for three years. At first, things went pretty smoothly, if not a bit tense, as my roommate and I adjusted to the family’s schedule and rituals. About a week into our stay, however, tensions escalated. I came back one night after spending the evening with my friends, and just as I walk into the room, my roommate swiftly closed the door behind me and sat me down on our bed. She tells me that she had an embarrassing incident with our host mom, and wanted my advice. She told me that during dinnertime that night, she (my roommate) was eating by herself in the kitchen, while Mina was washing up at the sink. They got to chatting, and Mina eventually came over and sat down with my roommate at the dinner table, showing her a picture of her family. They began giggling, and at that moment our host mother came into the kitchen and snapped at Mina to get up from the table, scolding her for taking so long to finish the chores. I listened intently to the story, and tried to get as many details as I could. Things grew uncomfortable in the household, as we weren’t sure how to approach our host mom and two host sisters about the topic. About two days later, while my roommate and I were on our computers in our room, one of host sister knocks on our door and asks if she can talk to us. We went out into the living room, where our other host sister and host mom were already seated in the yellow couches. I could hear pots clanking loudly in the kitchen as Mina worked away. My roommate and I sat down stiffly at the edge of the couch, and faced our eldest host sister, who spoke perfect English. “Mama wants to talk to you both about Mina,” she says in an earnest tone. We nod sincerely, although unsure how the topic would unfold. “Mama needs Mina to help with the housework because me and Aya are not home anymore.” This was true, both our host sisters are married and do not live in the house anymore, although they come over every other day so we saw them often. She continues: “But Mina is slow!” Our host sister looks at her watch. “It is already nine o’clock, and you see, she is still working! Mama can do it herself, and she is much faster.” Our host mother receives the comment by nodding her head slowly. “Mama can do it herself. All this she can do herself,” our host sister insists. “Mina is…stupid, she is slow. You see her, right? How she is? But Mama keeps her because she knows Mina has no money, and she has children. Her country is very poor, it is not comfortable for her there. Bangladesh. You know this, right? This is why we keep Mina.” As globalization reconfigures economic spaces in countries and cities, the household becomes a worksite for the differentiations of the labor market. Capitalist ideology, I argue, has always subsumed or, at the very least, has had great bearing on social relations within the household. The entrance of a migrant domestic worker does not so much reconfigure those relations, but rather brings them, uncomfortably, to the surface. Along the way, the reality of a woman-to-woman relationship within domestic work also brings up some prickly questions for those that see progress in this age of “modernization.” For example, Mary Romero, using the United States as her context, explores how domestic work reveals a contradiction of feminist progress that celebrates middle-class and upper-class women’s newfound mobility within the workforce, while failing to acknowledge the fact that the burden of housework is passed down to another woman, often of color and of lower class. For Romero, domestic work is a racialized sexist division of labor, with race-privileged women passing on what they deem the most devalued work onto women of color (Romero, 1992, 128). Mama can do it herself, and she is much faster. It is difficult to critique a statement that, I know, is uttered so genuinely and purposefully. At the core of this statement though – and perhaps my host sisters’ frazzled dispositions should have given this away – is a deep anxiety and lack of confidence in one’s identity and social position. This is, as Ray and Qayum have argued, what compels middle- and middle-lower class families in India to engage in continuous acts of boundary creation, as a way to reaffirm their status (Ray & Qayum, 2009, 10). How does money, while to some degree constructed and maintained at the state-level, understood by subjects? I argue that, not only do historical and contemporary discourses around money inform subjects how they should understand their relation to one another, but these discourses are ultimately enacted at a face-to-face level. By looking at incidences of exploitation at the subject level – wage theft, overworking, and abuse – I show how daily practices are also part of the construction of money as simultaneously an instrument of exploitation and a site of struggle. Let us consider wage theft, one of the main forms of exploitation faced by workers, and a leading reason behind the high number of runaways. The vignettes of wage theft that I was presented with, however, are not clear cut; the “perpetrator” and the “victim” were not stable roles played by either side of the labor relation. Various factors related to class and economic opportunity might lead some employers to withhold wages from their workers. For example, Mariana recalls working for a Syrian family who could not pay her because the parents were not able to find work: This is a Syrian family. The mother and the husband they have four children, no have work. Then they take me, I work with the Syrian family for one month, no salary. I work too hard...I asked the Madam for my salary. She said “I will wait for my money from Syria to send here.” I said” Madam, in the Philippines, I don’t have food, please.” She said: “What I do, Mariana? You see your Sir don’t have work, me I don’t have work. You know Syria fighting.” I said: “It’s not my business there, my business is my family. The salary.” The situation forced her to run away. What is interesting about this example is how exploitation is not about individual malice or mistake. Rather, exploitation even at the subject level is subject to political and economic forces outside the control of the subject. The fact that the Syrian parents do not work but still employ Mariana indicates an earlier point I made about the domestic worker as an object of consumption that symbolizes a comfortable, middle-class life even when one is deprived of economic opportunity and dislocated by war. I heard stories about wage theft day after day. After a while, I became outwardly exasperated, mulling over and over in my head the question of why employers would hire domestic workers that they knew they could not pay consistently. My initial assumption was that employers were living beyond their means – for example, a Syrian family that did not have a source of income -- but even employers with “mansions” did not pay their workers’ salaries. So, more important than the somewhat weak response that employers cannot afford what they want, is the idea that domestic workers are not in fact regarded as workers, but rather as objects of consumption that are there solely for presentation’s sake, and not in need of renumeration or decent treatment. M: “I don’t like Jordan anymore (laughs). Too much difficult! Sometimes they have a lot of Madam is not good. I have work here not give salary. This is my experience here. And now, like today I go to work, you can get small amount, but they have argument with you, I argue for them to give salary. C: Take so much time. D: If they can’t pay your salary, why do they hire you? M: What? D: I just don’t understand. See, if I know I can’t afford something, then I won’t buy it-- C: Don’t take it. Don’t take the maid. D: Yea! If you know you have to pay this much money every month, why do you hire a maid? C: This is interesting. But all the people here like this. If the people pay the agency, it’s ok, they pay a lot of money to the agency. But the salary of the girl, inside home working, they do not pay. Like that. This is interesting. That’s why the girl become runaway. They pay a lot in the agency, then they will not pay the salary every month for the girl. This is interesting! What is “the girl” to the employer? When we think about the state of capitalist production around the world, “the girl” turns out to be someone who is both real and unreal. She is someone who is simultaneously disavowed and celebrated. I find Melissa Wright’s description of a “disposable third world woman” to be particularly compelling in getting at the puzzle that Carina presents to us: The disposable third world woman is, consequently, a composite personality built of different abstractions (third world woman, and disposability, for example), which, while not characterizing anyone in particular, form the pillar of a story intended to explain social circumstances and validate specific practices based on the idea of her in concrete settings...No one may be identical to the disposable third world woman, but through the detailing of this myth, we are meant to learn something about real women who work in real factories and who embody the tangible elements of disposability within their being (emphasis added, Wright, 2006, 4-5). Here, Wright is getting at why the wage theft of domestic workers would be acceptable, normal, and perhaps even inevitable. The myth is essential for any kind of “surplus” to be created; employers only “get something” out of the work relationship if the domestic worker is not fully compensated, or not fully acknowledged. The notion of disposability also indicates that the domestic worker is ultimately seen as an object, not just for profit-making (as Wright argues), but also for consumption and class presentation. Sometimes, the productivity of the worker may or may not even be important to her treatment -- the point is that the employer purchased her and therefore can treat her however they desire. In an interview that I had with a Jordanian lawyer on this issue, he says that one of the main reasons why workers are mistreated is because of the “mentality of the employer”, who consider the worker as a “TV or a chair” because they had to pay high fees for her. Interviews with Jordanian employers done by Thoraya El-Rayyes reveal the same objectification: employers interviewed often referred to workers as “raw material”, and the verbs “bought her” and “returned her” are commonly used to describe hiring and firing (El-Rayyes, 2015, 12). Exploitation does not just come in wage theft. Employers often overwork their domestics to the point of exhaustion, or they deprive them of basic hygiene products. For me, Maria’s fatigue represents clearly the bodily effects of the disposability myth. She says to me in a conversation: “sometimes I am so tired, sometimes when she [Madam] gets angry and I am tired, I go in the kitchen and boom…” Maria whips her hand across the air with force, as if to knock something off the table. She sits quietly for a moment then continues in a softer voice: ...because I’m tired. She is not the only one tired, I am tired because evening and morning I’m working. So she needs to understand me. She will be patient and I will be patient. When my Madam is get angry I keep my mouth close. I am good when she is good. But if she is bad, I am still good, but only a little bit… I will sit, because I’m tired. I will go in my room and sit there. And laying there because I’m so tired. Especially if we have guests, that is the big problem. I don’t like it. This Ramadan, everyday, everyday, everyday, “the people will come”, “the people will come, to visit Sir”. Ok, I understand, but everyday, everyday? It makes me crazy. The rhythm of “everyday, everyday, everyday” chugs away like a machine. At the time, she was delivering this to me on the edge of the couch, waving her hands around to show the guests coming in, opening her arms to me in exasperation when she rhetorically asked “but everyday, everyday?” When she finally uttered “it makes me crazy” she flipped her hands forward, shaking the tension of her body off, and sat back into the couch. The repeated physical wear of Maria’s body ultimately culminates into an erosion of her mind as well, her own sense of stability and calm. I eventually found that “going crazy” became a repeated motif for Maria whenever she tried to express getting close to her breaking point. This was a phrase Maria’s friend, Marivell, repeated as well. Below, she describes feeling “crazy” after seeing the physically degraded bodies of other domestic workers: You know when I coming to the Madam, I see the maid, four. And you know I look at the maid and think ‘oh my god, this Madam I think is not good.’ I see the maid, yellow the skin, the face, and the uniform is broken broken. And the color of the uniform is very old. Just only one uniform. After that, I talk to this four maid, I ask them everything. She said ‘you know, sometimes I wash uniform no sabun (soap), I brush tooth, no toothpaste, no shampoo, no sabun for the body.’ So why?! You know Madam is not good, not give the food for the maid! Just we cooking, she does not think what is the maid eating. In my mind, I am thinking I am crazy now. A crazy woman -- me! It’s very nice, this attitude, with the Madam.” Accounts of wage theft, overworking, and deprivation of basic human necessities show us what is at stake when domestics are rendered disposable by the capitalist system and by their employers. Domestics seek to exist as workers and transform into objects of consumption on the one hand, and on the other, they are labor-commodities. There is no need to eat, to rest, or to wash. Notwithstanding the complexity of exploitation, as illustrated with Mariana’s experience with a Syrian family, the point remains that domestic workers are seen as objects of middle-class consumption and presentation that do not have human needs of their own. The notion of disposability and the perception that domestic workers are objects of consumption can tell the story of egregious offences of wage theft, exploitation and abuse. I would argue further, however, that exploitation can mean something even more fundamental than the non-payment of wages – the wage itself is by definition exploitative. Alice KesslerHarris argues that the wage is not an objective exchange of value. It is a gendered construct of value and social position. Even a full wage is often unjust in the labor market and in life: As it is conceived…the wage conveys a message of social and job-related expectations, appropriate roles, and social needs. It reflects the realities of the marketplace and demarcates the differences – real, imagined, resisted, and desired – between the sexes. To the individual who earns it, the wage is simultaneously an object of struggle and a source of personal satisfaction and achievement. It is a public statement about the self and tangible evidence of social value and approval bestowed on each of us by the world (Kessler-Harris, 2015, 4). The paradox of “struggle” and “satisfaction” that Kessler-Harris presents captures how migrant earnings can be simultaneously so abundant yet so scarce at the same time. It also describes the contradictions workers feel about the payment of wages, and how wages can become a complicated site of struggle and entrapment. Consider Mia’s predicament with her employers: Mia: If they will give what I want, I will stay. If they don’t, I’m sorry. We’re both sorry. D: I think they really need you. M: Yes. I know. Because they know me very well. Because they can trust me, every time They leave the house for morning, on the regular day, my Madam will go at 7:30, Sir will go before 9…so they go early, so I am alone in the house. It’s ok. Maybe this week or next week we are talking about this, so we close everything. I hope so, they will give what I want, I will stay. If they don’t give what I want, sorry. I can’t stay. We can detect Mia’s unsettled emotions about this negotiation. There are a range of contradictory feelings she captures -- demanding a higher wage is necessary to keep working, but to do so successfully would mean that she would have to stay and work in a way that makes her feel unsatisfactory. To demand a higher wage and fail would mean that she would be without work. Maria’s waged domestic work makes it difficult for her to argue the case that it is the wage itself that institutionalizes her exploitation. When Maria demands a higher wage, she is attempting to negotiate the value of her labor, because that gives her some urgently needed leverage. But, I would argue, she is resorting to wage negotiation, which she knows puts her in a bind. Obscuring Exploitation Through Intimacy and Affective Language There exists a contradiction between the value of the domestic worker’s labor and the value of her as a subject. The “work” of the factory workers in Mexico and China that Wright studied were ideologically constructed as menial and repetitive, requiring very little skills and intelligence. However, domestic work produces and requires a level of intimacy that factory work lacks, which makes the former seem more precious and more difficult to critically analyze. It is, after all, sited in a warm, glowing cloister -- we call it the home. Domestic workers take care of our children and elderly (Carina). They allow other women to have leisure time (Carina), they provide physical and emotional support (Mia) -- these services are understood to be necessary. Furthermore, employers are willing to pay high upfront costs for their workers’ permits and visas (under Jordan’s sponsorship migrant workers system), and they value trust and familiarity within the employment relationship. But just like factory workers, domestic workers as real people are considered disposable. What makes them “real” is considered worthless, even when that labor is the work of intimacy and care. Both Mia and Mariana feel the contradictions of intimacy and exploitation in their work: Mariana: “You know, the Madam too much like me. Wherever I go work, the Madam too much like me. Because I am hardworking...but I tell her “Madam, you know my work, too much. Your children four and I am alone. I clean, I iron everything…” So the time I talk to Madam, Madam won’t buy me a ticket. I say “Madam, buy me a ticket, I want to go.” She don’t want, she wants me to stay in the house. So what I do? I make runaway.” Mariana’s employers simultaneously value her labor, while devaluing who she is outside of work, in the same way that states value the economic output of their citizens while disavowing their other needs and rights. But this is still not to say that the value placed on their labor is high. The employers’ desperation for someone else to do domestic work for them is not a gesture of reverence. As Mia says: “For me, my Madam, sometimes she looks at you like your friend, sometimes when she gets mad, you are down (uses hand to indicate “low status”). But my Sir…he is…how can I say…he is good. He’s good…and the children, we are friends. So…maybe the other Arabs…maybe they…if you are a housemaid, you are still a housemaid. You can feel the treatment good, you can feel in the family that you are not different, you are belong to them. Sometimes, or most of them, if you are housemaid, you are still a housemaid.” For the elite (including myself), the work we do enhances our status as people. This is not the case for Mia. Part of this has to do with racial and cultural stereotypes, and it also has to do with the fact that domestic work (waged, in this case) is seen as disposable itself, despite its necessity in maintaining the productive labor force. The way that these two realities of domestic work are reconciled is by “transferring” it, as Rhacel Parreñas argues, to a group of women that are considered worthy of it (Parreñas, 2015, 72). Indeed, Mia’s Madam toils away at a job with the United Nations, and Mia is the one to feel the burden of her Madam’s stress: “If she has a lot of problems with the kids and work…you know the UN so many work, it’s so hard. It’s like helping other people…you know the UN. I know. So, when she came in the house, she get like this…I know. You know what I do? I go in my room and I wait.” The way that I interpret Mia’s predicament is that live-in domestic work has a way of mystifying the family’s commodification of her personhood and also the labor relations that solidify inequality. The way she describes herself being treated as a friend sometimes, then as a housemaid sometimes, then as a friend (but still a housemaid), captures the slippages between domestic work as a labor of love and as devalued work. Judith Rollins has written about the highly exploitative situations that black domestic workers experience in the U.S., mostly as a result of the personalism that goes into the work relationship. As she carefully analyzes the way employers switch between overt unkindness and calculated maternalism, Rollins shows how the accumulation of everyday, face-to-face encounters maintain racial and class hierarchies within society, while employing the language of friendship and personal connection. Most importantly, she is suspicious of any claims of “empathy” and “love” within the work relationship because they serve to conceal exploitation: While the female employer typically creates a more intimate relationship with a domestic than her male counterpart does, this should not be interpreted as meaning she values the human worth of the domestic any more highly than does the more impersonal male employer. Her ideas about the domestic are not different; her style and her needs are (Rollins, 1985, 186). Rollins argues that domestic work relationships are particularly exploitative precisely because they are also personal. The intimacy of these labor relationships results in not only economic but psychological exploitation in which “rituals of deference and maternalism” (157) are used to govern how the two women must deal with each other on an everyday basis. The enactment of these rituals reinforces subordination and super-ordination and reconstruct the identities of each woman and their hierarchical ordering. It is worthwhile to ask whether love, as an emotion shared mutually and equally, can ever really be present in the relationship between domestic workers and employers since the two parties are positioned hierarchically in relation to each other. Domestics are put in a position where they are “asked to be inferior in [their] conditions, in [their] intelligence, [their] appearance and sometimes even [their] character” (194). As Rollins states: “the ideas, attitude, thoughts, and emotions of people must also be examined, understood, and ‘rearranged’ if the objectifying and exploitation of humans by other humans is to cease” (6). Rollins research calls into question notions of agency in understanding the work lives of domestic workers. In non-Western contexts, research has also been performed that situate the “duty to family” as an important justifier for exploitation. Raka Ray and Seemin Qayum, for example, show how emotions are woven into the culture of domestic servitude in Kolkata. Phrases such as “one of the family” to describe workers are used by employers to conceal from others and themselves the deep inequality that runs through the household (Ray and Qayum, 2010, 96). As Ray and Qayum argue, this phrase may not necessarily even be meant to subordinate the domestic worker. Instead, uttering “one of the family” helps the family maintain notions of family defined by idealized emotions such as love, generosity, respect, and mutuality (96). Loyalty constructs feelings of mutuality and equality between workers and employers where none structurally exist. In particular, ideas of loyalty are meant to challenge domestic workers’ transition from live-in to part-time or freelance work. Ray and Qayum show how employers’ anxieties about the “end of loyalty and trust” is emblematic of societal anxieties over economic restructuring in contemporary Kolkata: “employers and servants living in a culture of servitude in the interstices of two social imaginaries, the feudal and the capitalist modern, find themselves in daily confrontation” (118). Class inequalities during the colonial period had created the sense that servants were indispensable to middle- and upper-class life. Nostalgic rememberings of the past claim that feelings of maternalism and loyalty were stronger back then because workers “preferred” the live-in arrangement. But, as Ray and Qayum argue, these admonishments of the “end of loyalty” are merely a way to sustain inequalities into the contemporary period. Ray and Qayum’s research shows is that there is a continuity of inequality within domestic work that has not been disrupted by more contractual relationships. Part-time domestic workers may indeed be more autonomous by default, but their positions within society are no different since they are challenged for not staying in their authorized place within the class structure if they decide to become part-time. Interestingly, this observation problematizes some of the work that has been done on domestic workers in the Middle East. For example, Ray Jureidini (2009) argues that older forms of domestic work are less exploitative than newer forms because the newer forms are between non-Arab workers and Arab employers in middle- and upper- Lebanese households as Arab women became reluctant to work in households other than their own. This is contradicted by the author’s claim that the desire for a more “distant” worker is caused by “a greater ideological (or perhaps emotional) comfort for employers to draw on non-Arab foreigners who were unrelated to the tense and complex sectarian enmities that had developed” (Jureidini, 2009, 75). Jureidini shows how the Lebanese civil war (1975-1990) heightened political tensions between different Arab populations in Lebanon as Egyptians departed, Palestinians and Lebanese women grew increasingly reluctance to work within other people’s homes, and Lebanese employers became unwilling to employ other Arabs (81). There was an influx of Asian workers into the domestic labor sector after 1990, with recruitment agencies bringing in many Sri Lankans by the mid-1990s. By 2006, Filipina and Ethiopian women workers joined this group. Based on a series of oral interviews with middle- and upper-class Lebanese women employers, Jureidini argues that regional politics heightened feelings of Arab solidarity, but at the same time “emotional ties” of a “patron-client relationship” between Arab workers and Arab employees were replaced by a more commoditized and distant work relationship with Asian and African domestic workers (74). One must remain skeptical of the so-called “emotional ties” that existed in the past and no longer exist in the present. Emotional ties in intimate spaces are still very much a part of the exploitation of contemporary domestic workers in the Middle East, as shown in my own fieldwork. One cannot argue that the relationship between employers and workers is exploitative because they no longer connect emotionally. There is also little evidence that Arab employers were more emotionally tied and dedicated to Arab domestic workers and therefore less exploitive of them. Section 4: Using Money Making Commensurable For many people, my interlocutors included, money coerces a decision whether one likes it or not. To begin with, George Simmel’s seminal work Philosophy of Money provides useful theoretical insight into how incommensurable and unquantifiable objects can be exchanged and, indeed, quantified, by introducing the intrinsically valueless object and concept of money. Simmel’s insights lead one to perceive money as both an abstract, totalizing form of valuation, and as a concrete object that renders incommensurable objects exchangeable: Money...its nothing but the pure form of exchangeability. It embodies that element or function of things, by virtue of which they are economic. It does not comprehend their totality, but it does comprehend the totality of money (Simmel, 2005, 138). This totalizing valuation and commensurability, as predicted, affects how we understand (and value) other people and ourselves. While money does have a totalizing and ultimately debilitating effect, its unrelenting consistency can be a way for us to identify people’s choices that go against hegemonic instructions. Carina, for example, often chooses between her own lifestyle in Jordan and her children’s welfare in Manila. In one of our first conversations, Carina spoke to me about how expensive it was to work on the outside compared to working on the inside: “It’s better, it’s outside, But too many money yaani. But for me, you will pay house, you will pay everything. You will pay food, you will buy food, taxi, money too much. But inside, the Madam, bas a little bit money, you will not pay home, in Madam, for pay for eating, for food, like that. But only if you stay at home. For me, because I’m outside. I want -- I’m outside, right? But for me, it’s ok.” Carina expresses an aspect of her work life that she will not compromise -- controlling her own time. In the eleven years that she has been in Jordan, she has worked on the outside for six years, paying the rent for her own flat, hiring her own taxi service when she needed to, and paying all the other expenses she mentioned above. Saving money is extremely important, there’s no question about that. But Carina is willing to give up several hundreds of dollars a month if it meant being able to handle her own time (for some reference, Carina charges 5 JD an hour to clean homes). As we saw earlier from the analysis on remittances, this is not the story that proponents of the remittance-to-development framework tell. Migrant workers, particularly migrant mothers, are seen as sacrificial figures whose sole motivation for working is to provide for their children. But Carina’s choice to live an “outside” lifestyle contradicts this image, but not in the sense that she is “choosing” herself over her children, which is an equally gendered reversal of the children > oneself rhetoric. We cannot interpret Carina’s decisions as actually valuations of one thing over the other – Simmel’s provocation that money’s ability to render everything commensurable is what compels us to think of Carina’s decision is an exchange. Can she not desire both courses of action? Perhaps she desires neither? Money, in a way, forces Carina into a choice, which scholars might see as female “independence”. But it is important to understand that Carina is not so much reversing the sacrificial mother image, but staging a higher-level intervention of the entire notion that she and her children are commensurable. Things in life only become trade-offs when the language of money becomes a form of meaning-making by commodifying people, relationships, and experiences. The act of enumeration renders all aspects of life commensurable, tradeable, and replaceable with each other. Carina has only visited the Philippines three times since she arrived in Jordan 11 years ago, because the ticket prices are too expensive. When I asked her if she missed her husband, Carina laughed incredulously and said: “How can I miss him if we don’t have money?” The emotional pain of maintaining a transnational family is a palpable feeling for many migrant workers. But these choices are tethered to processes operating in the market and in state politics. If Carina does not miss her husband, it is because money prohibits her from feeling certain emotions (or perhaps, money puts her in a position where she prohibits herself from feeling certain things). Carina wants to be with her family \textit{and} she wants to make money so that they can attend school. She cannot do both at the same time, as is the case for all transnational workers, but this does not mean she cares about making money for her family more than she cares about being with her children. It is the presence of money as a language, as a system of valuation or meaning-making, that forces Carina to prioritize, to reduce, and to choose. Perhaps one believes that Carina truly prefers working abroad to being with her family – migration as a “women’s ticket out of culturally mandated domesticity” (Weeks, 2011, 12). Yes, there is of course the possibility that she does indeed unequivocally choose her own life experiences over being with her family, because we cannot assume that mothering and the family are a perfect haven of equality and pleasure. At the same time, we must pick apart the ways that money meaning-making makes it seem as if Carina’s choice are agentic and “independent” in nature, when really it compels us to make decisions that we do not settle with. A world that uses money as an authoritative signifier of intrinsic worth means that our ways of expression are delimited. Transnational migrant domestics, who are also mothers, must find ways to engage with and parent their children from a distance, and often times this engagement is expressed through the language of money. Children might come to know their parents only as breadwinners, and not as someone who can provide psychological or emotional comfort, or even as people with their own intimate lives. In other words, for migrant works, love must be materialized, through the purchasing of goods. Mariana tells me about how she finds it difficult to go back home without money, because it means that her children will make demands of her: “And then if I will go there, no money, what I do? My children demand, ‘Oh, why you come here no money?’ I don’t like.” Mariana’s role as a breadwinner locks her into a position where her only source of leverage with her children is that she is the one who provides the household’s money. She appreciated that her daughter saw her “sacrifice”, because it was through that sacrifice that Mariana understood herself to be a good mother. We can see this further with how she disciplines her son: “I talk to the brother. I say ‘don’t do that, it’s not good, you don’t have a father, and I am very far. Please don’t do that to your sister, because your sister is the one to care you.’” I talk good to my son, after that he is crying. He say “Ma, I’m sorry.” My son! I say “You know if I don’t send money, you don’t eat, no have food, no anything.” He say “sorry”. When he told to me “Ma, I want to buy”, I say “ok, no problem, I will buy. I will follow you what you want, but you follow me what I want.” Now, alhumdulillah, it is good now.” Without the ability to parent up close, Mariana has to reason with her son by playing up her role as the breadwinner. She understands that she cannot be there for her children emotionally -- she has told me that whenever her daughter calls her crying about a personal problem, Mariana feels helpless and tells her to go talk to her grandparents. But sometimes she is able to successfully parent her children by employing the language of money -- peace in the house (“what I want”) in exchange for stuff (“what you want”). Mariana’s transnational parenting experience challenges romanticized understandings of motherhood and mothering that have ignored the need to communicate, teach, and show love through money logic. For Mariana, she perhaps employed this strategically and deliberately, but the example still goes to show how money, as a placeholder for “something valuable”, will always be there for when we do not have the means to communicate in other ways. Consumption and the Trap of Money: How Acts of Freedom are Imbedded in the Logic of Money The previous section has discussed that ways in which commodification and money talk forces migrant mothers to materialize their love through the action of consumption. Here, I would like to expand on this notion of consumption, and argue further that it is not just something we do to communicate with the people we care about. Consumption, I find, is an intrinsic part of the worker’s experience. It is what ultimately gives labor its purpose for the individual – more work gives us more consumption, to a point. It is also true that states compel subjects to consume, using primarily two storylines to justify it. First is the argument that more consumption will make one happier, more comfortable. Second is the argument that consuming – i.e. buying goods, a home, a car, etc. – is an investment in the economy and helps it grow. Both of these storylines are very much relevant for the domestic workers that I spoke to. Let us harken back to the earlier discussion on neoliberal economic policies and their espousal of remittances as a funding source for development. Inspired by Hernandez and Coutin idea of a “remitting subject”, I argued that migrant earnings can be rightfully claimed by states through the use of citizenship discourse and the construction of migrants as products of a profit-generating company. But, as Hernandez and Coutin also argue, states also “nationalize” remittances through the notion of investment. As they state: According to this [investment] notion, nations invest in workers through the educational systems, by providing food and shelter, and by enabling families to flourish. Having “invested” in the worker, they therefore have a right to expect some return (Hernandez & Coutin, 2006, 187). Workers, therefore, exist in transactional relationship with the state. This notion continues to be supported by the classic, neoliberal, “pro-growth” economic theories that say more consumption by workers leads to greater growth in the economy (think, for example, of the argument that the Republican Party in the United States make when they argue to cut taxes). This ideological position is also strongly held by the international financial institutions. Consumption, therefore, is constructed to be morally good action that should be the duty and pleasure of any responsible citizen. Plentiful consumption – not work – is what would make women like Carina, Mariana, and Mia, “national heroes” in the eyes of the Philippine government. It is also a large reason why these women have shared stories of migrating abroad as a way to “learn”, to experience something new, to pursue a kind of upwards-moving career. Mia, for example, speaks fondly of one day moving to Hong Kong, because of its flourishing Filipina population, kinder employers, and more “developed” city environment. Rita, the youngest at 23, tells me about how lucky she is to have foreigners as employers. Last year, she was able to travel to Valencia in Spain, where she partook in the family’s vacation by the beach. Carina, too, mentions that she is well-versed in different cultures because Manila is a vacation hot-spot for people of all different nationalities. Indeed, this kind of “culturally-aware” knowledge is not only a signifier of class (via social capital), but also a “quality” of Filipina domestics that recruitment agencies market to give Filipinas a competitive edge over other nationalities (Polanco, 2015). There were even ways that the women built up their cosmopolitan credentials without having to spend any money, which is part of the reason why working in an urban setting can be rewarding. On shopping trips at the mall, Carina and Mariana took me into every single shop there was to see, trying on different shoes and sunglasses without ever buying anything. Whenever I indicated that I liked something, Carina would enthusiastically tell me to “buy it, buy it!” even if the product was obviously overpriced and frivolous. During other hang-outs around Second Circle and Rainbow Street, I watched how often domestic workers took pictures with impressive public installments (such as a giant FIFA soccer ball display or Ramadan decorations). Once, I was asked to pose in front of a red sports car parked on the side of the street so Rita could snap a picture. Perusing my Facebook, I see that the workers I have become Facebook friends with upload these kinds of photos daily, with geotags to inform their audiences where the photos were taken, and for what occasion. Like many people’s engagement with Facebook or social media, the purpose is to simply make the statement that “this is what I got to do today, this is what I got to see”. However, it is important to remember that relationships and experiences can be strongly defined by the act of consumption, as Mariana’s and Carina’s relationships with their children show. This can bring a feeling of freedom, but also a feeling of being trapped, or having no other choice. Meaning-making is drawn from the same language and logic deployed by the market and the state, which can mean that how we “struggle” and “resist” and “love” is not fully agentic in nature. For example, when Carina tells me about her daughter, she expresses worry over the fact that her daughter wants to work instead of go to school: “She wants working. I told her no. Not now. Because she take the money. Haram. If she take money she will not study. Because I’m like that before.” It is important to highlight the domestic workers’ role as global consumers, as well as global workers. For one, it helps to show how consumption is an important productive tool for states to nationalize remittances and is therefore a necessary part of being a migrant worker and citizen. Consumption ideology tells us that our ability to buy is a reflection of our commitment to our families, our nation and ourselves. Second, it shows that the effect of this ideology is a commitment to pursuing an everyday cosmopolitan lifestyle. Migrant domestics may see themselves as traveling for work as much as traveling to learn and enjoy, which can be dangerous if the latter demystifies the exploitation of the former too much. Finally, this discussion of consumption helps to nuance the traditional argument about migrant labor that says it is only extracted coercively and can always be resisted mentally. As other scholars have shown (Freeman, 2006; Buroway, 2010; Parreñas, 2015), capitalist production is one that functions through coercion as well as consent. Conclusion: Lessons about Choice In this chapter, I selected money as a preliminary object to analysis to understand how capitalism has reconfigured labor, social, and state-subject relations. I began this essay with a discussion about the remittances discourse, and how it is purported by international financial institutions and governments using flexible framings of scarcity and surplus. I quickly moved onto the implications of this discourse on the bodies of Filipina domestic workers, who have been targeted for re-packaging and inscription – in ways that make them suitable and desirable in the global market of service labor. I then continue by presenting some findings from Jordan, particularly about how employers and workers interacted given the politics of money and the wage, as well as the insights about racialized and sexualized bodies gleaned from the section before). I ended this chapter with a discussion about using money, particularly the limits of money as a means of communication, expression, and personal fulfillment. The main insights from this chapter are that people’s money practices, and in particular, transnational migrants’ money practices, have fundamentally reconfigured the way we understand how social relations are mediated, in both exploitative and “loving” ways. On the one hand, waged domestic labor in a transnational context has enabled new forms of exploitation at the subject level (i.e. withholding wages to “make up for” expensive recruitment costs) and also by states (i.e. mandating that migrants must send remittances back to their families). But the wage, or in more general terms, money, is also integral to how migrant domestics create new opportunities for themselves -- whether it is negotiating better working conditions, sustaining long-distance relationships, or deriving pleasure through consumption. In other words, when we find ourselves ready to make claims about the “choice” and “agency” that migrant domestic workers have (indeed, that any of us have), we must proceed with caution. The last section of this chapter has shown that money’s way of totalizing valuation, and its total appropriation by capitalist institutions indicates that what we often consider to be empowering or freedom-granting are an illusion. This is the point where I venture into my last chapter, where I discuss the politics of interventions intended to “give choice” and “empower.” Chapter Four: A Case Study of UNIFEM’s “Empowering Women Migrant Workers in Asia” and the Politics of Depoliticization The experiences of low-wage migrant women are governed not only by state institutions and capitalist ideology, but also by the landscape of non-governmental and intergovernmental organizations bestowed with the responsibility of promoting and strengthening respect for universal human rights. This chapter critically analyzes the strategies of governance undertaken by so-called “non-state” organizations, in particular, the United Nations Development Fund for Women (now part of UN Women). First, this chapter analyzes how these strategies are enmeshed in existing discourses of gender, class, nationality, and race – in other words, how these strategies to promote the idea of universal and equal human value are enabled and produced by a neoliberal, state-centric ideology that is at its core irreconcilable with true equality, democracy and justice. This chapter analyzes a fourteen-year project, targeted a migrant women workers, undertaken by the United Nations Development Fund for Women (UNIFEM) in Jordan. I argue that the major changes UNIFEM pursued in Jordan – changes that were reported as “successes” – do not actually empower migrant domestics in how to handle abusive work conditions nor does it seek to intervene on any of the structural issues that contribute to the exploitation of migrant domestics in the first place. Like other scholars before me, I argue that this is due to UNIFEM’s state-centric model of implementation, which allows the state to extend its powers through “non-state” interventions, such as this UNIFEM project. This chapter begins with a brief discussion on how these non-state interventions undertaken by international organizations can be detrimental to the political progress of these causes. Pulling on existing literature which argues that IGO organizations such as the UN and the EU perpetuate a hegemonic form of neoliberal governmentality rather than meaningful, radical political change, I show how Jordan’s collaboration with UNIFEM also very much reflect this trend. These projects commenced in the name of “promoting human rights” have, at the very least, maintained ideologies which condone exploitation and oppression, and at the very most, worsened the material conditions of migrant domestic workers. The second half of this chapter analyzes the discursive effects of a particular public awareness campaign initiated by UNIFEM and the Jordanian Ministry of Labor. Through my analysis, I argue that the campaign clearly exemplifies how conventional forms of human rights promotion serve only to legitimize oppressive ideologies. In particular, the campaign is more interested in the “correction of patriarchy” – by relying on notions of respectability, propriety, and class – rather than its dismantling. Furthermore, the campaign “privatizes” moral obligations by depicting worker exploitation as something that originates from the employer’s individual behaviors or innate personality. This focus on the “private relationship” between domestic workers and their employers ignores structural causes of exploitation and inequality, and also further legitimates the figure of an “independent and egoistical individual” central to neoliberal ideology (Ong, 2007, 2). NGO-isation and Depoliticizing Political Change In 2001, a memorandum of understanding between UNIFEM and the Jordan Ministry of Labor was signed, symbolizing the beginning of a fourteen-year project addressing the rights of migrant women workers in Jordan. The title of the project is “The UNIFEM Asia Pacific and Arab States Regional Programme on Empowering Women Migrant Workers in Asia” and its implementation was divided into three phases between 2001 and 2015. The program is said to a “response to the feminization of migration flows in Asia” and it “seeks to empower women migrant workers by strengthening policies and institutional and social environments in favour of women migrant workers – especially female domestic workers – to claim their rights and entitlements” (United Nations Development Fund for Women, 2006). A total of nine countries located in “Asia” took part in the program: Bangladesh, Nepal, Cambodia, Indonesia Lao, the Philippines, Thailand, Hong Kong SAR, and Jordan. An observation worth noting is that Jordan is the only state involved in the program that would warrant its full title to include “Arab states.” But since no other Arab states participate, the title of the program often only appears in a shortened form, “Empowering Women Migrant Workers in Asia” (EWMWA), and Jordan is designated as a country located in “Western Asia.” This small incongruity eludes to a very significant point that a large collection of critical literature on international organizations has pointed out, namely that these so-called “non-state” interventions are almost completely contingent upon the willingness of states to participate and to fund. The dearth of public information on EWMWA makes it difficult to verify the exact details of political infighting and negotiations that went on to acquire the funds and interest necessary to keep such a large-scale project running for fourteen years. But critically analyzing the title of the program, its self-proclaimed scope and goals, and questioning why certain countries (like Jordan) and not other countries (like the UAE, Lebanon, and Saudi Arabia, who all have much greater populations of migrant women workers) participated, demonstrates how “non-state” interventions can never operate independently of relationships to the nation-state and its various supportive ideologies. Main Implementation Mechanisms and Funding Like all other UN programs, EWMWA’s grand strategy is the implementation of one or more existing UN conventions that are deemed relevant to the target population of the program. In the case of EWMWA, the Convention on the Elimination of all Forms of Discrimination Against Women (CEDAW) and “various other non-CEDAW mechanisms” -- high-level dialogues, call to actions, and topical forums – make up the framework for “promoting and protecting the rights of women and migrants” (UNIFEM, 2006). “Multi-stakeholder policy dialogue” are used mainly to facilitate discussion at the regional level between “countries of origin and employment”. Examples include collaborations between UNIFEM and the ASEAN Task Force on Migration, an Expert Group Meeting on Gender and Migration organized by the Secretariat of the Global Commission on International Migration (GCIM) in Geneva, and a High-level Regional Governmental Forum held in Amman and co-organized by Jordan’s Ministry of Labor and the UN Development for Women – Arab States Office. At the national level, UNIFEM works directly with national governments to implement policy changes. In 2005, UNIFEM assisted the Thai government in preparing a draft amendment to existing labor contracts for migrants workers in Thailand. Between 2001 and 2004, UNIFEM aided Indonesia and Nepal in the passing of “gender-sensitive national legislation promoting and protecting the rights of women migrant workers” and facilitated “government consensus” on the need for legislation that protects women emigrant workers in Cambodia and Lao. UNIFEM has also worked to implement multiple media and public awareness campaigns in Cambodia, Indonesia, Jordan and Nepal (through national institutions), mainstreamed “gender concerns” within national development plans, and launched pilot projects on “gender-sensitive rights-based pre-departure training programs” in Cambodia, Indonesia, and Nepal. Organizations such as UNIFEM have a way of depoliticizing the urgent issues and needs expressed by migrant domestics themselves. I find it useful here to reference Islah Jad’s excellent description of “NGO-ization,” a process of depoliticization that she discusses in relation to the Arab women’s movement: NGO-ization…the process through which issues of collective concern are transformed into “projects” in isolation from the general context in which they are implemented and without taking into consideration economic, social and political factors affecting these projects…It also denotes a shift in women’s activism from voluntarism to dependence on foreign aid; a shift in the personnel dealing with women’s empower from grassroots rural and refugee cadres to middle class urban elites of professional” (Jad, 2004, 12). Jads here essentially describes three important characteristics of NGO-ization that are clearly identifiable in the EWMWA and UNIFEM: 1) delinking issues of collective action from their structural context, 2) setting up a system of dependency on foreign aid, and 3) overpowering grassroots experiences with the voices of middle class urban elites. It is through the accumulative process of NGO-ization that the workings of “neoliberal governmentality” are able to continue quietly like “capillaries,” as Foucault calls it. Liberal democratic politicians can taut the flag of human rights, equality, and democracy as loudly and emphatically as they would like – but as long as political, economic, and social change remains tethered to the nation-state and market ideology, packaged into “projects” designed by the powers-that-be, and labeled into pools of money designated for different groups based on a state-approved criteria of “need,” there is little hope that these interventions will empower those people whose experiences or goals are in direct contradiction to the state’s. Governmentality is a powerful concept introduced by Micheal Foucault to describe a pervasive form of power “applied by states to reinforce themselves” (Hasso, 2009, 70). Neoliberal governmentality, then, is governmentality whose content and articulation is neoliberal ideology. For example, Aihwa Ong sees neoliberal governmentality as resulting “from the infiltration of market-driven truths and calculations into the domain of politics (Ong, 2007, 4). One of the effects of neoliberal governmentality worth pinning down and investigating further is the relationship between state and nonstate actors (i.e. civil society and transnational organizations). This effect that I am interested in is described by Frances Hasso as the establishment of “a continuity between the head of state and the individuals governed.” She continues: from the governmentality perspective, the idea that there is a ‘boundary between the state and society is….an effect of power’ that serves to reinforce the state and mystify the range of cruits and mutual dependencies that exist between formally state and nonstate apparatuses (Hasso, 2009, 70). The UN and other international organizations are not technically nonstate actors since their membership is composed of governments. Despite this technically, however, international organizations have attempted to push forward the image that they function as a supranational organization, a global entity that is independent of “political” interests. Thus, in a national context, the false boundary exists between the state and civil society; in a global context, the false boundary lies between states and “supra-“ national organizations, creating the impression that there are entities with lie “beyond” or “outside” of the state structure, as the supra- prefix connotates. EWMWA’s involvement in Jordan is exemplary of this false “supra-boundary”, reflecting the kind of transnational neoliberal governmentality that scholars such as James Ferguson and Akhil Gupta have captured in their work (Ferguson & Gupta, 2002). The neoliberal discourses and material strategies used by EWMWA to implement their projects have, as I mentioned, depoliticized the issues of migrant workers by shrouding their legitimate concerns and grievances with the feel-good, “domesticated” language of liberal democracy and human rights. This has a consequence of stunting their political fight and weakening their moral claims. Stifling Grassroots Efforts Delving into the weeds of EWMWA in Jordan, we see how specific material relations between nonstate actors, elites, and governments emerge in the form of piecemeal projects, grants, and initiatives. For example, a telegram made available through Wikileaks shows that in 2004, the U.S. contributed $654,000 over two-years for the UNIFEM program in Jordan (U.S. Embassy in Jordan, 2004). Specifically, the funds were “directed to build the capacity of the newly created NGO called “Friends of Women Workers: Advocacy for Migrants.” During my fieldwork in Jordan this past summer, I did not hear a word about this enigmatic NGO. A search on the Internet reveals that it does not have a website, and its name appears in only one research publication since 2004 (Frantz 2008). The only name linked to the organization is Jordanian professional Aida Abu-Ras, who was working as a consultant for UNIFEM during the time. The work of Abu-Ras and “Friends of Women Workers” is mentioned only on the U.S. Embassy website and Tipheroes.org, a website run by the U.S. Department of State’s Trafficking in Persons Report. According to these two webpages, “Friends of Women Workers” launched a text message and email campaign in 2008 targeted at Jordanian employers “instructing them on the appropriate treatment of their workers” (“Aida Abu Ras,” 2009). According to Abu-Ras, the two millions emails that were sent “were developed especially for [Friends of Women Workers] and UNIFEM by a famous cartoonist in Jordan…[Friends of Women Workers] were sending those cartoons carrying messages about human rights of migrant workers” (Morse, 2009). These cartoons are the cartoons of the UNIFEM awareness campaign that I analyze in the second half of the paper. One question is why UNIFEM’s idea of supporting civil society is the creation of new, unknown organizations headed by one of UNIFEM’s own consultants, rather than building off the existing, voluntary work carried out by local organizations. In the Final Evaluation Report of Phase II of EWMWA, the evaluators state: the [EWMWA] Programme did not fully and strategically engage with key organizations, such as CARTIAS and the Jordanian Women’s Union, which have been providing welfare, legal, and social support services to foreign domestic workers and could have provided useful feedback and input at key stages of implementation to help formulate and adjust strategies and activities (Sciortino & Saini, 2009). Importantly, the Jordanian Women’s Union (JWU) is a women’s organization generally comprised of members with “a leftist or pan-Arab persuasion, tending toward a more political, if not always feminist, analysis of women’s problems in Jordan and therefore less interested in traditional forms of charitable social work” (Brand, 1998, 164-175). Again, although specific details of political infighting cannot be confirmed, the exclusion of more controversial organizations (like JWU) in favor of new or royally-linked organizations (like Friends of Women Workers and the National Center for Human Rights), allude to the asymmetric politics of the EWMWA program. This discussion aligns with Jad’s observation that international organizations are not interested in supporting the volunteer-based work of existing organizations, networks, or activism. Instead, rather create new titles and NGOs because they are seen as more substantial “evidence” of progress. It is also a way to isolate the issue of migrant rights from their political and economic context. Equally important and related is the trend toward excluding grassroots level voices from the conversation and relying exclusively on elite individuals or government officials to represent the interests of migrant domestics. Abu-Ras, for example, was not only affiliated with UNIFEM, but also a Swiss development agency and later, the Jordanian National Commission for Women (JNCW), a “royal NGO” headed by Princess Basma. Another example of the exclusive presence of elite voices is the “High-level Regional Governmental Forum on Women Migrant Workers, Human Trafficking and Labor Reform” co-organized by the Jordanian Ministry of Labor and UNIFEM in March 2007. Labor ministers from four other Arab countries (Bahrain, Kuwait, Lebanon and the UAE) attended the forum and “publicly committed to introduce a Special Unified Working Contract for migrant domestic workers.” This “Unified Working Contract” was drafted and presented by Jordan’s Ministry of Labor, and was lauded as a model for the other governments in the region. State efforts to “include” migrant voices were also entirely ineffective. For example, in 2008, a Directorate of Migrant Domestic Workers was set up to give migrant domestics a channel to voice complaints and grievances. The Directorate’s project was a total failure; the Phase II Final Evaluation Report found that “at the time of conducting this evaluation (May 2009) a multi-lingual telephone hotline for foreign workers established by the Directorate had received no calls although it had been established since around August 2008” (emphasis added, Sciortino & Saini, 2009, 47). The “Perfect Student” and the Pretension of Progress Clearly, 2007 and 2008 saw some significant “advances” in Jordan’s work on migrant workers’ rights. Importantly, several other important events were also taking place that would seem to contradict Jordan’s sudden spurt of goodwill. In January 2008, the Philippines Department of Labor and Employment (DOLE) announced a total restriction on the deployment of Filipina workers to Jordan on the basis of “rising cases of abuse” (Jaymalin, 2008). Labor Secretary Marianito Roque stated that the Philippines would not lift the ban “until the government of Jordan could ensure the welfare of Filipino workers.” As a result of this ban and a “failure to provide evidence of increasing efforts to combat trafficking of person,” the 2008 Trafficking in Persons Report published by the Department of State in June of that year reflected Jordan’s demotion from Tier 2 (which it had held since it first appeared in the report in 2004) to Tier 2 Watch List, designated for countries “whose governments do not fully comply with the Trafficking Victims Protection Act’s minimum standards, but are making significant efforts to bring themselves into compliance (U.S. Department of State, 2008, 152). These signs of admonishment coincide perfectly with Jordan’s own ramping up, highlighting Jordan’s need to maintain its reputation as a “perfect student” of Western liberal democracies if it wishes to maintain its constant stream of foreign aid, a major source of its income. While some of this aid is bilateral, increasingly, transnational organizations such as the UNDP, UN Women, and UNICEF are favored because they help contribute to the idea of a “global civil society”, rather than the traditional client-patron relationship that was popular before the 1980s. But, as Hasso states, transnational governmentality “discursively construct…states as separate from international government systems, although these domains operate in mutually constitute relations…” (Hasso, 2009, 71). The 2008 Philippine ban and TIP Report demotion was enough to pressure the Jordanian government into more “dramatic” action, and these action (all legalistic) were conducted in collaboration with EWMWA (UNIFEM, 2006). In July 2008, Section 3 of the Jordanian Labor Law was amended to read “agricultural and domestic workers, cooks and gardeners, as well as assimilated persons are covered under by-laws to be issued for this purpose.” (Public servants and municipal employees are still excluded from any kind of labor protection).20 20 Retrieved at: http://www.ilo.org/dyn/natlex/docs/WEBTEXT/45676/65048/E96JOR01.htm. following year, Jordan promptly issued Regulation No. 90, a regulation that set specific conditions, rights, and obligations for domestic workers and employees. What this regulation essentially does is provide separate labor regulations for domestic workers outside the jurisdiction of the standard labor law.$^{21}$ Despite this fact that domestic workers, agricultural workers, and other similar occupations are still not treated equally under the labor law, UNIFEM reports the 2008 amendment as an unequivocal success of EWMWA program. A 2010 poster on the program includes this amendment as the first bullet under the “Milestones” section, where it reads: “Jordanian labour law amended to include protections for domestic workers, and domestic work is now recognized as work” (UNIFEM, 2010). In a 2008 UNIFEM document summarizing policy and program work on international migration done by the organization, the new legal changes are reported as such: “UNIFEM assisted the Jordanian government to amend its labour laws to recognize domestic labour as work and incorporate the protection for migrant domestic workers into the new law” (UNIFEM, 2006). The Final Evaluation Report of Phase II reports that “the Programme played an important role in bringing about significant policy changes, namely the approval in August 2008 of new by-laws extending current labor rights to foreign domestic workers (Sciortino & Saini 2009)”.$^{21}$ The combination of public awareness campaigns and changes in the labor law have led many researchers to uphold Jordan as exemplary of good practice and commitment on the part of the state to address the issue of migrant worker’s rights. This optimism is hinged on the fact that Jordan is the only country in the Arab region that recognizes domestic workers in the labor law, entitling them to minimum wages, defined working hours, right to days off, and medical care. $^{21}$ Retrieved at: http://www.ilo.org/dyn/travail/docs/642/Regulation%2090.2009.pdf. However, relying on these kinds of legalistic, incremental changes can have detrimental effects on the long-term battle for meaningful justice and democracy among migrant workers in Jordan and around the world. On the one hand, these legalistic changes and one-time public awareness campaigns have – materially – done very little to change the working conditions for domestic workers because the implementation of these norms and measures has been inadequate. An excellent resource that highlights the utter ineffectiveness of Regulation No. 90 is a 120-page Human Rights Watch report published in 2011 that represents tens of stories from domestic workers about abuse, exploitation, and maltreatment (Wilcke, 2011). At a discursive level, however, the argument that any kind of legal recognition is good recognition can be short-sighted and intellectually debilitating. As many critical scholars have argued, there is substantial limits to the law, and recognition is not the same as true equality or democracy. Furthermore, UNIFEM is misrepresenting the 2008 amendment and subsequent Regulation No.90 as an incidence of inclusion; indeed, the language I quoted above uses words and phases such as “include”, “recognize”, “incorporate”, “extending current labor rights” to describe the amendment. In reality, the amendment utilizes a logic of exception, deliberating keeping domestic workers separate from the standard labor law in order to preserve their marginalization and giving the state more flexibility with how to address their labor rights. The picture presented in this thesis is incomplete, since the EWMWA program has not yet published a final evaluation report summarizing the findings of the entire fourteen-year program. What begins to emerge from this analysis of EWMWA activities in Jordan and how it represents its “successes” as a human rights program ultimately speaks to how the problems migrant domestic work is politically maneuvered around, while maintaining its rhetorical commitment to human rights. This section also shows how government use different projects, be it community development or the rights of migrant domestic workers, to strengthen neoliberal governmentality and continue to blur the line between state and society. The ultimate effect of this work has been a depoliticization of domestic workers’ rights, muting out genuine calls for collective action and transnational activism. Continued Focus on Development Discourse A particularly illuminating kind of document produced by UNIFEM on this project are what I refer to as the “donor documents.” Contrary to meeting notes, proposals, or annual reports, donor documents are often concise (the length of a brochure) and every page is filled with colorful and immaculately produced photographs or infographics. The information presented is easy to comprehend, and numbers are usually presented without any additional statements about caveats in the methodology. Donor documents are, above all else, simplistic – intentionally leaving out complex or contradictory information under the pretense that it is “irrelevant” to understanding the problem. Take for example the following section from a UN Women infographic on migrant domestic workers published in September 2016: Migrants contribute to the economic and social wellbeing of societies both in their host and home countries. The money, also known as remittances, that migrants send back home can improve the livelihoods of millions and, in turn, strengthen economies, especially in developing countries. In 2015, the number of international migrants reached 244 million. US$ 431.6 billion International migrants sent an estimated $581.6 billion to their families in their home countries in 2015. Out of this amount, developing countries received about $431.6 billion, nearly three times the amount of official development assistance. Figure 1: UN Women Infographic on Migrant Domestic Workers, Infographic: Migrant domestic workers - Facts everyone should know (UN Women, 2016). These materials position domestics as workers who are merely in this host country to reap its economic benefits. It rotates the moral compass to depict the host country as the “provider” and the domestic as the beneficiary. Like other IGOs, UN Women is committed to arguing that labor migration is a solution to poverty and economic inequality undertaken by the enterprising individual. It obscures the structural failures of the economic system that pushed certain women into migrant domestic work in the first place, and takes for granted the conditions of poverty or economic insecurity that some of these women might have left (many conditions that were created by colonial administration). Furthermore, by advocating for migration in developing countries, UN Women is crossing out other options of economic development that might empower certain national markets but are not in line with a neoliberal agenda, such as developing local infrastructure, nationalizing certain industries, or supporting community-level service providers. Political Satire or Normalizing Abuse? Discursive Effects of the Abu-Mahjoob Cartoons In 2007, UNIFEM partnered with the Jordanian Ministry of Labor to produce a series of cartoons depicting the working conditions of migrant domestics in Jordan. Earlier in this chapter, these cartoons made an appearance. Specifically, a “famous cartoonist in Jordan” had developed for “Friends of Women Workers” and UNIFEM cartoons to be sent to employers’ emails raising their awareness on the issues that migrant domestics face. This e-mail campaign, as I mentioned, was conducted in 2008, just a year after UNIFEM’s cartoon campaign with the Ministry of Labor. The famous cartoonist that Abu-Ras speaks of is Emad Hajjaj, who is widely known for his caricature “Abu-Mahjoob.” Hajjaj’s company, the company that produced the cartoon campaign, is also known as Abu-Mahjoob Creative Productions, and the logo can be seen in the bottom center of posters. Created in 1993, Abu-Mahjoob “represents the typical Jordanian man and his everyday political, social, and cultural concerns” (Al-Momani, Badarneh, Migdadi, 2016, 510). According to Hajjaj: “Abu Mahjoob is the average citizen, who suffers from economic hardships and is bothered by [negative] social norms” (Al-Khoshman, 2014). He can be a father, a corrupt employee, or an abusive employer. The traditional Jordanian kufiyah and the modern pinstripe suit Abu Mahjoob wears are “another contradiction” prevalent within Jordanian society. The choice of Abu-Mahjoob is a significant one. On the one hand, the Abu-Mahjoob cartoons are some of the most politically transgressive forms of print media available in Jordan. In 1999, Hajjaj portrayed King Abdullah II in a cartoon just months after he took office. It was the first time that the king had been depicted in a cartoon, and Hajjaj’s work certainly set a precedence on how far an artist might be able to go without being jailed (it is a criminal offence to insult the king and the royal family). But despite this radical political transgressive, Abu-Mahjoob is still the quintessential “citizen,” as Hajjaj himself states. While Abu-Mahjoob is offensive, satirical, and frank, he is not necessarily a radical character himself – and his sensibilities still exist comfortably within the moral universe that Jordanians are accustomed to. He is, above all else, a beloved figure, someone who is familiar. Any admonishment of his behavior would only be in good humor. Much of this has to do with the fact that political cartoons are often used as a “safety-valve” or smokescreen” by the cartoonist to butt heads with certain social rules without overtly committing to a political project (Al-Momani, Badarneh, & Migdadi, 2016, 510). At the discursive level, this campaign relies on specific representations of class and gender to advance its message. This message, based on the consistent narrative that these cartoons tell, hammers home conventional liberal democratic ideals such as respect, tolerance, responsibility, and obligation. The problem with this specific moral economy, however, is that these exchanges of respect, tolerance, responsibility, and obligation are done so within a “web of unequal relationships”. This last section of the chapter will look at how the cartoons’ representation of “the problem” has a number of debilitating discursive effects, despite the fact that the “message” is one of respecting human rights. Firstly, the cartoons depiction of the “perpetrators” are classed and gendered – in particular, the perpetrator-employers are seedy, low-class men who are inclined towards violence. The women employers (i.e. the wife of the husband) is depicted as a gentle and oblivious bystander, duped by her husband. However, these depictions are not only outright misrepresentations of the complexities and realities of dynamics in the households who employ workers, but they also advance an agenda of respectability politics and ultimately re-legitimize patriarchy. Secondly, the cartoons “privatize” exploitation by representing them as a problem of individual bad behaviors and choices. The notion that exploitation is a result of innate qualities borne out of people’s personalities, their upbringing, or their “culture” treats exploitation/abuse as something independent of the economy, the nation-state, and ideology. This focus on the independent, free-thinking, rational individual is a cornerstone of neoliberal ideology, and it is the basic assumption that underlies neoliberal governmentalities and their respective projects. I bring up the example of the “Unified Work Contract” that EWMWA and UNIFEM relentlessly pushed for and promoted in Jordan and elsewhere to show how the “privatizing” exploitation view is institutionalized. Give us a Better Patriarchy As I discussed in my previous chapter, domestic workers deal mostly or exclusively with women in the family. Despite the fact that the domestic workers service the entire family, Jordanian women are more effected by their presence in multiple ways. On the one hand, the introduction of the domestic worker frees up the women of the household and enables them to disavow domestic work. Part of this could be a result of a real economic need (if she is a working woman or the burden of household work is large), but it could also be a desire for women to advance their own status by avoiding domestic labor. On the other hand, women employers are still “responsible” for matters of the household, so she ultimately becomes responsible for the productivity and performance of the domestic work. These tensions take place under the watchful eye of male head of households, who might chastise both the wife or the worker for failing to perform up to par. These cartoons are an excellent example of how migrant domestics can be “acknowledged” without disrupting the hegemonic patriarchal ideal that set up the circumstances of her abuse in the first place. For example, in Figure 2, the husband is the one that is “gifting” a domestic worker to his wife. The innocent expression of the wife, her mild smile and wide eyes are starkly different from the conniving and seedy figure of the husband. At a surface-level, representing the man as the “perpetrator” might seem like a feminist move. However, this depiction ignores the fact that it is Jordanian women who gain and lose the most, materially, from the domestic worker, for all the reasons described above. The male head of household is privileged to not be effected by the domestic worker, because he is not the one who would have performed the domestic labor in the first place. Similarly, in Figure 3, the husband is seen as the one deriving the most pleasure from having a domestic worker – he gets told off by his boss, the policeman, his wife, everyone but the worker. This notion that it is the husband who hires the working, who “needs” the worker, and who derives value from her, again, skews the dynamics of the household in order to depict the husband as the unequivocal perpetrator of violence. Throughout my fieldwork, “Madam” was always the one that workers’ interacted with the most (and thus, had the most conflict with). UNIFEM renders invisible the existing conditions of inequality that exist men and women – namely, that without the domestic worker, Jordanian women would be the ones performing domestic labor. While the husband’s interest in the domestic worker might be that he is able to present himself as higher-class, this is even more true for Jordanian women, who have time, money, class identity, and her identity as a woman tethered to the domestic worker. Furthermore, the representation of the man in the cartoon, Abu-Mahjoob, as the seedy, violent, abuser emphasizes merely this notion of a “failure of patriarchy” rather than an abolishment of patriarchy. His insensitivity, “low-class” sensibilities, and ignorance are rendered as superficial failings of his personality – in other words, the message depicted by these cartoons is not that Abu-Mahjoob should not be an employer, or a guardian, of some sort, but rather than his attitude needs to be corrected. Privatizing Abuse As I briefly mentioned earlier, UNIFEM’s main “success” in Jordan was the introduction of a standardized work contract. Not only was the UN representing this as a major milestone in realizing migrant domestics’ rights, but scholars were also claiming that a standardized work contract would enforce the terms of employment more consistently, and should “serve as a good practice model for countries of destination. On the one hand, it is not actually clear if a standardized work contract was what was called for by migrant domestics themselves, since they knew that most of the abusive treatment they received from employers, if they did, was against the law to begin with, regardless of whether there was a work contract. On the other hand, strengthening the institution of a work contract “privatizes” the abuse and regulates it to the single relationship between employers and workers, and conflicts would end up ultimately a private matter. For example, Solidarity Center reports that a Ministry of Labor official state: “For domestic workers, noting has changed – because it is a private thing between employer and employee in the home. They are in a certain relationshi My personal perspective is that because I brought [the domestic worker], I should have some control.” These kinds of attitude reflect the conclusions about disposability I made in Chapter 3. The added element is that of the “privacy” of the home, where employers are allowed to do as they like because the worker is the employer’s property, so to speak. Once we understand that abuse is treated as a private matter, the structural factors that resulted in any violence and exploitation are ignored. Consider Figure 4 below where the domestic worker is beat behind closed doors: Figure 4: “It’s all good” (Abu-Mahjoob Creative Productions, 2007c). Solutions are posed as originating from the individuals themselves, either the employer or the domestic worker. This distracts from the calls for political collection action, and meaningful structural change. Ideologically, posing the problem and solution as originating from individuals is linked to this notion of individual, and collective or state, responsibility. Rather than giving workers collective bargaining rights, or the ability to unionize, it removes violence and abuse from its political and economic context, instead choosing to keep it in the home. Furthermore, “private relationships” lead to a system of absolute dependency, and this dependency is institutionalized in the contract. The contract does not empower migrant domestic, it makes them more dependent, financially and otherwise, on the employer. For example, ![Cartoon](image) Figure 5: "Wrong Number" (Abu-Mahjoob Creative Productions, 2007). employers are responsible for covering all costs of permits, but also basic living necessities like food, medical needs, and phone calls home, as the cartoon in Figure 5 shows. Of course, this relationship of dependency is set up by the 2009 Domestic Workers’ Regulation that accompanied the standardized work contract. In the regulation is states that employers must supply “all necessities” for their workers as stipulated in Section 4 Part D. Thus, the worker is at once a worker (who needs a wage) and also a member of the family (who needs basic necessities). The employer is at once an employer (who provides a wage) but also charged as a caretaker of the worker (who provides basic necessities). While the intention of these provisions is to ensure that workers get enough sleep, the effect is a further perpetuation of the relationship of dependency. Employers are bestowed the role of guardian – they decide what workers eat, when they sleep, what they wear, etc. In fact, there have been observations by other researchers that domestic workers are infantilized and treated like one of the employers’ children, subordinating the worker from worker (and thus equal) to child. The moral compass shifts in favor of the employer who “takes care” of their domestic workers, and thus workers are expected to “listen” to their employers as if they were their guardian. In a UNIFEM-issued booklet that is meant to instruct employers and workers how to abide by the contract, the instructions explicitly espouse this kind of guardian-child behavior. For example, under “Duties of the Worker”, the very first bullet point listed is: “refrain from leaving the house without the approval of the employer.” The second is: “respect the privacy of the employer’s house”, and the third is: “be honest and loyal.” As Ong argues, all NGO interventions must work within a “knotted tapestry of situated power and ethics” (Ong, 2007, 198). In that way, whatever moral claims NGOs and IGOs articulate are done so without questioning existing structures, like the nation-state and the market. The UNIFEM and Abu-Mahjoob campaign is a particular non-state intervention that is intended to “translate” universal values into “local language” through the use of famous national caricature. But does the Abu-Mahjoob satire necessarily seek to empower migrant domestics’ or highlight their lived experiences? In short, no, because the cartoons represent migrant domestics through the eyes of the employer, and by extension, through the eyes of the state. This misplaced use of satire – rather than critiquing the status quo – actually normalizes egregious incidences of abuse through its humor. The voices of the migrant women are left silent. At worst, the domestics’ mistreatment is a literary device used to help employers momentarily repent their wrongdoings, or laugh them off with the sympathetic, familiar figure of Abu-Mahjoob. While the employers (and the state) might have a cathartic experience, however, the same cannot be said for the workers. In line with this notion of ethical realignment, the Abu-Mahjoob cartoons visually represent an ideological project by the UN and the Jordanian state which wishes to disempower workers and regulate migrant workers’ rights to the private home. It is no coincidence that this cartoon campaign happens in 2007, the same year that the standardized work contract was instituted in Jordan and introduced to other government in the region. Conclusion Working off of existing literature that conceptualizes international organizations, such as the UN, as forms of neoliberal governmentalities, I argue similarly the work of EWMWA in Jordan is has depoliticized migrant domestic issues in Jordan, while at the same time, paying lip-service to the language of human rights. I began this chapter with an overview of the NGO-isation of women’s issues in the Arab world, and found that several components of EWMWA work in similar ways. Mainly, EWMWA delinks the urgency for collective action from its political and structural context, it sets up a system of dependency on foreign aid, and it overpowers the efforts of grassroots organizations. An important reason why Jordan is particularly susceptible to this kind of co-option is because of its position as a diplomatic and political friend of the Western world. As such, it has economic and political incentive to welcome projects such as EWMWA, as a form of statecraft. In the last section of this chapter, I analyzed a series of posters drawn by the famous Jordanian cartoonist Emad Hajjaj. I found that the cartoons, through its depictions of violence in the home only, and depictions of violence between a male employer and female domestic worker only, simplified the issues facing migrant domestics in the Jordan. Besides simplification, the cartoons problematized migrant domestics (and their employers) in a way that “privatized abuse” (i.e. the violence that migrant domestics faced were attributed to individual employers, and not to structural failings). As such, EWMWA was able to push forward their solution of a unified work contract in Jordan – a private solution to a private problem. Ultimately, this chapter illustrates how states and international organizations approach subjects (“beneficiaries”) through a neoliberal framework. Namely, they perceive the problems of their beneficiaries to have originated from the individual choices that the person made, and not a result of discourse or historical and colonial inequalities. Conclusion: Ceaseless Migrations I conclude my thesis by asking again the question I posited in the introduction: what is given up, forgotten, or concealed in the act of inclusion? In four chapters, I have attempted to trace out the incoherences of ideology, the contradictions in discourse, the loose-fitting pieces of policy and institutions, and the ambivalent emotions and desires that migrant domestics experience as they traverse these multiple, tumultuous terrains. This thesis began with the intention of intervening on the use of agency as a theoretical concept, particularly in ways that I felt were too closely focused on the subject-level doings of migrant domestics, while overlooking significant structural constraints that would have complicated the narrative of a fully agentic, fully rational, and fully coherent migrant subject. When I ventured into my first chapter, an overview and analysis of the regional and international labor migration patterns since the explosion of capital in the Middle East after 1973, I was confronted with a confluence of state policies and ambitions that revealed just how constructed and fragile the boundaries between the “national inside” and “foreign outside” were. Both Jordan and the Philippines were exciting and rich examples to consider precisely because their migration histories deeply complicated any notions of national belonging and inclusion purported by the state. When analyzing migrant encounters with the state in my second chapter, I found that these contradictions at the discursive and institutional level were met with ambivalence, as well as clarity on the migrant domestics’ part. What I mean by this is that migrant domestics often “followed” state procedures, navigated state institutions, listened to state instruction -- all the while looking beyond discursive claims of inclusion and protection. Ironically, by abiding by the “dull compulsions of economic relations” – which, in a sense, is simply pursuing material wellbeing in a capitalist society – migrant domestic workers become aware of how limited normative inclusion is – being legal, being a citizen, being inside the home. The story becomes complicated, however, when we consider the role of money and how it dictates desire, identity, and social relationships. Transnational migrants oftentimes do find themselves relying on consumption, or monetary exchange, to express connection with their families back home and to justify working as much as they do. But these practices are met with ambivalences. Fighting for a higher wage or remedying family tension with gift and allowances – these are decisions that force one to make exchanges between the incommensurable. What’s more, the battle over money is also a battle over the worth of one’s labor and one’s body. Such battles are often lost, and this defeat is felt through exploitation, through physical abuse, through objectification, through racialization and gendering, and numerous other forms of labor management. Most distressingly, sometimes the solutions to these immediate violences might still have to remain tethered to normative ideologies. The difficulty of liberation grows when resource-rich institutions such as the UN implemented projects that might stifle genuine collective and grassroots mobilization. Relying on the apparatus’ of the state, projects such as EWMWA only serve to bring people back into the fold of control, discipline, and regulation. A neoliberal subjectivity is assumed – whereby people’s situations and dilemmas are considered an outcome of their ignorance or their poor choices, and thus the transnational governmentality mantra is to provide correctives to those choices (on the terms of those in power). Multiple times throughout the writing of this thesis, I have been mentally paralyzed by the stories and events before me. An argument fashioned around critiquing inclusion (because most of the time it doesn’t exist!) often came out to be an exhausting one to make. I often could not help but feel like I was beating a dead horse, or talking in circles, or contradicting myself, or going nowhere. 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AN ACT RELATING TO IRRIGATION DISTRICTS; PROVIDING LEGISLATIVE INTENT; AMENDING CHAPTER 13, TITLE 43, IDAHO CODE, BY THE ADDITION OF A NEW SECTION 43-1314, IDAHO CODE, TO PROVIDE FOR THE PARTITION OF CERTAIN IRRIGATION DISTRICTS AND TO PROVIDE FOR PETITIONS TO PARTITION; AMENDING CHAPTER 13, TITLE 43, IDAHO CODE, BY THE ADDITION OF A NEW SECTION 43-1315, IDAHO CODE, TO PROVIDE FOR THE FILING OF PETITIONS AND TO PROVIDE THAT THE PETITIONS ALONG WITH MAPS AND OTHER PAPERS FILED THEREWITH SHALL BE OPEN TO PUBLIC INSPECTION; AMENDING CHAPTER 13, TITLE 43, IDAHO CODE, BY THE ADDITION OF A NEW SECTION 43-1316, IDAHO CODE, TO PROVIDE THAT CERTAIN MAPS SHALL ACCOMPANY PETITIONS; AMENDING CHAPTER 13, TITLE 43, IDAHO CODE, BY THE ADDITION OF A NEW SECTION 43-1317, IDAHO CODE, TO PROVIDE FOR BOND; AMENDING CHAPTER 13, TITLE 43, IDAHO CODE, BY THE ADDITION OF A NEW SECTION 43-1318, IDAHO CODE, TO PROVIDE FOR NOTICE RELATING TO THE FILING OF PETITIONS FOR PARTITION AND TO PROVIDE REQUIREMENTS RELATING TO SUCH NOTICES; AMENDING CHAPTER 13, TITLE 43, IDAHO CODE, BY THE ADDITION OF A NEW SECTION 43-1319, IDAHO CODE, TO PROVIDE FOR NOTICES OF HEARING AND TO PROVIDE REQUIREMENTS RELATING TO SUCH NOTICES; AMENDING CHAPTER 13, TITLE 43, IDAHO CODE, BY THE ADDITION OF A NEW SECTION 43-1320, IDAHO CODE, TO PROVIDE FOR EXAMINATION BY THE DEPARTMENT OF WATER RESOURCES, TO PROVIDE FOR REPORTS AND TO REQUIRE THE BOARD OF COUNTY COMMISSIONERS TO NOTIFY THE DEPARTMENT OF THE FINAL ACTION TAKEN ON THE PETITION; AMENDING CHAPTER 13, TITLE 43, IDAHO CODE, BY THE ADDITION OF A NEW SECTION 43-1321, IDAHO CODE, TO PROVIDE CONDITIONS UNDER WHICH ORDERS SHALL BE ISSUED, TO PROVIDE THAT CERTAIN BOUNDARIES SHALL NOT BE MODIFIED, TO PROVIDE FOR THE INCLUSION OF CERTAIN LAND WITHIN THE NEW IRRIGATION DISTRICT AND TO PROVIDE THAT SUPPLEMENTAL PETITIONS MAY BE ACCEPTED PRIOR TO THE DATE OF HEARING; AMENDING CHAPTER 13, TITLE 43, IDAHO CODE, BY THE ADDITION OF A NEW SECTION 43-1322, IDAHO CODE, TO PROVIDE FOR ORDERS DIVIDING NEWLY PARTITIONED IRRIGATION DISTRICTS INTO DIVISIONS, TO PROVIDE CERTAIN REQUIREMENTS, TO PROVIDE FOR THE ELECTION OF DIRECTORS, TO PROVIDE THAT CERTAIN INFORMATION RELATING TO DIVISIONS BE INCLUDED IN THE PETITION, TO PROVIDE FOR AN ALTERNATIVE NUMBER OF DISTRICTS AND TO PROVIDE THAT THE REMAINING IRRIGATION DISTRICT SHALL BE DIVIDED INTO DIVISIONS; AMENDING CHAPTER 13, TITLE 43, IDAHO CODE, BY THE ADDITION OF A NEW SECTION 43-1323, IDAHO CODE, TO PROVIDE FOR THE EFFECTIVE DATE OF THE PARTITION, TO REQUIRE THE NEWLY PARTITIONED IRRIGATION DISTRICT TO TAKE CERTAIN ACTION AND TO PROVIDE FOR APPEAL FROM OR JUDICIAL CHALLENGE TO ORDERS; AMENDING CHAPTER 13, TITLE 43, IDAHO CODE, BY THE ADDITION OF A NEW SECTION 43-1324, IDAHO CODE, TO PROVIDE FOR THE JOINT OWNERSHIP OF CERTAIN REAL OR PERSONAL PROPERTIES, TO PROVIDE FOR PROPORTIONATE HOLDINGS OF CANALS AND LATERALS, TO PROVIDE FOR THE PROPORTIONATE OBLIGATION OF OUTSTANDING DEBT AND TO PROVIDE FOR THE DIVISION OF ASSESSMENTS; AMENDING CHAPTER 13, TITLE 43, IDAHO CODE, BY THE ADDITION OF A NEW SECTION 43-1325, IDAHO CODE, TO PROVIDE FOR A JOINT BOARD OF CONTROL; PROVIDING SEVERABILITY; AND DECLARING AN EMERGENCY. Be It Enacted by the Legislature of the State of Idaho: SECTION 1. LEGISLATIVE INTENT. The purpose of this act is to authorize the owners of land within an irrigation district that delivers only natural flow water rights, whose land is served by the irrigation district and who own the water rights appurtenant to that land, to partition the irrigation district into separate irrigation districts in order to preserve and protect the agricultural uses of the district lands, to provide for continuation of the irrigation of those lands and to set forth guidelines for ownership and operation of irrigation works between the newly partitioned irrigation districts. SECTION 2. That Chapter 13, Title 43, Idaho Code, be, and the same is hereby amended by the addition thereto of a NEW SECTION, to be known and designated as Section 43-1314, Idaho Code, and to read as follows: 43-1314. PETITION. The owners of a majority of the land in an irrigation district that is operated and maintained exclusively to deliver natural flow water rights, who also hold title to the water rights appurtenant to that land, and whose water rights are delivered by an organized irrigation district, may petition to partition the irrigation district into two (2) separate irrigation districts, which shall be known for purposes of this act as the new irrigation district and the remaining irrigation district. For each parcel of land that is proposed to be included in the new irrigation district, the petition shall set forth the following: (1) Irrigation district assessment number; (2) Tax lot or legal description to identify the property; (3) Owner of the property; (4) Individual water rights that are appurtenant to each property; (5) A general characterization of the property as agricultural, residential or commercial; and (6) The number of divisions into which the district shall be divided. The petition must be signed by each landowner who desires to be included in the new irrigation district and their signature shall constitute consent to the partition and consent to have their water rights delivered and distributed by the new irrigation district. SECTION 3. That Chapter 13, Title 43, Idaho Code, be, and the same is hereby amended by the addition thereto of a NEW SECTION, to be known and designated as Section 43-1315, Idaho Code, and to read as follows: 43-1315. SUBMISSION OF PETITION TO COUNTY. The petition shall be filed with the clerk of the board of county commissioners of the county in which the greatest proportion of the proposed new irrigation district is situated. The petition, together with all maps and other papers filed therewith, shall at all proper hours be open to public inspection in the office of the clerk of the board between the date of the filing and the date of the hearing thereon. SECTION 4. That Chapter 13, Title 43, Idaho Code, be, and the same is hereby amended by the addition thereto of a NEW SECTION, to be known and designated as Section 43-1316, Idaho Code, and to read as follows: 43-1316. MAPS AND WATER SUPPLY DATA. The petitioners must accompany the petition with a map of the proposed district. The map shall show the location of the canals situated within the boundaries of the proposed partitioned district. SECTION 5. That Chapter 13, Title 43, Idaho Code, be, and the same is hereby amended by the addition thereto of a NEW SECTION, to be known and designated as Section 43-1317, Idaho Code, and to read as follows: 43-1317. BOND. The petitioners shall accompany the petition with a bond to be approved by the board of county commissioners in double the amount of the probable cost of the county organizing a new irrigation district, conditioning that the bondsman will pay all costs, in the event the new irrigation district is not organized. SECTION 6. That Chapter 13, Title 43, Idaho Code, be, and the same is hereby amended by the addition thereto of a NEW SECTION, to be known and designated as Section 43-1318, Idaho Code, and to read as follows: 43-1318. NOTICE OF PRESENTATION TO COMMISSIONERS. Upon filing of a petition with the clerk of the board of county commissioners, the clerk shall publish a notice that a petition for the partition of an irrigation district has been filed, setting forth the first signature on the petition. The notice shall provide the time at which the petition will be presented to the board, which shall be during a regular meeting of the board or during a special meeting called for that purpose. The notice shall be published at least two (2) weeks prior to the day upon which the petition is to be presented in a newspaper of general circulation in the county. If any portion of the proposed partitioned district be within another county or counties, the notice shall also be published in a newspaper of general circulation in each of those counties. SECTION 7. That Chapter 13, Title 43, Idaho Code, be, and the same is hereby amended by the addition thereto of a NEW SECTION, to be known and designated as Section 43-1319, Idaho Code, and to read as follows: 43-1319. NOTICE OF HEARING. When a petition is presented to the board, the board shall set a time for hearing, which time shall not be less than four (4) nor more than eight (8) weeks from the date of the presentation. Notice of the time of hearing shall be published by the board at least three (3) weeks prior to the time of hearing in a newspaper of general circulation published within each of the counties in which any part of the proposed partitioned district is situated. SECTION 8. That Chapter 13, Title 43, Idaho Code, be, and the same is hereby amended by the addition thereto of a NEW SECTION, to be known and designated as Section 43-1320, Idaho Code, and to read as follows: 43-1320. EXAMINATION BY DEPARTMENT OF WATER RESOURCES. A copy of the petition and all maps and other papers filed with the board of county commissioners shall be filed in the office of the department of water resources by the board at least four (4) weeks prior to the date set for the hearing. The department may examine the petition, maps and other papers and if it deems it necessary, the department may prepare a report upon the matter in such form as it deems advisable. Any report prepared by the department shall be submitted to the board a minimum of seven (7) calendar days before the hearing on the petition and shall be available for public inspection. It shall be the duty of the board to notify the department of water resources of the final action, either favorable or unfavorable, taken on a petition for the partition of an irrigation district. SECTION 9. That Chapter 13, Title 43, Idaho Code, be, and the same is hereby amended by the addition thereto of a NEW SECTION, to be known and designated as Section 43-1321, Idaho Code, and to read as follows: 43-1321. ORDER OF THE BOARD. If it appears to the board of county commissioners that the holders of evidence of title to a majority of the acreage with water rights delivered by the irrigation district within the boundaries of an existing irrigation district have properly signed a petition and approved the partition of the irrigation district, that the holders of evidence of title to such land signing the petition are also holders of title to the water rights appurtenant to the land and it appears that the majority of the acreage with water rights delivered by the irrigation district described in the petition is of an agricultural character, the board shall issue an order partitioning the irrigation district as set forth in the petition. The board shall not modify the boundaries set forth in the original petition. Provided however, the board may permit any holder of evidence of title to land lying within the boundaries of the original district of forty (40) acres or more in size used primarily for agricultural purposes to include such land in the new irrigation district, if such landowner has filed a separate petition with the board establishing that such land meets all the criteria required to have been joined in the original petition, including ownership of water rights appurtenant to the land. Supplemental petitions may be accepted at any time prior to the date of hearing. SECTION 10. That Chapter 13, Title 43, Idaho Code, be, and the same is hereby amended by the addition thereto of a NEW SECTION, to be known and designated as Section 43-1322, Idaho Code, and to read as follows: 43-1322. DIVISIONS OF DISTRICT FOR ELECTION OF DIRECTORS. The board of county commissioners shall also enter an order dividing the new partitioned irrigation district into not less than three (3) nor more than seven (7) divisions of as nearly equal size as practical, which shall be numbered first, second, third, etc. One (1) director, who shall be an elector and resident in the division, shall be elected from each division of the district. Provided however, that in districts of three thousand (3,000) acres or less, the directors may be elected from qualified electors holding title or evidence of title to land in the district and residing in the county where some portion of the district is located. The number of divisions into which the district shall be divided shall be specified in the petition for the partition of the new irrigation district, and if not otherwise specified, shall be three (3). The board shall also enter an order dividing the remaining irrigation district after partition into the same number of divisions of as nearly equal size as practical as existed in the original irrigation district prior to partition. SECTION 11. That Chapter 13, Title 43, Idaho Code, be, and the same is hereby amended by the addition thereto of a NEW SECTION, to be known and designated as Section 43-1323, Idaho Code, and to read as follows: 43-1323. EFFECTIVE DATE OF PARTITION -- CHALLENGES TO PARTITION. The effective date of the partition of the existing district into two (2) districts shall be as of the date of the order of the board of county commissioners. Following the effective date of the partition order by the board, the newly partitioned irrigation district shall immediately undertake to reorganize, elect officers as set forth in section 43-301, Idaho Code, and exercise all powers and duties of an irrigation district. Any appeal from, or judicial challenge to, the order of the board partitioning the irrigation district must be brought in the county where the board sits within ninety (90) days from the effective date of the order or be forever barred. SECTION 12. That Chapter 13, Title 43, Idaho Code, be, and the same is hereby amended by the addition thereto of a NEW SECTION, to be known and designated as Section 43-1324, Idaho Code, and to read as follows: 43-1324. JOINT WORKS -- JOINTLY HELD PROPERTY. The irrigation works and any other real or personal property held by the original irrigation district prior to the partition shall belong to the partitioned irrigation districts jointly as provided in this section. All canals and laterals that deliver water to members of both districts shall be held by each district in proportion to the total quantity of water delivered to members of each district through each individual diversion work, canal and lateral. All other real and personal property shall be held jointly by the two (2) districts in proportion to the total quantity of water rights held by the members of each district that are appurtenant to lands within the newly partitioned district. Any outstanding debts of the district prior to partition shall be joint obligations of the two (2) newly partitioned districts after the partition in proportion to the total quantity of water rights held by members of each district within the newly partitioned districts. All assessments collected from landowners shall be provided to the new districts based upon the location of the land after the partition, less the proportionate share of expenses incurred prior to the effective date of the order of partition. SECTION 13. That Chapter 13, Title 43, Idaho Code, be, and the same is hereby amended by the addition thereto of a NEW SECTION, to be known and designated as Section 43-1325, Idaho Code, and to read as follows: 43-1325. JOINT OPERATION. Whenever the partitioned irrigation districts share irrigation works, canals and laterals after the partition takes effect, a joint board of control, not exceeding seven (7) members, shall be chosen by the board of directors of the respective partitioned irrigation districts, the members of which shall be apportioned to each district as nearly as practicable in accordance with the acreage for which water shall be provided in each respective district. Said board of control shall control, manage and operate such joint works subject to the board of directors of the respective districts and each member of the board of control shall hold office at the will of the board of directors of the district appointing such member. SECTION 14. SEVERABILITY. The provisions of this act are hereby declared to be severable and if any provision of this act or the application of such provision to any person or circumstance is declared invalid for any reason, such declaration shall not affect the validity of the remaining portions of this act. SECTION 15. An emergency existing therefor, which emergency is hereby declared to exist, this act shall be in full force and effect on and after its passage and approval.
MUSIC EVENTS AMONG FOUR-YEAR-OLD CHILDREN IN NATURALISTIC CONTEXTS, WITHIN SELECTED NEW ZEALAND KINDERGARTENS. By JULIE J JACKSON-GOUGH A Dissertation submitted to the School of Music In partial fulfillment of the Requirements for the degree of Doctor of Philosophy Degree Awarded: Summer Semester 2003 The members of the committee approve the dissertation of Julie J Jackson-Gough Defended on July 7th 2003 __________________________________________ Judy Bowers Professor directing dissertation __________________________________________ Charles E. Brewer External committee member __________________________________________ Clifford K. Madsen Committee member __________________________________________ Kevin Fenton Committee member Approved __________________________________________ Jon R. Piersol, Dean, School of Music The Office of Graduate Studies has verified and approved the above named committee members. ACKNOWLEDGEMENTS I am deeply indebted to my late husband Iain Jackson, without whose help and support this project would never have even been started. I am also very thankful for the support of my husband Michael Gough, without whose encouragement I would not be completing this study. I acknowledge the teachers and children of the kindergartens of the three towns in the Central North Island of New Zealand who allowed me to come and put them under a microscope. Without their willingness to be examined in this way, there would have been no data. I acknowledge colleagues and friends at the University of Waikato in Hamilton, New Zealand, whose encouragement and support, including sharing my academic responsibilities, has allowed me to complete this project. I am grateful to the many wonderful and outstanding faculty members at the Florida State University School of Music who have inspired me to explore and expand my experience and knowledge over the last 11 years. # TABLE OF CONTENTS LIST OF TABLES ........................................................................................................... vii LIST OF FIGURES ........................................................................................................ viii ABSTRACT ...................................................................................................................... ix Chapter I. INTRODUCTION ....................................................................................................... 1 Research background ................................................................................................. 1 Limitations of the Study ............................................................................................. 4 Clarification of Terms ................................................................................................. 5 Purpose of the Study .................................................................................................. 6 II. REVIEW OF LITERATURE Introduction ............................................................................................................... 8 Child Development Stages Infancy .................................................................................................................... 9 Early Childhood Physical Development ......................................................................................... 11 Cognitive .............................................................................................................. 13 Social and Emotional ......................................................................................... 14 Musical ................................................................................................................. 16 Early Childhood Music Therapy .............................................................................. 18 National Standards, Music: United States ............................................................ 20 National Standards, Music: New Zealand The School Curriculum .......................................................................................... 25 The Early Childhood Curriculum .......................................................................... 26 Research Design ....................................................................................................... 30 Music in Early Childhood Education Singing .................................................................................................................. 32 Creating .................................................................................................................. 35 Early Childhood Education in New Zealand .......................................................... 37 Teacher Training in Music for early childhood .................................................. 39 Profile of Current Early Childhood Music in New Zealand ............................. 41 Summary ........................................................................................................... 42 III. METHODOLOGY .......................................................................................... 43 Pilot study ......................................................................................................... 43 Subjects ............................................................................................................ 44 Procedure ......................................................................................................... 45 Data Collection ............................................................................................... 46 Data Analysis ................................................................................................... 47 IV. RESULTS ...................................................................................................... 49 Introduction ....................................................................................................... 49 Research Question One .................................................................................... 50 Description of events ....................................................................................... 53 Research Question Two .................................................................................... 54 Research Question Three .................................................................................. 55 Research Question Four .................................................................................... 56 Research Question Five .................................................................................... 59 Observation Conclusions .................................................................................. 61 Summary .......................................................................................................... 62 V. DISCUSSION .................................................................................................. 64 Introduction ....................................................................................................... 64 Holistic Music Making ....................................................................................... 65 Extra-musical music making ............................................................................ 65 Informal, Self selected, Music Making ............................................................ 66 Pitch Modeling and Pitch Ranges ..................................................................... 68 The Achievement Approach .............................................................................. 69 Music Links to Primary School ........................................................................ 71 Implications for New Zealand Early Childhood Education ............................ 72 APPENDICES A Te Whariki Introduction ............................................................................... 74 \| \| Description \| Page \| \|---\|--------------------------------------------------\|------\| \| B \| Interview transcript \| 82 \| \| C \| Kindergarten photographs \| 97 \| \| D \| Onsite researcher observations \| 103 \| \| E \| Video event qualitative descriptions \| 114 \| \| F \| Ethics & Informed consent forms \| 133 \| \| G \| Children’s Notated Songs \| 141 \| \| \| BIBLIOGRAPHY \| 143 \| \| \| BIOGRAPHICAL SKETCH \| 153 \| \| Table \| Description \| Page \| \|-------\|-----------------------------------------------------------------------------\|------\| \| 1 \| Gallahue’s Phases of Motor Development \| 12 \| \| 2 \| Summary of Greenspan’s six stages of ego development \| 15 \| \| 3 \| United States National voluntary content standards \| 21 \| \| 4 \| United States Early childhood music experiences \| 23 \| \| 5 \| United States Pre-kindergarten music standards \| 24 \| \| 6 \| Level One: New Zealand Arts Curriculum Strands and Content \| 27 \| \| 7 \| The Principles of Te Whariki: Early Childhood Curriculum \| 28 \| \| 8 \| Te Whariki: Strands and Goals \| 29 \| \| 9 \| Anticipated music events at a kindergarten \| 44 \| \| 10 \| Quantitative data categories of analysis \| 47 \| \| 11 \| Quantitative data categories of analysis \| 50 \| \| 12 \| Frequency of Discrete Musical Events \| 51 \| \| 13 \| Checklist of music and extra music events at each site \| 52 \| \| 14 \| Checklist of Timbre Events \| 55 \| \| 15 \| Highest pitch data during informal play activities inside \| 57 \| \| 16 \| Highest pitch data during informal play activities outside \| 57 \| \| 17 \| Teacher vocal range in formal singing & children’s response in matching pitch \| 58 \| \| 18 \| Teacher vocal modeling and children’s use of head voice \| 60 \| LIST OF FIGURES Figure 1: The reading alcove to the right of the main entrance door ........................................97 Figure 2: The display of Learning stories, and children’s computer...........................................97 Figure 3: The collage materials rack ..........................................................................................97 Figure 4: Notice-board for parents ............................................................................................98 Figure 5 Children find their name .............................................................................................98 Figure 6: Parents’ lending library ...............................................................................................98 Figure 7: Children’s collage work and prints ..............................................................................99 Figure 8: Resource cupboard with math games and clothes ....................................................99 Figure 9: The science corner & fish tank ..................................................................................100 Figure 10: Dolls house ..............................................................................................................100 Figure 11: Kitchen corner .........................................................................................................100 Figure 12: Family corner ..........................................................................................................101 Figure 13: Book corner .............................................................................................................101 Figure 14: Music corner ...........................................................................................................101 Figure 15: The new grassed area ............................................................................................102 Figure 16: Shaded swing area ..................................................................................................102 Figure 17: The bench where puzzles and group activities happen ...........................................102 Figure 18: Water play tub, general purpose tables, and the sandpit .......................................102 Figure 19: Covered verandah area ..........................................................................................102 The purpose of this study was to examine the current practices and ability of preschool children of New Zealand in musical events. Data was obtained on static, unmanned video cameras set up inside and outside the kindergarten building, along with observational notes by the researcher during the data collection. Video was analyzed for quantitative events under the areas of: sung speech, pitched phonation without words, sung chants, use of upper register (head voice), rhythmic speech, timbre play, and measure of highest note phonated during any minute of observation. As a result of the quantitative video analysis it became apparent that there were episodes of rich qualitative data that had been captured, and these were selected and described, taking one event from each kindergarten. Subjects were children enrolled and attending the eight kindergartens (n=331). They were all aged four years, from 4 years 3 months to one day before a fifth birthday. There was no data obtained about gender or ethnicity, but it is of note that 60% of four year old children in this area attended kindergarten, and three complete communities were included in the sample. Results include the discovery that, in these holistic settings, much music exploration was occurring. Much of the music making in the kindergartens was extra musical. Informal self-selected music making predominated and creative opportunities abounded. Pitch ranges exhibited by children did not reflect recommended ranges for pitch matching in the literature: their self selected singing range was more extensive, and consistently higher than the literature suggests. The role of teacher modeling, in use of singing and speaking voice, appeared to affect pitch choices and the accuracy of pitch matching of the children. CHAPTER I Introduction That children are inherently musical is far from a new concept (Wilson 1981). Rousseau wrote of it in his treatise Emile, in 1762, espousing a concept revolutionary when considered against the principles of child rearing of his day, where children were treated as miniature adults and expected to stay in line. One of the earliest educational reformers who echoed Rousseau’s theories was Johann Heinrich Petalozzi, who himself had great influence on Lowell Mason, the father of American Music Education. Wilson writes further: “A central tenet of Pestalozzianism was that education should develop innate qualities of students to think for themselves; thus teachers were to guide students in the careful observation of natural phenomena. In music instruction, according to Pestalozzianism, the student was always to experience sound before symbol”(p14). Blacking (1977) observed the children of the Venda people of South Africa and their musicality, and developed his position on the musicality of all children. He came to the conclusion that the natural encouragement of a child’s musical play led to consistent development of musical skills and awareness. Campbell and Scott-Kassner (1995) wrote that to a varying degree children all possess the capacity to become more musical: they naturally dance, play, sing and express themselves musically without any prior training or teaching. The educator’s responsibility is to meet them where they are, creating and helping them to grow. Research Background Children are born with established auditory facility and experiment with vocalization as some of the first experiences of life. Sound, sound manipulation and sound sensitivity are central to development of language and communication from birth. Stanley (1998) has demonstrated that pre-birth auditory skills are already functional. She writes: Recent research reveals that the newborn infant is not a ‘blank slate’ waiting to be filled as previously thought, but is an avid and experienced learner equipped with the beginning discriminations and memory of language, emotional response, and awareness of cause/effect relationships (p.1). Thus it is well established that normal development for a new born child is to be sensitized to sound, sound discrimination, timbre and pitch, all being the qualities of language and language acquisition (Stasos 1997). Pre-language communication for a child is dependant on a parent or caregiver being able to decipher the sounds a child makes, from quality of crying to gurgles and coos. Normal adult response to a pre-language child is to be highly responsive to the vocalizations with their own verbal responses (Feierband 1992). Hall (1998) pointed out the importance of appropriate multi-sensory stimulus during the period of synapse development in the infant. So what happens in the next five years of development, that the normal expectation of the beginning school child is to be musically virtually illiterate and musically ignorant, despite having, at birth exhibited natural fluency with sound and manipulation of sound? Is it the problem of confusing competence with the vocabulary to describe the competence, or to fulfill tasks that are adult set that either confirm competence or otherwise? Virtually all children have the ability to sing in tune, although vocal quality will be different as each voice is unique, has its own timbre, and is naturally produced based on the vocal modeling during formative years (Wright 1991). Many researchers have noted strong connection with musical development and the home musical environment (Wright 1991). Wright cites Buckton (1983) who found that Polynesian children sing more accurately than children of European descent when they have been brought up in their cultural context that involves much singing. The same is true of Maaori children, but the difference disappears for Maaori children brought up in an urban setting away from regular involvement with cultural surrounds and experiences. Wright (1991) lists child initiated musical experiences as: individual songs or dances, (e.g. while engaged in other activities), group chants arising spontaneously, exploration of instruments, improvised sound-making with unconventional materials during play, use of props for dramatic ideas, and singing and dancing during dramatic plays. The New Zealand Scene In the New Zealand education system there is a definite gap in the expectation and practice of music in the kindergarten setting and the early elementary setting. There is much emphasis on pre-reading, pre-math and pre-science skills with accuracy, in preparation for school. However, there is not a requisite understanding of the creative aspects of the arts, music in particular, and the inherent musicality of the child. Rather it is the scientific accuracy model that is applied all too often: keeping in time, getting it ‘right’. The literature supports the view that creativity is inhibited by teaching always leading to competency (Pond 1981, Campbell 1998). This by inference means that when the children make music, it can be got ‘wrong’ and become an inhibiting factor in children’s exploration and experimentation with sounds: their voice and sound producing objects, as well as musical instruments. There are different individual places where creativity and open play with music is being encouraged in the elementary school. Marimbas are being bought by many schools in New Zealand, since three children can play at once on the 4 octave marimbas that are being made locally. Some schools that have the facility for doing so are placing marimbas outside on a covered deck in the mornings, so that children can arrive early for school and play on them and play together. New Zealand children have a whole school simultaneous hour break for lunch. Children are required to sit for 20 minutes in most places to ensure that they do eat their lunch, but the remaining time is for free play, and this time is also used for sports practice and club meetings, and now marimba is part of that. It would be interesting to visit these schools after this practice has been going on for some time and test the musical knowledge and experience of these children. There is much international research on the use of music education in the early childhood setting, reflecting a planned use of music in preschool education for nearly 400 years. (Scott-Kasner 1992). However, most of the research has been conducted on children in the younger school years, rather than in any formal pre-school setting. These studies have focused on adult guided tasks, in which the children are required to respond to manufactured events (Moog 1976). An alternative model was the Pillsbury Project, where adults stepped back, and allowed children to direct the music making (Pond, 1981). A composer by profession, Pond writes of his intentions when being involved in the setting up of this music preschool as its musical director: I had no intention of trying to assess statistically in any way the comparative musicality of the children whose activities I was to observe… I had no intention of trying to compare and weigh individual achievements… I had no intention of trying to measure any child’s progress… I had no intention of trying to determine how soon and by the exercise of what methodology the children might be brought into the mainstream of traditional musicianship… I had no intention of teaching the children anything about music, except those things that their ongoing experience called for… I had no intention of inventing and administering any tests… to measure the comprehension of (music understanding). (p.1) Shelley (1981) supports the philosophy that was the basis of the Pillsbury school and encourages further research into children’s musicality. She suggests that, since a researcher attempting to study children’s natural musicality would be dealing with non manipulative variables and could not predict spontaneous occurrences, the use of direct observation would be an essential factor for research design in such a setting. The focus of such research studies yields valuable data when it is focused on identifying the music capabilities of the young child, inquiring into what already exists in the realm of the child’s spontaneous expression. Limitations of the Study This study is an analysis of the data collected at eight kindergarten sites during a single visit to each site. It is not a comprehensive record of all music and extra-music events at each site, since the video cameras were not able to pick up all activity, nor was the researcher able to observe all musical events. However it is a record of a high proportion of the music activity that occurred at each site, because the video cameras were set at optimal angles and the researcher was able to follow aural cues when music events were happening. Because the same conditions occurred at each site the comparison between the sites uses data similarly collected. Clarification of Terms It is important at the outset of this study to clarify terms which have different meaning in the education systems of different countries. Kindergarten. This research has been conducted in New Zealand, where the use of the word Kindergarten is used to describe a government funded universal pre-school education available to all children prior to attending primary/elementary school, which they commence on the date of their fifth birthday, whatever time of year this occurs. Kindergartens operate early childhood education for children from three to five years of age. In general, three year old children attend afternoon sessions for $2 \frac{1}{2}$ hours for three afternoons a week, while the four-year-old children attend five mornings a week. The kindergarten session normally runs for three hours in the mornings and two and a half hours in the afternoons. Mobile kindergartens are also available in some rural areas. Teachers in kindergartens, including the mobile kindergarten service, are trained and hold the Diploma of Teaching and must be registered teachers. Parent participation is encouraged in the kindergarten program. The kindergarten movement was the first early childhood service to be recognized by the New Zealand government in the 1890s. Each kindergarten has its own parent committee but management responsibility lies with regional kindergarten associations. This research was carried out in the Central North Island Kindergarten association. Over 95% of children begin school on their fifth birthday, although school is not compulsory until the age of six. School entry is flexible throughout the year, with children enrolled at any time after they turn five years of age. At the 1997 census (the latest census preceding the collection of data) 55% of 4 yr old children attended a public kindergarten. The balance of the other 4 yr old children attended Childcare Centers (29%), Playcentres (7%) and Kohanga Reo (6%).(1997). The remaining children had home-based care (2.3%), or received kindergarten material via correspondence school (0.8%)(1997) Mat time. Mat time is the formal whole class time in a kindergarten session. It will last for less than 10% of the time of the session, the other 90% will be spent in free play or self selected small group activity which is either teacher initiated or child initiated. Refer to the interview transcript (Appendix B) for a full description of how a representative New Zealand kindergarten session will take place. Maaori. The indigenous people of New Zealand are Maaori. Traditional spelling of this term has been ‘Maori’, but the first vowel sound is long, which can also be indicated by the use of a macron. The more accurate spelling is the double ‘aa’. Poi. A poi (in Maaori the plural is nga poi, but is acceptable in English usage as pois) is a traditional Maaori dance apparatus which also can be used in body percussion. It is a soft ball, about the size of a tennis ball, on the end of a thick cord about the length of a forearm, and is traditionally made of flax (harakeke). In the kindergartens there are sets of pois, made from plastic covering on soft filling. Purpose of the Study This study describes current musically activities for four-year-old New Zealand children, in their play and in the teacher initiated activities occurring in the kindergarten preschool setting. It endeavored to find out what is current practice in the kindergartens, and to compare this with the requirements of Te Whariki, the nationally mandated curriculum document, and known theory of children’s musicality. The following research questions were asked: 1. What activities are taking place when music making is occurring? 2. Are there opportunities for informal music making? 3. What timbre exploration is evident in formal and informal settings? 4. What pitch range is exhibited in formal and informal settings? 5. What effect does the teacher’s vocal modeling have on the children’s singing? There is much written about pre-school children’s musical experience, but not in the New Zealand context. This project will contribute indigenous data to the existing body of knowledge. CHAPTER II REVIEW OF LITERATURE Introduction Children are inherently musical. They are born with fully developed auditory function, which has been demonstrated by Muir (1985) who showed that young infants responded differently to music played to them while still in-utero than they did to music previously unheard, in later listening recall exercises. With new methods of measuring response, it is possible to measure and analyze even the youngest infant’s reactions to music. Standley (1998) has ground breaking research that has highly significant implications for the quality of life and health of premature and newborn babies. Her work has resulted in data that confirms the positive efficacy of music on these tiny lives, including increased growth rate, improved oxygenation, and shorter hospital stays. She cites evidence of reception and discrimination of auditory stimuli on the fetus early in development, with fetal response to loud stimuli at 18 weeks gestation, movement response at 25 - 27 weeks gestation, and fully developed hearing at 29 weeks gestation, all of which point to the sensitivity of the pre-born and newborn child to sound in all of its parameters. This concept of the musicality of the newborn child is not new. Moog (1976) quotes earlier studies that noted the pre-birth responses of a baby to sound, and research that confirmed the accepted knowledge that a gentle tonal lullaby has a soothing effect on a baby, with a rhythm similar to the swaying of a cradle. Standley also notes this affinity the newborn has to the voice using ‘parentese’ (speech with songlike qualities) and the calming effect on the premature baby. Perry (1993), writing in the Handbook of Research on the Education of Young Children, makes strong statements about the inherent, and essential, nature of music in the lives of newborn and young children. He asserts that the elements of music reflect the organization of the child’s human central nervous system, and that music reproduces many of the behaviors and experiences necessary for human social and emotional interaction. Children’s natural physical response to music is a further indicator of the centrality of music to the human psyche. Consequently, in including music naturally as part of a child’s world, the educator is assuming, and building, those links between the efficacy of music and the child’s neurological functioning and normal social communication. He cites Mead who stated that music is a “fundamental human need that bridges cultural diversity.” (Mead 1972 p. 208) Moog (1976a) further states the essential nature of music in the life of a child when he reflects on the musical behaviors noted in his research. He finds that the pleasure infants demonstrate when music is played indicates an emotional response, in addition to a kinesthetic response. Their affective response has been shown to be independent of basic functional needs of discomfort of wet diapers, or need for food or rest. It is related to something which brings pleasure simply from the perceived sound. Child Development Stages Infancy The physical development of the new born child is rapid. The child’s body grows at a faster rate in the first two years than at any other time in their life, accompanied by quickly increasing physical dexterity. By the age of two, children can walk, run, jump in place, pick up small objects with their fingers, and build towers with blocks (Thompson 2003). The brain development is also exponential during this first two years and it is here that the synapses of brain function are being secured and the neural pathways being laid down (Stasos 1997). The senses develop as children are exposed to normal stimulation, which facilitates the brain development; the visual pathways are laid down as the child receives normal visual stimulation. (Thompson 2003). The cognitive development infants experience establish the pathways for future learning. After a few months infants show special interest in objects that look or feel different from familiar ones. Early in the first year they acquire object permanence, the concept that objects and people continue to exist when they cannot be seen (Thompson 2003). By eight or nine months their memory abilities have improved, they can imitate behavior witnessed a day earlier, and by the time they are one year old can recognize the difference between an animal and a bird. They are fascinated with making things happen, i.e. learning about cause and effect and thus discovering the consequence of actions. Around one year old is the time that most babies start using comprehensible language. The preceding few months they are using speech sounds, babbling with the sounds of the language they are acquiring. Vocabulary growth at first is slow, but by 18 months of age it begins to grow exponentially. By the age of two simple sentence structure is normal e.g. ‘more juice’. (Thompson 2003) The infant’s social and emotional development establishes their growing personality and ego. Young children vary in their temperamental qualities. Inborn characteristics like mood, adaptability, activity level, alertness and responsiveness levels affect their response to situations, and tolerance of stress. Social relationships are the basis for managing and developing the emotional and temperamental individuality. Young infants exhibit a variety of emotions, including joy, distress, surprise, interest and sadness. By the end of their first year children have developed emotional attachments to their parents and other regular caregivers. Musical development of the infant has been researched and shows a continuum with the pre-birth skills babies evidence. Young infants are already sensitive to, and responsive to sounds (Muir 1975). They show fascination with sound making toys and objects, and show recognition for familiar music. Young children prefer consonance over dissonance, illustrating this by giving attention to the consonant sounds while looking away more quickly when hearing the dissonant sounds (Trainor and Heinmiller, 1998). Decaspar and Fife (1980) found that infants can recognize their mother’s voice. Kolata (1984) wrote that infants can recognize stories and songs heard in the last trimester of development, and Standley and Madsen (1990) reported that, within the first month of life, infants can associate sound and stimulus in ways that evidence discriminatory ability. Hodges (1994) asserted that the neonate infant cannot discover the outside world, but can respond to sound. Nash (1997) wrote of babies’ ears, so tuned into sound that their hearts beat faster when their parents make eye contact and talk in a melodious voice. Shetler (1985) made some interesting discoveries with a longitudinal study, of babies who did or did not receive systematic musical stimuli before birth. He then interacted with the children every two months until they were six years old. He found that the infants who received systematic prenatal music stimuli imitated sounds accurately, and appeared to structure vocalization much earlier than those who did not have prenatal music stimulation. Wilkin’s (1993) study also examined pre and postnatal music responses, and found that babies at 38 weeks gestation had memory for music heard via headphone on the mother’s stomach. The four tracks were: white noise, a Beethoven piano sonata, a Palestrina Kyrie, and a rock instrumental from Emerson, Lake and Palmer. The babies showed positive response to the Beethoven and Palestrina, via heart rate deceleration and active response, and discomfort to the rock music, with easing of discomfort during the piano solo section of the rock music track. Early Childhood Physical development. As the body grows, the strength and coordination skills increase so that a child of four can reasonably be expected to throw a ball, ride a tricycle, and draw with a crayon. (Thompson 2003). Young children have the potential for mature skill development in most fundamental movement skills (Gallahue 1993). Approaching their second birthday, the struggle with forces of gravity have been mastered, they are able to move about freely, and they are involved in developing a wide variety of stability, locomotor and manipulative movements. Gallahue cites his own summary from a previous publication, of the phases of motor development for children. (see Table 1.) Gallahue further states that the development of mature fundamental movement skills is basic to the motor development and movement education of young children. A wide variety of movement experiences provide them with a wealth of information on which to base their perceptions of themselves and the world around them. Two year old children respond actively to rhythmic music (Wright 1991). She notes that young children’s body rhythms are often faster than the comfortable body rhythms of an adult, one factor being that their legs are shorter and they take faster steps. They tend to keep to one movement during a song, such as bobbing up and down. Three year old children’s motor skills have developed further and they enjoy moving through space for sheer pleasure. It is at this age that their movements show greater synchronization with music for short periods of time. Four-year-old children are ready to learn movement patterns, like actions to simple songs and simple dances. Because they are beginning to more clearly identify and express the beat in music, this enhances their movement responses. Careful listening of the young child is central to their ability to respond through movement to music (Campbell and Scott-Kassner 1995), and it is through movement that their understanding of rhythmic patterns and durations, of melodic rise and fall, of phrasing and tempo can be demonstrated. The following of the musical pulse is one of the milestones in musical development. Moog (1976b) observed that, from the age of four to six, there is considerable progress in keeping time with music through movement, both for a short stretch of time, but also sustained for longer periods of time. He noted that the number of subjects that could keep time consistently doubled between the ages of four and six. Cognitive development. Young children are fascinated with what goes on in people’s minds. At age two they are aware that intentions guide people’s actions. At age three they can appreciate that beliefs and desires are unique to the individual and by age five they realize that thoughts may not reflect reality; people can be fooled. (Thompson 2003) Siefert (1993) notes four areas of information processing that can be considered when investigating the thinking processes of young children: the nature of short term memory, the development and effectiveness of thinking strategies, the origins and nature of long term memory, and the nature of basic mental architecture for processing information. However he further states that assessing cognition in young children is like the old story of the blind man describing the elephant. Although cognitive theorists are not blind, they do examine different parts of children’s thinking, highlight different cognitive processes and structures, and present different metaphors for cognition. The multiple meanings that result are not always consistent. But they are desirable for early (childhood) educators, provided that they stimulate broader, more flexible practices in teaching young children.” (p.9) Moog (1976) states that one of the most important characteristics of thought for a child aged four to five is the continuing need for thinking to be attached to an actual object or sense impression. Logical thought becomes more adept, as does the ability to analyze the environment, while at the same time the fantasy life exists side by side with this world of objective reality. The egocentric babyhood has been left behind, and the child shows concern for other people, lived out in the fairy tales, but worked out in the social world of the child. Katz (1997), in developing her summary of research as foundation for an early childhood curriculum, notes that the normative dimension (what children can do) needs to always be balanced with the dynamic dimension (what children should be doing). She clarifies this by noting that the teaching of math and reading skills to young children, who may be ready for the skill but not the concepts, may lead them to be less inclined to be natural readers and users of numeracy later in schooling. She refers to the grade 2 ‘washout’ phenomenon. Social and Emotional Development. The three year old who insists on ‘doing it myself’ is revealing a developing self awareness. In the early childhood educational context, children correct themselves as they are drawing, tying shoelaces, and performing other skills, demonstrating their growing capacity for self monitoring and their motivation to be competent. As they develop their sense of self and learn to negotiate, resist and assert their own preferences, conflict arise with caregivers (the terrible twos). Simultaneously, caregivers set limits and expect compliance. Resolution of conflict can be valuable source material for social and emotional understanding for young children (Thompson 2003). Young children are more attuned to their internal state than to external reality, because they do not have the abstract principles that allow adults to interpret and structure their world (Wright 1991). Instead, they are extremely attuned to sensory and perceptual qualities of understanding. Consequently, the way in which young children respond to their surroundings often does not make sense in an adult’s mind. In the first five years of life critical ideas and perceptions of life as part of relationship are learned. In such relationships basic emotional stages are mastered, and these become the first cognitive lessons, as stated by Wieder and Greenspan (1993). They assert that healthy relationships throughout childhood are critical for emotional development, which in turn creates the basis for learning in several important areas. \| Stage \| Description \| \|----------------------------------------------------------------------\|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\| \| Homeostasis: Self regulation and interest in the world \| During this stage ego organization, differentiation and integration are characterized by a lack of differentiation between the physical world, self, and object worlds. Ego functions include global reactivity, sensory affective processing, and regulation. \| \| Attachment (2 - 7 months) \| During this stage the functioning of the ego is characterized by intentional object seeking, differentiations of the physical world and the human world, and global patterns of reactivity to the human world, through pleasure, protest, withdrawal and diffuse discharge of affects. \| \| Somatopsychological Differentiation: Puposeful Communication (3 - 10 months) \| During this stage the differential use of the senses is most evident. The infant seems capable of almost the full range of emotions, but needs the reciprocal signaling from parent to learn the emotions are different. The ego is now able to differentiate aspects of emotional experience but not in a representational form. \| \| Behavioral organization, initiative and internalization: a complex sense of self (9 - 18 months) \| At this stage the infant is able to sequence together many cause and effect units into a chain or an organized behavioral pattern. This is not so for emotions as yet, so when angry they lose sight of the fact that this is the same person they love. During this stage ego structure formation is undergoing rapid progress, and deficits of experience as well as conflicts between behavioral affective tendencies may undermine structure formation. \| \| Representational capacity (18 - 30 months) \| The capacity of the ego organization to now represent experience in pretend play and words, and therefore go beyond behavioral discharge, helps the toddler diminish anger and aggression without a sense of inhibition in order to still feel satisfied and gratified. \| \| Representational Differentiation (24 - 48 months) \| Representational elaboration and differentiation creates the basis for internal life to be symbolized and categorized along dimensions of self and non-self, affective meanings, time and space. The categorization of experience in turn becomes the basis for basic ego functions, new relationship patterns, more differentiated and internalized conflicts, higher level defenses and psycho-social advances. \| These include the ability to communicate and use language, problem solving, and the development of self esteem. Since they consider these statements to have been well proven they state that parents, teachers and other care givers play a major role in a child’s healthy emotional development and therefore in his ability to learn. Greenspan’s developmental-structuralist theory proposes an integration of development and individual differences in a model which focuses on emotional experience. The theory observes six general emotional stages of early development, and they are summarized in Table 2 (1993, pages 78 -80): Musical Development. Gardner (1992) records the prominence of song imitation qualities found in the speech of children in the first year of life, and an ability to match pitch with some degree of accuracy. In their second and third years he sees their vocal development as playing with pitch, which Gordon (1989) labels as musical babble, then moving into spontaneous song, also explored by Campbell (1991). Davidson (1984) described this playing with pitch as the beginnings of ‘contours schemes’ leading later to ‘outline songs’. Dowling (1984) described melodic contour as ‘gross features’ which developmentally led to the more precise pitches of tonality. Pond (1992) wrote of children’s natural musicality from his experience leading the Pillsbury Foundation School, a school set up for the express purpose of studying the spontaneous music and musicality of young children. Between 15 and 23 three to six year old children were enrolled in the school (1937 - 1944), with no preference given to musically gifted children. Through active involvement daily with the children, Pond concluded that children’s songs are either chants, using what Bernstein (1973) called the universal intervals, and songs, described elsewhere as spontaneous songs. More than just codifying, he found the children to be naturally highly creative. He wrote: (1981) I heard melodies that no music teacher I had ever met could refrain from ‘correcting’ to make them conform to her exiguous understanding of the nature of melody. I heard rhythm patterns and polyrhythmic inventions that no conventionally trained teacher ever could teach a child to count - and if he could not count, what was it? Zimmerman (1968) viewed musical intelligence as an organized structure of musical concepts based on perception. The individual perceptions of the infant’s musical experience lead to recognizing the relational processes between perceptions and a growing comprehension of musical concepts. Gordon (1997) reported on audiation, the skill of hearing music internally that is not physically audible, and stated that it is a necessary skill in the musical development of young children. Moorehead and Pond (1978) summarized the findings of the Pillsbury Foundation School with four insights. For young children: music is primarily the discovery of sound, children’s time with music should include their deliberate and active involvement, planned music time should consider social and environmental factors, and spontaneous music making should be carefully observed. McDonald (1992) stated that the curriculum for early childhood music should be built around learning to sing, to move, to hear, and learning how to learn about music. Shelly (1981) duplicated the Pillsbury model and reached similar conclusions, finding that the sequence of skill acquisition matched, with concepts developed in the following order: volume, timbre, tempo, duration, pitch and harmony. Kesson (1979) described infants imitating pitch at age 40 days. Zimmerman (1982) suggested two ways of approaching music with children: using ‘building blocks’ of the concepts and fitting the parts to the whole, or viewing the aesthetic whole before examining the parts. Peery (1986), Hargreaves (1984), and Bradley (1971) found that familiarity of music listened to, helps to establish preference in the young child. Montessori (1964), asserted that children learn from both people and a prepared environment, and designed specific musical activities and equipment to implement this theory, such instruments and activities would be found in every Montessori center around the world. Carbo-Cone (1971) followed similar principles in her classroom design, also along the lines of the Pillsbury project, where the equipment and the children’s freedom of space allowed them the room and the freedom to experiment and play as they wished. She discovered that their natural creativity led them to unique discoveries and compositions. Musical aptitude and ability appear to follow progressive development until age 8 or 9 when, according to Gordon (1984), the development stabilizes, and according to Petzold (1966) it plateaus. Feierabend, Saunders, Holahan and Getnick (1998) tested audiation skills in preschoolers and found that text made songs easier to recognize, when heard with or without the text, and that distinctly different melodies were easier to identify than similar melodies. That rhythmic behavior of infants is innate has been stated by Hodges, observing rocking and patting in response to music and in individual play(1996). Wolff (1967) ascribes early rhythmic behavior to the control of “…endogenous micro rhythms, which are the forerunners of the internal time bases that regulate motor co-ordination in older children and adults.” Moog (1976b) made detailed study of the musicality of young children and noted that “from the age of about two, children … begin to show a kind of behavioral response which is most unexpected in lively youngsters; it is motionless concentrated, attentive listening to music, extending over several minutes.” (p. 41) He also discovered natural singing ability, and noted that 80% of the children at age 3 could imitate pitch and words and rhythm, prior stages of singing having been words and rhythm, preceded by words only. Trainor (1998) found that infants to the age of six months exhibited similar reactions to consonance and dissonance as adults, showing sensitivity to harmonic sounds at a remarkably young age. Early Childhood Music Therapy There are strong links between the holistic nature of early childhood education and the extra musical functions of music therapy. Humpal (2001) has stated that music therapy can provide a variety of extra music experiences in an intentional and developmentally appropriate manner to effect changes in a young child’s behavior. The aim of such activities is to facilitate such things as development of a child’s verbal, social/emotional, sensori-motor, and/or cognitive skills. Because music therapy is a non-threatening medium, with no musical outcomes, and so open to any achievement, unique outcomes are possible. Young children may be captured by the music, and be led to achieve or attempt things they might otherwise reject due to inhibition, fear, or pain. The tenets of music therapy, although extra musical in function, nevertheless serve as a perfect fit alongside the guidelines of the MENC School Music Program for early childhood education. The open ended nature of the music therapy session is what is appropriate for creative music making within the mainstream early childhood center. Wright (1991) agrees, commenting on mainstream education. For appropriate early childhood classroom music experiences, she believes that music should be viewed less as a subject to be taught and more as an experience to offer to children. In addition, if the teacher enjoys the music activities and actively participates in them, whether expert or not, children are likely to respond heartily and creatively. Music therapy with young children is focused on building relationships; with the music, with the therapist, with other children and with the child’s family. It is the working out of these relationships through the elements of music that set the occasion for successful growth (Humpal, 2001). The focus and content of a music therapy session are illustrated by the following example. Music therapist Mary Ellen Wylie described her work with young girls with Rhett’s Syndrome$^1$. She met with each girl individually for 30 minutes a week to promote purposeful hand use and began the music therapy sessions by singing a song about clapping hands and tapping knees. A mix of familiar and new songs followed; each song had been composed or selected to be paired with a specific instrument…that would require hand usage. The songs were repeated $^1$ A progressive neurological disorder affecting only girls. After a seemingly normal infancy, girls with Rhett’s Syndrome deteriorate in cognitive function, social, speech and motor function. Clenching and wringing of hands is very common. Music therapy is mentioned as a therapy of choice for this condition (Hadsell and Colemann1988). several times per session, and each girl was able to expand the length of time she was able to play purposefully. (p.12) Davis (2001) notes that music therapy is not curriculum driven, rather it is tailor made to fit the strengths and needs of the client, in this case the early childhood education child. Davis worked in a mainstream early education program with special needs children attending. She designed and implemented her own program over a twelve year period. A music session would typically include singing and chanting, playing instruments, moving, composing or creating, and listening. During each class music session the children are involved in individual decision making, in what instrument to play and which child to chooses as a partner. Every session also will include a gross motor activity, particularly important with the younger children. One of the places where music therapy is practiced is in the children’s hospital, and it is here that efficacy of music reaching the child of any age can be evidenced. Robb (2001) writes about the verbal and language cognition skills of young children and the fact that this can lead to misconceptions about the hospital and the treatment they are going to receive. Because the child’s perception is characteristically egocentric, and they have limited ability in abstract thought, the music therapist will design activities that build on imagination and play as the vehicles for relieving stress, and gaining some comprehension of what is happening to them. National Standards: United States In 1994 the first national, voluntary standards for K - 12 education in The Arts was published. This was a result of national consultation and consensus between organizations and individuals representing all sectors of the Arts: educators, parents, artists, professional education and arts associations, educational institutions, philanthropic organizations and leaders from government, labor and business. The development period was 24 months and was guided by the Consortium of National Arts Education Associations. The arts are defined to include dance, music, theatre and visual art. This was part of a larger effort to develop national standards for k-12 education in other curriculum areas: history, science, language arts, geography, civics and government, along with other disciplines. The publication of The School Music Program: A New Vision (MENC 1994) is the discipline specific document for music education, which supercedes the 1986 document: The School Music Program: Descriptions and Standards. The purpose of this document is threefold: (1) to create a coherent vision of what it means to be educated in music; (2) to provide a foundation for building a balanced, comprehensive and sequential curriculum in music, and; (3) to provide specific assistance in improving the music curriculum. For the k-12 levels there are nine national voluntary content standards, and these are set out in three broad grade bands: k - 4, 5 - 8, and 9 - 12. They are set out in Table 3. Table 3: United States National voluntary content standards. \| Skill \| Descriptor \| \|-----------------------\|---------------------------------------------------------------------------\| \| Singing \| Alone and with others using a variety of repertoire \| \| Performing \| On instruments, alone and with others, a varied repertoire of music \| \| Improvising \| Melodies, variations and accompaniments \| \| Composing & Arranging \| Music within specific guidelines \| \| Reading & Notating \| Music \| \| Listening \| To music, live and recorded, analyzing and describing it. \| \| Evaluating \| Music and music performances \| \| Understanding \| Relationships between music, the other arts, and the disciplines outside \| \| \| the arts \| \| Understanding \| Music in relation to history and culture \| For pre-kindergarten education, there are four content standards, accompanied by a set of achievement standards. The content standards are: (1) singing and playing music; (2) creating music; (3) responding to music, and; (4) understanding music. The procedure for formulating these early childhood standards was not part of the process for the development of the National Standards for Art Education, but the writers of this document recognized the importance of pre-kindergarten music education, and it’s part in preparedness for school. A set of statements, first published in 1992 as MENC Position Statement on Early Childhood Education, constitute the underlying beliefs for this set of standards: 1. All children have musical potential 2. Children bring their own unique interests and abilities to the music learning environment 3. Very young children are capable of developing critical thinking skills though musical ideas 4. Children come to early childhood music experiences from diverse backgrounds 5. Children should experience exemplary musical sounds, activities, and materials 6. Children should not be encumbered with the need to meet performance goals 7. Children’s play is their best work 8. Diverse learning environments are needed to serve the developmental needs of many individual children 9. Children need effective adult models. Activities that should be included for infants and toddlers in early childhood education are set out in table 4. Table 4: United States Early childhood music experiences. \| Experience \| Descriptor \| \|-------------------------------------------------\|---------------------------------------------------------------------------------------------------------------------------------------------\| \| Singing and chanting \| .. to, and with the child, using songs and rhymes representing a variety of meters and tonalities \| \| Imitating \| ..the sounds that infants make. \| \| Exposing \| ..the child to a wide variety of vocal, body instrumental and environmental sounds \| \| Providing exposure \| ..to recorded and live music \| \| Rocking, patting, touching and moving \| ..with the children, to the beat, rhythm patterns and melodic direction of music they hear. \| \| Providing safe toys \| ..that make musical sounds that the children can control \| \| Talk \| ..about music and its relationship to expression and feeling \| Music for two, three and four-year-old children should be in an environment that includes a variety of sound sources, selected music and opportunities for free improvised singing and the building of a repertoire of songs. It calls for an exploratory approach, using a wide variety of appropriate materials such as music instruments and found sounds, and provides a rich base form which conceptual understanding can grow. The Pre-kindergarten standards, and their accompanying achievement standards are found in Table 5. The document emphasizes that performance is inappropriate at this age, as being counterproductive to the exploratory play basis of learning. Children in such a program are expected to initiate both independent and collaborative play with musical materials, and demonstrate curiosity about music. Table 5: United States Pre-kindergarten music standards. \| Content Standard: \| Achievement Standard \| \|-------------------\|---------------------\| \| Singing and Playing Instruments \| Children will: use their voices expressively as they speak, chant and sing, sing a variety of simple songs in various keys, meters and genres, alone and with a group, becoming increasingly accurate in rhythm and pitch, experiment with a variety of instruments and other sounds, and play simple melodies and accompaniments on instruments. \| \| Creating music \| Children will: improvise songs to accompany their play activities, improvise instrumental accompaniments to songs, recorded selections, stories and poems create short pieces of music, using voices, instruments and other sound sources, and invent and use original graphic or symbolic systems to represent vocal and instrumental sounds and musical ideas. \| \| Responding to music \| Children will: identify the source of a wide variety of sounds, respond through movement to music of various tempos, meters, dynamics, modes, genres and styles, to express what they hear and feel in works of music, and participate freely in music activities. \| \| Understanding Music \| Children will: use their own vocabulary and standard music vocabulary to describe voices, instruments, music notation, and music of various genres, styles and periods from diverse cultures, sing, play instruments, move, or verbalize to demonstrate awareness of the elements of music and changes in their usage, and demonstrate an awareness of music as a part of daily life. \| There is some commonality between the national standards in the United States and the newly implemented Arts curriculum in New Zealand. To better understand the New Zealand education system, a brief synopsis follows. Unlike the United States, there is a nationally mandated curriculum, issued by the Ministry of Education, which applies to every educational institution in the country that receives government funding. There is no voluntary aspect to this, and the implementation is monitored by the Education Review authority who conduct regular assessments across all educational levels. National Standards: New Zealand The school curriculum Education in New Zealand has been going through reform since 1989 and the introduction of ‘Tomorrow’s Schools’ a government initiative giving more autonomy to schools via bulk funding and self government. It led to the formation of a board of trustees for every elementary middle and high school, who have governance and responsibility for all the aspects of the school, from appointment of staff, and care of plant, to the philosophical direction of the school. Every curriculum has also being rewritten under a new curriculum framework, which has seven subjects: Language and Languages, Mathematics, Science, Social Sciences, Technology, Health and Physical Well-being, and The Arts. The Arts curriculum was the last document to be rewritten and was released as a trial in 2000, released as a final document in 2001 and is gazetted to be fully implemented by 2004, with current contracts being run for teacher professional development in the new document, both in the new emphases for Music and Visual Art, and the new Arts curriculum subjects of Dance and Drama. Prior to curriculum reform, music was one of twelve subject areas, as was visual art. Following curriculum reform, music is now part of the Arts strand which is one of seven learning (curriculum) areas. The full list of curriculum areas is: language and languages, math, technology, science, social sciences, health and physical well-being, and the Arts. Previously visual art and music were distinct disciplines, however they have now been combined along with drama which has been taken out of (although still part of), language, and dance which has been taken out of (although still part of), physical education. Government mandates require that visual art, music, drama, and dance are to be available as distinct disciplines in the schools up to Year 10, but the practicalities of timetabling, and dearth of multi discipline teachers make the implementation road ahead fraught with difficulty in the school system. The Arts Curriculum has been structured so that each art is delivered under the same guidelines. There are four strands: developing practical knowledge in the arts, developing ideas in the arts, communicating and interpreting the arts, and understanding the arts in context. The four learning strands in each arts curriculum area are not expected to be applied in isolation. In the body of the document the appropriate strands are noted beside the learning examples. The Achievement objectives are written out specifically for each art form from the content of the strands, and then applied to eight levels. Levels one through four are expected to be covered in elementary school, level five at intermediate/middle school, and levels six through eight are the specialist senior high school levels. To illustrate the functioning of this document, the following table (Table 6) is presented, showing the wording of the strands for level one across the arts: The Early Childhood Curriculum The Early Childhood Curriculum, Te Whariki, was released in 1996. It is to be implemented in early childhood situations that are government approved and funded. The main focus is on the kindergartens which are the designated early childhood educational institution, but is also implemented in other early childhood settings. There are four broad principles at the center of the early childhood curriculum as stated in table 7. \| Level 1 \| Dance \| Drama \| Music \| Visual Arts \| Strand \| \|---------\|----------------------------------------------------------------------\|----------------------------------------------------------------------\|----------------------------------------------------------------------\|----------------------------------------------------------------------------\|---------------------------------------------\| \| \| Students will explore through movement the dance elements of body awareness, space, time, energy and relationships \| Students will explore elements and techniques of drama \| Students will explore and respond to the musical elements of beat, rhythm, pitch, tempo, dynamics and tone color \| Students will explore elements and principles of the visual arts using a variety of techniques, tools materials, processes and procedures \| Developing practical knowledge \| \| \| Students will use personal experiences and imagination to express ideas in dance \| Students will contribute ideas and participate in drama, using personal experiences and imagination \| Students will select and organize sounds, and express ideas, drawing on personal experience and imagination \| Students will express visual ideas in response to a variety of motivations, using imagination, observation, and invention with materials \| Developing Ideas \| \| \| Students will share movement through informal presentation and respond personally to their own and others’ dance \| Students will share drama through informal presentation and respond to ways in which drama tells stories and conveys ideas \| Students will share music making with others through informal presentation, and respond to live or recorded music \| Students will express ideas about their own work and respond to objects and images made by others \| Communicating and Interpreting \| \| \| Students will demonstrate an awareness of dance as part of community \| Students will identify drama as part of everyday life and recognize that it serves a variety of purposes \| Students will identify music as part of everyday life and recognize that it serves a variety of purposes \| Students will identify objects and images in everyday life and recognize that it serves a variety of purposes \| Understanding the arts in context \| Table 7: The Principles of Te Whariki: Early Childhood Curriculum \| Principle \| Descriptor \| \|--------------------\|-----------------------------------------------------------------------------\| \| Empowerment \| The early childhood curriculum empowers the child to learn and grow. \| \| Holistic Development \| The early childhood curriculum reflects the holistic way children learn and grow. \| \| Family and Community \| The wider world of family and community is an integral part of the early childhood curriculum. \| \| Relationships \| Children learn through responsive and reciprocal relationships with people, places, and things. \| Strands and Goals The strands and goals arise from the four principles. The whariki (mat) is woven from these four principles and the following five strands, or essential areas of learning and development. The principles and strands together form the framework for the curriculum. Each strand has several goals. Learning outcomes have been developed for each goal in each of the strands, so that the whariki becomes an integrated foundation for every child’s development. Any subject specific curriculum content is subsumed under these strands, with creativity and expressiveness being seen as a direct part of Strand 4: Contribution and Strand 5: Communication, with extra musical application in the other three stands. (Online source: Te Whariki 1996) \| Strand \| Goals \| \|---------------------------------------------\|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\| \| Well-being – Mana Atua \| Children experience an environment where: 1 their health is promoted; 2 their emotional well-being is nurtured; 3 they are kept safe from harm. \| \| Belonging – Mana Whenua \| Children and their families experience an environment where: 1 connecting links with the family and the wider world are affirmed and extended; 2 they know they have a place; 3 they feel comfortable with the routines, customs, and regular events; 4 they know the limits and boundaries of acceptable behavior. \| \| Contribution – Mana Tangata \| 1 there are equitable opportunities for learning, irrespective of gender, age, ability, ethnicity, or background; 2 they are affirmed as individuals; 3 they are encouraged to learn with, and alongside others. \| \| Communication – Mana Reo \| 1 they develop non-verbal communication skills for a range of purposes; 2 they develop verbal communication skills for a range of purposes; 3 they experience the stories and symbols of their own, and other cultures; 4 they discover and develop different ways to be creative and expressive. \| \| Exploration – Mana Aoturoa \| 1 their play is valued as meaningful learning and the importance of spontaneous play is recognized; 2 they gain confidence in and control of their own bodies; 3 they learn strategies for active exploration, think and reasoning; 4 they develop working theories for making sense of the natural, social, physical, and material worlds. \| There is much national and international support for Te Whariki as a positive document to implement effective early childhood education in various settings, as well as ongoing research to examine how it is being used as a curriculum across the different early childhood education providers (Carr and May 1996). Willberg (1999) states that, for music, the advantage is that it can be justified for any strand on any level, but a musical hat needs to be worn in order to see how this can be implemented. She sees many ways in which music can play a central part in the implementation of Te Whariki. She suggests for ‘belonging goal 1’ that songs that are sung in the home can also be included as part of the repertoire of the early childhood center. Singing songs of the indigenous people of New Zealand the Maaori, as well as songs from Samoa and Nuie and Tokelau, extends the children’s experience of the range of cultures that are part of the country. She notes that it is difficult for the generalist early childhood teacher to have access to such resources, since there is not time in their training to familiarize them with the possibilities of wide ranging music listening and performing possibilities. Research Design Many writers have noted the difficulties of conducting research on young children, particularly when the data sought are child initiated and involve spontaneous actions. In writing about the strictures of researching children in their own setting, Walsh, Tobin and Graue (1993) listed three requirements: that the research is conducted in a natural setting, that stress is placed on the importance of understanding participants perspectives, and that questions and methods emerge in the process of fieldwork. They cite Spindler (1982) who adds two further attributes: observations are contextualized, both in the immediate setting and in the larger contexts within which the immediate setting is placed, and observation is prolonged and repetitive. The priority of qualitative research with children is to get to know them and see their world through their eyes. Such research assumes that the children have knowledge, and insight can be gained by seeking that knowledge. Shelley (1981) reflected on the work of the Pillsbury school, and the unique data that example of early childhood music education engendered. She reflects on how current research can be carried out to discover the natural music making of children. She observes, as does Pond, (1981) that the researcher must be looking at the children’s music making with open ears and eyes, not looking for tonality or recognizable western art music traits, rather observing the rich variety of musical behaviors, and fascination children have with sound. Furthermore, since a researcher attempting to study these phenomena would be dealing with non manipulative variables and could not predict spontaneous occurrences, the use of direct observation would be an essential factor of research design. The focus of such research studies should be on identifying the music capabilities of the young child, and enquiring into what already exists in the realm of the child’s spontaneous expression. Shelley further notes that it is difficult for a generalist early childhood teacher to allow unlimited freedom to explore sound, since the expectation is that it will be constant chaos, and so children are discourage from prolonged playing and sound exploration. Pond (1981) reflected on his ten years of work as the composer in residence at the Pillsbury early childhood music school 1937 - 1944, during which time he carried out the type of research as described above. Between 15 and 23 three to six year old children were enrolled in the school (1937 - 1944), with no preference given to musically gifted children. At the outset of the establishment of the school he established the philosophy which valued the children’s music making as valid and of inherent worth. He states this in terms of what he was not going to do, emphasizing the philosophy of non interference and recognizing the children’s ability to structure their own creative learning. I had no intention of trying to assess statistically, in any way, the comparative musicality of the children whose activity I was to observe... I had no intention of trying to compare and weight individual achievements... I had no intention of trying to measure any child’s progress… I had no intention of trying to determine how soon and by the exercise of what methodology the children might be brought into the mainstream of traditional musicianship…I had no intention of teaching the children anything about music, except things that their ongoing experience called for…I had no intention of inventing and administering test of any kind for their comprehension of (elements of music) (p.1) Through active involvement daily with the children, Pond concluded that children’s songs are either chants, using what Bernstein (1973) called the universal intervals, and songs, described elsewhere as spontaneous songs. More than just codifying, he found the children to be naturally highly creative. Music in Early Childhood Education Singing Along with the general aspects of early development advantages of music are the specific skills associated with singing and matching pitch. There are many different perspectives on the singing of preschool children. Werner (1948) studied spontaneous singing in the preschool setting and reported on levels of achievement in the invented songs of preschoolers: using the ‘soh me la’ intervals, followed by an ascending and descending motif of three tones, then expansion of the range to a fourth or fifth, and then the ability to end on a note other than the lowest. Dowling (1983) reported similar findings, noting that the repetition of two or three phrases using these intervals, and an optional closing phrase is characteristic of much of the repertoire for this age group. Davidson (1984) reported the difficulty of studying the use of vocalized pitch with young children, measuring intervals depends on recognizable intervals being vocalized. Ortmann (1934) suggested that viewing vocalized melodic motion as conjunct or disjunct could function as measurement, while Drexler (1938) suggested that there is a developmental order for pitch perception with smaller intervals first and larger intervals later. Davidson (1984) suggested a solution for the difficulty of tonal analysis of pretonal songs as contour, notating on lines and spaces different pitches without assigning any name or frequency to the notes. Andress (1987) warned of the responsibility of the music practitioner, warning against forcing, and consequent damage, to young voices. She wrote of musical babble, leading to more accurate pitch phonation, and a young child’s predisposition to spontaneous song improvisation. Children tend to imitate vocal style as well as learning the melodies and words, thus it is crucial that an accurate vocal model be given to develop good singing (Campbell and Scott-Kassner 1995). Goetze (1985) found that five year old children sang more accurately by themselves than they did in a group, and that the children’s singing to a neutral syllable was more in tune than their singing with words. She also found that the greatest contrast in pitch accuracy was between five and six year olds, agreeing with Gordon’s observation that this age is the optimum time for developing pitch matching skills. Levinowitz (1989) came to the same conclusion about singing on a neutral vowel leading to better intonation in four and five year olds. Additionally language development was not affected whether the children learnt songs with or without words. He wrote that, if there was a musical effect on language development from singing, then it was independent of use of language in the singing. Pitch range. In looking at the history of research on the child’s voice, Rutowski (1985) writes that different studies in different times have elicited significant changes in perceived vocal ranges of children, with some advocating an octave range or less, others discovered more extensive vocal ranges. A survey of music education resources showed that the pitch of published music for children was being lowered. He quotes a study by Smith (1963) where the vocal rage of boys was found to be higher in unstructured setting and lower in structured settings. He note that Nye and Nye (1970) in their research indicated the use of higher vocal ranges, while in their published resource Music in the Elementary School 4th edition (1977) presented lower and more restricted voice range songs. Ries (1982) studied fifty one children aged six months to thirty two months. They were sung to, by parents and siblings over a two day period, and their responses were recorded and measured for accuracy of imitation, melodic contour and pitch range. Overall the average range was two octaves that began at A below middle C and went up from there. Campbell and Kassner (1995) note that the vocal range for four-year-old children in play is over two octaves, but that their ability to sing accurately and in tune is over a much lesser range suggesting that it is the five pitches from d to a. Problems of Pitch Matching. Many studies have addressed the problems associated with lack of singing competency and pitch matching ability, and have suggested remedial treatments and methods. One of the common solutions is to give the children time to develop the skills during the appropriate stage. The majority of studies point out that a higher proportion of children match pitch at age six than at age four (Apfelstadt 1984, Atterbury 1993, Flowers 1990) In examining the problems of matching pitch, many of the requisite skills have been discussed, such as ease or lack of ease of vocalization (Welch 1979) undeveloped singing skills both in practices and in technique (Roberts 1972), inadequate vocal control (Jones 1993) or ranges selected that are outside the comfortable range of singers (Cleall 1970). Yarborough, Green, Benson and Bowers (1991) explored the use of different vocal models and methods of response, and the effect that these had on the pitch matching accuracy of kindergarten through eighth grade poor pitch singers. The results found no significant difference between response modes, but difference between male and female modeling, and difference between kindergarten and first grade children. Sims, Moore and Kuhn (1982) reached similar findings, incorporating tonal patterns into their study. Roberts and Davies (1975) suggested that pitch modulation in language may be a factor, in that ‘tone deafness’ is unknown among people such as the Vietnamese, whose language is substantially pitch. Chen-Hafteck (1992) agreed, stating that, using the Chinese language, young children learn songs more successfully when the melody responds to the contours of the language. Addo (1998) added to this theory, finding similar results among the children of Ghana. Richner (1980) reported that the greatest improvement in pitch matching skill resulted from remedial vocal training in small groups taught by a music specialist. Sheehan-Campbell (1991) suggested the most appropriate songs for early childhood are folk music songs. In a study of the effect of teaching a song to second graders phrase by phrase, or by immersion (whole song repetition), Klinger, Campbell and Goolsby (1998) found that children, taught through the immersion method, performed the songs with fewer errors than those taught phrase by phrase. Rupp (1993) discovered that teacher modeling is significant in children’s use of their vocal range. She worked with children perceived to be non-singers, who were assigned to four different treatment groups. The children were then asked to sing one of the songs they had been taught, which they did at their own chosen pitch level. The children whose singing teaching was all modeled in head voice were significantly more likely to utilize their head voice than the children whose vocal modeling had all been in chest voice. The effect of accompaniment on five-year-old children’s singing accuracy was investigated by Atterbury and Silcox (1993). They taught fifteen different kindergarten classes, some using piano accompaniment and some with no accompaniment, weekly singing classes for a year. After a year they found no significant difference between the singing accuracy of the children who had been taught singing with piano accompaniment and the children who had been taught singing without piano accompaniment. Creating The children’s inherent musical inquisitiveness and exploration lead to a wide variety of experiences of music and music making, that often follow recognized patterns, but more importantly come from an innate curiosity and facility with sound and sound exploration. Campbell’s book Songs in their heads. Music and its meaning in children’s lives (1998) starts from her discovery of the children who would tell her of the songs that they would hear in their minds and then sing to her, as a familiar face around their school or preschool, who was interested in their music. She discovered that the children displayed a natural creativity with music, particularly, but not exclusively, singing. Campbell (1991) wrote, prior to the publication of the aforementioned book, a paper which included some of her findings from observations in seven school playgrounds, observing kindergarten, first and second grade children (ages 5 to 8). She reaches some tentative conclusions about the nature of children’s song compositions: Songs by children do not exceed an octave and are contained within an interval of a fifth, in three quarters of the sample. Songs by children tend to make a great use of repetition. While defined as such by children, some songs are rhythmic chants, or may be a combination of song and speech rhythms. Songs by children are often more rhythmically complex than general repertoire of songs for children. Songs by children tend to incorporate a greater use of movement, including gestures, handclaps and dance, than do traditional songs for children. Pond(1981) describes the creative play the Pillsbury School children did. They expressed wonder at new sounds, they explored how to change and develop them. Comparing sounds was an early activity, and the children constructed games around the comparing of sounds. Children became intrigued with the nature and properties of the sounds. Children started their duration exploration with a regular steady beat, changing tempo, but keeping the beat. Next was experimentation with accentuation, but not on regular pluses. They would play rhythmic dialogues with Pond and with each other, discovering new rhythms, divisions of the beat and repeating them and developing them. They would get two instruments and go from one to the other, they experimented with vocal chant, mentioned already in this chapter, and also with highly expressive melodic inventions. Pond’s research led him to draw three conclusions: firstly, that young children have an innate awareness of the function of formal procedures in structuring sounds, secondly, that improvisation (vocal as well as instrumental) is the central in the development of the innate musicality they evidently possess, and thirdly, that their sound construction preference is for polyphonic texture, that the free use of polyphony is the style that is most consonant with their musical instincts, and that the conception of organized harmonic procedures is completely alien to them. Young children are makers, their spontaneous improvisations are acts of making; they are not, nor are they meant to be about anything - they simply exist as things that have been made, and the pleasure is in the making. (p.11) Early Childhood Education In New Zealand Early childhood education and early childhood education services are defined in New Zealand in specific ways. An introduction to the meaning of terms as they are used in the New Zealand context will provide a clearer understanding of the context, diversity and breadth of New Zealand's early childhood education system. Early childhood education In New Zealand the term 'early childhood education' refers to the non-compulsory provision of education and care for young children and infants before they begin school. Over 95% of children begin school on their fifth birthday, although school is not compulsory until the age of six years. School entry is flexible throughout the year, with children enrolled at any time after they turn five years of age. Government funding is provided to a number of early childhood education providers, as a consequence 90% of New Zealand children have had some form of pre-school education prior to entering primary (elementary) school at age 5. Kindergarten. Over 60% of New Zealand children attend Kindergarten at age four. Kindergartens operate half day early childhood education for children from three to five years of age. In general, younger children attend afternoon sessions for three afternoons a week while the older age group attend five mornings a week. Mobile kindergarten services are also available in some rural areas. These consist of a teacher with a van load of kindergarten equipment who will spend one or two days in smaller towns, using a community hall or church building to provide a kindergarten service to local children. Typically they will serve between three and five different communities each week. Teachers in kindergartens, including the mobile kindergarten service, are trained and hold the Diploma of Teaching and must be registered teachers. Parent participation is encouraged in the kindergarten program. The kindergarten movement was the first early childhood service to be recognized by the Government, in the 1890s. Each kindergarten has its own parent committee but management responsibility lies with regional kindergarten associations. Accountability for the programs lies with the regional managers and is monitored by the Education Review Office of the Ministry of Education. A 1999 report by the Education Review Office of the regional association where the research was carried out, stated that ‘...music and drama are a regular part of all learning programs. Drama props and creative resources provide many opportunities for children to initiate their own play and learning. Mat times are part of formal group times and include story reading, discussion time, music and shared singing.’ (p.9) Other early childhood education providers. There are a number of other providers who work under government guidelines and receive government funding. These include: Playcenters. Playcenters are parent run organizations established in the 1940s, with a philosophy of play being the child’s mode of learning. Parents provide staffing and organization, and over the time the movement has been in existence, they have moved more towards training for those providing leadership within the educational context. Kohanga Reo. (Language nests). Kohanga Reo are Maaori immersion early childhood centers, run by local iwi (tribes) for the education of their mokopuna (lit. grandchildren, but used to mean all of the young children). They run a full early childhood program based on Te Whariki, with all teaching in te reo (the language). Language nests have also been established for the learning and preservation of other pacific languages, and these are dependant on local initiatives, established where there is need and motivated community leaders. Childcare. Childcare caters to the next biggest group of children after Kindergartens, and would also run the closest parallel educational programs. Childcare is the term used to describe half day, all-day or flexible-hours early childhood education services. Services may describe themselves as childcare centers, kindergartens, infant centers, crèches, preschools, or by a name that indicates their particular philosophy or purpose. Childcare services may be privately owned profit-making businesses; non profit-making, e.g., an incorporated society or charitable trust; or may operate as an adjunct to the main purpose of a business or organization, e.g., shoppers or sports crèches, campus crèches or factory childcare services. Some childcare centers have all trained staff while others may have a mixture of trained and untrained personnel. Teacher training in music for early childhood in New Zealand. Because teachers in kindergartens have to be registered, (a requirement for pay and employment) they all have had systematic training in a School of Education, currently a three year full time course. By law this course must include curriculum study in music. At the University of Waikato School of Education in 1999 this took the form of one semester (fourteen weeks) one hour per week course of vocal confidence, pitch matching, and singing principles for preschoolers, as well as a one semester, three hours per week integrated arts course, where music is effectively one quarter of the course. However with the new curriculum Te Whariki, and its holistic nature, there is less perceived need for understanding or expertise in any of the specific arts disciplines. Classes in the early childhood teacher training program in 1999 were with a music education specialist. Because of restructuring and staffing, in 2003 that input is given by a generalist early childhood faculty member without specific music training. Government is now requiring that all early childhood education centers must have a trained and registered teacher as head of their teaching. The requirement was notified in the late 1990s with a grace period of five years for people to train and attain teacher registration. Kelly (1998) investigated the problems associated with preschool music education from the perspective of the teachers. He surveyed current teachers in relation to their training both pre-service and in-service, and found that the practical skills were the ones most valued, but few teachers were aware of, and further more none had read, ‘The Performance Standards for Music: Grades Pre K - 12’. Nardo (1996) surveyed 257 early childhood teachers in California asking them about their competence and confidence to include music in their programs. She found that classroom teachers and caregivers are the ones giving the music instruction rather than music specialists, that the variety and scope of music activities is narrow, and that only 19% of community colleges who offered early childhood education as a major were meeting their music education needs. This means that 80% of those training for early childhood teaching in community colleges are not receiving music training as part of their course. Willberg (1999) writes of the changes in New Zealand, where qualifications in early childhood education have become more academically structured, which has resulted in improvement in status and quality outcomes, but has reduced student’s exposure to classes to gain personal skills or understanding of children’s musical development. There is little research that has been completed and available in the public arena in the area of early childhood music research in New Zealand, although there is much activity in encouraging musical activity in the age group. Willberg has carried out a number of studies, but few have been published, and those that have tend to be in conference proceedings and not widely available. Buckton (1982) surveyed six year old children’s vocal abilities and found similar results to other researchers: a spectrum of ability level, including higher accuracy for girls than boys. A search via email to music educators in Universities in New Zealand did not get a response about people conducting current research in early childhood music, prior to the data collection, however research was being conducted in the elementary school music area, and projects are planned by two music education colleagues. Buckton has been pivotal in the establishment of our first scholarly indigenous music education journal ‘Sound Ideas’ (1997), now issued quarterly. It will be through forums such as this that future research will be encouraged and disseminated nationally. Willberg (Sharman 1999) is now working on a project observing children in a New Zealand daycare center, looking at themes and patterns of musical behavior, notably spontaneous singing and pitch range while Bodkin (1998) is continuing surveying music selection for use in early childhood settings, both as listening material and as song repertoire. Julie Wylie (1999) was central in the establishment of an organization called Music Parenting which aims to foster creativity and musical confidence in children, and in their parents, in the Canterbury region of New Zealand. Mainly Music is another organization which has been established and runs through church groups nationally, where parents, or caregivers, bring young children for a once-a-week 30 minute session. The program was established in 1990 under the vision and leadership of Jo Hood (online source: Mainly Music) and there are now 242 groups functioning throughout New Zealand with between 30 and 60 children and their caregivers attending each group (some groups run two sessions for a maximum of 30 children per session, with a morning coffee break in between for parents, caregivers, and group leaders to socialize and fulfill the group’s extra musical support function). Sessions are led by enthusiastic volunteers from the local church, using prescribed material from the umbrella organization. Summary Music is important in the lives of children. It is part of their first stages of independent life, and a significant aspect of their development as human beings. It is prominent in their lives as Campbell and Scott-Kassner (1995) state, that children choose their own involvement with music. They may choose to listen to it through headphones, sing it, hum it, chant it, play it, dance to it, create it with their voices or with musical instruments or with sounds they find during their exploratory playing. What is not in question is that music is central in children’s lives, and so in the educational setting its implementation is important. What we do know is that Early Childhood trained teachers have music as part of their training in New Zealand, albeit a small part. We know that music is expected to be woven into the delivery of the early childhood holistic curriculum documents and this is supported by the literature. What we do not know is how this is currently being implemented in the kindergarten settings. Therefore, the purpose of this study is to determine what role music plays in New Zealand Kindergartens (early childhood settings), and to examine whether it is unique to each setting, or if some commonalities exist. Research questions to be answered include: 1. What activities are taking place when music making is occurring? 2. Are there opportunities for informal music making? 3. What timbre exploration is evident in formal and informal settings? 4. What pitch range is exhibited in formal and informal settings? 5. What effect does the teacher’s vocal modeling have on the children’s singing? CHAPTER III METHODOLOGY The purpose of this study was to find out current practice in New Zealand kindergartens and to line this up with the requirements of Te Whariki; the nationally mandated curriculum document, and known theory of children’s musicality. This study set out to examine what is currently happening musically for four-year-old New Zealand children, in their play and in the teacher initiated activities that occur in the kindergarten early childhood setting. Five specific research questions were asked, as stated at the end of the preceding chapter. Pilot Study To ascertain perceived current practice an interview was held with an expert kindergarten teacher of thirty two years experience, recommended by an early childhood colleague at the University of Waikato School of Education. (see full transcript as Appendix B) During her career she was a head teacher for four years, including setting up two kindergartens which involved being responsible for buying the equipment, and setting up all the administration and committees, along with educating and informing parents of responsibilities. She is involved in ongoing study, and is currently a teacher with student teacher guidance responsibilities at a city kindergarten, which itself is part of ongoing research as part of their normal practice. Her kindergarten was not one of the sites for the main project. During the interview she talked about her own practice, the practices of her teaching peers, and the children’s practice, in relation to formal and informal music making events. Data extracted from that interview suggested that musical events that occur during a normal kindergarten session including activities as set out in Table 9. Table 9: Anticipated music events at a kindergarten. \| \| Singing \| Playing \| Responding \| \|----------------\|----------------------------------------------\|----------------------------------------------\|-----------------------------------------------\| \| Teacher led \| Group formal singing \| Percussion music skill sessions \| Recordings as background \| \| Teacher led \| Singing during extra musical activities \| Percussion with extra music activities \| Recordings used to teach songs \| \| Teacher led \| Singing instructions, and conversations \| Piano or guitar accompaniment to group singing \| Teaching movement to music, dance, poi, brain gym \| \| Child led \| Singing learnt songs \| Percussion improvised alone \| Dancing briefly or for extended time \| \| Child led \| Improvising songs \| Percussion improvised as group \| Selecting recordings to listen and dance to \| \| Child led \| Sung communications \| Sound explorations on other musical instruments \| \| \| Child led \| Vocal sound painting \| Sound exploration with other sound sources \| \| \| Guest led \| \| \| Guest performances by invited individuals or groups \| Subjects The subjects of this study were four-year-old kindergarten students (n=316), in eight different kindergartens, covering three full communities in the central north island area of New Zealand. In using complete communities it was more possible to have a spread of socioeconomic groups and ethnic groups. While these variables were not included in the data collection, and were not available to the researcher because of New Zealand privacy laws, this was central to the core objective of measuring and identifying normal musical events of four-year-old children. However, it is possible to use a parallel set of data to ascertain a spread of socioeconomic groups. Elementary schools in New Zealand are funded on the basis of their socioeconomic status and consequent perceived ability to generate additional funding from their community. Decile 1 schools are the 10% of schools with the highest proportion of students from low socio-economic communities, whereas decile 10 schools are the 10% of schools with the lowest proportion of these students. Children move from kindergarten to specific schools and in taking the decile rating of such designated schools it is verified that one decile 1 school and two decile 10 schools are part of the sample, as well as decile 2, 3, 4, 5, and 7 schools (New Zealand Ministry of Education source). This sample size is the enrollment total from the morning sessions of the eight kindergartens. The sample actually observed may have been less by a total of up to five because of normal absences. Kindergarten is not compulsory, so parents may keep children home or plan other activities with them instead of attending kindergarten. It is also not necessary for the children to arrive at the start of the kindergarten session, or to stay for the completion. Thus, it is not unexpected to have a child attend for an incomplete session. However, this is not usual as children invariably look forward to their time at the kindergarten, as do care-giving parents who then have respite time from the kindergarten child. The number of children present during the observations was supplemented by younger siblings present with parent helpers during the observation events. Because of the presence of their parents, it was generally possible to identify these children and exclude them from data collection. Procedure Initial contact was made with the General Manager of the Central North Island Kindergarten Association, who contacted the head teachers at the kindergartens that the researcher requested access to. Following their positive response to the manager, appointments were set up to visit and brief the teaching staff at each kindergarten on the project, approximately a week before the observations were to take place. This was structured so that the least amount of time was available for any change in their teaching events likely to influence the data collected. Faxed confirmation of the date for data collection was sent immediately following the briefing day, confirming the verbal agreement between the head teacher, associate teachers and the researcher. Because of the enrollment form used in the kindergartens of the Central North Island Kindergarten Association, that includes signed permission for children to be videoed or photographed while at kindergarten, it was not necessary to seek specific permission from parents for this event. (see Appendix F) However all of the kindergartens posted a chalkboard, or whiteboard message to parents as soon as they had agreed to the project, notifying them of the date for the data collection, general reason for the data collection, and a reminder that they were at liberty to keep their child home from kindergarten should they not wish their child to be part of the project. The parents were also given a letter of explanation (see Appendix F) which was available on the day of the data collection, to be read when they dropped their children at the kindergarten, or was distributed using normal kindergarten procedures for getting notices to parents. The teachers at each kindergarten reported that they were unaware of any children who were kept home to avoid being part of data collection. Data Collection Two video cameras (model: Panasonic hi-fi stereo S-VHS NVMS4) were set up before the start of the morning session and children’s arrival at the kindergarten. Some children asked questions, both of parents who were delivering children for the session, and of the teachers about why the cameras were there. The majority of children made no noticeable response to the presence of the cameras. It became apparent on analyzing the video film that some children occasionally moved in awareness to the camera, with sidelong glances, stopping and staring at the lens, walking backwards and forwards in front of the camera. However, this behavior was short-lived in each incident, none measuring more than 8 seconds. It is surmised that, because nobody was operating the camera, and they were not receiving feedback on their behavior, it soon became of little use and they moved on. The researcher moved about the site and took observational notes during the session as well as intermittently checking camera angles. This was in order to capture as many events as possible. These notes form Appendix D. In addition, the researcher notated children’s improvised songs at pitch and these songs form Appendix H. A total of forty eight hours of video footage was filmed, consisting of two three-hour videos from each of eight kindergartens. Data Analysis Initial analysis of the videos was quantitative, on a total per minute basis, using the guidelines of the data produced in the interview, and counting discrete events and codifying them under the following categories: Table 10: Quantitative data categories of analysis. \| Category \| Definition \| \|-----------------------------------------------\|---------------------------------------------------------------------------\| \| Sung speech \| pitched phonation, without repeated words, used to communicate, get attention. \| \| Phonation without words \| use of voice with varying pitch, including sirens, and engine and toy noises. \| \| Sung chants \| similar to sung speech but with repetition. \| \| Use of upper vocal register (head voice) \| occurring in the preceding three categories \| \| Timbre play \| with musical instruments, or found sound sources. \| \| Highest frequency (vocal range): \| requiring a sustained sound to establish the pitch \| Reliability was established at 85%, as calculated by the standard formula (Madsen & Madsen 1998, p 270). A qualified music education colleague was trained in the categories and given three ten minute excerpts of video to analyze from three different kindergartens. Because a large amount of the video footage contained minimal, or no data, it was not appropriate to have 10% of the actual footage tested for reliability. The reliability testing was carried out with video footage that contained significant quantities of data. In analyzing the videos two factors became apparent. The quantitative data. Reliability established with a music education colleague resulted in 85% reliability. In addition self reliability was tested, and over two ten minute segments of video resulted in 90% reliability. The explanation for this is twofold, and predicted in the literature (Shelley 1981). First: the video is capturing both visual and audio data from every direction, including in some cases the other video camera area, because of the physical setup of the kindergarten. Second: the counting of discrete simultaneous events with the number of children involved in free play activities is problematic. Some events occurred but were obscured because louder events were happening. In addition some events occurred that were too quiet for audio capture. If they did not appear on the video, the events were missed. The first problem was dealt with by keeping data sheets side by side, as inside and outside videos were analyzed so that individual events were not counted twice. The second problem could not be dealt with, and as a consequence, the quantitative data cannot reflect with detail the actual number of events that occurred, while at the same time it does give a picture of general quantity of events at each kindergarten. The Qualitative data. It became apparent, during collecting the quantitative data off the videos, that there were formal and spontaneous musical events that had been captured that were not reflected adequately, so a subsequent decision was made to select one observation from each site to use as a descriptive event in order to give added dimension to the quantitative analysis and observational notes. (Walsh, Tobin, Graue, 1993) Thus four sets of data were produced: the video quantitative data (Table 10), the video qualitative events (Appendix E), the onsite researcher observational notes (Appendix D), and the onsite transcript of children’s improvised songs (Appendix G). CHAPTER IV RESULTS Introduction This study examined the usage of music by four-year-old children in nationally run kindergartens in New Zealand. Recent documents clearly define kindergarten expectations, but actual practice had not been examined. Data were collected through videotaping eight representative kindergarten sites in three communities. The first set of data was two video films at each site, one capturing picture and audio data from inside the kindergarten site, and the other capturing picture and audio data from outside, in the kindergarten playground. Analysis isolated formal and informal music making frequencies. (Table 12) Additional detail was provided through observational notes (see Appendix D) collected simultaneously with the video. A third analysis provided pitches sung by the children in free play (self selected pitch range) and these are found in Appendix H. A fourth analysis provided one time period per kindergarten, that included multiple musical events, described in detail from video observations (Appendix E). These data provided information to address the research questions. Research Questions The following research questions were asked: 1. What activities are taking place when music making is occurring? 2. Are there opportunities for informal music making? 3. What timbre exploration is evident in formal and informal settings? 4. What pitch range is exhibited in formal and informal settings? 5. What effect does the teacher’s vocal modeling have on the children’s singing? Research Question 1. What activities are taking place when music events are occurring? Data will be drawn from all sets to answer this question. Firstly, the frequency of event analysis on Table 12, which summarizes all of the video captured events under the categories in Table 11: Table 11: Quantitative data categories of analysis. \| Category \| Definition \| \|-----------------------------------------------\|---------------------------------------------------------------------------\| \| Sung speech \| pitched phonation, without repeated words, used to communicate, get attention. \| \| Phonation without words \| use of voice with varying pitch, including sirens, and engine and toy noises. \| \| Sung chants \| similar to sung speech but with repetition. \| \| Use of upper vocal register (head voice) \| occurring in the preceding three categories \| \| Timbre play \| with musical instruments, or found sound sources. \| The majority of the events that are recorded on Table 12 are individual children’s events. Because of the structure of the kindergarten session there is less than 10% of each session spent in whole class activity. This will almost always include group singing, and can include other musical activity such as listening games and brain gym. The rest of the musical events happened as extra music events which is consistent with the holistic nature of the kindergarten. Table 13 gives an overview of the activities that are taking place while music events occur. \| Location \| Sung speech \| Phonation No words \| Sung chant \| Use of head voice \| Speech rhythm \| Timbre play \| \|-----------\|-------------\|--------------------\|------------\|------------------\|--------------\|------------\| \| Site 1 outside \| 69 \| 57 \| 18 \| 25 \| 49 \| 4 \| \| Site 1 inside \| 19 \| 35 \| 45 \| 7 \| 22 \| 11 \| \| Site 2 outside \| 88 \| 76 \| 21 \| 16 \| 16 \| 9 \| \| Site 2 inside \| 52 \| 51 \| 30 \| 3 \| 5 \| 159 \| \| Site 3 outside \| 84 \| 187 \| 76 \| 70 \| 40 \| 12 \| \| Site 3 inside \| 26 \| 52 \| 23 \| 7 \| 17 \| 42 \| \| Site 4 outside \| 49 \| 118 \| 29 \| 58 \| 67 \| 19 \| \| Site 4 inside \| 29 \| 49 \| 28 \| 10 \| 40 \| 85 \| \| Site 5 outside \| 29 \| 129 \| 20 \| 12 \| 35 \| 4 \| \| Site 5 inside \| 41 \| 67 \| 18 \| 17 \| 2 \| 18 \| \| Site 6 outside \| 86 \| 113 \| 34 \| 149 \| 69 \| 45 \| \| Site 6 inside \| 71 \| 188 \| 18 \| 78 \| 68 \| 71 \| \| Site 7 outside \| 56 \| 216 \| 1 \| 31 \| 7 \| 7 \| \| Site 7 inside \| 11 \| 119 \| 7 \| 41 \| 6 \| 82 \| \| Site 8 outside \| 24 \| 86 \| 52 \| 32 \| 23 \| 23 \| \| Site 8 inside \| 16 \| 71 \| 16 \| 19 \| 5 \| 22 \| Table 13: Checklist of music and extra music events at each site. \| Event \| Site 1 \| Site 2 \| Site 3 \| Site 4 \| Site 5 \| Site 6 \| Site 7 \| Site 8 \| \|--------------------------------------------\|--------\|--------\|--------\|--------\|--------\|--------\|--------\|--------\| \| Mat time: Formal singing \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Mat time: Other music activity \| Brain gym \| \| Action songs \| \| Listening game \| Action songs \| \| Action songs \| \| Small group: Extra music activity \| Math game \| \| \| \| \| Parachute games \| \| \| \| Small group: Music Activity \| \| \| \| Teacher outside with guitar \| Teacher plays piano @ child’s request \| Teacher outside with guitar \| \| \| \| Small group: Teacher sings Children do not sing \| Yes \| \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Small group: Teacher sings, children sing \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Children initiate singing known songs \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Children improvise songs while playing \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Teachers initiate instrument play \| Yes \| \| Yes \| \| Yes \| Yes \| \| Yes \| \| Children initiate Instrument play \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Children initiate timbre play \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Water play songs \| Yes \| Yes \| \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Sandpit songs \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Swing and fort songs \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Children request recordings \| Yes \| Yes \| Yes \| Yes \| \| Yes \| \| Yes \| \| Children dance \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Children request songs to sing \| yes \| \| Yes \| \| Yes \| Yes \| \| Yes \| \| Total minutes recorded music is played/total minutes of video data \| 123/175 \| 50/162 \| 116/175 \| 66/185 \| 64/182 \| 62/183 \| 63/182 \| 46/176 \| moves on a track that seemed to be new to them. The dancing became more and more exuberant, and as this happened the boys added vocalizations on a wide pitch range. The teacher moved away during this part of the activity. When the tape concluded, the boys provided their own music for about two more minutes, and then over a period of five more minutes the activity ceased and they moved to o Description of events for research question 1 The music center. The area where the percussion instruments, piano, guitar and sound equipment are kept, is a venue for semi formal music events. Three of the kindergartens had a piano which children had free access to during free play time. The music center was also the venue for semi structured music making initiated by the teachers. Some kindergartens allowed children to select recordings, but none allowed the children to put the recordings on for themselves. They occasionally sang along with the music, but more often just listened, they danced to it, they played instruments in time with it, they play instruments with no apparent relation to the recorded music, they spun pois to recorded music, and perform in other dramatic ways, involving visually expressive responses. The children can play the instruments that are freely available to them, in most situations it is the normal percussion instruments, but in some situations they have access to the piano and a guitar as well, with greater or lesser freedom. The instruments can be carried elsewhere in the kindergarten and be played along with other activities, such as small group extra music events like math games. The Activity Areas. In each kindergarten there are specific activity areas set up for the children to access as they choose. (refer to photographs in appendix C and information in Appendix B) The choices varied from site to site, with much in common as well. There was a lot of musical activity in many of these areas at each site, including timbre play in the carpentry areas, many own songs on the swings and the fort areas, celebratory songs at two different sites when children perceived that they had mended trolleys. The sandpit was another area where own songs were heard, and Duplo and Lego construction areas resulted in sing-song speech, and own songs, when constructions were completed, and children were telling stories to each other about them. Research Question 2. Are there opportunities for informal music making? See Tables 12 and 13 for categories and frequencies of activities in common between kindergarten sites. Children at Kindergartens one, three and six had extended periods of sound exploration with musical instruments, percussion piano and guitar. Teachers had differing levels of input in each situation, and the children’s response to that was such that, when the teachers moved away or had their attention diverted, the children were more adventurous in their play, and their time of playing was extended. There were obvious efforts by teachers to encourage the children’s exploration, but these tended to be things like: encouraging them to keep the beat or play the instrument ‘properly’, in both of these instances, the children’s experimentation became inhibited when compared to their solo play without teacher input. Kindergarten eight had an extended dance response to a series of tracks on a tape designed to promote movement. The teacher initiated the event, and sat on a chair beside the tape deck as the dancing commenced, but kept a low profile. She followed the instruction of the group of boys who responded as soon as the tape started playing, who requested repeats of song tracks, and requested other tracks on the tape. The dance moves showed ongoing development during the twenty-two minutes of the excerpt, and the teacher’s only input was to encourage them to use more space, and then to teach them the moves on a track that seemed to be new to them. The dancing became more and more exuberant, and as this happened the boys added vocalizations on a wide pitch range. The teacher moved away during this part of the activity. When the tape concluded, the boys provided their own music for about two more minutes, and then over a period of five more minutes the activity ceased and they moved to other things. Research Question 3. Are there opportunities for timbre exploration? Table 14. Checklist of Timbre Events \| \| Site1 \| Site2 \| Site3 \| Site4 \| Site5 \| Site6 \| Site7 \| Site8 \| \|--------------------------------\|-------\|-------\|-------\|-------\|-------\|-------\|-------\|-------\| \| Percussion instruments available to children \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Other instruments available to children \| \| \| \| Yes \| Yes \| \| \| Yes \| \| Teacher initiated instrument play \| Yes \| \| Yes \| \| Yes \| Yes \| \| Yes \| \| Child initiated instrument play \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| \| Child initiated timbre play \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Yes \| Timbre exploration principally occurs in the music area with the instruments. The children can play them in whatever way they choose, and show multiple evidence of experimenting to find different ways of producing the sound, using repetition to illustrate a sound that they like. Teachers are most likely to intervene when they perceive ‘inaccurate’ playing of an instrument, or if the sound level is too high, or if they have had enough of listening to the activity in which the child or children are engaged. Timbre play also occurs outside of the music area, two specific incidents were noted during the data collection. One was the child playing the complex rhythmic pattern on the top of the cupboard in Kindergarten three. The other was the child in kindergarten four who was playing alone in the science corner, and used polystyrene blocks and a magnet handle and an animal jawbone, during a minute of sound exploration. At the kindergartens where there were pianos, children would access them frequently for brief playing times, as well as numerous events where children stayed and played for more extended time periods of up to three minutes: chord clusters as well as melodic material, showing dynamic contrast, and use of a range of the keyboard. They played the piano individually, as well as in groups of two or three. At kindergarten two, children incorporated home made percussion instruments into their dancing. The quantitative data summary gives number of discrete timbre play events at each site inside and outside. The kindergartens that have high numbers indicate that extended sound exploration events happened during the kindergarten session, whether they are included in the quantitative data or not. There were numerous small incidents of timbre play elsewhere in the kindergartens as well. For example: a child banging in a nail with no apparent beat pattern then banged on a piece of wood a 7 beat and rest pattern, and repeated it showing intent, and then repeated it again on a different piece of wood showing sound exploration. He then went back to his construction with no more evidence of sound being the motivator. A child wearing wooden clogs from the dress-up box stomped up and down deliberately on the wooden verandah. A child in the water play area who is mixing an imaginary recipe, bangs the spoon on the bowl, repeats the action, then puts the bowl in the water and bangs it again, selects another bowl and bangs it, repeats the second sound, then goes back to water play as the focus, the whole incident being less than ten seconds. A boy at Kindergarten five banged pegs through a peg board keeping the beat over an extended time period with the music, during three song tracks. Research Question 4. What pitch range is exhibited in formal and informal settings? The high frequency quantitative statistic was gathered by assigning a predetermined number system, based on half steps, to each high pitch as it was heard on the video tapes. 1 was C$^1$, one octave above middle C, 13 was C$^2$, and 23 was C$^3$. At the conclusion of the video analysis, the numbers were averaged, and turned back into a note to give an overall idea of where the children’s voices are being used in play. This is also dependant on the number of events, which varied from kindergarten to kindergarten, as seen in Tables 15 and 16. Table 15: Highest pitch data during informal play activities inside. \| Site \| One \| Two \| Three \| Four \| Five \| Six \| Seven \| Eight \| \|------\|-----\|-----\|-------\|------\|------\|-----\|-------\|-------\| \| Number of events \| 6 \| 12 \| 8 \| 7 \| 3 \| 23 \| 30 \| 12 \| \| Averaged Note \| A² \| A¹ \| C² \| G¹ \| D² \| C#¹ \| B¹ \| C² \| Table 16: Highest pitch data during informal play activities outside. \| Site \| One \| Two \| Three \| Four \| Five \| Six \| Seven \| Eight \| \|------\|-----\|-----\|-------\|------\|------\|-----\|-------\|-------\| \| Number of events \| 18 \| 39 \| 37 \| 43 \| 16 \| 23 \| 30 \| 13 \| \| Averaged Note \| D² \| Bb¹ \| D² \| C² \| D² \| A² \| G² \| Eb² \| These two tables show that the children at some kindergartens used their voices in their very high vocal range more frequently than at other kindergartens. In kindergartens one through five, there was much more upper use of voice outside than inside, but in kindergartens six through eight the frequency of events was similar between inside and outside. These data need to be considered alongside the frequency of the use of head voice in Table 18, since both sets of data give a picture of the children using a wide vocal range in play. Table 17: Teacher vocal range in formal singing & children’s response in matching pitch \| \| Site 1 \| Site 2 \| Site 3 \| Site 4 \| Site 5 \| Site 6 \| Site 7 \| Site 8 \| \|----------------\|--------\|--------\|--------\|--------\|--------\|--------\|--------\|--------\| \| Teachers vocal range \| F1-D \| C-C1 \| G1-E \| B1-C1 \| F1-C1 \| B1-D1 \| A1-B \| Bb1-C \| \| Children match pitch? \| no \| yes \| no \| yes \| no \| yes \| yes \| yes \| Table 17 shows the singing range of the teachers and the children’s singing in the formal group sessions. The singing events at all of the kindergartens where pitch matching occurred demonstrate the pitch range that is predicted in the literature of under an octave for formal singing. While not all of the children matched pitch, the majority do in sites 2, 4, 6, 7 and 8. It is not clear if this is their capability, or if this is limited by the modeling that they are following. When teacher led singing is pitched with a tessitura sitting below middle C, the children tend to sing without matching pitch and without melodic contour. When the teacher modeling is within the children’s predicted pitch range, the children evidenced a high level of pitch matching. This can be attributed to regular singing practice, evidenced by familiarity with the songs being sung. The children use solely their lower vocal register in formal singing situations on the mat, and most of the time sit on the floor. The one occasion when the children were asked to stand and sing, they were also encouraged to sing louder, which resulted in out of tune sharp singing, as shouting. None of the teachers sang higher than the recommended children’s range, some of the teachers sang lower than the recommended children’s range. Teachers chose to sing in their lower register at all sites. The children’s improvised songs, a sample of which form Appendix H, evidence a much wider vocal range. With high vocal range being recorded in play (Tables 15 and 16), they also chose to pitch their improvised songs higher, using the upper register and pitches easily produced up to G$^1$. Notated songs gathered during the onsite observations show a preference for the pitch range of G - F' in own selected pitch range. There was a balance between good teacher pitch models and inappropriate teacher pitch models in the sample, the qualitative descriptions have two examples of unaccompanied singing in tune and two of inappropriate models and out of tune children’s singing. Teachers use a higher part of their vocal range in informal settings, when they are vocalizing with children, doing call and response, making up little phrases to amuse the children. Kindergartens four and seven in the quantitative data give examples of good vocal modeling, unaccompanied singing that is in the vocal range of the children and resulting in a high level of pitch matching. Kindergarten five shows enthusiastic leadership, but the restriction of the keys that the teacher can play in on the guitar and piano mean that the appropriate pitch range is a matter of chance. Consequently even when it is in the children’s pitch range the level of pitch matching is minimal. Kindergarten one has an example of an extra musical activity with singing that was not pitched appropriately and when the activity occurred while the recorded music was still playing, the children made minimal effort to sing, producing weak monotone sounds on the words. When the recording was completed, there was some singing, following the melodic shape, but a fourth or fifth above the teacher who was singing almost exclusively below middle C. Research Question 5. What effect does the teacher’s vocal modeling have on the children’s singing? If the teacher’s tone was easily produced and without tension, then the children’s tone was easily produced and had some resonance. If the songs were pitched in the children’s vocal range, they were more likely to match pitch when they were familiar with the song. If the teacher’s singing is confident then the children’s singing is more likely to be confident, if the teacher’s singing lacks confidence then the children’s tone will be harder and less resonant, and the singing will be weak and pitch will be uncertain. The one example of getting the children to stand and sing was compromised by the teacher asking them to sing louder, and then commending them for a tone that was tense, hard and out of tune. Kindergarten six has a teacher with a wide vocal range in her speaking voice, it is very expressive, and during the parachute games her speaking vocal range was over two octaves. It is interesting to note in the quantitative data that this kindergarten had a noticeably higher incidence of use of head voice (upper register) than the other seven sites. Table 18 sets out this data so that teacher’s singing and speaking range can be compared with the children’s practice of pitch matching and use of their head voice. Table 18. Teacher vocal modeling and children’s use of head voice \| \| Site 1 \| Site 2 \| Site 3 \| Site 4 \| Site 5 \| Site 6 \| Site 7 \| Site 8 \| \|----------------------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\|----------\| \| Formal vocal \| F1- D \| C-C1 \| G1-E \| B1-C1 \| F1- C1 \| B1-D1 \| A1-B \| Bb1-C \| \| Children Formal match pitch? \| no \| yes \| no \| yes \| no \| yes \| yes \| yes \| \| Informal vocal model \| Higher speaking voices to children \| Normal speaking voices \| Higher speaking voices to children \| Normal speaking voices \| Low adult speaking voices \| Two octave range speaking voice \| Normal speaking voices \| Normal speaking voices \| \| Children’s quantitative use of head tone \| 32 \| 19 \| 77 \| 68 \| 29 \| 227 \| 72 \| 51 \| Observation Conclusions After observing the activities at eight kindergarten sites, analyzing the quantitative and qualitative video data, some conclusions can be drawn about what structured environment is most conducive to encouraging the creative aspects of the children’s play, particularly in relation to music and sound exploration. The location of percussion instruments affects more than just instrumental play. Where instruments are placed in a partially separate area, or corner area it is possible for children to explore without intruding aurally on the rest of the activities within the open plan room. Children are less likely to wander through the music area and therefore the children who become absorbed in sound play can be undisturbed. Additionally teachers find it easier to leave the children to play and explore, rather than taking a specific path to the music area and giving guidance, which may be inappropriate in the creative exploration model. Where sound recordings are played for lengthy periods of unstructured activity, only teacher can ensure that the use of recordings is purposeful, rather than without intent. Songs and instrumental music are played for function, and when the function is completed, the recording should be turned off so that there is aural space for the children to create their own sounds. The highest incidence of sound creativity by the children happened at sites where the time of use of recorded music was less than one third of the total session time. Children enjoy playing the piano, and those kindergartens that have pianos can set procedures in place to facilitate this, such as fitting an acetate/perspex front so that the children can see the piano action as they play. They can establish guidelines so that the children treat the instrument with respect and enjoy their exploration. The same can be true of guitars, where children can explore the timbre of the strings and the body of the instrument. When group formal singing occurs, using an appropriate pitch range gives the children a much better opportunity to match pitch and sing in tune. For the teachers who are vocally inexperienced this can be a challenge, but a greater understanding of the child’s vocal range can be ascertained simply by listening to the children’s play songs, and determining which pitch range they choose to use. In the kindergartens observed, the most confident in tune singing occurred when the songs were unaccompanied. In informal and small group music settings where instruments were used, children listened as teachers performed. If teachers want to encourage children to sing, perhaps they need to consider leaving the instrumental work for separate activities. Teacher vocal modeling, both in singing and speaking, appears to affect the children’s use of their voices. Teachers are encouraged to use their speaking voices in interesting ways, using modulation (using a wide pitch range, from lower to higher) when speaking with the children. Teachers who can accept children’s creative sound exploration with affirmation, whatever the quality of the sound produced, are setting that child up to continue exploration and find out more about sound and sound qualities, and elements of music. Summary There is a wide variety of music making occurring in the kindergarten setting in New Zealand. Instruments are available for children to use, and recorded music is used for varying proportions of time. Most music events occurred during extra musical activities, when the children were playing, used sound exploration in conjunction with other play, and used their voices to communicate, celebrate, and just play. Formal music sessions are most effective in accurate singing by the children when the teacher modeling is using appropriate range, and a relaxed easy vocal production. A majority of the kindergartens in this representative sample had teachers using good vocal modeling. Informal music sessions using musical instruments and movement to music were a regular occurrence, and were child initiated as well as teacher initiated. When teachers gave passive leadership in informal situations, giving advice or help only when asked, the children’s play and exploration was extended. When teachers gave active leadership in informal situations, giving advice or help when they thought it appropriate, the children’s play and exploration was curtailed. Vocal range data showed that children use a wide vocal range in play as well as in their own improvised singing, demonstrating vocal capability wider than the literature suggests. Pitch range in formal singing was dictated by the teacher’s choice of range, and children generally matched pitch when the range was within their tessitura. Their pitch matching was more accurate without words than it was with words, supporting the developmental data. The effect of the teacher’s vocal modeling, in singing and speaking, on the children’s use of voice is evidenced. This showed in range and in ease of vocal production. An interesting correlation was found in kindergarten six, where one of the teachers had a speaking voice with a very wide range, and the children used wide range in their voices frequently in play, significantly more often than in the other kindergartens observed. CHAPTER V DISCUSSION Introduction Results of this study provide some insight into the role of music in the current implementation of the recent New Zealand National Standard for the Early Childhood Curriculum (Te Whariki). In the kindergartens the national curriculum is mandated, so the data reflects current kindergarten practice, observing four-year-old children in morning kindergarten sessions in three communities. Data were collected by video tape, onsite observations, pitch range analysis, and rich descriptions of representative events. Findings include the discovery that, in these holistic settings, much music exploration is occurring. Much of the music making in the kindergartens was extra musical, informal self selected music making predominated and creative opportunities abounded. Pitch ranges exhibited by children did not reflect recommended ranges for pitch matching in the data, and the role of teacher modeling appeared to affect pitch choices and the accuracy of pitch matching of these young children. The practice at these kindergarten sites gives much encouragement in seeing the implementation of the musical aspects of Te Whariki. There was more good modeling than inappropriate modeling, there were multiple events of sound exploration at each site, at some sites the children were left to their own devices in their explorations, choose how long they would explore and experiment, and how they chose to develop their ideas. Consequently the video data show exciting events of musical exploration evidencing critical awareness of the sounds, through development and knowledge of the elements of music, use of dynamics, rhythmic and beat aspects, and structure of their creative pieces. It is highly doubtful that the children would have been capable of verbalizing any of this musical understanding content, but this did not stop them implementing the concepts. Holistic music making The literature suggested that children use all senses and modes of expression in their music play and this factor was evident in the data. To list each individual event when music making was occurring would have been impossible, as there was as much variety as there were children. From a two-second distraction by sounds during water play, to the fun of banging wooden clogs on a wooden deck, to extended absorbed play on a glockenspiel, to the constant call and response of higher pitched, easily produced young voices, playing on swings, and slides, and forts, and in sandpits. There was the child who improvised a song for her whole class during formal mat time, about the rain the previous night and how it kept her awake but she didn’t want to sleep in and miss kindergarten. The boys who were absorbed in listening to the taped music and dancing, showed remarkable development in their chosen movements. Further, they were an excellent example of the free play exploration possibilities of children given the freedom from adult active guidance to discover for themselves. While the rich data episodes were frequent, as were the individual shorter musical events, there were still extended time periods when no measures for musical events were collected from the videos. During these time periods the children were still at play and still being creative, using other modes of expression, including language, and visual arts materials, and sand and water, and hammer and nails and tools, and so on. Extra-musical music making Teachers used music in teaching other skills, such as math and reading readiness. They also used music in physical co-ordination activities, with parachute and ribbons. They sang to the children when they were doing puzzles, and playing outside. What was interesting to observe in these situations was that the children did not engage with the musical side of the activity, but became absorbed in the main function of the activity. Seldom did the children join the teachers in singing, during these extra musical events. It was only as they lost interest in the main focus of the activity that they noticed, or took cognizance, of the musical aspect of the event. Then they were more likely to sing along, with the teacher, but this was uncommon. Recorded music was used as mood setting at some kindergartens, with quiet instrumental music when it was calming down time, lively children’s songs when the children had just arrived for the morning session, instrumental music when the children wanted to dance. At some kindergartens it was simply background sound that was not taken into account by the teachers, such as the incident when the teacher was singing a math game with a tape playing beside her, and trying to get the children to sing along with her. The children did not attempt to join her until the taped music stopped. There was a wide variety in the amount of time that music was playing at different kindergartens, and the amount of intent involved in making such decisions. In two of the kindergartens, recordings were put on to play and then left until they had finished. This resulted in music playing for over 60% of the time in these two sites. In the other six kindergartens there was more intent involved in the use of recorded music, with less of the session time having music playing, and teacher input into selecting how long each recording was left playing, and what function it was serving in the running of that day’s program. Informal, self selected, music making At every kindergarten venue, there were children who selected to go to the music area and play with the instruments for a period of time. Some were brief visits, others were more purposeful and developed as the children took the instruments and experimented with them. It was good to see wide ranging play, using various techniques to make discoveries about the instruments. An example was the boy at kindergarten one, who found all sorts of ways to make sound with the triangle, but was inhibited from extending his exploration by the teacher who wanted him to do it the ‘right’ way. A further example was the girl at kindergarten six, who played on the glockenspiel for several minutes, using fast random notes, glissandos, two note chords, steady beat patterns, rhythmic patterns, joyous enthusiastic loud sounds, gentle tapping sounds. Her absorption in this activity was only broken by the event of a boy being sat next to her to play a guitar. The two girls at kindergarten three experimented widely with the choice of percussion instruments. They then made choices and set up a drum kit on the floor. They sat down, one on each side of the lineup of drums and played, alternately singing along, or ignoring the tape that was playing beside them. Children at the kindergartens with pianos available to them visited them regularly, often in groups of two or three, playing chord clusters, individual notes with alternate hands, and picking out melodic type patterns. Their play on the pianos was non-intrusive into the general kindergarten activities, showing that guidelines had been established and the children were aware and acceding to them, while enjoying the exploration. A special needs child with his own teacher, at kindergarten two, spent several minutes with a wooden rope ladder and another piece of wood, ‘playing’ the steps on the ladder, listening, and playing, and choosing patterns of order in which to play them, then playing the whole ladder as his teacher held it for him. The boys at kindergarten eight showed an ongoing delight in responding to music with movement, and over a twenty minute period of time they danced in time with the music and followed the instructions for when to move within the music. During the course of this event the movement showed development, in complexity and combinations. Movements that were single limbed to start with involved two limbs as they progressed through the event. They copied each other, taught each other and developed each other’s ideas. Towards the end of the event their enjoyment of the experience became heightened, energy levels and extent of movements increased, and they vocalized as they danced, using wide pitch ranges. The teacher was present during all of this event, rewinding the tape as the boys requested it, playing with pois while sitting and watching. Her guidance was generally passive, making safety comments at one point, and then teaching the movements to a song with which the boys were not familiar. When the excitement level continued to rise towards the end of the event, she waited until a sound track was completed, and then turned the tape off and left the area. The boys provided their own music for a few minutes, vocalizing and continuing to dance, but gradually they calmed down and moved to other activities. There did not appear to be any inhibiting effect from the teacher on the boys’ dancing choices, they were free to move and develop movement patterns as they chose. This was a very good example of uninhibited creative music response exploration. Pitch modeling and pitch ranges The kindergarten students who had good vocal modeling sang songs in the pitch ranges recommended by the literature, and the children showed accuracy at matching pitch on the songs that they knew. As predicted by the literature, they sang more accurately and strongly when they were not thinking about words. Kindergarten four had two illustrations of this aspect of matching pitch. A song about rain was sung by the whole group in which one of the lines was sung to a repeated ‘ah’, and this line resulted in the strongest, clearest, and most consistent matched intonation of their singing. The second illustration was the child who improvised the song for the group. The first part of her song was repetitive and showed good awareness and security of tonality, then she improvised more complex words and her tonality became more flexible, before she finished the song in the same key she started. The kindergartens who did not have good modeling invariably sang in ranges too low for the children, resulting in the children singing in virtual monotone, or following the melodic shape of the song with little accuracy. One example captured on video was pitched considerably higher than their usual formal singing range, which effectively made it too high, at a site where pitch matching was haphazard at best. An interesting finding was an apparent link between one teacher at kindergarten six, who had a highly modulated speaking voice, and the children’s use of head tone at the same kindergarten, where the children sang considerably higher than at the other sites. The teacher used an over two octave speaking range while running the parachute activities. Much has been written about singing modeling affecting children’s singing ability, but not the use of the vocal range in speech modeling as influencing the children’s use of their singing voices and vocal range. The children’s own songs, examples of which are notated as Appendix G, raise questions about the recommended pitch ranges suggested in the literature for children’s singing. Their chosen pitch range is considerably higher than the literature suggests when they improvise their own songs. It would be reasonable to assume that they are singing where it is most comfortable in their own voices. This does not mean that they can match pitch in this vocal range, that was not part of this study to examine. However their consistent use of their own voices in the vocal range up to $G^1$, with easily produced head tone in play and improvised song, leads to the hypothesis that their normal, formal, tonal singing range is more extensive than previously thought. The high incidence of use of head tone in Kindergarten six supports this hypothesis as normal practice for children who have occasion, opportunity, or modeling. The number of events at many of the sites in the quantitative data could possibly be explained, in some incidents as the ‘musically capable children’, who are doing what they have always done, with the ‘non musically capable children’ finding their creativity in other ways, and therefore not being part of the data. However this high incidence of head tone at kindergarten six was in common across this kindergarten, with the majority of children using their voices this way. The achievement approach The literature and the curriculum, Te Whariki, call for holistic personal development, with the learning outcomes listed as knowledge, skills and attitudes. In addition, it is clearly understood that the kindergarten is literally a pre-school, preparing the children for the expectations, behaviors, and learning, of the formal primary (elementary) school setting. Pre-reading skills of letters and punctuation and words and writing their names are standard practice in kindergartens, as are pre-math games of counting, classifying, subtracting, etc. This leads to children having the experience and understanding of the concepts to move into more formal learning situations of reading competence and math competence, where getting it ‘right or wrong’ is more consequential. It may be inappropriate, or even counterproductive when this pre-school readiness ethos flows over into the creative areas of the children’s endeavors when teachers are giving guidance. The descriptive event from kindergarten one illustrates the problems inherent with the achievement approach being applied across all aspects of the kindergarten activities, and its effect on a child’s creative explorations. A child was playing with a triangle, his preferred method of playing was to hold it firmly and strike it. He showed this by continually returning to this sound. He experimented with a number of other ways of playing the triangle: tapping it on the floor, circling the striker inside it like a dinner gong sound, threading the triangle onto the striker and running it backwards and forwards. However he always returning to his preferred mode of play, which was playing beat patterns and random patterns, while grasping the triangle itself. The teacher joined him on the carpet, and began to play another triangle the ‘proper’ way, holding it loosely so that it rang. He continued with his preferred sound, so she skillfully questioned, asking him to compare his sound with her sound. She asked him to try her sound, so he did and the triangle swung and was not in control, so he went back to his preferred style. Then she told him to make sounds and she would copy him, which he did, playing on the outside of the triangle on different sides. Then she asked him to imitate her. He did with the same effect; the triangle rang, but it was not in control. A girl got a triangle off the shelf and sat down with the two on the mat and held the triangle as the teacher was, and played a ringing sound. The teacher commended her. The girl did not play any more, or do any exploration of the instrument. When the teacher was distracted by other activities, she put the triangle away and left the area. The boy sat and looked at teacher and triangle briefly, and did the same (put it away and found something else to do.) There were many other incidents where teachers in kindergarten settings and their expectations allowed for sound creativity to be more uninhibited. An ongoing example of this was the piano play at the three kindergartens with a piano. Children visited the pianos all through the morning session, alone or in small groups, for time periods of a few seconds, up to more than a minute. They used the full range of the keyboard, playing chord clusters, fast note patterns, and melodic material, they showed awareness of the piano’s ability to show different dynamics, they showed instinctive understandings of pulse and rhythms and tempo. Perhaps the piano is easier to make available for the children to explore in their own ways. A kindergarten teacher, whatever the piano ability, is not likely to intervene and model for the children the proper way to play, or where middle c is, etc. One of the kindergartens had an acetate (perspex) front on the piano, and the incidents of casual piano play at this kindergarten were constant. Music links to primary school. The interview with the expert teacher, which resulted in the categories for the quantitative analysis, also highlighted a problem that exists with the transition to school and the children’s kindergarten music experiences. The kindergarten teachers keep records of the individual children’s progress in different areas, with examples of their work. When a child is preparing to start school, that file is made available to the new entrant school teacher. There are visits made by the new entrant teacher to the kindergarten, to meet children who will soon be starting school, and visits by the children, in groups, to the school classroom to see what it is like, often meeting up with children who were previously in kindergarten with them. It is an excellent transition program with high rates of success in having children settle into the more formal setting of primary school. Despite the excellent transition program, there is no facility to transition the children’s pre-school music to the schools new entrant music. There are problems inherent in trying to address this gap. How does a teacher collect examples of children’s music exploration to put in their personal folio? How does a generally trained kindergarten teacher with minimal awareness of the content of creative exploration write a note about a child’s experience, such as the triangle story? Efforts are being made to address the fact that written records are an incomplete reflection of the child’s kindergarten experience, and ongoing research is currently being carried out with the use of Learning Stories as a method for expanding the depth of record keeping on a child, as well as informing parents of the child’s activities and achievements in the course of the kindergarten day. These learning stories can contain digital pictures, allowing the children and the parents to see what happened during the learning event, and read the teacher’s descriptions and links to the curriculum and skill development. These Learning Stories are proving to be a powerful instrument in encouraging parent understanding and knowledge of their individual child’s progress, as well as their understanding of where this fits with the curriculum and general learning. The story is printed and sent home with the child for parents to read, comment and sign, and then is put in the child’s personal portfolio, which is available for the children to peruse whenever they like. It is a very time-consuming method of record keeping for the teachers, and is still under trial, but the results are suggesting that it is very effective in terms of the holistic development of the child’s self-image and attitude to involvement. It is possible to write about musical experiences, and this is done, but no sound recordings are part of this record-keeping as yet. Teachers involved in the main data collection of this study reported that they had become more aware of the music that the children were experiencing during their time at kindergarten between the initial visit of the researcher and the date of the data collection. Because the researcher visited each site and had extended conversation with teaching teams a week prior to the data collection, they were sensitized to be aware of music incidents they had previously not noticed, particularly in the areas of vocal improvisation and timbre play with found sounds rather than instruments. Implications for New Zealand Early Childhood Education This study set out to examine current practice in early childhood music in New Zealand as it happens in the kindergarten setting. However, as is often the case, along with some answers this study has raised many questions, and opened up areas that need more exploration before even tentative conclusions can be drawn. Areas for action include: 1. Teacher training for early childhood educators must include some of the findings of this study: that children’s vocal range is more extensive than they suppose, that their speaking voice range can have an effect on the children’s use of their voices in speaking and singing, and that organization of the structured environment can have a positive effect on the children’s music making opportunities. 2. Kindergarten associations will be invited to use the researcher to present findings of this study to their teachers, inviting discussion and clarification, so that they can become more aware in their own kindergartens of how to facilitate creative sound exploration, and good vocal modeling. 3. Teachers and children who appear on segments of good practice on the current video material will be contacted, with a view to collating a good practice video to be used in teacher training. Areas for further research include: 1. More research needs to be done to investigate the children’s preferred singing range. 2. More research is needed to investigate the effect of the teachers’ speaking voice range on the children’s use of their voices. 3. More research is needed to find out how to effectively set up musical sound exploration in New Zealand kindergartens that children can safely do, without intruding unduly on the other activities of the kindergarten (sound intrusion), while having the freedom to creatively explore. Appendix A Te Whariki Early Childhood Curriculum Introduction Te Whariki Early Childhood Curriculum This verbatim copy of the first pages of the document uses New Zealand spellings of English words. The hyperlink for the complete document can be found in the bibliography. Glossary: Nga Kohanga Reo:- Māori language immersion pre-schools Te Whariki: - lit woven mat, denoting the interwoven aspects of the principles and strands which build the holistic curriculum Te Tiriti O Waitangi: - The Treaty of Waitangi, founding document of modern New Zealand, signed between Queen Victoria and a proportion of the Māori chiefs in 1850. Other text, such as the naming of the principles and strands, are equivalent in English and Māori verbatim copy of pages 7 – 16 Foreword This curriculum statement provides the basis for consistent high quality curriculum delivery in the diverse range of early childhood services in New Zealand. Over the past century, early childhood care and education services in New Zealand have been established to meet the particular needs of children, parents, and communities, as well as those of society as a whole. Today, early childhood services are jointly involved with families in the socialization, care and education of children. It is especially significant that this curriculum has been developed in response to initiatives from the early childhood sector. While services are diverse in terms of structure and philosophy, early childhood education personnel have worked together to develop a common curriculum on which to base their programmes. It has been developed from, and builds on, experience of curriculum development within the different early childhood services, together with findings in research, international literature, and the shared knowledge and agreed understandings that have emerged in New Zealand over the past two decades. Feedback on the draft document has clearly demonstrated that the many and diverse services in the sector have accepted the general principles and the framework of this document. This curriculum statement takes into account the many responses to the draft document that were received, as well as findings from exploratory studies and the pilot professional development programmes. This is the first bi-cultural curriculum statement developed in New Zealand. It contains curriculum specifically for Māori immersion services in early childhood education, and establishes, throughout the document as a whole, the bi-cultural nature of curriculum for all early childhood services. The importance of the social context within which children are cared for and learning takes place is one of the foundation stones of the curriculum. It is clearly acknowledged that the relationships and the environments that children experience have a direct impact on their learning and development. This curriculum statement covers the education and care of children from birth to school age entry. Coverage of this age range is innovative and clearly reflects the concept of learning as a life long process that begins at the very start of life. I am grateful to all who have contributed to this exciting and challenging development, especially those who acted as consultants, writers, members of reference groups, and members of the Minister’s advisory group, all of whom gave freely of their time, experience and expertise. Kia kaha ki a koutou mahi (Lit: be strong in the working you all do) (signature) Lyall Perris Acting Secretary for Education Introduction This curriculum is founded on the following aspirations for children: To grow up as competent and confident learners and communicators, healthy in mind, body and spirit, secure in their sense of belonging and in the knowledge that they make a valued contribution to society. This curriculum defines how to achieve progress towards this vision for learners in early childhood learning environments. It is about the individual child. Its starting point is the learner and the knowledge, skills and attitudes that the child brings to their experiences. The curriculum is also about early childhood settings. Learning begins at home, and early childhood programmes outside the child’s own home play a significant role in extending early learning and in laying the foundations for successful future learning. Each community to which a child belongs, whether it is a family home or an early childhood setting outside the home, provides opportunities for new learning to be fostered: for children to reflect on alternative ways of doing things; make connections across time and place; establish different kinds of relationship; and encounter different points of view. These experiences enrich children’s lives and provide them with the knowledge, skills and dispositions that need to tackle new challenges. This is an early childhood curriculum specifically designed for children from the time of birth to school entry, and it provides links to learning in school settings. The learning environment in the early childhood years is different from that in the school sector. This learning environment, the constraints of age, and the special nature of the early childhood years are elaborated on in this curriculum. This curriculum emphasizes the critical role of socially and culturally mediated learning and of reciprocal and responsive relationships for children with people, places, and things. Children learn through collaboration with adults and peers, through guided participation and observation of others, as well as through individual exploration and reflection. This is a curriculum for early childhood care and education in New Zealand. In early childhood education settings, all children should be given the opportunity to develop knowledge and an understanding of the cultural heritages of both partners to Te Tiriti o Waitangi. The curriculum reflects this partnership in text and structure. The Purpose and Structure of the Document The purpose of this document is to provide a curriculum framework that will provide the basis for consistent curriculum and programmes in chartered early childhood education services. This curriculum applies to all children in chartered early childhood educational settings. It sets out the principles, strands and goals which are distinctively appropriate for the early childhood years, and provide examples of the links between early childhood years and the school years. The term “curriculum” is used in this document to describe the sum total of the experiences, activities, and events, whether direct or indirect, which occur within an environment designed to foster children’s learning and development. These experiences, activities, and events may be based on forward planning or may evolve in response to a particular situation. This document is divided into four sections. It is important, however, that it is read and used as an integrated whole. The principles, strands and goals are common to all early childhood services. The ways in which they are put into practise, however, may differ from service to service. The English and Māori texts parallel and compliment each other. The Māori curriculum is designed specifically to provide a basis for appropriate practise in ngā kōhanga reo. It is also applicable within other Māori immersion programmes. The Māori curriculum is an integral part of the document and provides a basis for bicultural early childhood education in New Zealand. Part A of this document describes the curriculum Whāriki and the early childhood context in New Zealand. Part A outlines the importance of meeting the needs of specific groups, such as children with special needs and those in Tagata Pasefika early childhood centres. It also outlines the background to the development of this curriculum. There is a summary of the principles, strands, and goals of the curriculum in Part A. These are further developed in Part C. Part A includes some indicators of broad stages in children’s learning and development, and identifies processes of planning evaluation, and assessment and the ways in which these are related to the principles of the curriculum. Part B establishes the particular emphasis for curriculum in nga kohanga reo. This section will also be of use to other Māori immersion services. Part C expands on the principles, strands and goals and forms the framework for implementation. The four key principles are described. The strands are explained, both in general terms and in how they relate to the principles of the early childhood curriculum. Implications for adult responsibilities for management, organization, and practice in early childhood settings are set out for each strand. Some of the expectations for children as they move from early childhood settings to school are also described. Each strand has associated goals, which in turn have specific learning outcomes. These learning outcomes are identified in Part C. Examples of experiences that will help meet the needs of, and achieve the necessary learning outcomes for; infants, toddlers, and young children are suggested in this part. These examples are intended to promote discussion and assist services in developing programmes that are closely related to the principles, strands, and goals of the curriculum. Examples of reflective questions designed specifically for each goal provide a further basis for discussion. Supporting resources will provide further assistance in planning, evaluation, assessment, and implementation. Part D demonstrates the links each strand has with the essential skills and essential learning areas of The New Zealand Curriculum Framework for schools. Terms used with specific meanings in this document are defined in the glossary, which is also in Part D. The Curriculum Whariki for New Zealand Children The curriculum is provided by the people, places, and things in the child’s environment: the adults, the other children, the physical environment, and the resources. The curriculum integrates care and education and includes both specifically planned experiences and activities and interactions that arise spontaneously. The early childhood curriculum has been envisaged as a whariki, or mat, woven from the principles, strands, and goals defined in this document. The whariki concept recognizes the diversity of early childhood education in New Zealand. Different programmes, philosophies, structures, and environments will contribute to the distinctive patterns of the whariki. Distinctive patterns will come from: 1. cultural perspectives, such as in kohanga reo or various Pacific Islands early childhood centres; 2. structural differences, such as in sessional or full day programmes; 3. organizational differences, such as in kindergarten or child care centres; 4. different environments, such as in home-based, or center-based programmes; 5. philosophical emphases, such as in Playcentre, Montessori, or Rudolph Steiner programmes; 6. different resources which are available in urban and rural settings 7. the ways in which the local community participates; 8. the age range of children in the programme. [Section on Including Children with Special Needs. Section on Distinctive Contexts, specifically Maaori Immersion curriculum, and Tagata Pasefika: Pacific Island early childhood centres.) THE PRINCIPLES, STRANDS AND GOALS FOR THE EARLY CHILDHOOD CURRICULUM The Principles There are four broad principles at the center of the early childhood curriculum. Empowerment: The early childhood curriculum empowers the child to learn and grow. Holistic Development: The early childhood curriculum reflects the holistic way children learn and grow. Family and Community: The wider world of family and community is an integral part of the early childhood curriculum. Relationships: Children learn through responsive and reciprocal relationships with people, places, and things. Strands and Goals The strands and goals arise from the four principles. The whariki is woven from these four principles and the following five strands, or essential areas of learning and development. The principles and strands together form the framework for the curriculum. Each strand has several goals. Learning outcomes have been developed for each goal in each of the strands, so that the whariki becomes an integrated foundation for every child’s development. Strand 1: Well-being – Mana Atua The health and well-being of the child are protected and nurtured. Goals Children experience an environment where: 1. their health is promoted; 2. their emotional well-being is nurtured; 3. they are kept safe from harm. Strand 2: Belonging – Mana Whenua Children and their families feel a sense of belonging. Goals Children and their families experience an environment where: 1. connecting links with the family and the wider world are affirmed and extended; 2. they know they have a place; 3. they feel comfortable with the routines, customs, and regular events; 4. they know the limits and boundaries of acceptable behaviour. Strand 3: Contribution – Mana Tangata Opportunities for learning are equitable, and each child’s contribution is valued. Goals 1. there are equitable opportunities for learning, irrespective of gender, age, ability, ethnicity, or background; 2. they are affirmed as individuals; 3. they are encouraged to learn with, and alongside others. Strand 4: Communication – Mana Reo The languages and symbols of their own and other cultures are promoted and protected. Goals 1. they develop non-verbal communication skills for a range of purposes; 2. they develop verbal communication skills for a range of purposes; 3. they experience the stories and symbols of their own, and other cultures; 4. they discover and develop different ways to be creative and expressive. Strand 5: Exploration – Mana Aoturoa The child learns through active exploration of the environment. Goals 1. their play is valued as meaningful learning and the importance of spontaneous play is recognized; 2. they gain confidence in and control of their own bodies; 3. they learn strategies for active exploration, think and reasoning; 4. they develop working theories for making sense of the natural, social, physical, and material worlds. Appendix B Interview Transcript Colleen, would you like to tell me about your kindergarten, and any things about your children that you want to? Our kindergarten is a very friendly place to be in, the children seem to enjoy coming to the kindergarten. Sometimes it is not as relaxed as it should be, but on other occasions its very relaxed, we had a very good day today. (this is the forth day of the New Year ed.) Being the first week of term I think that’s quite something. Our children are responsive; they love to be involved in group work, they respond beautifully to any kind of music, and stories. They’re good learners, they’re good listeners, and they’re very eager to learn. They seem to be very teachable. What sort of group work do you do? We do stories, music, math games, parachute games, board games, science in the sand, science everywhere, threading, singing games, physical large motor movement, e.g. forward rolls, climbing, ball games, skipping, puzzles, block play and baking. Last year we took groups. Each teacher has 15 children in each group (3 teachers) whose portfolios they are responsible for. Last year it was the morning children only (4yr.3mth to 5yr 0mth), this year it is afternoon children as well (3yr.6mth to 4yr. 3mth). We divide them in those groups and each teacher takes their group on a Monday and a Friday. They can choose what activity they do with the children. We are very strong on numeracy and literacy, and my belief is that music teaches both these skills very quickly, and easily. So we do an activity with our group. We can do anything in small groups. You might do baking, you might do a math game, you might take a music group centering on percussion. There may be all sorts of things happening in that group. I often, as a teacher, sing instructions to the children. Why do you do that? Because children stop and listen. For example this morning on the mat (circle time) everyone was noisy. (Colleen sings: I need you to listen) everyone stopped talking, ok? And then also there’s a fascination about it and their eyes light up and I get these beautiful grins from ear to ear from the children when I do that too. The group work, lets get back to what we are talking about. We’re doing it with our afternoon children as well this year because we found that we had a lot of unsettled children and a very big group is quite frightening for a new child to go into. My first group was Wednesday. I had a cushion ball. We were singing and calling the names as we threw the ball to one another so that the children would learn one another’s names. This was the morning or the afternoon group? The afternoon group, their first session of group work. Their response was amazing. They were so so settled and listening and, well… if you can use good, they were! Today I was outside and I sang and we sang (Colleen sings let’s march around the tree, let’s jump up and down, let’s fly in the air…) before we settled down and had a story. So you make up your songs? Oh I do, I do that a lot, because I enjoy it, you see, and the children love it and they respond immediately. Today they were laughing, but they were doing everything that I said as I taught. I really think that the group work for the afternoon is perfect How much of the morning session or the afternoon session is in group work Usually 15 – 20 minutes in the afternoon, in the morning it could be 30 minutes or maybe longer. We did puzzle skills the other day and I just got the children to continue doing a series of puzzles increasing in complexity as they completed their puzzles. But I was taking the whole group this morning (all 45 children) I wanted to do something active, so I put on ‘High Five’ (adult singing group who perform specifically for early childhood settings, based in Australia, three women and two men) and the children danced. They either dressed up, or took the percussion instruments, or they just pumped about, they danced! I always make an effort to do something with music. I used to do percussion with guitar. It’s quite fun but I haven’t yet this year. Why do you always try to do music? It completes a session. For example if I take a whole mat (circle time) [on the days that we don’t have group work this happens early in the session. However on every day we have a mat (circle time) at the end of the sessions, morning and afternoon]. End mat (circle time) is a time for notices and a time for singing and a time for story, but at that time we always do a math game using counting, and we’ve become increasingly aware of how important it is to have the digit, the word and talking the numbers through. The whole thing pictured. You’re singing the word and you’re showing the numbers. (Counting games with fingers and toes, addition and subtraction) Tell me about all of the music that you can think of that happens in your kindergarten. Singing, dancing percussion, poi, rakau (claves), action songs, musical stories with tapes and big books, spontaneous group singing, planned singing with guitar, parachute, lycra. Well, the children will sit on the swing and I will sing. Whenever I push a child on the swing I sing. I sing anything that comes into my head. I might sing a nursery rhyme, or if I’m counting (Colleen sings One two, buckle my shoe…) or I might sing twinkle twinkle little star, or I’ll say “Old Macdonald had a farm, how many cows did he have on his farm?” and we’ll sing that or I might just make up a song, like (Colleen sings Sophie’s on the swing she wants me to give her a push. One push two pushes three pushes four pushes I’m only giving you ten. Six pushes seven pushes eight pushes nine pushes ten pushes. Now you have to do it yourself) Why are you only giving me ten? Because I get tired arms. They shake their heads. No you don’t get tired arms. You’re a big person. (laughing) In the sandpit I might sing, I make up lots of ditties. I don’t do it always, it depends on my mood. I don’t know why that is but some days I don’t sing as much. But I do know that if suddenly things go array and I sing, I can get much more focused attention, I’ve found that over a number of years. So there’s the informal singing that happens during the play and the more formal singing that happens during the mat (circle time) times when you’re working on specific songs And the spontaneous group that happens. You might have a bus (drama activity where children line up, perhaps with chairs) or a train. [Colleen sings ‘We’re all going on a train, where are we traveling to.. do.. do. I’ll get my guitar we might sing some songs as we go along] [Giggles]. So I get my guitar and they go and get percussion instruments because if I have my instrument then they must have their instruments too. They love the bus too. [ song: The wheels on the bus go round and round] We sing that. Then I might go off into a reverie of making up the song, because I’m out in the playground nobody knows what I’m playing, so I make it up with the guitar. I play my guitar and I sing and the kids think it’s fun. ‘Now sing about me!’ I get that from time to time. I must say that I’m doing less of it than I used to, but near the end of last year I thought ‘Why aren’t I doing this?’ So I started doing more of it again, and I’m going to make sure I keep it up this year because the response from the children is amazing, they love it! Could you talk more about the children’s response. I’d be interested in hearing about them making up songs after hearing you making up songs. But first give me the children’s response to your singing. Well they’ll laugh sometimes, they’ll say ‘oh Colleen you’re silly’, and I say ‘did you enjoy it?’ and they say ‘mmmm’. Then I’ll get the ‘sing about me’ because I might have named a few children. I love the smile that I get when someone is doing a puzzle and I will just talk at first and say ‘you’re doing a very good job (Colleen sings ‘In fact I think you’re clever’) and the face beams, big smile and the eyes light up, and I might get this little coy look about them. With Maddison (child) in particular, she will walk about the kindergarten singing away, just anything. I will join in with her occasionally, then she will make something up and then I will make something up. I used to do this more. We had another teacher at our kindergarten, Sina, and she and I would sing together. If I started singing on my way into the kindergarten, sometimes I do crazy things like that and come in skipping and singing, and she would start singing with me, cos she loved it you see. ‘Come on Colleen, let’s do that again’. We might dress up (laughter) sometimes I’ll actually dress up, I don’t do it a whole lot. Sharon was walking around the kindergarten today in dress-up. Then I’ll act out silly things. I think it’s part of my heritage, my mother did fun things. She sang all the time. She always sang around the house. Whenever I think of my mother (deceased) I think of someone singing. So I think she released in me that feeling that music is healthy and good and it’s fun and you can relax with music too. I believe children need music to grow, otherwise there is a part of the brain that is not being serviced, a part of the mind, a part of the being. It’s definitely a soul thing, and definitely something that needs attention. It gets to the heart of the child because that’s where the ear to ear smiles come from. I talk about the wairua when I am speaking of the power of singing on a person. It touches the depth of the being, the spirit, the soul, but using a word that doesn’t have the religious overtones for those for whom those words are uncomfortable, wairua is more acceptable. A merry heart doeth good like a medicine. This is where the music comes in, a merry heart could be laughter, but it could also be music. We’ve covered a lot of activities and experiences, but all so far have been focused on singing, using the voice, guitar with singing, percussion with singing. Are there any other triggers for music making? Children ask for a c.d. or tape to be put on. They ask for High Five, or ‘Who let the dogs out’ (laughter) even if it’s only got one line in it. The other thing that happens is that there will be a beautiful spontaneous … one or two children get all the drums out and play the drums and play the percussion, and I will say ‘wow, that’s brilliant stuff’. I love watching you do that. I’ve got a photo of one of the children. I did a learning story. We had Matua Barry and Whaea Paki come in to work with the children for two weeks, they brought into our kindergarten a lot of the Maaori culture and included in that were stories and music as well. This was a really deep learning experience for all involved. It was also lots of fun. We don’t use the piano very often, so we had to clear it of papers etc when the Waikato Children’s Choir came and sang for us. When we can, I get Rosalind (Colleen’s daughter) to come and play her cello. I read stories also. Do you know The orchestral animals. In this story each animal plays a different instrument. It is a videotape with book illustrations. In that way the children get exposed to other instruments Can I give you some cues? When the children ask for c.d.s and tapes to be put on, what do they do? They boogie sometimes. We have a danceathon and they do boogie, but they might just go into a swooning mood, and just dance, and dress up and just dance…. I might put Kids Classics on. That won’t be requested, that’s usually a Colleen initiated one. If I put on Feeling the Beat, or Pukeko Stomp or something, or maybe Dancing to the beat, that has songs on, I might go in and do songs and movement with the children. I might just put on a tape of my choice that I like and set the movements that I choose for the children to do, like free dance, creative dance, but then on other occasions we will follow what the words tell us to do. But then you’ll leave it on and that’s when it happens. The children just pick up the scarves, or ribbons, or dress-up, and they’ll dance. It can be free dance of if it is High Five, they will follow the instructions. Everything is out for the children to take. I might take a scarf music group and put on maybe a kids choir or I might put on Toffee Apple and then I’ll …we’ll have a fast one and then a slow one so we unwind. If we have a music group and we’ve had about four fast tracks, I’ll put it on a very quiet one, so that we’re doing slower, quieter movements with our scarves. Without wind-down the children might go crazy haring round the kindergarten after music has finished. Another thing that I do with the children is to have all the children at the mat (circle time) with a percussion instrument, we do some marching and we make a band. How well do the children respond to beat at that point? This morning for example we had the Beach Song (Colleen sings ‘I went down to the beach and what did I find, I found some rocks to play in time. Playing a rock sound loudly mmmmmmmm’.) And so on…. It has specific instructions Of beat yes, and time, and we make sure we stop the tape and say you need to listen to the music and when the person is saying five, let’s do it together, 1,2,3,4,5,. You have a rehearsal? Yes that’s exactly what we do. The song has fast slow and soft and loud. We also have another one that plays a beat (Colleen claps simple 4 beat pattern) and the children have to echo the beat. We do lots with the rakau you know Music Music? (remembering a song, she recites) Sticks are banging in the air, sticks are banging way down low, way up high, sticks going end to end. It’s a Kids Music Company song, from Wendy Jensen and Janet Channon., we do a lot of that. So it’s rhythm that is being taught and beat and keeping in time with the music. There’s not a day that passes where there’s not some form of music done. That may not be true for some during group work, but there is always spontaneous singing or something happening outside. I will take outside percussion instruments, the tape recorder, a pile of tapes to play. Maybe I’ll take the rakau (clave), maybe I’ll take the poi. It doesn’t matter what I take, the tape will be playing and a child will walk past and they will pick up a poi and spin it for a while and they’ll walk on by, and the music is always there. You have music playing all the time? Not all the time but outside I will often have tapes on. I will play unless I take a story and then I’ll switch it off, or maybe I’ll want to do a ball game or something. If I’m over on the grass then the music can still play. Usually I put it on as a set activity for me to have a music group, when I’ve finished I’ll leave it on and say to the children ‘you can continue on if you would like to, I will leave the tape on’ and they will say Colleen can you put such and such a tape on, we want to listen to this or we want to listen to that. They know the tapes, and they have particular favorites. We have musical books as well, big books and normal size books with a tape that sings the songs or has background music while the story is read. (Colleen recites, trying to remember the story ‘I love the springtime rock and roll. That’s a nice dance, the ladybird sings. The cow danced and the green grass sings…. The farmer says…. well bless my floppy hat and bless my soul, I’m doing the springtime rock and roll) I love it, you’ve got to get that one! I do find music quite helpful if I have the presence of mind. Sometimes you don’t always use the skill that you have, and you need to! For example, if a child is having trouble with hammering a nail I might go with them and sing (Colleen sings Hammer hammer hammer hammer bang bang bang. We’re going to get this nail in and make…. whatever we’re making) I find it as a helpful thing for a child who’s having difficulty and feeling like giving up. I do tend to revert to the music if things aren’t working out, if things look difficult I will revert to music to help them. It works, of course it does. Cuddles and music are great too, for guidance and encouragement. What can you tell me about songs that the children make up? If I’ve been singing, for example I’ll sing a song, and one will say ‘I’d like to sing a song’. I’d love to record them but of course they are just gone. But you get the most amazing song and you think it should be finished but it isn’t cos it goes on and on and on for a long time. Another time it will be a short ditty but someone who has listened to me will decide that their song should be long (laughter). It’s the little boys that do it, not just the girls, you see. Interesting isn’t it. In the sandpit will be mostly boys, and if I start singing about somebody’s toy that they’re working very hard with, and they’re digging in the sand and (Colleen sings ef recitative They’re making a road to somewhere, or maybe it’s a river, I’ll never be able to tell) or something like that, and the child will laugh at me and say ‘of course I know’. Then you get the backlash after that, someone humming after that, and what they’re singing we often don’t catch, when somebody else has decided that they want some attention of some sort, be it a song or whatever. But usually in a group thing when everybody’s working together and if you start this singing it’s quite funny what happens. The group all sort of laugh for a while and then get into it, you’ll start getting a few hummings and things like that. I think we could get more spontaneous singing. You’ll go into areas in the kindergarten and the children will be singing as they work, e.g. puzzles, art. I have observed children happily singing as they play, in most areas. Often it occurs when play is solitary. With no teachers anywhere near by? Is that a learned behavior? Is there something, maybe that happens that home or someone at home sings, do you think that’s why that happens? Children have music all the time, they have radio, TV., they got to shopping malls. They hear music all the time, even if parents don’t sing. They get a chance to sing at kindy, then of course they use those songs as well. Maaori children with marae experience, Mainly Music, parents who love Rock n Roll etc I am sure that some of these children who line the drums up, hear their fathers play the drums at home. If we are learning a new song that a child knows, we give that child an opportunity to lead at the front of the group. For instance we have just started with a karakia. One of our children knows it so he always gets called up the front to lead us. He sings it out really well, at times. (laughter) What we say when they’re singing really loudly and not in tune, is ‘you need to listen to the person beside you and in front of you, so that you can hear and keep in time with everybody. If we all sing a little more quietly we can all hear what a great sound we can make’. You can also say ‘How many ears have we got? Two. How many mouths have we got? One. So we need to listen twice as much as singing. There’s quite a lot of child-initiated music because the children ask for music. It’s a very busy kindergarten so that’s why often if they haven’t asked for music I will put something on. Let’s go back to your kindergarten. Can you describe for me what your kindergarten looks like. Close your eyes and walk around your kindergarten and tell me what you see. From the gate you see a lovely green patch, which we’ve just acquired, newly grassed where the children can actually run. We used to have a rule that the children could not run because it wasn’t a very big area, but now they can run and play ball and play a lot of games that we didn’t have room for before. Then you walk forward a little more and you have the swings and next to the swings is a shed. Further forward along the path is the climbing equipment, then a lovely big tree which provides wonderful play for water activities. Just across from that is the slide. At the bottom of the slide is bark. If you walk about a meter forward from that there’s a platform, which goes into a very large sandpit which takes up quite a lot of space, so it’s a very big sandpit and lots of activities can happen there. Baking is a favorite activity, there is also a lot of music. The sandpit is a place where a lot of co-operative play happens. Now you move back across to the driveway/pathway we’ve been walking on and you’ve got another big tree with a seat around it. Around that tree are tarpaulins, mats and tables, and on the tables there are puzzles, paints or some other activity. There will always be a pile of books, there’ll be some manipulative equipment (cog sets, Mobilo, a train set or Duplo or Connect, etc), perhaps some large (jigsaw wooden) puzzles (gestures a metre size for the puzzle), perhaps some poi or rakau, and a tape deck and music. You move a little further down the path and come to a concrete area where we have just had a new overhang put on the eastern side of our kindergarten building. It is clear Perspex. Under it is a carpentry bench and in cupboards; tools, wood and nails. The next thing down the drive are the stairs up onto a big verandah, which has sides that can be rolled up when it is sunny or down when it is raining, as well as different doors into the kindy. Go back down the stairs and walk past the carpentry area, turn left and walk up another set of stairs into the main area of the kindergarten building. Immediately to your right are the percussion instruments, the piano, the tape deck and the c.d.s. Beside the tapes there’s some bean bag turtles, some shells, stones, sand, feathers and puppets. You name it, we’ve got it…scarves and a big wall display because we’ve just done a where do our children come from with two big maps on the wall and a picture by each child and wool thread linked to the country they come from. How many different countries? 12 – 20 possibly? We are a very multi-cultural kindergarten. All around the walls are Learning stories, or Child’s Voice. A Child’s Voice is what the child has said about what they have done, or what has happened to them, or what they think about something. Learning stories are up on the wall as well and we are starting to laminate the value of each area. For example, the value of the music area is on a wall chart and this is put up for the parents to read. On the other side of the door there is a little platform, like a low landing and you go up the stairs and there’s a sofa and shelves and heaps and heaps of books. Underneath the little landing are the puzzles shelves. The puzzle table is put up for mat (circle time) time, because on the floor is the big mat (circle time) area just inside the door where the children sit at mat (circle time) time. Over the other side is a teacher’s chair and heaps of big books (shared reading, large print versions that are available in normal size books as well). Then you walk along and there is a lot of manipulative equipment. This sounds full but actually it gives a lovely feeling of freedom and openness because as you walk along from the puzzles…. Let’s go to this side of the kindy, we’ve worked down to where the division is so then I’ll work down further. Then we have a table with information for parents. Then there’s a computer desk and children can use that computer. Backing onto that is another computer. Grandma and Me is playing on one side and Kindercarten (sp). They have all sorts of math and music and interactive story programs. Immediately across from that there’s another information area with the portfolios which are all out on display and the parents are allowed to pick them up and read them whenever they like, they can actually take them home if they want. Children take them out all the time and thumb through them they are their portfolios they are welcome to use them anytime. This is a Waikato association initiative or your kindergarten? This is our kindergarten since we’ve done our project with Wendy Lee, and it is a Waikato thing actually, because it’s supposed to be being incorporated into all the Kindergartens. This has come into being since the beginning of last year we made them very available for the children. They take them out and they sit on the floor and the thumb through it and they chat about it: ‘Well, that was when I did this, and that was when I did that, and look at this, look at this painting’ and it’s wonderful. Then we’ve got a little wooden doll house that they can play in, and then we have the large blocks. Well, some are large some are not. That’s the block area. We then have the office, we have a hexagonal table with computer keyboards, telephone, pens and pencils and writing paper, and also we photocopy off letters so they can copy them, telephone book, and books are there too, you always have books to read while you’re at the office. (laughter) I’m going to take you down the right hand side now except I’m facing the other way. That merges into the family corner, where a good supply of dolls, clothes and dress-up are available. This merges then into the dough corner. The play-stove, and the refrigerator and the microwave are with the play-dough, and so is the sink. The dough is the cooking area so you can play bake. Then if you continue moving down there is another little room and that’s the science area and there’s fish in an aquarium in there, and plants and shells, and the canary who is outside all day, gets put in there at night. Oh the staff toilet is in there as well but you probably didn’t want to know that (laughter). Come back out of the science area and we’re back in the dough area. If you walk straight across from the dough area you are in the kitchen. The door to the kitchen is always shut, a safety precaution. The kindergarten has a nice open feel to it because you can move anywhere. Come out of the kitchen and you have all your collage materials: paints, glue, arts stuff and natural resources of leaves, shells, petals of flowers and things, bark and shells, colored paper, foam shapes. On the wall above are parent notices, along with information about community events. Children’s artwork is also displayed. Then there’s a painting rack attached to the wall for drying paintings, and boxes. A painting easel, and a big screen printing table, and if you move down that side more, you have another trolley with paper galore and crayons and pens and pencils and scissors and staples and punches and every other thing. Then there’s another table, a great big yellow table. Immediately by the yellow table on the left hand side there’s a wall with windows, and that’s the children’s toilet and the hand-basin. They used to put their bags in what is now our office, but we have hooks out on the covered verandah, so now they hang their bags there. Artwork is seen hanging from wires across the ceiling and around the walls. Well that’s an outline of our kindergarten. So the children pass all the outside activities to come into the kindergarten? You mentioned a shed earlier on. Yes, that’s where we store all the outside equipment. There’s hoops and balls and soccer goals and wheelbarrows and trucks and diggers, and so on. Do the children get those out or do you set them out before the children arrive? Tomorrow I will go and set up, probably put the goal and balls out and I’ll set up the boards and the ladders on the climbing frame otherwise it’s not safe. The rope ladder is often put up right on top of the box. So they climb up the ladder and go across the rope onto the box, and now it’s like a confidence course. That will go up onto the platform onto the slide. So the climbing frame can be different every time they come? We’ve got big Tredsafe boxes and you can put them anyway you like but we are limited by space. We’ve got a wave board that you can put up that they can climb with footholds, and a jouncing board, a springy board, which they can jump up and down on. They can jump on any board they like. Some children are crazy; they jump from the boxes way too far sometimes, shudder shudder. I think we need a different soft fall surface but the bark is perfectly okay as far as legality is concerned and it has the safety aspect. How often do children have accidents off the climbing equipment? Not very often. But we do have a fully equipped first aid kit, with ice packs, and so on. Very occasionally we’ll have a bad accident. Somebody may hit their head on one of the bars of the climbing frame or they get stuck on the climbing frame, or someone runs in front of a swing and gets kicked, because we haven’t got the room to spread the equipment out as much as we’d like. We’ve just acquired a 9-meter width of grassed area. The Kindergarten is down quite a long right of way, and the house on the front section belongs to the Housing Corporation (Government housing) who said we could have it as long as the tenants agreed. The house has a long back yard, which they did not use, so we had asked if we could have some, and the current tenants had said they would think about it. The new manager of the Waikato Kindergarten Association got moving on it, and just before Christmas the fence was moved and the new grass was planted, and it’s wonderful! The house still has a big back yard, but we have our grass for the first time! So that’s our kindergarten! The layout at present is: you look through the door and you have a clearway, you can walk easily from one activity to the next. Supervision is very easy in this kindergarten. For the new-year we repositioned the equipment, we (teachers) played around with where things would best go, and the current plan emerged. Our office is now where their lockers used to be. Our office is a very busy looking place. It has a brand new computer which is great, a photocopier, and a laminator which is put away. Administration stuff is everywhere. It is a very busy working space. Do you have an active kindergarten committee? We have a very active committee. We have a brilliant kindergarten committee actually. It very much depends on the chairperson and her drive as to how effective the committee is. However we had a subcommittee formed who ran our mini gala and it was brilliant. I think we earned more with our mini gala than we ever have in the past. Every term (4 term year) there are set fundraisers that we do, but if someone comes up with something better we’re quite happy to change and to try that. I meant to tell you: we have an auxiliary worker now, we’ve only just had that last year, so we’re teaching her how to use First Base which is our kindergarten admin program. She’s been finding it a bit frustrating with a lot of new children coming in but she’s getting there. It’s really good having an auxiliary worker because there’s a lot of things we would have to do that she now does. It means we can spend more time on our observations and portfolios and actually being teachers and working with the children, which is what we want to do. Colleen can you tell me how effective you think the link is from the kindergarten to schools. Numeracy and literacy are probably fairly well established because the kindergarten and the schools have expectations of that, because of the national push in those areas. We’ve done that because some of our teachers are really interested in that. I work with the head teacher. She is doing masters papers. She has studied in literacy so she has done reading in that area. We know how important it is and I think that we always try to emphasize it and bring it to the notice of the parents to show what’s happening here. We point out to the children things about books: this is the title, this is an ‘A’, these are the words I am reading, this is a question mark, this is an exclamation mark, this is a full stop, that kind of thing. We’ve done that a lot in the past, but now we do it every single time we read to the children. We have excellent links with Knighton Road Normal School, and they can always pick a Peachgrove Kindergarten child, now that’s an interesting observation. They come in and we have school luncheons every term, maybe more than once a term. The new entrant (Year 0)$^2$ teachers call in quite regularly during the term, from each of the schools our children will go to, once usually from the rest of the schools, but more regularly from Knighton. They just check to see which children are coming to their school soon. Often they will bring work from children who have been at our kindergarten. They’ll come find out more about children, they need more information for instance, on our Somali children. Our liaison with the school is excellent really, because most of our children will go to Knighton. Marian School (private catholic school) has just started their own kindergarten, so we don’t see as many children now who will go to their school, but I’ll be interested to see what happens in the future. What happens to their music when they go to school? What happens to their music? I’ve never asked that, but I must ask next time I go. We’ve been to the school on several occasions because we’ve been invited. We take time to go into the classroom and see the children that we’ve sent to the school, and look at their work and talk to the teachers, but I’ve never talked about music! It’s interesting that there is a gap by default set there. What they’re doing at age 4 and what they’re doing at age 5 has a total cut-off between kindergarten and school first year. What do they do at school for music, do they do a lot of music? What can they do? It is totally over to the teacher and to the school. Affected by squeezed curriculum, and $^2$ When children start school they will enter a new entrant class and their time as a new entrant will depend on their school readiness. All new entrant classes are classified as Year 0/1, and children will be at that level as long as they need to, there’s no annual grade graduation. ‘more important’ skills it can be squeezed right out. But as you said music can be so crucial to the learning processes. It was interesting that even although you knew what the topic of the interview was, and even though music is so important in your own life and your own teaching, it was still almost a surprise question. I haven’t ever investigated what happens at school, but I would like to think it is happening. You go into some classrooms and there is a guitar there and I think therefore there must be good music or at least some music happening there, but it would be a terrible shame if it was not. Do they get training in how to include music in the primary school programme? So they should know the benefits of music. Yes, those are the students I am involved in training, but they get a very short time for music (24 hours in a freshman paper that includes dance, drama, music and visual art education. Option papers are available in all of the Arts, but less than 10% take these option papers in music at my training institution). It hasn’t been apparent to me when I go to the schools, I don’t see it. I have seen instruments in a classroom. We have never struck a music session, but perhaps we’ve never been there at the right time. But I remember when my children started school I loved seeing the music session. Emily’s (daughter, now age 28) was in Maree **’s class, and she was very keen on music, they had such fun with music in her class. I’m sure that it happens at school, but I haven’t asked. I should ask next time I go: what music do they provide at school, would that be the right question? Or perhaps: they’ve been doing all these things with music at kindergarten, how is this being built on when they come to school? Because it is rather difficult to put music into their portfolios isn’t it. (laughter). But you can include photographs by using a digital camera you can photograph the activities, you can’t hear it, but you can see what they’re doing. For instance, if the children have made a bus, and they’re all sitting behind the steering wheel, and you photograph this and then write a story about it; this is what happened and this is what the children did. Then when they are dancing I will take two or three shots, so I will get the children waving the scarves, bending over, kicking their feet, so you get the idea the child is dancing to the music. In the portfolio, it is important to have some sort of picture so that the children can see themselves in action. I took a photo of some of the children playing the instruments in a group with me in the afternoon session, so the parents could see they were using the percussion instruments. I wonder if either of your computers at the kindergarten has a microphone so you can actually record them. I think you can record for a minute or two on the digital camera, but we can’t take that recording off. Maybe we could put that on the computer for the parents to watch. Now that is something we could do. But I don’t know how, I’m not adept at doing that. Sharon could do that. Now that is something we hope to do in the future, this is part of the exemplar project we are involved with. That would raise the parent’s awareness, and also their expectations. That is something that we want to do, to have something playing on the computer over and over. The children love to see themselves. I guess eventually we will get a video camera to record the children having a music group and then pay that when the parents come in. That would be the way to do it? We do have parents bring video cameras to our ‘Danceathon’ which I haven’t told you about yet. We have a ‘Danceathon’, and the children are sponsored to dance for 45 minutes or maybe an hour. What we do is dance for 15 minutes and then go and have supper. If they want to come back and dance they can do so. We have a strobe light and the whole place is dimmed and all the children come dressed up as their favorite character. It’s in the third term, in winter so it’s darker earlier. It ends by about 7:00p.m. and we bring a plate of finger food, and have supper, and if you don’t feel like dancing after supper you don’t have to. But there were some children who went back after supper and they danced and danced and did not want to stop and go home, it was amazing, last time there were about ten children who did this. The Danceathon is a hoot, lots of fun, and a good fundraiser. We do it every year now. Thank you Colleen for sharing so much of your experience and information about your kindergarten Appendix C Kindergarten Photographs Photographs of the Kindergarten described in the Interview with expert teacher Colleen. Figure 1: The reading alcove to the right of the main entrance door. Figure 2: The display of Learning stories, and children’s computer. Figure 3: The collage materials rack. Figure 4: Notice-board for parents to see how the kindergarten program is being planned and implemented. Figure 5: Children find their name when they arrive and place it on the magnetic board. Figure 6: Parents lending library, books about child Development Figure 7: Children’s collage work and prints from guided activities. Figure 8: Resource cupboard with math games and clothes. Figure 9: The science corner & fish tank. Figure 10: Dolls house. Figure 11: Kitchen corner. Figure 12: Family corner, table used for multiple activities Figure 13: Book corner. Map shows the different countries that children who attend the kindy are from. Figure 14: Music corner, currently no piano playing teachers. Children have free access to percussion instruments. Figure 15: The new grassed area. Figure 16: Shaded swing area Figure 17: The bench where puzzles and group activities happen. Figure 18: Water play tub, general purpose tables, and the sandpit Figure 19: Covered verandah area where outside activities can happen in inclement weather. Appendix D Onsite Researcher Observations 38 children 3 teachers Length of recording/session 2 hours 55 minutes Use of Recordings C.D. set to play before children arrive, peaceful mood music, no apparent reaction to it, no attention drawn to it. It is audible over all chatter, plays for 1’ 5”. When it stops children come and request tapes to be played. Girls dance to Spice Girls and sing matching pitch with chorus sections. Boy requests Barney, but no such tape found, so teacher puts on a nursery rhyme tape and boy wanders off. Teacher turns tape off after 15 minutes. Instrumental C.D. put on for last hour of kindergarten time, during which teacher plays a math’s singing game with a group of up to 10 children with the C.D. still playing. The recoded music is changed when cleanup time arrives. A music cue is used to help the children with the tidying up. Teacher Jo uses a high range of pitch modulation in her speech, and has a higher pitch center to her speech when talking with the children. 8:57 Two boys on swings, singing ‘Jack and Jill…’ matching pitch, change the words, abandon singing pitches, change to chant. 9:12 Three boys on fort, chanting fire bombs, fire bombs, fire bombs. Using speaking voices, but altering pitch range…. Over 3 minutes duration. 9:20 humming sound on pitch middle c, source not found, 3 – 4 minutes, no evidence of anyone else noticing it. 15 plus activities for children to select from: swings, fort, sandpit, carpentry, screen-printing, trolleys, puzzles, Duplo (large sized Lego), finger-painting, drawing, painting, play-dough, sewing, fish exploring, child built climbing frame under construction, morning tea, home corner with bed, table, phone, dolls, clothes etc 9:58 Spice Girls tape, ribbons out, sing-along, dance with ribbons, children then able to choose tapes to be played. 10:27 lego area, song tape is playing, boys ignoring, and using sing speech, telling each other the story of their lego constructions. 10:32 antiphonal calling, six girls on swings: ‘Lydia..’ changes to ‘Lydila..’ briefly 10:35 grunts from morning tea table (ill – laa) 10:40 boys with book, off cam, telling story about where they think they live, on what they think is a map ‘Auckland’ home, biggest city is ‘Australia’ kindergarten pitch of voices, high and excited, sing songy, high degree of modulation in all of their speech, it is all based on a map of the Vancouver Aquarium. 10:52 trolley song, having repaired the trolley It’s working, it’s working it’s working 10:55 girl on swing, whoooooo* descending pitches, free rhythm pitch g' – b 10:55 boy on swing hello hello me – doh pitch b – g 11:20 Clean up time, tape put on to play during clean-up, after instructions are given. Kindergarten 2 42 children 3 teachers 1 special needs teacher Length of recording/session 2 hours 22 minutes Use of Recordings Tape of children’s songs sung by children is playing as they arrive. Children join in with ‘heads, shoulders, knees & toes’ matching pitch while doing the actions. This is turned off soon after the children wander off. After an extended play with instrument, a tape is requested. Children dance but do not sing, other children come and watch and listen, but still no singing with the tape, although the songs have been requested and are therefore presumed to be known. A break from recorded music for about 30” and then teacher puts on a rap recording. Boys come and march in front of the sound system in time with the music. 9:00 sandpit, boys, own song I'm a grader 9:20 sandpit, friendly girl singing line 2 nya nya nya nya nya 9:25 Kayla, prize for you… a mother with a gift for a friend of her child… Kayla’s last day at kindergarten 9:30 instruments inside, 9 mth old sibling playing, 2 boys join in, 2 minutes later a girl joins them. Girl gives 9 mth old castanets, parent joins. Boy with drum playing flat on ground, then tilted, 2 beats each building pattern. Parent models ostinato (song 4) boy with drum on floor models accurately 9:40 parent leaves with 9 mth old. Other children drift away. Child with drum wanders off, brings drum back, he is 3 yrs old and belongs with the adult, and is leaving until time to pick up older sibling. 10:37 teacher clears away instruments to make space for a game, which is joined by 6 girls 10:53 Girls at front gate sing soh me lines to friend walking past with parent. 10:56 girl into shade area vocalizing and listening to beats of feet into sound ye ye ye ye separately and bouncing ma ma ma ma 11:00 tidy up and mat time. 11:28 child singing on the way out, very specific melody that nobody can identify see line 6 Kindergarten 3 41 children 3 teachers Length of recording/session 2 hours 55 minutes Use of Recordings Music tape on when children arrive, soft instrumental, non obtrusive. Music tape played the majority of the session, children were allowed to change the volume, but teacher still always in charge. Changes of recording were requested 9:00 teacher & children listening to the tape. 9:03 4 boys with teacher @ tape & singing 9:10 2 children dancing to the beat of ‘I’m a little angel’ around 10 seconds, no peer or adult input or supervision. 9:14 boy @ breakfast table - own song – see outside video, 15 seconds 9:17 S.N. child with Education worker, burst of vocabulary 9:27 ‘Plip Plop Plo…..’ 2 girls from the toilets, marching with packs NB check inside video and children with audio tape from beg. of session 9:57 boys’ chant ‘no-one’s coming to sit by me’ song 1 9:58 girls on climbing frame ‘scardey cat’ to soh me pitches, playing with sounds, laughter 10:04 climbing frame, ‘I hate you’ accent on hate, using melodic fragments from before. Jumping on the accented word 10:15 Play-dough kitchen, girl singing ‘own song’ for instructions, descending even notes over diatonic scale, 4 steps, repeated. 10:16 girls on inside construction, fragments of own songs 10:20 child going inside, fragment of soh me repeated 10:50 Wym-o-weh song, teacher in reading corner with three girls, singing in Key of A 10:55 Boys with lego, story telling, use of pitch in expressive voices 10:57 same boys, siren noise for one of their Lego vehicles f' – d' 11:08 banging clasp on wood, listening 11:12 teacher and children on grass, 5 to 16 children, singing songs teacher led, pitch range b₁ - f♯/♯, using rhythmic chant vocalizing over circa 8ve in chat “Susan what was that?” “Ickle Ockle, black bottle” 11:20 tidy-up 11:33 ‘story time’ teacher using soh me 11:35 songs inside Kindergarten 4 41 children 3 teachers Length of recording/session 3 hours 5 minutes Use of Recordings Kindergarten starts with mat time, and the children sing well, no recordings. Nothing put on until a stage is built and the children are ready to perform. It is a piano version of ‘Mexican Hat Dance’ this recording on for 10 minutes, then changed to adult male singer for 9 minutes, then female singer with standard children’s songs, such as ‘Puff’, and ‘Rainbow Connection’ and ‘Rainbow song’. After 10 minutes of this recording teacher asks children if they still want it playing, the answer is ‘yep’. This recording plays to its conclusion although after 45 minutes the volume is turned down. 8:40 teacher to children arriving at the door, song, good morning 8:55 child 2 to the right from charge teacher, flipping lip song, next child starts imitating (check tape for meaning of this observation) 9:00 child on mat, own song. Perspex front to piano, lid open, free play, girl playing a melody 9:20 morning tea table, girls song 9:20 teacher aide with child playing singing game what have you got in your pocket 9:25 zoom slide, children singing own songs, sliding and walking back to climb and slide again, highest pitch $a^1$ and down 9:27 sandpit, imitating Simpson’s character ha -ha 9:30 the first time children wanted to play with the cameras 9:40 head teacher’s comment that it is a very quiet morning 9:50 clogs on metal slide… timbre awareness 10:08 baking table inside I want the raisins song 10:30 boy walking outside, singing to his walking pace, poo-we poo-we about 8 bars, pitches $b - g\# - e$ 10:50 ‘farmer in the dell..’ story at morning tea. Teacher reading, girls at the clay table singing story as they play, matching to teachers pitch. 10:57 teacher sing speaks ‘frere Jacque’ at the zoom slide, children listen intently, and reply, but not during the song. singing continues desultory fashion, child strumming guitar at zoom slide at 11:20. 11:20 teacher with four children on grass (2 boys 2 girls) telling story to melody of ‘skip to my lou’, in the chorus sections the children all sing along. By 11:37 the teacher has the guitar, now there are 9 children, and the singing is less. 11:40 parade, three girls, one with tambourine in the lead, two shakers to follow. Tambourinegirl is initiator, they head to the swings, the two girls with shakers climb on, the girl with tambourine pushes them. 11:47 1 boy polystyrene blocks, fingers in each side, clapping like claves, then using his own head with polystyrene as percussion, with blocks, put blocks down, go to science corner, magnet handle, tapping animal jawbone in different places, examining the sounds, about a minute overall. 11:55 Child, own recorder, blowing a sustained note. Teacher and children follow, teacher sings Were you going to follow Nikita, Nikita… children listen but do not join in, teacher stops. (song 5). 12:00 singing games, 2 teachers, 9 children. Teacher sings and does actions, children concentrate on actions, do not sing. Second teacher and all children clap, recorder player accompanies, teacher joins with shakers, children join hesitantly towards the end. Kindergarten 5 46 children 3 teachers 1 teacher intern Length of recording/session 3 hours 2 minutes Use of Recordings Kindergarten commences with mat time, after which a recording of children singing is put on to play, turned off after 10 minutes. Children improvise on the piano and sing some of the mat songs, then recording put on of Christmas songs and child at piano plays along matching rhythm. Recording turned down, single child sings along matching pitch. Break of 15 minutes, no recorded music, then male and female singers in good pitch range for children, during which the teachers plays the piano, a different song. This is turned off after 20 minutes and 10 minutes later a child request the “ABCD” tape. This plays for 30 minutes and then no recordings for last 45 minutes of session 9:17 melodic rhythmic speech on climbing frame Not allowed to do that line 1 of melodies 9:35 boy banging pegs through hole in time to piano music (tchr) (inside video?) during 3 songs 9:42 free play at piano for child then children 9:44 process baking I’m going over there now line 2 of melodies (SES testing for gifted come into the kindergarten, where parents want their children going to full school at 4.5 yrs) 10:12 chant on outside climbing frame sung speech up and da-down compound timing 10:13 inside boy dancing to video 10:20 other teacher inside (?) 10:25 girl sitting beside other girl to do puzzles Ashley what are you doing? 10:46 Boys taunt from sandpit ya ya ya ya Boys run from sandpit, ‘get us get us’ echoing melodic shape and rhythm (song 4) 10:47 girl, sandpit, own song, self conversation, pitch c and above, circa 20 seconds, friend joins in and first girl stops. 10:48 song (identify location from video) You can’t ge-t me—e repeated 2 times, then missed me missed me, now you’ll have to kiss me 11:17 boys throwing bark chips at each other, chanting gimme more bark, gimme more bark 11:20 Tidyup time – Diane - Song Kindergarten 6 43 children 3 teachers 1 special needs teacher Length of recording/session 3 hours 2 minutes Use of Recordings Children’s singing playing as children arrive, plays for 6 minutes, then a recording of pan pipes is put on. 15 minutes later this is changed for an orchestral recording for 9 minutes. Break of 15 minutes then pan pipes recording back on for 25 minutes. No recorded music for the next hour, then pan pipe on softly, no able to hear when it is tuned off, as children’s activity and sound increased. 8:45 Tape of children singing playing when the children arrive, then tape changes to pan pipes. 9:00 boys at water ‘raining it’s pouring’ pitch range d¹ b e¹ 9:07 sandpit, boy playing freely own song 9:10 sandpit, nonsense words same pitch as @ 9:00 9:12 child picks up tambourine, shakes, puts down, goes on her way. boys 3 – 5 at a time in very busy play, frequent sing speech and own songs. 9:20 three girls on front fence ‘bye bye’ c# - a# now running races, same pitches ‘I won I won” two races same each time, holding same pitch. 9:23 boys on front lawn ‘see ya’ interspersed with their running races, ‘I won’ on specific and non specific pitches. 9:25 two swing songs ‘push me’ ‘one push on each side’ 9:26 boy, own song, pushing trolley, nonsense words, free rhythm pitch and range d¹ - a 9:35 ‘Dar-ren, Dar-ren’ boy calling to teacher, same boy as at 9:26 9:45 Teacher and 14 – 18 children Parachute games, lots of sing speech, teacher’s voice range in speech over two 8ves g¹ - g₁ ‘who is on the colour?’ song 3 wind sounds with sirens f⁶ - b – lower girl in ‘duck duck’ game soh me ‘uh – oh’ on f# - d# when she missed someone out. Chant, all children ‘go (name) go (name)’ when the goose was chasing the duck, about 50% of children with chant, and 50% with thigh slap, both imitating the teacher, a few doing both.. 10:00 same game, some children now inventing their own rhythms when the goose is chasing the duck and the children are chanting. Now 22 children 10:05 hop hop hoppity hop skip skip skippity skip jump jump, jumpity jump chanting game, some children chant and do actions, some just actions. 10:08 “ring a Rosie” game immediately followed by ‘Fishes in the water’ game, immediately followed by ‘one two threeeeeeee’ running away. 10:15 boy playing on drum, sets it down, goes to teacher and reports ‘I was singing row row row’ 10:18 girl with poi, while drumming (for camera?) 10:20 boy revisiting music area, going through sound sources. 10:43 child at play-dough, alone, singing about her cake, indeterminate words, it appears song is audible, then in her head, - building – time-span 10 minutes 10:45 Child on slide to teacher ‘Cheryl (soh me) watch this (spoken) 10:47 ‘beep beep beep’ head voice d¹ then story to me about what he is doing 10:52 child on swing to teacher 3X “Serina” song over a 7th 10:58 boys in kitchen, sing speaking and baking, to left of video view [presentation of affirmation cards for children, given each day, ranging from 2 to 10 cards, for special effort/achievement/attitude/progress. Including such things as sliding without holding teacher’s hand, tidying without being reminded, using children’s names by a child who had not, and a parent who was a helper for the day. Staff notice a very definite flow on effect for children who receive cards. Children soon learn that they cannot request cards, so don’t bother, just look forward to card time] 11:25 ‘Steven’ call re doh d¹ c to child by building shed 11:35 bell for tidy-up. 11:36 tidy-up time, multiple calls see music sung speech and pitched interval widened and volume increased 11:40 singing continues outside 35 chn, 3 teachers 1 teacher intern Length of recording/session 3 hours 2 minutes Use of Recordings Radio on when teachers arrived, changed to easy listening tape, female singer, when first child arrived. 9:05 ‘neh neh neh’ song, melodic b^b - e^1 - f^d with steering wheel set into driftwood, group of 3, 2 boys, 1 girl. 9:17 ‘I got a blue one’ (jumping into sandpit) antiphonal response from the sandpit ‘and I got a…(?) 9:27 boy at carpentry table: me ray doh, sustained tones 9:31 girl on trolley alone singing to herself, 15 – 20 sec f – c^1 Inside cam, music making, spontaneous 9:20 onwards 9:45 train below cam, boy loud noise “who moo ….” Head voice 5 – 7 seconds tractor in sandpit cf train, headvoice, neutral vowel. 9:52 30 – 40 second bursts, same boy, in his own world of play. 9:55 teacher gave children a choice of c.d.’s, they chose Bee Gees, she put on Bob Marley 10:00 change Bob Marley to Bee Gees, children drum, then go, Bee gees stays on. 10:15 snack time, song to fill time. ‘twinkle twinklè male teacher starting note e_1 2 – 3 children match pitch at the octave, the rest follow melodic line but under pitch. 10:25 ‘soh me soh me’ siren on fort, intermittent, and continuous, over this time. 10:30 majority of children outside after two pieces of fruit, energy levels appear to be up activity on fort and in sandpit, many sound effects, notate from video. 10:57 teacher with twinkle twinkle again, boy matches pitch at the 8ve and then wanders off humming, continues humming as he works on a construction, sings twinkle twinkle through twice, back to humming (teachers have already labeled this child ‘musical’). 11:05 child into teacher in office, sings a dialogue to her 30 – 40 seconds. 11:10 tape of singing and clapping, children match pitch, those who choose to, join. 11:15 tape played for mat time, then switched off, girls keep singing the song off the tape, while working with sellotape. 11:20 Tamariki Ma on tape, girls on sellotape join in on word ‘tamariki ma’ not on in between words. 11:25 very quick tidy up 45 children 3 teachers Length of recording session: 2 hours 57 minutes Music tape on as staff set up, it is turned off as children arrive. Tape on for twenty minutes after the first hour of the session, instrumental, children sing along their own words and melodies. Third hour teacher puts on a tape of action songs, which leads to the qualitative movement event. It plays for 25 minutes then replaced with an instrumental slow tempo tape and turns the volume down. 8:50 group of children head to the swing, it is in the sun, news time as they sing hello to friends, sun, teachers using soh me 8:55 girl at shop counter on play-phone conversation, pauses for up to 5 seconds for imagined replies. 9:03 boy on swing, song sung four times ‘yeah I got the swi—ng’ 9:05 Mat time 9:12 children not of Christmas or birthday faiths go with other teacher during birthday and Christmas songs in mat time. 9:19 girls with duplo and animals, walking the animals and singing. talking high voice pitch d¹ – f¹ 9:25 boy on scooter, sustained steady pitch on c¹ neutral vowel 3 seconds 9:27 boys on climbing frame call five times to friend Davi-id 9:28 boys on swing, lots of vocalizing on pitch. 9:36 – 9:40 lots of songs around outside, not inter-related 9:40 sung speech counting for a game. 9:40 girls with Duplo singing scraps of known songs while building, range f and above 9:55 ‘Nundi, Lundi, cat and doodie’ boys on climbing frame 9:57 three boys on swings, three individual songs simultaneously, range f – c¹ one started singing, others sang over the top of the first boy - 20 seconds. Songs as sung speech, made up chants using nursery rhymes, beat of swings different, song beat matches each boy’s swing pattern 9:58 ‘let s sing you guys’ ‘round the clock, round the block’ three times chant, while walking round a construction. 10:01 teacher (x5) ‘who owns the hat’ song line 4 10:04 girl with wooden blocks abbe abbe abbe, with variations three times 10:15 skipping A B C doh = b missing shoe… see outside video child singing A B C doh = b¹ teacher’s 40th birthday sing other song, A B C song consistent starting pitch 10:23 teddy bear e – c# 10:32 group of 3 children outside1 humming, sideways glances at researcher, looking for response?? 10:43 swing, teacher pushing, child singing ‘swinging in the rain’ 10:45 boy looking for friend ‘Ben, you’re la-ate’ repeats and pitch drops line 1 11:15 a bumble bee, a bumble bee (4 or 5 times) group of boys on the mat with their lunch &/or wandering with Duplo 11:17 Tidy-up time 11:26 Tidy-up time song with Teacher Leanne in key of c Appendix E Video Events Qualitative Descriptions Descriptive Events from each Kindergarten Site Kindergarten 1 8 minutes Six children are standing around the teacher who is playing a math game with them. It is about the jellyfish who swim in the deep blue sea and then are washed up on the beach, a subtraction game. The children hold the jellyfish, one each, a total of six (made of a ball of paper covered in plastic, with fronds of plastic for the jellyfish tentacles) and the teacher removes them one by one. At times she sings, but first she is chanting it, holding up fingers so that children can count how many left. As each one is washed up she puts it on the chair behind her. Children watch intently and listen and count. There is no attempt to sing along at first. The recorded music that has been playing all morning is still playing. Two girls lose interest in the jellyfish game and start to dance holding both hands, still paying half attention to the math game on the back of the group around the teacher. Their emphasis is on arm movements and these become more complex but remain slow, in response to the slow music still playing. This dance episode lasts for 42 seconds. The teacher is now definitely singing, pitch center is A below middle C, some children singing along but above the teachers pitch, in a semi- monotone, not following the melodic contour. Children join and leave the group as each jellyfish is removed, and as they lose interest or gain interest. The two dancing girls are now hugging and balancing, holding each other up off the ground. The jellyfish game continues for another full repetition as the jellyfish are distributed again, with the two girls back to dancing and playing at the back of the group. The teacher’s pitch center has dropped a tone, to G below middle C. The tape has finished in the background, a child sings an own song, poly tonal, no words, not in time with the teacher’s chant, and approximately an octave higher in range. Once the tape stops playing, more of the children attempt to sing along with the jellyfish song, about a 4th higher than the teacher, now following the melodic contour of the song. One of the boys starts dancing on the back of the group, doing a couple of pirouettes, then he and another boy dance together, and replicate some of the girl’s dance moves from earlier in the session, with hugging and lifting each other. Then they move to the shelf where the percussion instrument are kept. These seem to have caught their eyes as they spun. There are just four children left in the math game now. The two boys look for a few seconds at the instruments and then pick up and put down different instruments. One boy picks up a triangle, holds it tight, and strikes it three times. The other boy picks up a triangle as well and they look for and find another striker. The second boy holds the triangle tight and strikes it twelve times, both boys play the triangles briefly together. The jellyfish game is still going on, no singing from children. The first boy moves over to the jellyfish group and starts playing the triangle in time with the beat of the song, just as it is finishing. Having established this beat he continues to play it as the teacher moves away from the area to put the jellyfish in the cupboard. He continues to play in tempo as he wipes his nose on his sleeve. He sits on the floor to watch his dancing mate do a puzzle, and plays the same style intermittently on the triangle. He bangs it on the floor, and then goes back to striking it. He threads the triangle onto the striker and begins to spin it, resulting in a continuous ringing sound. He slides it back and forth along the striker which he is holding at both ends. He starts to cycle through his playing styles, striking it while holding it, banging it on the floor. The teacher returns from putting the jellyfish away and gets herself a triangle. She tells the playing boy ‘You show me something you can do with the triangle’, and immediately starts to play it herself, hanging it on the end of her finger to let it ring. He plays, holding it as he has done since he started playing. She sits down on the floor with him. His friend who was doing the puzzle goes and gets himself a triangle and joins them. She plays the way he has been playing and asks him if it makes the same sound as the one she was making. ‘I wonder if we hold it like that it would sound different?’ Both boys hang the triangle on the end of a finger and tap it and it swings. The boy who was doing the puzzle puts his triangle away and goes back to completing the puzzle. The teacher asks again if it make a different sound when it hangs. The boy who has been playing continuously goes back to holding it and striking it as he has done since he picked it up, while the teacher’s attention is distracted as she talks to a child who has picked up a ribbon and is dancing with it. She makes some suggestion as to how the child should use the ribbon. She brings her attention back to the boy playing the triangle, and tries again to get him to hang it on the end of his finger to play. He plays it like a dinner gong, holding it at the top and circling the striker inside it. She is avoiding talking about the right way to play, but keeps commenting that it doesn’t make the same sound when you hold it. A girl picks up a triangle and sits down with them on the carpet. She immediately hangs it on the end of her finger and plays a ringing sound. The teacher then tells the boy she will copy him. He strikes it from below, and on the sides, and she copies while giving attention to the three children with the ribbons. The boy loses interest and stands up and walks away, the teacher moves to stop what she considers inappropriate behavior with the ribbons. The girl sits still for a few seconds, and looks around, then puts the triangle away and moves off to another activity. The children have spent nearly thirty minutes building a ‘stage’, the girl who instigated, and has continued to organize it, has told them to help her ‘put on a movie’. They have taken the building blocks and put them on the floor side by side covering an area 6’ X 10’. Different children come and walk on it, she remonstrates with them ‘don’t walk on it, I’m still building’. A tape of children’s songs, being sung by children, is playing in the background as they build, no singing response. The tape is changed. The Mexican hat dance comes on and children jump and dance on the block floor. Three girls wait for the music to start again and then dance slowly in time with the new music track. The girl who has organized the project joins them. Children play intermittently and briefly on the piano in the background, individual notes and chord clusters. It has a Perspex front so that they can see the piano action as they play. One of the children slides, apparently accidentally, and the block floor starts to come apart, the organizing girl says ‘don’t mess them up’. The music track changes and the tempo is faster, and the children’s dancing is in response to that. Some join hands in pairs and skip in a circle with each other. In between the songs on the tape the floor is repaired. There is talking heard on the tape that is playing, two pairs of girls continue to move together, non-locomotor, perhaps rehearsing their dance moves. The music now playing is ‘Alouette’ The girl ‘in charge’ wanders off, and then comes back. The blocks start to slide apart again, she gives up trying to keep it together and the sliding blocks become a fun thing, the girls join in to slide the blocks apart, and there is vocalizing and laughing. More piano improvising in the background, mostly melodic patterns, with just a few clusters. The tape is finished, they laugh and sing nonsense short own songs. The voices are high pitched, using easy soft production of head tone as they dance and slide the blocks apart. The organizing girl goes and picks up belts that have ribbons hanging from them and distributes them to three others. They fasten with Velcro and the girls put them on. The dance becomes more exaggerated to make the ribbons swing. Now the game is dancing and sliding and falling. The song on the tape is ‘Old Macdonald’. The tempo is fast as is the children’s movement, there are two or three incidents of an ‘e i e i oh’ sung along with the tape, matching pitch. The blocks are now spread over an area twice as big as when they started. A boy climbs up on a sofa next to the block area and ‘sings’ and dances in a pop stage style; feet wide apart, head back, shoulders writhing, singing a verbal chant, non sustained frequencies, indistinct words. There is no music playing because the teacher is changing the recording at this point. The music starts again, he pauses, then starts again, then pauses, and this pattern continues. Children join and leave the block dancing activity, a home made maraca is brought into the group by one of the children who plays it as she dances. Another child goes and picks up another home made instrument and shakes it, the sound is inaudible. Dancing is in response to the tape, as it changes character from one piece of music to the next, so the children’s speed and style of movement changes. The boy performing on the sofa is joined by someone else standing beside him, and his performance energy heightens. The boy who stood up beside him, sits down on the sofa and watches him and the girls dancing on the disintegrating block floor. This pattern continues, as children wander away and come back. The crowd gradually thins as the children wander outside to play in the sunshine, the tape continues to play to an empty room. There is a continuous sound of hand bells, two girls are playing in the area where the instruments and the sound equipment is kept. A teacher is with them. The teacher suggests that she will put on some Christmas music. The bell play continues as the teacher looks for the tape. The tape starts to play, the sound of continuous bells does not initially change. Gradually the girls start to play the bells to a beat in time with the tape. The song is ‘All I want for Christmas is my two front teeth’. The tape continues, the bell play becomes intermittent. The bells are put down and the girls one after the other pick up tambourines and shake them, playing as they were initially with the bells; continuous sound. The teacher picks up a tambourine and starts to beat on the skin in time with the beat of the music. The song is now ‘Jingle bells’. The girls put down the tambourines and wander off. The teacher stays kneeling on the mat in front of the sound equipment and instruments. Two boys come and play with triangles, the teacher picks up a wood block and plays a beat with the music. The teacher then continues with the beat on a tambourine, two boys play triangles with energy playing their own patterns not apparently related to the music playing, a third boy joins them and dances, the children’s activity stops and starts. Half a room away from the music activity a girl stops beside a low cupboard and plays a 6 second complex rhythm pattern on the top of a low cupboard with her hands, laughs and then runs off. All children leave the music area, the teacher stays for a few seconds playing the tambourine looking around, no children join her so she puts the tambourine away and moves to another part of the kindergarten. There is a book that accompanies the tape that is playing, and she leaves this open on the floor beside the stereo. A girl comes and sits down to look at the book, the tape is still playing. The girl who played the rhythm on the cupboard joins her. The girl looking at the book stands up. They both move in response to the music, bobbing and taking little fast steps as they survey the instruments, one picks up a maraca, the other a tambourine. They then pick up another instrument like the one they are playing, and now play with two maracas and two tambourines briefly. They are in time with each other but not with the tape as they play a beat pattern. The song is ‘Here comes Santa Claus’. The beats are now in time with the music, still an instrument in each hand. In time, but no in the same key, with the introduction to the next song, one of the girls sings ‘scaredy cat scaredy cat’ to no-one in particular, while she plays to the beat and dances on the spot. She puts down the maracas and picks up bells, one in each hand. The girls both change instruments, one has a wood block, the other a drum. She puts the drum back, gets a tambourine and puts it on the floor to play as a drum. The instruments are put away, one girl goes back to looking at the book, the other picks up the karaoke microphone. She asks the teacher to turn it on for her, and the teachers comes and does so straight away. The song is ‘I’m a pretty angel’. It has a ‘tra la la’ chorus with which she sing along. Each time she repeats it her intonation improves. The other girl plays rakau (claves) in time with the beat. The song changes and both girls stop all music activity and have a chat. The one who had the microphone moves away, the other girl picks up the microphone but doesn’t sing. The teacher changes the tape to a pop song style tape and the girl who moved away returns. The girl who stayed starts to clap in front and behind her body, keeping in time with the music. The teacher stops the tape, and the child who returns picks up the microphone and starts singing the same melodic shape as was just heard, but with indistinct words, and indefinite tonality. She continues for 40 seconds, then holds it out to her friend to sing, there is no sound. The teacher turns a different tape on again and the girl stop singing. The song is ‘We wish you a merry Christmas’ the teacher sings a line and invites the girls to join, one of the girls says ‘I don’t want to sing that.’ The teacher says ‘this is a lovely song, everyone knows this song’. The tape continues on the same song, the child with the microphone sings strongly the last note of each line when it is a sustained note, singing just under pitch. When the track finishes the same child, who first didn’t want to sing this song, says ‘we want to sing it again’. While the teacher rewinds she sings the melody line into the microphone, but not the words. When the tape starts she sings more of the words and more in tune. Her friend picks a tambourine and plays in time, the singer now dances as she sings. The teacher leaves and they get out an assortment of instruments including drums and tambourines and wood blocks to play like a drum kit on the floor. The rhythm patterns become complex, brief interludes of ostinatos show intention in the patterns. The microphone is put down and both of the girls play the assorted instrument, one on each side of the set. The tape is still playing. A boy comes to look at the book of song words still open on the floor. They look at him, play for just a few seconds more, then get up and wander off. The children are gathering on the mat with their teachers and some parent helpers, it is the beginning of the session, just after 9a.m. Lots of chatter conversations between children, and teachers and children. A boy starts a non verbal vocalizing on a monotone. A child asks who the researcher is, and the teacher tells the child she is about to introduce the researcher. She is introduced by name, and that the video cameras are her responsibility. The teacher tells the children that they are just going on as normal and have a good time. Then she tells the children it is time to sing ‘Haere mai’ (a welcome song) The chatter continues for another few seconds, children asking various teachers about the cameras and about the visitor. A girl suggests another song and sings the first line of it to the teacher leading the mat time. More talking about what time it is, and time to sing the song. The teacher moves straight from talking into singing, starting note middle C which is a half step above the lowest note of the song. Strong singing from teachers, with the children all doing the actions and some children singing. When it is repeated more of them sing, more of the words. The pitch matching is very good to start with, but as soon as the words become more complex there is less accuracy in the children’s pitching of the notes. A child asks the name of the researcher and is told, then the attention is back on the group. The same girl who had the song request earlier talks about the rain last night and how it woke her up, then as the other children start talking as well she changes her use of voice and sings/chants a line rhythmically ‘raining in the sky’. Her song continues, with actions, but the chatter obscures it from the video. More chatter about rain and the sound of the raindrops. The teacher starts singing a song about rain, she starts singing part way through the song ‘standing outside in the rain’ the children don’t appear to know it. Then she stops and invites them all to sing, the song is ‘If all the raindrops were lemon drops and gumdrops’. Starting note is G below middle C which occurs only four times during the song, the tessitura of the song is middle C up to G. The children join in very well, consistently matching pitch. During the line sung to ‘ah’ the singing becomes stronger and more confident. It is the same melodic line as the previous line, the children who don’t know the song very well have been able to join in at this point. The song concludes, it is in ternary form, and one of the children goes back to the ‘b’ section again, and the teachers join in. The same girl who sang the first two individual singing events improvises a song. It is about her waking up when it is raining. It is melodic and tonal, rhythmic and extended, using repeated word patterns. As she continues the tonality becomes more flexible, and the subject matter of the words moves on. She sings about ‘wanting to stay awake to go to kindy and play with my friends’. The song is 48 seconds long. She concludes the song in the same tonality as the previous group song. The teachers lead the children in clapping for the song. A boy sitting across the circle has something in his hands that he shakes making a rattling sound, it is not clear on the video what it is. There are more scraps of songs and chatter. The teacher leading the mat time announces (reminds the children) that today is a long day, it is a 3 and a ½ hour session not the usual three hour session. Then the children are told to think about what they want to do, in the kitchen they are going to be baking gingerbread men, but not just yet. A child asks about fruit salad. The teacher laughs, and tells the child ‘we did that last week, maybe we’ll do it again next week’. When the children have thought of what they want to do they are to quietly stand up and go get busy. The children get up and move away to their different activities. Two children immediately head to the piano and start playing, single notes at first. The last child sitting is a special needs child and his own teacher sits beside him as they talk. Other children come and join them on the mat, the piano music becomes more ordered, someone is playing melodically. Many children have gone outside to play, it is a lovely sunny summer day. It is mat time, announcements, and start of kindergarten. The next day they are going to have a visit from Father Christmas, so they practice their Christmas songs. One of the teachers plays the piano. The song is ‘Jingle Bells’. The key is F and the speed is quite slow. The pitch matching starts off being very good, then the volume increases and the pitch sharpens. The next song is ‘Side by side’ also in the key of F the teacher sings high for the first section and then down an octave for the second section, the children sing intermittently, seldom in tune. The teacher picks up a guitar and gets all the children to stand and sing. The song is ‘When Santa got stuck up the chimney’ The children sing but not confidently. The teacher tells them “I can’t hear you, I don’t want to hear my yucky old voice” (It is suspected that this is a nervous response to the presence of the video camera), so they respond and sing more loudly and less in tune. They sit and sing ‘Coming round the mountain’ in C and move straight onto ‘Ga-loop went the little green frog’ and then ‘Some people make a fuss on the bus’ and then ‘Take me for a ride in your car’ all in the key of C. She asks if they want a word or a tune game and the children ask for a tune, several asking at once. The teacher sits at the piano. The children lie down on the mat and close their eyes and she plays a tune, and the children call out as soon as they recognize it. She plays on for a bit more after the song is recognized so that they can all hear it. She plays a variety of tunes, all in the key of F. As she plays the final song, without a word they all stand up and move off, this is a cue song that the mat time is over. The children have been handling the pet mice with the teacher’s supervision. The mice are put away and all of the children and the teacher are to go and wash their hands. A child picks up a bell set and begins to play continuously. The children who are to wash their hands go, except one girl who stops and watches the boy playing bells. Another boy runs across the room to join the bell player, stops and watches for a few seconds, and then goes off in another direction. The bells are put down and a maraca is picked up and the sound continues. The bells are played in the rhythm of ‘jingles bells’, the sound of ‘jingles bells’ being sung is heard faintly in time with the bells, matching pitch. The teacher has returned. Another child picks up the bells and now there is maraca and bells together. Finger cymbals join the sound picture next, this is occurring just out of camera shot so it is not possible to see who is playing what. The bells and finger cymbals continue with unbroken sound, the maraca joins in again. There is the sound of instruments being dropped into a box, and now a triangle is heard along with the bells, a cabasa comes out and is played continuously and now a guiro scraping, then shaker eggs and the guiro, and the bells, and a hand drum. It sounds like three children playing and discarding and picking up another instrument to play. There is the sound of a child singing along with the instrument playing, measured beats, words are indistinct, tonality is flexible, the song is not recognizable. More short phrases of singing are heard as the instrument play continues, now always three instruments at a time. It has been continuous now for five minutes and continues still. There is a loud sound of banging coming in from the outside building area. The camera is now swung round to film the children who are playing on the beanbags, and playing on the instruments, confirming that there are three of them. A girl plays the standing drum and wiggles her hips in time with an internal rhythm and then sits down again. A boy picks up a pair of pois and tries to spin them. He gives them to another boy who spins them successfully. Two of the children playing instruments are now sitting down, they have the glockenspiel out. The boy plays one striker in each hand, uninhibited playing, single notes, alternating hands, fast pattern. Teacher sings in the background ‘Rere atu..” with a pitch center of $B^b_1$ in a song where the tonic is the middle pitch of the range of the song, none of the children join in. The boys now have one poi each and the girl has wandered away and left the glockenspiel player alone. She comes straight back and sits on the bean bag beside him. A third boy has a poi and the three boys are playing with single poi. The boy playing the glockenspiel wanders away and the girl who has been watching goes straight to it and begins to play. She moves it to be more comfortable which moves it into camera view, plays a few notes then turns it round 180° so that the low notes are on the left. She plays two-note chords and then intersperses it with single notes, all to a steady one sound per beat. She moves up and down the keys and then plays little glissandos. She plays freely rhythmically and then moves back into playing to a steady beat. The boys playing with the poi drop them on the floor and move off to another activity. The teacher tells them it is not a dumping ground, so they come back and instead of putting them away they play with them some more. The pois are put away, the child continues to play the glockenspiel. She puts in a few rests, the sounds become less frequent, she enjoys chords and then alternate strikers, then repeated chords. To this point she has been playing continuously for three minutes, and continues still. The teacher comes and remonstrates with the boys about tidying up. As she leaves the area she stop and dances to the glockenspiel song. She asks if the song has any lyrics, and the reply is indistinct. The girl continues to play, it is now four minutes. The teacher asks her to play a little more quietly. She does so, striking more gently. There is the sound of guitar. The teacher ask a child if he wants to play the guitar. The girl playing the glockenspiel sees the guitar come out and tells the teacher she has finished playing the glockenspiel. She has played for five minutes. The teacher moves the boy onto a bean bag to play the guitar and the girl starts to play the glockenspiel again. She leans over to pluck the strings with one hand, at the same time still playing the glockenspiel with the other hand. She has two hands back on the glockenspiel, while the boy strums the guitar in his lap. She has been playing now for six minutes. She stands and plucks the strings of the guitar with one hand, sits at the glockenspiel to play, then puts the strikers down and with two hands plucks the guitar strings. She makes sound that is audible on the video recording, whereas the boy’s play has not been audible. The boy who was part of the original group who started playing now wanders back and watches the two playing the guitar, and then leaves again. The teacher comes and tells them ‘one at a time on the guitar’ then asks if they are finished with the glockenspiel and starts to pack it up. Off camera a recorder is heard. The girl goes back to the glockenspiel and plays some more, energetically. There is the distinct sound of melodic intent, and then energetic playing, now both styles interspersed. The teacher is tidying up the instruments that were played at the beginning of the session and then finally puts the glockenspiel away. Both children are playing the guitar now. The girl sits back, raps her arms round her knees, and taps her feet and swings her body to some internal beat or song. The teacher takes the guitar off the boy and gives it to the girl, who plays continuous sound, while the boy picks up drumsticks and plays along on the standing drum. Some active playing with toys is going on in the foreground, including lots of vocalizing, and use of upper vocal register, in the meantime the girl is absorbed in the guitar. Children have come back to hold the mice whose cage is right next to the music area. The girl plucks the strings, and hits the strings, she fiddles with the tuning pegs, then goes back to playing the strings, plucking and hitting. The teacher has settled other children on bean bags to hold mice. She then takes the guitar off the girl and puts it away. It is mat time and there have been announcements. Then the children are going to sing Christmas songs, so the children whose families don’t celebrate Christmas go off with one of the teachers. The leading teacher, who is sitting on a chair, goes straight into singing, starting note C# which is the lowest note in the song. Many of the children who are sitting on the mat are singing along, the tempo is steady, the song is ‘I can see a Christmas tree’. The matching of pitch is very close and accurate for a most of the duration of the song. She commends their singing and then they sing ‘We wish you a Merry Christmas’ with a swing of the arms on each ‘wish’. Again the pitch matching of the children is very close, the pitch range is similar to the first song. The next song is chosen by one of the children, ‘Jingle bells’. The energy level is going up and the pitch is too, but still a lot of accurate singing. Each of the song has a few simple actions that are used on repeated words. In this song they shake their hands as they sing the words ‘jingle bells’. Next request is ‘when Santa got stuck up the chimney’. The lyrics are faster than the previous song, and the pitch is more flexible for the children’s singing but still a number of children are matching pitch. The final request is ‘Rudolph’ and the teacher doesn’t know it well, and neither do the children, so it is fun to see who remembers which line. The teacher pitches it lower than all of the previous songs, in G. There is little accurate singing by the children in this final song. Then it is a birthday celebration for a boy who is going to start school the next day. His mother is there, and presents a book to the kindergarten. Then they light the candles on the play cake and he blows them out. Three Boy are playing with blocks. The teacher puts on a tape, and she starts to move and clap to the tape. The song is ‘Monster walk’, but it started part way through the song and finishes in about 20 seconds. A protest is heard from one of the boys ‘aww it’s finished!’’. The teacher replies ‘we’ll go back to the beginning if you like.’ and puts the tape on to rewind. She stops it and presses play and it starts on another song which has movement instructions, and one of the boys immediately moves to follow the instructions, ‘now stay, you’re a statue made of clay… now move’ and so on. The teacher moves away from the area. When he moves he energetically jumps, and then moves from foot to foot swinging his arms. The next time he is a statue he holds his right arm out at right angles to his body. The teacher comes back and sits down and swings two poi. At the next 'stay' another boy jumps into camera view and stands still. He runs out of shot and then comes back and continues to dance but then the music finishes, they both stand still. It also started playing part way through the track. The teacher asks if they want it again. As the tape is still running the next song starts and the first boy moves to the music, changing the pace and energy level of his movement as the music has changed to a slower pace. The teacher stops the tape and rewinds it for the statue song. By the time it starts there are four boys but it is the wrong song. They stop and look, and wait. Off camera someone has picked up bells and plays them energetically, briefly. It is still the different song, but the four boys enjoy dancing to it. Then the statue song comes on again and they are totally absorbed in the words and their movements. One of the boys has picked up two pois while the song track was being found again, he puts them away during the beginning of the song, but the other three boys are right into it, this time traveling with their dancing, rather than dancing on the spot which they did at first. As the first 'stay' happens a fifth boy joins the group. The ‘lead’ boy puts out his right arm as he did during the first time through, and one of the boys copies him. A sixth boy comes and picks up a poi and swings it, and then realizes what song is playing &/or copies the other boys. While he stands still for the 'stay' he keeps swinging the poi. On the final stop, which is the end of the song, the ‘lead’ boy swings over from the waist, with his head between his legs and arms straight up in the air. He then does the movement three more times, and asks for the song again. He performs the move three more times again, almost falling on the final time. While the tape is being rewound the group of boys continue to dance, intermittently, trying out moves, balancing on hands and falling back onto feet. This time as the song reaches the first ‘stay’, the ‘lead’ boy rolls onto his back. Meanwhile, another boy does the lead boy’s final move from the last time through; of head between legs, while two other boys balance on one foot. When the music say move, ‘lead’ boy springs up and starts dancing briefly with a chair in his hands, but soon puts that down, the teacher is still near by. The next 'stay' he lies on his back and swings his legs over his body with his feet pointing to the floor, a duplicate of his swing from the waist, but now horizontal. Another boy copies him exactly. Three of the boys pick up pois and swing them as they dance, then put them down again. The lead boy is just dancing. After this 'stay' he shows definitely that he is aware of the flow of the music as he coils to spring up absolutely in time with the word ‘move’. On the final ‘stop’ this time he runs and skids on the carpet and lands on his bottom. He announces this to the other boys. He does it twice more while the others watch. One of them tries it, but the first boy has bare feet and they slide easily. The second boy has sandals on and they don’t slide and he crashes into the blocks. He only does this once. In between music tracks the dancing goes on, different boys standing on a chair and gyrating, and running around the furniture. The song now is a slower one ‘To and fro’ and the boys movements start to reflect this, gently waving arms, with leg well spread, and then energetic hops and arm movements when the lyrics move faster, then back to swaying as the lyrics slow. A child requests the track ‘Monster Walk’. The song starts and their posture changes, hands out and into claws, shoulders hunched, exaggerated walking, in time with the beat for some of them. They circle the table just beside the video camera and the expressions on their faces are grimaces and are part of their whole monster demeanor. There are now eight boys dancing. The next track ‘Doing my exercises’ is not known, so the teacher teaches it as it plays, repeating the instructions and showing them what to do at the same time. There are several repeats of the set of exercises during one playing of the song. The last repeat is slower, and one of the boys makes a siren sound, high in his voice, as he moves slowly. When the music is finished the boys sing their own brief improvised songs and continue to run and dance, wriggling bodies and waving arms and nodding heads as they run. The teacher rewinds the tape and it is back to the statue song. The first 'stay' the boys all have more stylized poses than before. There is a lot of vocalizing as they dance now, squeals and sirens. There are now ten boys dancing. They copy each other in their various moves and their 'stay' patterns. The moves become more complex, as they develop from one 'stay' to the next. One arm becomes two arms, a twist of the body becomes a twist and fall. The boys are now all rather excited, so at the end of this time through the teacher turns off the tape and moves away. The boys continue providing their own music by singing and vocalizing, and dancing for about 2 more minutes and then start drifting away from the area, or back to the blocks. The teacher returns and puts on a slow instrumental tape, and gets the boys who are still there to start packing up the blocks, it is close to tidy up time at the end of the kindergarten session. Appendix F Informed Consent Forms Louise Stevens Head Teacher Waipahihi Kindergarten Taupo Dear Louise Thank you for your verbal permission to visit and collect data for my dissertation project at your kindergarten. To confirm: I would like to come and video a full morning session at your kindergarten, as one of eight kindergartens used in my research. I would like to collect data on informal and formal music practice of children, and reaction of peers and teachers to the events, to build up a picture of current practice. I will set up two video cameras to run as unobtrusively as possible right through the session, working with you to make sure that the cameras are set up in such a way as to cause no anger to the children. The data from the video tape recorded at your kindergarten will be available to you. The final paper with the data from all the kindergartens analyzed will also be available to you and your staff to disseminate as widely as you choose. The videos recorded at your kindergarten will remain totally confidential to me, unless I approach you to use video clips in which you appear, in possible presentation of my results. You would view the section of video I want to use before being asked permission to use it. Once again thank you for your support and help Your sincerely Julie J Jackson Julie J Jackson School of Education University of Waikato e-mail firstname.lastname@example.org Phone (07) 838 4500 The Teachers Ruston Road Kindergarten Ruston Road Morrinsville Dear Education Colleagues As you are aware Jo has given me permission to come and collect video data at Ruston Road Kindergarten o my dissertation project. However it is important that you also have opportunity to choose to be involved in he project. To confirm: I would like to come and video a full morning session at your kindergarten, as one of eight kindergartens used in my research. I would like to collect data on informal and formal music practice of children, and reaction of peers and teachers to the events, to build up a picture of current practice. I will set up two video cameras to run as unobtrusively as possible right through the session, working with you to make sure that the cameras are set up I such a way as to cause no anger to the children. The data from the video tape recorded at your kindergarten will be available to you. The final paper with the data form all the kindergartens analyzed will also be available to you and your staff to disseminate as widely as you choose. The videos recorded at your kindergarten will remain totally confidential to me, unless I approach you to use video clips in which you appear, in possible presentation of my results. You would view the section of video I want to use before being asked permission to use it. Once again thank you for your support and help Your sincerely Julie J Jackson The Parents and Guardians Morrinsville Kindergarten Morrinsville Dear Parents and Guardians Thank you all for the pleasure involved in videoing your children at play and in formal situations, to gain an awareness of current practice in music in Kindergartens. I am visiting eight kindergartens in Taupo, Morrinsville and Te Awamutu. I looked for all the informal and formal music making, and measure the number of events, and reaction of peers and teachers to the events. I will then compare them with the kindergarten syllabus Te Whariki, Quality in Action which is the curriculum implementation document, and the Educational Review Office Report on the Central North Island Kindergarten Association. When the study is written up I will be forwarding a copy to your Head Teacher, you are most welcome to view this document. The videos recorded at your kindergarten will remain totally confidential to me, unless I approach you through your teachers, to use video clips in possible presentation of my results. You would have the opportunity to view the section of video I want to use before being asked permission to use it. Once again thank you for your support and help Your sincerely Julie J Jackson Consent form for Julie J Jackson I ________________________________________ consent to be videoed as part of Julie Jackson’s data collection on current music practice in early childhood education in New Zealand, at __________________________________________ Kindergarten, where I am Head Teacher/ teacher (cross out that which does not apply) Signature _________________________________ date ___________ YOUR COPY Consent form for Julie J Jackson I ________________________________________ consent to be videoed as part of Julie Jackson’s data collection on current music practice in early childhood education in New Zealand, at __________________________________________ Kindergarten, where I am Head Teacher/ teacher (cross out that which does not apply) Signature _________________________________ date ___________ RESEARCHER’S COPY Information recorded in the Immunisation Register on: .......................................................... (Date) Ethnic origin(s): ................................................. eg. Maori, European, Indian (Statistical data is provided to the Ministry of Education) Language(s) spoken in the home: ........................................................................................................... - I understand that the staff are responsible for this child only during session times and that I am responsible for seeing that this child gets to and from the kindergarten safely. - I understand that I will be required to give written consent for any excursion on which this child is required to travel by motor vehicle. - I give permission for this child to be taken by staff for walks in the vicinity of the kindergarten. - I give permission for my telephone number and or address to be made available to the kindergarten committee for fundraising purposes and kindergarten support activities. - I give permission for kindergarten staff to give this child’s name and date of birth to the school that he/she is likely to attend. School: ....................................................... - I give permission for this child’s name to be published in kindergarten newsletters. - I give permission for this child to be photographed/videoed while at kindergarten. - I give permission for any such photograph/video to be used for publicity purposes. - I accept that staff will apply basic first aid and sunscreen/insect repellent products to this child and change her/his soiled clothing when necessary. - I accept responsibility for any expenses incurred in obtaining treatment for this child in an emergency situation. - I understand that this child may be taken to an alternative emergency location, e.g. civil defence centre, in the event of an emergency. NAME: ................................................................. (Please print) SIGNATURE: ........................................................... DATE: ...................................................... (Parent/Guardian/Caregiver) NAME: ................................................................. (Please print) SIGNATURE: ........................................................... DATE: ...................................................... (Head Teacher/Teacher) N.B. This is an official document and must be retained in the kindergarten for 7 years. MEMORANDUM To: Julie Jackson-Gough From: John Winslade, Chairperson School of Education Ethics Committee Date: 2 July 2003 Subject: Ethical Approval Project: Current practice in music in kindergartens in New Zealand I confirm that the above application received ethical approval from the School of Education Ethics Committee at its meeting on 9 February 2000. John Winslade Chairperson School of Education Ethics Committee Appendix G Children’s Notated Songs Addo, A. O. (1998). Melody, language and the development of singing in the curriculum. British Journal of Music Education, 15(2), 139-148. Andress, B. (1987). The practitioner involves young children in music. Paper presented at the Contemporary Principles in Child Development and Music Education, Provo Utah. Andress, B, Heimann, H. Rinehart, C. & Talbert, G. (1992). Music in early childhood. In B. L. Andress & L. M. Walker (Eds.), Readings in Early Childhood Music Education (pp43-50) Reston: Music Educators National Conference. Apfelstadt,H. (1988) What makes children sing so well? Update, Fall. Aronoff, F. (1992). No age is too early to begin. In B. L. Andress & L. M. Walker (Eds.), Readings in Early Childhood Music Education (pp43-50) Reston: Music Educators National Conference. Atterbury, B. & Silcox, L (1993) The effect of piano accompaniment on kindergartener’s developmental singing ability. Journal of Research in Music Education, 41:1 Blacking, J. (1973). How Musical is Man? London, Faber. Bradley, I. (1971). Repetition as a factor in the development of musical preferences. Journal of Research in Music Education, 19, 295-298. Bodkin, S. (1998) Look out, it’s the music police! Experiences of music ethnography in early childhood education in Aotearoa New Zealand. Conference proceedings New Zealand Association for Research in Education. Dunedin, New Zealand. Buckton, R. (1983). Sing a song of six year olds. Christchurch, Canterbury University Series. Buckton, R (Ed) (1997) Sound Ideas Christchurch, Canterbury Studies in Music Education. Callihan, D. J., & Cummings, D. (1984). Expanding the music listening preferences of three and four-year-old’s: fostering recognition and responsiveness to selected works of music. Paper presented at the Contemporary Principles in Child Development and Music Education, Provo Utah. Campbell, P. S. (1991). The child-song genre: a comparison of songs by and for children. International Journal of Music Education, 17, 14-22. Campbell, P., & Scott-Kassner, C. (1995) Music in Childhood: from preschool through elementary grades. Schirmer Books, New York. Campbell, P.S. (1998) Songs in their heads: Music and its meaning in children’s lives. Oxford University Press, New York. Carabo-Cone, M. (1971). A sensory-motor approach to primary music learning. Music Teacher, 50(4), 9-11. Chen-Hafteck, L. (1999) Discussing text-melody relationship in children’s song-learning and singing: a Cantonese-speaking perspective. Psychology of Music, 27, 55-70. Cheour-Luhtanen, M., Alho, K., Sainio, K., Rinne, T., Reinikainen, K., Pohjavuouri, M., Renlund, M., Aaatonen, O., Eerola, O., and Naatanen, R. (196) The ontogenetically earliest discriminative responses of the human brain. Psychophysiology, 33, 478-481. In Standley, J. (1998). Pre and perinatal growth and development: implications of music benefits for premature infants. International Journal of Music Education, 31, 1-13. Cohen, V.W. (1980) The emergences of musical gestures in kindergarten children, Ann Arbor, Michigan. University Microfilms International. In Perry, J.C. (1993). 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Walker (Eds.), Readings in Early Childhood Music Education (pp43-50) Reston: Music Educators National Conference. Gardner, H. (1983). Frames of mind: The theory of multiple intelligences. New York: Basic Books. Goetze, M. (1985). Factors affecting accuracy in children’s singing. Unpublished Doctoral Dissertation, University of Colorado. Gordon, E. E. (1997). A music learning theory for newborn and young children. Chicago: G.I.A. Publications. Gordon, E. E. (1989). Guiding your child’s musical development. Chicago: G.I.A. Publications. Gordon, E. E. (1986) The nature, description, measurement and evaluation of music aptitudes. (2nd ed.) Chicago: G.I.A. Publications. Gordon, E. E. (1984). Learning sequences in music: A music learning theory. Chicago: G. I .A. Publications Greenspan, S.I (1979). Intelligence and adaptation: An integration of psychoanalytical and Piagetian developmental psychology. Psychological Issues, Monograph 47/48. New York: International Universities Press. Hair, H. 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Reston: Music Educators National Conference. Madsen, C. H., & Madsen, C. K. (1998). Teaching/discipline: a positive approach for educational development (4th ed.). Boston: Allyn and Bacon. Mainly Music 2001 http://www.mainlymusic.org.nz May, H. & Carr, M. 1996 The policies and processes of implementation of Te Whariki, the New Zealand national early childhood curriculum 1993 - 1996. In H May and M Carr (eds) Implementing Te Whariki: Te Whariki Papers two. Wellington, Institute for Early Childhood Studies. Mead, M. (1972) Music is a human need. Music Educators Journal 24 - 29 Montessori, M. (1964). The Advanced Montessori Method: The Montessori Elementary Materials. Cambridge MA: Robert Bently. Moog, H. (1976a). The development of musical experience in children of pre-school age. Psychology of Music, 4(2), 38-45. Moog, H. (1976b). The Musical Experience of the Pre-school Child. London, Schott Music. Moorhead, G., & Pond, D. (1978). Music of young children. (2nd ed.) 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Wilson, B. (1981) Implications of the Pillsbury Foundation School of Santa Barbara in perspective. Bulletin of the Council for Research in Music Education, vol. 68 Winnicott, D.W. (1971) Playing and Reality The Muse Within editor J.R. Bjorkvold Harper Collins, New York Wolff, P.H. (1967) in I. Deliege and J. Sloboda (Eds) (1996) Musical beginnings: Origins and development of musical competence. Oxford, Oxford University Press p. 116 Woodward, S. (1999). Musical Origins. Sound Ideas 3:1, 7-11. Wright, S. (1991) A child centred approach to singing, movement and playing instruments in early childhood. In The Arts in early childhood. (ed) Susan Wright. Prentice Hall, Sydney. Wylie, J. Why establish musical parenting? He taonga te mokopuna (the child is a treasure). Sound Ideas, 1999 3.1. Yarborough, C., Bowers, J., & Benson, W. (1992). The effect of vibrato on the pitch matching accuracy of certain and uncertain singers. Journal of Research in Music Education, 40(1), 38-50. Yarborough, C., Green, G. A., Benson, W., & Bowers, J. (1991) Inaccurate singers: an exploratory study of variables affecting pitch matching. Bulletin of the Council for Research in Music Education. 106, 23-34. Young, S. (1995). Listening to the music of early childhood. British Journal of Music Education, 12, 51-58. Zimmerman, M. P. (1968). Developmental processes in music learning. In Colwell (Ed.) Symposium in Music Education. Evanston: University of Illinois Press Zimmerman, M. P., & Sechrest, L. (1968). How Children Conceptually Organize Musical Sounds. Evanston: Northwestern University Press. Julie Jackson-Gough holds a bachelor’s degree in music from Canterbury University in Christchurch, New Zealand, and a master’s degree in choral conducting performance from Florida State University. Her school teaching experience includes serving as Head of Music at Kelston Boys High School, Auckland, New Zealand from 1975 - 1977, part time music teaching at Marlborough Girls College and Marlborough Boys College, Blenheim, New Zealand 1979 - 1985, and Head of Music at Tauhara College, Taupo New Zealand 1986 - 1992. She was responsible for the founding of the Taupo School of Music and served as the principal of the school 1989 - 1992. Other qualifications include: Trained Teachers Certificate (1974), Licentiate of the Royal Schools of Music in piano teaching (1975), Fellowship of the Trinity College London, in singing performance (1982), Diploma of Divinity (Melbourne College of Divinity, 1984), and Stage One Te Reo Maaori Certificate (1988). As a performer, clinician and adjudicator, Jackson-Gough is in demand throughout New Zealand, and is currently Lecturer in Music Education, at the University of Waikato, Hamilton, New Zealand. She is a member of Music Educator National Conference, a national board member of the New Zealand Society for Music Education, regional president for the Hamilton Society for Music Education, an associate of the Registered Music Teachers New Zealand, and a member of Phi Kappa Lambda.
FIRST NATIONS CAREER ROLE MODELS A RESOURCE BOOK FOR TEACHERS For video interviews and classroom resources: fnesc.ca/careerjourneys Copyright © 2015, First Nations Education Steering Committee and First Nations Schools Association No part of the content of this document may be reproduced in any form or by any means, including electronic storage, reproduction, execution, or transmission without the prior written permission of FNESC. PROPRIETARY NOTICE This document contains information that is proprietary and confidential to FNESC and FNSA. Any reproduction, disclosure, or other use of this document is expressly prohibited except as FNESC and FNSA may authorize in writing. CONTACT INFORMATION First Nations Education Steering Committee and First Nations Schools Association #113 - 100 Park Royal South West Vancouver, BC V7T 1A2 604-925-6087 / 1-877-422-3672 firstname.lastname@example.org # FIRST NATIONS CAREER ROLE MODELS A Handbook for Teachers ## CONTENTS - PRESIDENTS’ MESSAGE ................................................................. 2 - INTRODUCTION ........................................................................... 3 - USING VIDEOS AND POSTERS IN THE CLASSROOM .................. 5 - ROLE MODELS AND CAREER OPTIONS - Dr. Nicole Janieson, Veterinarian .................................................. 8 - Careers in Animal Sciences ....................................................... 9 - Chris Hunt, Bank Manager .......................................................... 10 - Careers in Business ................................................................. 11 - Jamie Fletcher, Welder, Small Business Owner ............................ 12 - Careers in Construction ........................................................... 13 - Carrie Dan, Archaeologist .......................................................... 14 - Careers in Culture, Language and Heritage ............................. 15 - Carey Stewart, Principal ........................................................... 16 - Careers in Education .............................................................. 17 - June Williams, Water Technician ............................................... 18 - First Nations Community-Based Careers ................................. 19 - Krisandra Gomez, Registered Nurse .......................................... 20 - Careers in Health Care ........................................................... 21 - Sonya Pighin, Lawyer ............................................................... 22 - Careers in Law and Justice ...................................................... 23 - Barb Cranmer, Filmmaker, Small Business Owner ......................... 24 - Careers in Media ................................................................. 25 - Aaron Camille, Miner .............................................................. 26 - Careers in Natural Resources .................................................. 27 - Brianna Quock, Pilot ............................................................... 28 - Careers in Transportation ....................................................... 29 - Denise Williams, First Nations Clothing Designer ......................... 30 - Careers in the Visual Arts ....................................................... 31 Presidents’ Message On behalf of the BC First Nations Education Steering Committee (FNESC) and First Nations Schools Association (FNSA), we are very pleased to introduce this new set of materials for students, parents, and teachers. The topic of education and career planning is central to the work of our organizations. We want our students to dream big, and we are committed to helping our students find the best ways to achieve those dreams. We sincerely believe that a strong education is one of the most important factors in life-long success. Attending school regularly, being engaged in school and classroom life, and coming to school ready and eager to learn are ways that students can work toward educational success. The support and encouragement that parents and families provide at home also makes an invaluable contribution to student achievement. Teachers can support students by encouraging them to make choices in K-12 that will open up a wide range of opportunities in post-secondary and the world of work. But we know that providing support and encouragement can be complicated – especially when it comes to education and career planning. Today’s world is changing rapidly. New careers and career paths are continually evolving. What is needed in the work force is constantly shifting, and the kinds of post-secondary programs responding to that today are very different from those that existed in the past. How can students successfully navigate these moving waters? Helping students make positive choices requires careful planning. Teachers, parents and students need to know how to get useful information about the range of options available. You also need to know what questions to ask, who can offer help, and how to address any challenges that might arise. And today more than ever, planning should start as early as possible. New technologies and businesses will continue to create exciting new opportunities. By carefully developing a set of goals and ensuring that a strong educational foundation is in place, our students will be equipped to take advantage of future changes in our economies and job markets. We know our children can be prepared to find great careers that are right for them. That’s why this set of resources was developed. It is meant to provide some useful suggestions for getting started on the education and career planning journey. We hope that it helps students, parents, and teachers start preparing now, no matter what stage of schooling they are at. It is never too early – and never too late – to begin thinking carefully about where our students want to go and how they can get there. Tyrone McNeil, President, FNESC Pamela Lee Lewis, President, FNSA Introduction This guide accompanies the poster and video series Career Journeys First Nations Role Model Program developed by the First Nations Education Steering Committee and First Nations School Association. It features 12 First Nations Role Models who represent success in a variety of careers. The full colour posters feature each First Nations Role Model in their workplace setting. These distinctive photographs are motivational in themselves, and lead students to view the accompanying videos. The posters are available as PDF files for download by teachers and students. The videos are 3 to 4 minute interviews with the Role Models in their work place. They are significant because they illustrate the diversity of occupations First Nations people have in our communities. As well, they open a window for students to see some of the career options they can pursue. The videos are available online for anyone to view. To access the posters and videos, go to [www.fnesc.ca/careerjourneys](http://www.fnesc.ca/careerjourneys). The Careers Journeys program also includes the resource Guiding Your Educational Journey, A Handbook for First Nations Parents and Students. It is also available for download at [www.fnesc.ca/careerjourneys](http://www.fnesc.ca/careerjourneys). Goals of the First Nations Role Model Series - to inspire First Nations students to set career goals - to create for students the awareness of possible educational and training pathways to successful careers Summary of Resources The role model resources consist of a video interview and accompanying poster for the following First Nations Role Models: 1. Dr. Nicole Jamieson Veterinarian 2. Chris Hunt Bank Manager 3. Jamie Fletcher Welder, Small Business Owner 4. Carrie Dan Archaeologist 5. Carey Stewart Principal 6. June Williams Water Technician 7. Krisandra Gomez Registered Nurse 8. Sonya Pighin Lawyer 9. Barb Cranmer Filmmaker, Small Business Owner 10. Aaron Camille Underground Miner 11. Brianna Quock Pilot 12. Denise Williams First Nations Clothing Designer The role models were selected through a province-wide nomination process conducted by the First Nations Education Steering Committee and the First Nations Schools Association. Using the Poster and Video Series in the Classroom The poster and video resources provide an excellent opportunity for student generated inquiry to explore career opportunities and planning for post secondary education. The posters provide an initial stimulus, and the videos give details of what is involved in aspects of the careers, and individual career path experiences. The First Nations Career Role Model series can be used in any intermediate or secondary Career Education course. In addition, it can be used by teachers of subject specific courses to help students learn about careers that require specific subject area expertise. Guide Overview This guide provides concise information to use with each of the role model posters and video. They may be used as teacher information or as student handouts. Content for each role model includes: 1. Overviews of the content of the video, classified under the following topics. As discussions with each role model vary, some topics may not be fully covered for each person. - First Nations Affiliation - Occupation - Location - Job Activities - Job Qualities - Career Path - Motivation and Support - Quotes 2. Related Career Information - Other related careers. These suggest a few examples of careers in a similar field to that of the person in the video. - Sample post secondary educational opportunities. These give some examples of the variety of post secondary programs available around the province. Where possible, programs with a First Nations focus are highlighted. Themes A number of themes which emerge in the videos may be highlighted for inquiry: 1. Career Path - What steps did the person take to get to where they are in his or her career? 2. Skills - What types of skills are required to be successful in each of these occupations? 3. Family Support - What role do families play in helping people achieve their goals? 4. Motivation and Interest - What motivated the people in the videos to successfully achieve their goals? 5. Inspiration - What understandings about their own career paths do students take away from the videos? Questions for Inquiry 1. Setting questions prior to viewing videos • If posters have been displayed in the classroom prior to viewing, students can develop questions they would like to find out about the person and the job. 2. Questions for students to consider as they watch videos • How do people choose their careers? • What occupations interest me? 3. Further questions to explore career options • What can I do now to ensure success later in life? • What are my strengths, interests and passions? • How do I see my life and career in the future? • What can I do now to have influence my future life choices? • Where do I want to work and live in the future? • What occupations are the best options for me? Using the Career Options information 1. Choose one of the careers listed to find out more information such as training required, expected salary, and job duties. Refer to workbc.ca and other sources. 2. Brainstorm other occupations in the career field. 3. Investigate one of the sample post-secondary educational options in depth. What requirements are needed to enter the course? What types of jobs does this training prepare you for? Follow-up activities 1. Create a Career Brochure Ask students to design and create a brochure that highlights a career that interests them. It should be informative and visually appealing. 2. Interview a Professional Students will interview a person working in a career or field that interests them. This could be a face to face interview of a local person, or an interview done by emailing the questions. Teachers will need to set up a procedure for contacting prospective interviewees. - Students choose a career and collect basic information about the job, such as the job description, educational requirements, workplace characteristics. - Students develop questions to ask the expert. - Students conduct the interview in person or by email. - Students prepare a written report or oral presentation. Potential Sample Questions: - How did your secondary school experiences influence your choice of career? - What opportunities for advancement are there in your occupation? - How important is technology in your day to day work? How did you get training to use this technology? - What parts of your job did your education not prepare you for, if any? - What personal qualities does a person need to be successful at your job? Nicole Jamieson Lax Kw’alaams, Ts’msyen Nation Veterinarian Prince Rupert Job Activities - Surgery - Emergencies - Patient follow ups - Appointments to diagnose and treat animals Job Qualities - Needs life skills to deal effectively with people in emotional situations - Love of working with animals Career Path - College in Prince Rupert - Wildlife Biology degree Prince George - Experience working in a variety of jobs in Forestry, then in Oil Industry as First Aid Attendant - Made a choice between human and veterinary medicine - Doctor of Veterinary Medicine - Regular upgrading and refreshing courses required Motivation and Support - Decided at the age of ten to become a veterinarian - Support of parents - Importance of base in home community, even when away studying and working Quotes “If you’re planning on going into medical field, go live life first. Do the preliminaries first and work in as many different jobs as you can. In the medical field you’re dealing with a lot of emotion.” “Learning those life skills applies to just about every professional career out there, but when you’re doing an emotionally charged job every day, you have to be able to talk to people and get them to understand when their world is ending.” “Choose something that challenges you every day. Choose something that you are passionate about. Make sure that you have something outside of your job that keeps you happy. If you don’t live life, you can’t do your job well.” “Pure stubbornness is the only way you can get through school. There are always distractions where ever you go. You have to maintain that goal.” Careers in Animal Sciences People who love working with animals can find hundreds of interesting careers, from farmer to zookeeper, from dog groomer to research biologist. Some work with wildlife, others with domestic animals. All require an interest and understanding of animal biology and behaviour. Careers Related to Animal Sciences Agriculture and Fish Products Inspectors - Monitor and inspect food production facilities such as fish and meat plants or fruit, vegetable and grains producers. - May work for governments or private companies. Animal Care Worker - A person who feeds, handles and grooms animals, usually cats and dogs, in animal shelters, boarding facilities, dog training schools or pet grooming businesses. Conservation and Fishery Officer - Officers who enforce and educate about regulations for wildlife, fish and other natural resource protection and collect information on resource management. - Usually work for a government department. Horse Massager - Trained therapists who provide massage and other therapies to horses and other animals. Usually work independently in their own business. Registered Professional Biologist - A scientific professional certified to work in a variety of biological and environmental positions. Veterinarian Assistant - Works under the supervision of a vet; duties include testing, surgical assistance, office management and conducting medical procedures. Sample Educational Options Animal Health Technology Diploma Program, Thompson Rivers University - Two year diploma program training for employment in the field of veterinary medicine. Can lead to Bachelor of Science degree. Agricultural Technology Diploma, University of the Fraser Valley - Two year program with range of courses in economics, livestock and vegetable production, and marketing. Bachelor of Science, Major in Biology and Life Sciences, Thompson Rivers University - A full four year degree program offered online, with a partial residency requirement for people who want to pursue a career or further studies in life sciences. Recreation, Fish and Wildlife Technology Diploma, Selkirk College - Two year diploma program based in Castlegar preparation for jobs such as Park Ranger, Fisheries and Wildlife Technicians, and outdoor recreation. Renewable Resources (Fish, Wildlife and Recreation) Diploma of Technology, BC Institute of Technology - Two year program offers hands on training in managing fisheries, wildlife, parks and recreational lands. Leads into Bachelor’s Degree in Ecological Restoration. Chris Hunt Kwagiulth First Nation Bank Manager Victoria Job Activities • Working with staff members • Customer meetings • Much time spent on the phone Job Qualities • Mobility needed - involves transfer to branches in different cities • Interest in financial security • Ability to work with people Career Path • College - variety of courses; enjoyed accounting and finance • Studied finance in school • Took opportunity to take training position in Prince George • Coursework to become financial advisor • MBA (part time while working) • Branch manager training program Motivation and Support • Influence of parents support and modelling • Family support • Desire for First Nations communities to achieve financial success • Supportive workplace Quotes “Have fun. Be involved in extra curricular activities. But also get the grades you need in order to get into the university you want to get into.” “The only thing you can control is your attitude.” “I believe that in life you can do anything that you want. The only limitations that you have are the ones that you put on yourself.” Careers in Business The field of business offers a wide spectrum of opportunities for careers, in areas such as finance, management and marketing. Workplaces range from large financial institutions to small owner operated businesses. Careers Related to Business Bookkeeper Bookkeepers maintain financial records of companies, and may prepare payroll, invoices, tax reports, and financial statements. Usually works in an office situation, but may be self employed. Chartered Accountant Experts in the management of financial systems and budgets, providing financial advice. May work with individual clients, large firms or governments. Economic Development Officer A business leader responsible for managing economic development plans in business and governmental settings. Real Estate Agent Real estate agents handle the processes and transactions involved in selling and buying land, houses, commercial buildings, and other real estate. Tourism Business Operator A small business entrepreneur who provides services to the tourism sector, such as ecotourism, transportation or accommodation. Sample Educational Options Aboriginal Community Economic Development Certificate or Diploma, Nicola Valley Institute of Technology Students study topics such as accounting, marketing, negotiations and contract management, and First Nations law. Can lead to Council for the Advancement of Native Development Officers certification, and coordinates with a Bachelor of General Studies Degree from SFU. Adventure Tourism and Business Operations Certificate/Diploma, College of the Rockies Offers training in entrepreneurship, marketing, sustainability, business, and adventure skills. Prepares students for financial positions in Aboriginal organizations. Provides credit towards a tourism degree. One year (certificate) or Two year (diploma) programs. Includes a practicum. Bachelor of Commerce Degree, University of Northern BC Possible majors include Accounting, Finance, General Business, Human Resource Management and Marketing. Four year full time course. Chinook Business Diploma, Langara College Program designed to provide Aboriginal students with marketing and management training to prepare for First Nations business operations. Includes paid summer internship. Two year diploma program. Jamie Fletcher High Bar Band, Shuswap First Nation Construction Business Owner, Welder Clinton Job Activities • Operate all aspects of his welding business • Oversees structural building crew in different work sites • Supply equipment, workers and management systems related to welding and ironwork Job Qualities • Work with many different people • Learn new things every day to progress business Career Path • Began work in sawmill, took opportunity to work on construction as iron worker • Moved into welding • Level 2 degree in welding inspection • Tickets - certification, e.g. “B” pressure ticket, structural tickets • Red Seal welding (a national trades certification program) Motivation and Support • Providing for family is the most important reward Quotes “You’ve got to keep positive. Set those goals and don’t make them too unachievable.” “Motivation goes a long way, and a positive attitude. Being a sponge. Take every bit of knowledge you can gain out there. You never know who’s going to give you key knowledge.” Careers in Construction The busy construction industry provides many opportunities for employment, from entry level work to highly trained journeymen in a variety of specialized trades. Learning and training are on going as workers attain different types of tickets and certificates that improve their skills and employment prospects. Careers Related to Construction Carpenter Work with wood and lightweight steel to build and repair a variety of structures in houses, cabinetry, bridges. Solar Energy Technician Workers in this growing field install and maintain solar panels in a variety of settings. They may work for solar energy companies, governments or construction companies. Iron Worker Works with iron, concrete and other construction materials to build and service structures such as buildings, bridges, roads and dams. Plaster and Drywall Installer Apply plaster or drywall to interiors and exteriors of buildings. Employed by construction companies, contractors, or are self employed. Safety Officer (Construction Inspector) Inspect construction sites to ensure they are following workplace safety regulations, and work to control risks and hazards. Transport Truck Driver Operate heavy trucks to transport many types of goods and materials, such as dump trucks, logging trucks, tractor trailers or tow trucks. Sample Educational Options Aboriginal Construction, Vancouver Island University, Nanaimo Entry level certificate and apprenticeship program which includes learning about coastal First Nations construction history and methods. 10 month certificate program. Bachelor of Business Administration for Trades Management Degree, University of the Fraser Valley Preparation for owning and managing a trades business. Requires a certificate of qualification in a trade. Construction Electrician Citation, Kwantlen Polytechnic University Foundation training for employment as a construction electrician apprentice. Plumbing and Piping Trades Certificate, Nicola Valley Institute of Technology Introductory program to learn about residential, commercial and industrial piping systems. 25 week certificate program. Residential Construction Certificate, Okanagan College A pre-apprenticeship foundation program providing theoretical and practical knowledge to seek employment as an apprentice carpenter. 30 weeks. Welding Foundations / Steam Fitter / Pipefitter, Seabird College, Agassiz A 34 week course that gives basic welding training certificate plus Level 1 pipefitter/steamfitter certification. Carrie Dan Tk’emlúps te Secwepemc Archaeologist, Cultural and Heritage manager Kamloops Job Activities • Translate Secwepemc and English place names, terms • Teaching field study courses, teaching high school summer students • Deal with diversity of referrals, e.g. forestry, mining, rip rapping projects on the river Job Qualities • Diversity of the job • Work with other groups: municipalities, companies • Working with culture and heritage • Working with artifacts requires great care Career Path • Bachelor of Arts, studying linguistics at SFU, to learn and preserve Secwepemc language • Took an archaeology course, and fell in love with it • Post bachelor in archaeology – 2 years study • Archaeology permit with Archaeology Branch to work as archaeologist Motivation and Support • Learning culture and language • Academic and professional mentorship from university professors Quotes “Archaeology is proving our past existence here and how people populated here, that’s the big question.” “Do well in school, stay in school. Get some basic courses down and look at your options. If you have a mentor, grasp onto them.” Careers in Culture, Language and Heritage The fields of culture, language and heritage are of importance to First Nations communities. Careers in these areas often involve museums, art galleries and cultural centres and are part of a growing tourism industry. Many First Nations communities have their own cultural resource professionals who run programs and projects for the community and for visitors. Community Language Project Leader Works with community on projects to revitalize, teach and research local First Nations languages. Cultural Resource Manager This is an important administrative person who runs a cultural or heritage organization, and is responsible for things such as marketing, fund raising and day to day operations. Grant Writer Grant writers develop proposals that request funding from various agencies to support groups such as arts, cultural and heritage organizations, as well as many other types of groups. They need skills in written English and research. Usually they have a Bachelor’s Degree in English, Business or a related field. Museum and Gallery Technician Museum technicians support curators and conservators in museums and galleries. They may classify and catalogue artifacts, build exhibits and displays, and maintain collections. Heritage Interpreter Heritage interpreters share their knowledge to help others appreciate cultural and natural heritage. They may work in parks, museums, industrial sites, and interpretive centres. May lead to management or curatorial positions. Sample Educational Options Aboriginal Tourism Operations and Management Diploma, Native Education College One or two year program that studies topics such as tourism management, heritage recovery and interpretation, ecotourism and business law. Bachelor of Arts in Archaeology, Simon Fraser University Degree program at one of North America’s leading archaeology departments. Students may take Joint Major programs in Archaeology and First Nations Studies. Bachelor of Arts in Linguistics, University of Victoria Undergraduate program in Linguistics, with possible concentration in these topics: Language and Society; Language and Speech; and Indigenous Languages. Traditional Ecological Knowledge, University of Northern British Columbia One year certificate program combining First Nations Studies with Environmental and science courses. It can provide a foundation for a variety of degree programs. Carey Stewart Nisga’a Principal, Nisga’a Elementary-Secondary School District Principal of Literacy New Aiyansh Job Activities • Monitor student activities • Network with students and parents in other villages Career Path • Left school before graduating to commercial fish • Trained to become Journeyman carpenter, worked in that field for several years • Returned to complete high school graduation • Bachelor of Arts, Major in First Nations Studies and Nisga’a studies • Started teaching in Prince Rupert as teacher on call • Masters in Multi Disciplinary Leadership (5 years course) • Moved to work in Nass Valley, moved into administration Motivation and Support • Role model - older sister (working on her doctorate currently) • Northwest Community College instructors • Visiting other universities • Rewards – intrinsic feeling of connection between parents and students working together with teachers Quotes “Realize that the only fear that I’ve had with myself is myself.” “Understand your barriers and you can overcome every one of them.” “Aboriginal teachers can be part of the solution for Aboriginal communities.” “We need to prepare ourselves for the global village.” Careers in Education Education takes place in many different types of training settings, including the public and First Nations K-12 schools, colleges and university and private training institutions. Careers include superintendents, teachers and instructors, administrators (principals and vice principals) and support staff. Careers in Education Early Childhood Educator Educators who work in settings caring for young children, such as daycares, nursery schools and preschool facilities. First Nations Language Teacher Specialist teachers who provide instruction in local First Nations languages. First Nations Education Worker Workers who provide support for First Nations students in a school system. May include First Nations Support Worker or First Nations Home-School Liaison Worker. School Counsellor Educator who counsels students in a variety of ways, including personal and social issues and educational planning. May also teach regular classes. Speech-Language Pathologist Therapists who diagnose and assist students with speaking difficulties. May work in schools, hospitals, or privately. University Instructor An educator with expertise in a specialized field who teaches undergraduate and graduate courses. Often also conducts research in their field, and publishes books and articles related to their studies. Sample Educational Options Aboriginal Early Childhood Education Certificate and Diploma, Nicola Valley Institute of Technology One year certificate program and two year diploma program with courses in personal development and child development. Bachelor of Education Degree Most universities in BC offer Education degrees for training public school teachers. Students usually specialize in Elementary or Secondary levels. Programs exist for people already holding a degree in another field to become teachers. Education Assistant Certificate and Diploma, Langara College One or two year program with preparation for working as Education Assistants with classroom teachers to support students with disabilities. Masters of Science in Speech-Language Pathology, University of British Columbia This graduate level program is the only training offered in BC for speech-language pathologists. NITEP The Indigenous Teacher Education Program, University of British Columbia A teacher education program leading to a Bachelor of Education, with special Aboriginal focus. Offered in Vancouver, Bella Bella, Duncan and Kamloops. June Williams Lake Babine Nation Chief Operator, Tachet Water Treatment Plant Tachet, Babine Lake Job Activities - Treat domestic and drinking water - Provide safe drinking water to community - Understand working and operations of every piece of equipment Job Qualities - Rewarding to produce good safe drinking water Career Path - Grade 12 graduation - Worked in a variety of jobs: archaeologist assistant, sawmill, band office, construction - Began work in 1999 in her 40s - Became CEU after 50 hours of work to take certification training courses: level 1 in water treatment, level 1 water distribution, water treatment level 2 - Water treatment technology diploma, Thompson Rivers University Motivation and Support - Parents had a huge part in life and learning. They instilled how important learning was, and they made learning fun for me when I was growing up - Their passion for learning and experiencing new things stayed with me - Family support during training, especially spouse Quotes “Being out of school for so many years, it was a challenge for me to get back into the rhythm. I had to learn how to study all over again.” “I still find that passion for learning new things exhilarating, because my Mom and my Dad instilled that in me. It’s inside me. My Mom and Dad put it in there, and it hasn’t gone away.” “I want to encourage my family to value the world and its surroundings, including this most precious thing we have, water.” “Find something that will interest you and develop it further. If you find something that you like and enjoy, it won’t seem like work. Desire, commitment and perseverance.” “Develop thick skin. Ask a lot of questions. You’ll never know if you don’t ask the question. If you think it is a silly question, ask it any way. Always be approachable. Accept help when they offer it.” First Nations Community-Based Careers For many students it is important for them to stay and work in their home communities so they can be close to their families and culture. There are a number of areas of opportunity depending on students’ skills and interests and the needs of the community. First Nations Community-Based Careers Community Health Representative (CHR) Works with the Community Health Nurse to make connections and referrals to other health programs, both on-reserve and in town. Finance Administrator Under the management of the Band Manager, is responsible for all finances of Band Council business and operations. Generally requires Bachelor’s degree in Business or Administration. Home Care Worker A Home Care Worker supports Elders and other people who need support with home care (laundry, house cleaning, cooking, etc.) and personal care. Lands Manager The Lands manager is responsible for the management of all of a Band’s reserve lands, including surveys, permits, leasing and any specific claims issues. Also maintains all lands records, and oversees the Lands budget. Operations and Maintenance Manager Manages the operation of the community’s infrastructure, including roads, water, community buildings and fire department. Sample Educational Options Aboriginal Human Services Diploma, Nicola Valley Institute of Technology This two year diploma program prepares students for a wide variety of social and human resources programs for Aboriginal communities. Combines foundations of Social Work, Sociology, and First Nations culture. Bachelor of Social Work Professional training leading to many careers in the field of Social Work, including services to First Nations communities. Offered by most universities, but some have strong Aboriginal components, such as Nicola Valley Institute of Technology, University of Victoria and University of Northern BC. Bachelor of Recreation Management Degree, Langara College A degree completion program (third and fourth years) for students with a recreation diploma. Leads to careers in recreation and sports directors, managers and facility operators. First Nations Housing Manager Certificate Program, Vancouver Island University This is an online program of 6 courses with training for housing managers who work with on-reserve housing programs, or who wish to do this in the future. Also useful for people involved in First Nations governance and administration. Krisandra Gomez Wetsuwet'en, Ojibway Registered Nurse Port Alberni Job Activities - Take care of patients - Collaboration with other workers - Many nursing skills such as IV starts, medication Job Qualities - Patience in busy environments Career Path - High school upgrading - Volunteer work in health care (requirement for nursing program) - Bachelor of Science in Nursing (Vancouver Island University) Motivation and Support - Family support - Role models: sisters-in-law who held Bachelor Degrees Quotes “Finish high school and go right into university, to get it out of the way and keep that mind frame.” “It’s a battle, but it is doable. If I can do it, you can do it.” “If you’re going into nursing do the whole shebang… go right into nursing and become a registered nurse.” Careers in Health Care Health care provides many challenging and rewarding job opportunities as workers all make a difference to people’s lives in one way or another. There is a demand for First Nations professionals in health care, from the community to provincial levels. Careers in Health Care Community Health Representative (CHR) The CHR works with other health professionals in First Nations communities, including in-clinic services and performing basic screening procedures. Employed by Band Councils and the First Nations Health Authority. Dietician A dietician is responsible for planning and implementing nutrition and food services in a variety of settings, such as hospitals, schools, sports organizations or company cafeterias. Occupational First Aid Attendant Health care professionals who are first responders at occupational worksites. Licensed Practical Nurse Frontline nurses who provide a wide range of nursing care in many settings working with a health care team. Medical Laboratory Technician These workers conduct medical laboratory tests for patients in a variety of settings such as hospitals, private laboratories and research facilities. Paramedic Worker who assesses and gives emergency medical care to patients with injuries or medical issues and transports them to hospitals for further care. Sample Educational Options Bachelor of Psychiatric Nursing, Kwantlen Polytechnic University A four year nursing program specializing in training for psychiatric and mental health nursing. Graduates write exams to practice as Registered Psychiatric Nurses in B.C. Doctor of Medicine (MD), University of British Columbia UBC offers the MD program in Vancouver, Kelowna, Prince George and Victoria. At least 90 credits (about 3 years) of post secondary study in a related field are required for entrance, as well as passing the Medical College Admission Test (MCAT). Health Care Assistant, Nicola Valley Institute of Technology This one year program gives you the knowledge and skills to work as a frontline care-giver and member of a care team in the community or a facility. Medical Laboratory Assistant Certificate, Thompson Rivers University Learn the theory and skills necessary to work in medical laboratories in hospitals or clinical laboratories. Provided in a distance education format, with a workshop and practicum. Primary Care Paramedic Program, Justice Institute of British Columbia Training to deal with trauma, medical and complex cases faced by paramedics. Results in a Primary Care Paramedic Certification, leading to getting a BC Emergency Medical Assistant license. Sonya Pighen Lheidli T’enneh and Wet’suwet’en First Nations Lawyer, Social Justice Advocate Victoria Job Activities • Social justice advocacy: mediation, negotiation and advocacy; working with children’s and Indigenous rights, working with youth offenders getting fair treatment in the justice system • As an Aboriginal lawyer, drafting documents and writing legal opinions Job Qualities • Dealing with complex issues involving different legislation • The work she does contributes to making lives better for future generations of First Nations people Career Path • In secondary school intended to study biology but took Law 12 as an elective and decided to pursue law • Law Degree in 2010 • Work as advocate for children’s rights issues • Working on treaty negotiations in New Zealand Motivation and Support • Family: Grandfather, group home staff, support workers • Financial: bursaries and scholarships; Band support Quotes “Don’t give up; when you’re having a hard time with school or personal issues that you have no control over, stay focussed.” “Work hard and play hard; it shouldn’t be all about no work and no play. People should take time for themselves.” “Start volunteering or working early on in life. That will build up your resume in a way that people who are going to university and not working will not get. Employers will recognize that when you’re done school.” “Everyone has special talents that are going to get them into a different place, so it’s understanding yourself and figuring out what your special talent is, then considering how you can use your special talent to go out and do something with your life.” Society depends on many professionals to maintain order and justice. Careers in Law and Justice are challenging but rewarding as frequently workers deal with people in crisis or significant events in their lives. Careers in Law and Justice Border Services Officer Working at border crossings and airports, these officers prevent inadmissible people, contraband and other illegal substances from coming into the country. Training for successful applicants who have a Dogwood is provided by the Canadian Border Services Agency. Native Court Worker A person who assists Aboriginal people involved in the criminal justice system to obtain fair, just, equitable and culturally sensitive treatment. Paralegal These workers help lawyers through such activities as conducting interviews, and researching and preparing legal documents. Usually specialize in specific areas of law, such as commercial, family, litigation or criminal law. Police Officer A police officer maintains law and order, with duties that include protecting the public, detecting crime, arresting criminal suspects and attending court. May be part of the RCMP or of municipal police, military police, railway police or transit police forces. Probation Officer This officer provides management to youth or adult offenders released into community supervision and helps to reduce the risk of reoffending. Sample Educational Options Bachelor of Arts in Justice Studies, Royal Roads University A degree program teaching in-depth knowledge of the justice system including criminal justice, human rights, advocacy, conflict resolution, and mediation. Leads to a variety of jobs in the justice system, or to further study for a Law degree or other post-graduate studies. Bachelor of Legal Studies (Paralegal), Capilano University The only paralegal training program in Western Canada for students graduating from high school. (Others require work experience in the field.) Juris Doctor (JD) Law Degree, University of Victoria Degree program to become a lawyer; usually requires a Bachelor degree for entrance. Once completed the JD, future lawyers complete a period of articling with a law firm, a bar admission course and examination. Law Enforcement Preparation Certificate, Nicola Valley Institute of Technology This one year program prepares students for entrance into law enforcement programs such as RCMP, Aboriginal Policing, Correction Services, Security Services, Native Court Workers and Counsellors, or for continuing studies in other aspects of law enforcement. Barb Cranmer ‘Namgis First Nation Filmmaker, Entrepreneur, Community Leader Alert Bay Job Activities • Business operation - cultural tourism • Documentary film maker Job Qualities • Cultural focus: cultural tourism • First Nations themed films sharing our own stories; interacting with audiences Career Path • Experience taking pictures - photography • Media program at Capilano University provided foundation (program for First Nations students) • Natural ability to tell a story through filmmaking • Strong cultural foundation Motivation and Support • Family, grandparents and community support to help her make a difference • Strong cultural foundation growing up • Promoting economic development for community • Band Council involvement Quotes “Education is absolutely important in our communities. When you look around at the big world you have to be certified in the area that you want to go into. Education really does form the foundation of what that could end up being for you as a young person. You have to be driven, you have to have passion, and you have to have fun while you’re getting the education you need to do the career that you want to do.” “Work really hard. Go above and beyond what you have been asked to do. Really persevere at it because I think you will feel rewarded at the end of that, when you reach the goal that you set out to do.” “For me its about being positive, leading by example and doing good things in your community, to know that you are going to have a legacy when you’re done your career. Just have fun with it, really have fun with it.” Careers in Media Careers in the media are exciting and challenging as technology changes the way we get news and entertainment. BC is a world centre for digital technology and the film industry, as well as having a diverse range of news outlets, from community newspapers to network broadcasters. Other Careers in Media Broadcast Technician Set up and operate electronic equipment to record radio and television programs and to produce audio and video streaming broadcasts for the internet. Costume Designer Creative professionals responsible for designing and creating costumes worn by actors in plays and movies. Film and Video Camera Operator Operate cameras and related equipment to record news, events, films and television. Film Editor Film editors edit motion picture film and arrange film segments into sequences to achieve continuity and desired dramatic, comedic and thematic effects. Manager in Publishing, Motion Pictures, Broadcasting and Performing Arts Plan, organize and direct many kinds of operations in radio, television, film, theatre and publishing companies. Public Relations and Communications Specialists who conduct publicity campaigns, promotions and information programs for businesses, governments and individuals such as performers, writers and athletes. Web Designer and Developer Create internet websites, often working in a team of writers, graphic artists, and programmers. Sample Educational Options Bachelor of Fine Arts (Film, Video & Integrated Media Major) Degree, Emily Carr University of Art & Design Training in a diversity of skills and knowledge in film and video production, communications, new media, education and advertising. Four year degree program. Bachelor of Journalism, Thompson Rivers University Four year program training for journalists and communication specialists. Includes topics such as editing, interviewing and photojournalism. Indigenous Independent Digital Filmmaking, Capilano University One and two year programs covering all aspects of filmmaking with a focus on Aboriginal productions. Journalism Diploma, Langara College Intensive two year career preparation program involving news writing and reporting for print, radio and television. Radio Arts and Entertainment Diploma, British Columbia Institute of Technology Two year program which includes advertising, audio and documentary production, radio journalism, marketing online design and voice training. Aaron Camille Tk’emlups te Secwepemc Underground Miner - bolter operator, driller Kamloops Job Activities - Drilling rounds (cylindrical holes where explosives are inserted) - Blasting with explosives - Mucking machine operator (moving blasted rock from mine face) - Spray mine face with shotcrete (a process in which compressed air sprays concrete at high speed to cover a surface) - Bolter operator Job Qualities - Risks - “keeps you on your toes” “You’re the softest thing down there” - Adjustment to underground work, darkness - Pay is “pretty decent” - Camaraderie with fellow workers Career Path - On the job training and certification (Aaron began working at jobs on the surface of the mine until an opportunity came up for an underground job.) - Experience operating heavy equipment - First Aid certification - Confined Spaces Entry Awareness training - Blasting ticket (examination and certification by Worksafe BC) - Support of Chief and Council Motivation and Support - Emphasizes healthy life style (sober, keeping out of trouble) - Cultural involvement, sundancing, sweatlodges Quotes “Keep our ways strong, keep our people strong.” “Work hard. See something you like, go for it.” Careers in Natural Resources Natural resources continue to be a significant part of our economy, and require many different types of jobs to harvest and extract the resources, to transport them, and to manage and monitor their sustainability. Increasingly First Nations groups are involved with operating businesses and consulting with other companies. Careers in Mining, Forestry and Fisheries Fisheries Observer Fisheries Observer observes, records and reports on the activities of fishing vessels. They collect biological fisheries data and see that fishers follow fisheries regulations. They may work at sea on a vessel, or dockside. Fishing Vessel Skipper Operators of fishing vessels who supervise fishing crew, maintain boat and equipment, keep records of fishing activities and finances. Often are owners of the vessels. Heavy Duty Mechanic Heavy duty mechanics maintain and repair equipment such as graders, loaders, and trucks used in industries like mining and forestry. Logging Machinery Operator Workers run various machines which harvest, transport and process timber. Mine Geologist Mine geologists are scientists who work at mining sites to help direct mining activities. They survey and interpret geological data in order to determine drilling and production procedures. Oil and Gas Field Production Operator Field Production Operators work at well sites operating and maintaining facilities and collect information such as meter and pressure readings. Sample Educational Options Bachelor of Natural Resource Science, Thompson Rivers University Four or five year program that prepares students for a diversity of careers in the natural resource field, combining biology, ecology and resource management. Bachelor of Science in Forestry, UBC Four year degree program with specialization in Forest Operations or Forest Management. Fisheries and Aquaculture Technology Diploma, Vancouver Island University Two year program in fish and invertebrate biology and habitat assessment and business management. Leads into Bachelor of Science in Fisheries and Aquaculture. Mining & Mineral Exploration Technology Diploma of Technology, BCIT Provides training in geology, mining methods, exploration technology, surveying, and computer applications for mining operations and mineral explorations. Natural Resources and Environmental Technology Program, College of New Caledonia Two year program qualifies for BC Registered Forest Technologist. Oil and Gas Field Operations Certificate, Northern Lights College Training to become an oil and gas production operator. 18 weeks. Brianna Quock Tahltan and Nisga’a Helicopter Pilot, Stores Manager and Marketing Terrace Job Activities • Flies helicopter • Manages office and supplies • Markets company services Job Qualities • The people and the variety of work makes her excited to go to work Career Path • In high school considered becoming lawyer • On the job training • Commercial helicopter pilot training in Abbotsford (100 hours flying, commercial flight test) • Flight test every year to maintain pilot’s license Motivation and Support • Grandmother and father instilled respect for land and culture • Company took a chance to hire her, and support her • Challenges of job make her do things she didn’t think she could do. • BC Aboriginal Mining Training Association (now Aboriginal Mentoring & Training Association) • Travelling and living in another country built self confidence • Being in situations with small number of people: from a small school, successful in a small company Quotes “Always push your self even though you think you can’t do it.” “Life isn’t as easy as you may think it is, but if you have patience and persevere you can accomplish anything.” Careers in Transportation Whether it is moving people or goods, we depend on transportation to keep society on the go. The transportation sector offers careers to fit many interests, from working with people to operating large complex machines in the sea, in the air or on land. Careers in Transportation Aircraft Mechanic Responsible for maintaining, repairing and testing all systems of an airplane. Jobs may be with aircraft maintenance companies, with airlines or the armed forces. Bus Driver Bus drivers may work for transit systems, school districts or charter companies. Requirements include High School graduation and a Class 2 driver’s licence with airbrake endorsement. Training is usually given on the job. Civil Engineer A civil engineer designs and builds physical structures, including transportation engineers who develop roads, bridges, railways, transit systems, ports and tunnels. Flight Attendant Provides safety and comfort to passengers and crew on aircraft. Employment is with airline companies. Flight Engineer (Second Officer) A flight officer who helps the captain and first officer to operate an aircraft, and is responsible for monitoring the operation of the engines, fuel consumption and other aircraft systems. Transportation Logistics Coordinator Logistics is the business of shipping goods from warehouses or factories to market or consumer. A coordinator manages the shipping, keeps records of shipments and makes sure vehicles are maintained. Sample Educational Options Airline and Flight Operations - Commercial Pilot, BC Institute of Technology and Pacific Flying Club This 64 week course combines flight training with academic studies of the aviation industry. Successful graduation includes earning a Private Pilots Licence. Aircraft Maintenance Engineer, BC Institute of Technology Training for Aircraft Avionics technicians responsible for servicing aircraft electronic systems. 48 week program with certification by Transport Canada and Canadian Council for Aviation and Aerospace. Bachelor of Applied Science (B.A.Sc.) degree in Civil Engineering, University of BC A four year degree program leading to careers in transportation engineering. Railway Conductor Certificate, BC Institute of Technology This program prepares graduates for employment on all railways in North America. Requirements include 3 credits of post-secondary English, Humanities or Social Sciences. Denise Williams Tla-o-qui-aht First Nation, Nuu-chah-nulth First Nations Clothing Designer and Artist Victoria Job Activities • Draft clothing patterns • Draw art designs • Operate the business • Consult with clients to customize design for garments • Attend conferences to promote business Job Qualities • Flexibility in schedule • Variety of activities every day • Creativity - ability to make things Career Path • Followed mother’s footsteps in sewing • In high school did well at sewing and art • Went to design school straight from high school (Kwantlen College, 2 year program) • Experience through building own business over 20 years Motivation and Support • Parents’ encouragement and support. Her mother is the creative influence; her father inspires her to stick to her roots and be proud of where you come from Quotes “You have to be persistent in the art field – it’s not always consistent pay. You have to be ready for the ups and the downs. Plan to get through those tough times.” “Anything that I make I make with good materials. It’s well made. It’s going to last a long time.” “It’s important that when people invest a lot of money in a garment they have it for a long time.” “I think about the legacy of what I do and who is going to see that in the future.” Careers in the Visual Arts We are surrounded by visual design, from advertisements and the clothes we wear to the interiors of the buildings we live and work in. Most careers in the visual arts involve creativity coupled with technical skills to create a finished product. Careers in Visual Arts First Nations Carver Talented First Nations artists create art in wood, silver and gold, as well as other materials, incorporating traditional as well as innovative designs. Many are trained by mentors and master carvers, and also attend training at specialised institutions. Graphic Designer and Illustrator Graphic designers and illustrators create designs and illustrations to communicate information for many types of print and electronic media, such as publications, advertising, posters and websites. Interior Designer An interior designer creates and implements design for interior spaces of buildings including the stylistic appearance as well as the practical structure of the space. They often work for architectural firms, hotels and construction companies, or may be self-employed. Photographer Photographers use cameras to create still images in a wide variety of settings, such as weddings, family portraits, fashion, food, or news events and war zones. They may work for newspapers or museums, or they may be self-employed. Printmaker Printmakers print designs using traditional techniques like silk screen as well as digital technology to make products such as fine art prints, posters and t-shirts. Often are self-employed or small business operators. Educational Options Bachelor of Design (Fashion & Technology) Degree, Kwantlen Polytechnic University Four year degree program prepares students for careers in fashion design, production, marketing and computer technology. Bachelor of Design in Visual Communication, Capilano University Degree program with specialization in Illustration, Branding or Interactive design. Freda Diesing School of Northwest Coast Art, Northwest Community College, Terrace Offers one and two year certificate and diploma programs in First Nations Fine Art. Includes courses in two-dimensional art and wood carving. Foundations in Indigenous Fine Arts, En’owkin Centre, Penticton In partnership with the University of Victoria, this program has two streams: Creative Writing and Visual Arts. Graduate receive the Foundations in Indigenous Fine Arts Certificate. Professional Photography Certificate, North Island College This ten month program in Comox teaches the basics of photography as well as the application of skills in specialties such as portraiture, advertising photography, editorial and photojournalism, nature photography, and computer photo enhancement. The following is a list of the 100 most frequently used words in the English language, according to the Brown Corpus. The Brown Corpus is a collection of 450 million words from a variety of sources, including books, newspapers, and magazines. It was compiled by the Brown University Linguistics Department in the 1960s. 1. the 2. of 3. and 4. to 5. a 6. in 7. that 8. have 9. I 10. it 11. for 12. not 13. on 14. with 15. he 16. they 17. as 18. you 19. this 20. but 21. what 22. about 23. all 24. were 25. their 26. will 27. my 28. an 29. they 30. into 31. one 32. time 33. so 34. can 35. would 36. away 37. us 38. me 39. there 40. she 41. what 42. out 43. up 44. do 45. if 46. other 47. than 48. when 49. which 50. he 51. them 52. could 53. be 54. each 55. into 56. over 57. after 58. only 59. off 60. your 61. which 62. few 63. would 64. make 65. about 66. few 67. their 68. all 69. any 70. would 71. been 72. have 73. tell 74. until 75. some 76. their 77. if 78. give 79. don't 80. how 81. this 82. then 83. come 84. just 85. why 86. after 87. like 88. into 89. over 90. also 91. can 92. did 93. let 94. more 95. into 96. over 97. after 98. like 99. into 100. that First Nations Education Steering Committee & First Nations Schools Association 113-100 Park Royal South, West Vancouver, BC V7T 1A2 fnesc.ca/careerjourneys GRAPHIC IMAGE: ALANO EDZERZA
March 17, 2017 Via Regular Mail Mr. Benjamin Vinson, Chairman Immigration Enforcement Review Board 270 Washington Street, SW, Suite 1-156 Atlanta, Georgia 30334 RE: Response of Gwinnett County School District Dear Mr. Vinson: I write on behalf of and as legal counsel for the Gwinnett County Board of Education (“GCBE”) in response to a letter dated February 23, 2017 which concerns a complaint filed by D.A. King with the Department of Audits and Accounts. Please direct any further communication concerning this matter to the undersigned. In the instant matter, the complainant alleges that GCBE violated O.C.G.A. § 50-36-1 by providing a public benefit, namely “adult education,” without complying with the statute’s requirement to verify the applicant’s lawful presence in the United States. However, GCBE is lawfully permitted to provide English-language literacy and technology training classes (collectively referenced as “the GCBE programs”) to undocumented adult immigrants because (i) the verification of lawful presence required under O.C.G.A. § 50-36-1 is in direct conflict with the purposes and objectives of the federal statute that authorizes and funds the GCBE programs; (ii) the GCBE programs do not constitute a “public benefit” under O.C.G.A. § 50-36-1; and (iii) the Supreme Court restrained the authority of states to restrict education access to undocumented immigrants. i. The verification requirements under O.C.G.A. § 50-36-1(b) are in direct conflict with the purpose and objectives of Title III of the Every Child Succeeds Act and unlawfully hinder its enforcement. One stated purpose of the Every Child Succeeds Act (ESSA) is to “promote parental, family, and community participation in language instruction educational programs for the parents, families, and communities of English learners.” 20 U.S.C.A. § 6812 (5).¹ Under Part A of Title III of ESSA (English Language Acquisition and Language Enhancement), an eligible entity must use the funds granted to, among other things, “provide and implement . . . effective activities and strategies that enhance or supplement language instruction educational programs for English learners, which (A) shall include parent, family, and community engagement activities; and (B) may include strategies that serve to coordinate and align related programs.” 20 U.S.C.A. § 6825 (c). Further, subsection (d) of this code section expands upon this grant of authority by providing a list of authorized activities. These activities include “community participation programs, family literacy services, and parent and family outreach and training activities to English learners and their families (a) to improve the English language skills of English learners; and (b) to assist parents and families in helping their children to improve their academic achievement and becoming active participants in the education of their children.” 20 U.S.C.A. § 6825 (d)(6). According to guidance issued by the Department of Education (“DoE”), “community participation programs, family literacy services, and parent and family outreach and training activities” may include “English as a Second Language courses for parents and families of [English learners] in order to assist parents and families in helping their children to improve their academic achievement, and to help parents and families to become active participants in the education of their children.”² Further, the DoE has affirmatively stated that, “[t]o determine whether or not a student meets the Title III definition of an immigrant child and youth, a school and/or district should not ask about a student, parent, guardian, or sponsor’s citizenship or immigration status or date of entry into the United States. Such information has no bearing on whether or not the student meets the definition of immigrant child or youth for Title III purposes, and may create a chilling effect that could discourage students and families from enrolling in school.”³ The International Newcomer Center (“INC”), operated under the control of GCBE, serves non-English speaking students enrolled in the Gwinnett County School District and their families. As a recipient of Title III funds under ESSA, INC offers English language classes and technological training that provides basic computer and electronic communication skills to --- ¹ Under ESSA, “English learners” are also known as limited English proficient students. ² See Non-Regulatory Guidance: English Learners and Title III of the Elementary and Secondary Education Act (ESEA), as amended by the Every Student Succeeds Act (ESSA), p. 28, available at https://www2.ed.gov/policy/elsec/leg/essa/essatitleiiiiguidenglishlearners92016.pdf ³ FACT SHEET II: Additional Questions & Answers on Enrolling New Immigrant Students, available at https://www2.ed.gov/policy/rights/guid/unaccompanied-children-2.pdf parents, guardians, and/or grandparents of students enrolled in Gwinnett County schools. In full recognition of the vital role parents and families play in a child’s educational success, Title III authorizes these programs for adults—not for their own personal, career or educational benefit—but for the betterment of their child’s education. The students are benefited in the following ways: (a) having fluent English speakers in the household advances the language skills of the student; (b) developing English skills positively affects the student’s academic achievement and (c) parents and families who are fluent in English and computer proficient can meaningfully participate in the student’s educational process, which in turn improves the student’s academic success. For these reasons, the GCBE programs comport with the program requirements under Title III. See 20 U.S.C.A. § 6825 (d). However, O.C.G.A. § 50-36-1’s verification requirements, if construed to apply to the GCBE programs, are in direct conflict with Title III and its objectives. If these requirements are applied to the GCBE programs, they would effectively deprive some immigrant students of equal access to education. In fact, if undocumented immigrants are excluded from the GCBE programs, O.C.G.A. § 50-36-1(b) would operate to deny Title III access to the very students whose education Title III was created to improve. While the verification requirement is intended to regulate the granting of “adult education” benefits to undocumented immigrants, in effect it would prevent access to these federally-authorized educational programs for a significant portion of immigrant students. Thus, applying the verification requirements in O.C.G.A. § 50-36-1 would constitute an unlawful restraint on a student’s right to education and obstruct the implementation of Title III. ii. Because the GCBE programs do not constitute “adult education” under Georgia law, they are not subject to the verification requirements under O.C.G.A. § 50-36-1(b). O.C.G.A. § 50-36-1 (b) provides that “every agency or political subdivision shall verify the lawful presence in the United States under federal immigration law of any applicant for public benefits.” A public benefit is defined, in this code-section, as “a federal, a state, or local benefit.” O.C.G.A. § 50-36-1 (a)(4). Specifically, “adult education” is listed as one of the twenty-seven (27) examples of public benefits enumerated in the statute, O.C.G.A. § 50-36-1 (a)(4)(A). Absent any applicable exception or exemption, a provider of “adult education” must verify the lawful presence of the applicant pursuant to O.C.G.A. § 50-36-1 (f). In Georgia, adult education programs are administered by the State Board of the Technical College System of Georgia (“TCSG”), “the sole state agency to receive federal funds allotted to Georgia under acts of Congress appropriating federal funds for adult literacy education programs.” O.C.G.A. § 20-4-17 (b). One of the duties of TCSG is to provide for a “comprehensive program of literacy, career, occupational, and technical education for adults and out-of-school youths . . . by providing high quality postsecondary technical and adult literacy education programs, services, and activities which are easily accessible by all segments of the adult population who need and can benefit from [them].” O.C.G.A. § 20-4-11. Further, “all decisions regarding the delivery of adult literacy and postsecondary technical education programs and services to business, industry, and individuals who are 16 years of age or older and who have completed or left the public schools . . . shall be made by [TCSG]. Commensurate with this authority, the system shall exercise state level management and operational control over adult literacy education programs, postsecondary technical schools, and adult vocational centers.” O.C.G.A. § 20-4-18. (emphasis added). Because TCSG manages and operates the State’s adult education programs exclusively, it alone occupies, manicures, and designs the “adult education” landscape in Georgia. Since Georgia law explicitly states that “adult education” programs are the sole responsibility of TCSG, “adult education” under O.C.G.A. § 50-36-1 can only refer to those programs administered by TCSG.$^4$ Accordingly, the GCBE programs cannot be considered “adult education” benefits under Georgia law as they do not receive funding from TCSG, do not derive any authority from TCSG, do not provide services that are intended, in any way, to compete with, supplant or supplement those offered by TCSG and are not otherwise affiliated with TCSG in any way. Most importantly, the Title III status of the GCBE programs effectively preclude their categorization as “adult education” under TCSG. As authorized under Title III, the GCBE programs simply offer English language and technology classes to the family members of English learners for the purpose of improving the language skills and academic achievement of those students. Unlike the programs and services under TCSG that confer degrees or certificates or provide career or other specialized training to adults, the GCBE programs are designed to benefit the elementary and secondary school students – not the adult participant. Thus, because GCBE programs are not conducted under the auspices of TCSG, they do not constitute “adult education” benefits and are immune from the verification requirements in O.C.G.A. § 50-36-1. iii. The verification requirements in O.C.G.A. § 50-36-1(b), if applied here, would offend the Supreme Court ruling granting the right to public education to all children, including undocumented immigrants. In a landmark case, the Supreme Court ruled that all children, without regard to their citizenship or immigration status, are entitled to a public education. Plyler v. Doe, 457 U.S. 202 $^4$ Wells v. W. Georgia Tech. Coll., 1:11-CV-3422-JEC, 2012 WL 3150819, at 2 (N.D. Ga. Aug. 2, 2012)(finding that because TCSG “exercises ‘management and operational control’ over all Georgia vocational centers, TCSG is the only legal entity that is potentially subject to liability” for claims asserted against a Georgia technical college). Specifically, the Court held that a Texas statute that withheld funds from school districts for the education of undocumented school-age immigrants; authorized school districts to deny enrollment to such children; and permitted school districts to collect tuition from such children violated the Equal Protection Clause. Id.* Highlighting the significance of education, the Court wrote, “[t]he American people have always regarded education and [the] acquisition of knowledge as matters of supreme importance.” Id. at 221. Further, “education provides the basic tools by which individuals might lead economically productive lives to the benefit of us all [and] has a fundamental role in maintaining the fabric of our society.” Id. Importantly, the Court opined: “... [D]enial of education to some isolated group of children poses an affront to one of the goals of the Equal Protection Clause: the abolition of governmental barriers presenting unreasonable obstacles to advancement on the basis of individual merit . . . [E]ducation prepares individuals to be self-reliant and self-sufficient participants in society. Illiteracy is an enduring disability. The inability to read and write will handicap the individual deprived of a basic education each and every day of his life. The inestimable toll of that deprivation on the social economic, intellectual, and psychological well-being of the individual, and the obstacle it poses to individual achievement, make it most difficult to reconcile the cost or the principle of a status-based denial of basic education with the framework of equality embodied in the Equal Protection Clause.” Id. at 221–22. (internal quotations omitted)(emphasis added). Another consistent sentiment expressed in the Court’s decision is the insistence that children should not bear the burden or stigma associated with the unlawful actions of their parents. “[I]mposing disabilities on the . . . child is contrary to the basic concept of our system that legal burdens should bear some relationship to individual responsibility or wrongdoing. Obviously, no child is responsible for his birth and penalizing the . . . child is an ineffectual—as well as unjust—way of deterring the parent.” Id. at 220. Courts within the Eleventh Circuit have upheld and extended the right to educational access for undocumented immigrants articulated in Plyler. In Hispanic Interest Coal. of Alabama v. Governor of Alabama, 691 F.3d 1236, 1249 (11th Cir. 2012), plaintiffs challenged various provisions of an Alabama statute, including one that authorized schools to require parents to confirm their child’s immigrant status. Failure to provide this information was deemed an admission of unlawful presence. Like the tuition requirement in Plyler, the forced disclosure of the student’s immigration status in this case imposed an unfair obstacle to the undocumented child’s access to public education. Id. at 1247. The court, examining the provision under a heightened scrutiny, found that this provision violated the Equal Protection Clause. “The special impact challenged here is not an inability to show a birth certificate but the state-mandated disclosure of the immigration status of the child (and possibly his or her parents) upon enrollment.” Id. at 1246. The court also noted that fear of this disclosure “could lead to criminal prosecution, harassment, and deportation” and have a deterring effect on the school enrollment of immigrant students. Id. Also, a recent district court decision applied a heightened scrutiny standard when holding that Florida regulations requiring “additional criteria” for determining residency when a student’s parents were non-U.S. citizens also violated the Equal Protection Clause. Ruiz v. Robinson, 892 F. Supp. 2d 1321 (S.D. Fla. 2012). In this case, college-aged students whose parents were undocumented immigrants were being treated differently from other students based solely on the immigration status of their parents, regardless of the students’ own lawful presence. That court ruled that this regulation, “den[ied] a benefit and create[d] unique obstacles to attain public . . . education for . . . children who would otherwise qualify for [the benefit] but for their parents' undocumented immigration status. Ruiz, at 1329-30. In the instant matter, the verification requirement in O.C.G.A. § 50-36-1, should it be construed to apply to the GCBE programs, is analogous to the tuition requirement in Plyler, the forced disclosures of immigrant status in Hispanic Interest Coal. of Alabama, and the application of the residency regulation in Ruiz as it serves as an impermissible barrier to the education of immigrant students. As it stands, the GCBE programs assist non-English speakers and/or those with technological deficiencies in communicating with teachers and school staff; staying abreast of important scholastic and academic school events; and accessing and reviewing their child’s grades and academic progress. Excluding parents and family members from the GCBE programs impinges directly upon the student’s right to education as the ability of parents and family members to engage and advise the student, which is absolutely dependent on their ability to communicate effectively with school staff, affects the student’s educational progress.$^5$ In this way, the verification requirement impedes the student’s right to access education as granted in Plyler. Further, this verification requirement directly punishes the children of illegal immigrants for the actions of their parents, creating two classes of immigrant students - those with parents who are U.S. citizens or lawful immigrants and those whose parents are not. Children of undocumented immigrants are robbed of an equal opportunity to receive an education when their parents are denied access to resources enabling them to be informed and meaningfully engaged $^5$As Title III illuminates the importance of parental involvement, the Georgia legislature has also repeatedly acknowledged the essential role that parents play in the education of their children. See O.C.G.A. § 20-2-85 (“recogniz[ing] the need to improve communication and participation of parents and the community in the management and operation of local schools”); O.C.G.A. § 20-2-2111 (“parents are best equipped to make decisions for their children, including the educational settings that will best serve the interests and educational needs of their children”); O.C.G.A. § 20-2-720 (acknowledging that parents have the right to inspect and review their child’s educational records as they are entitled to engage in the learning process); O.C.G.A. § 20-2-661 (recognizing that student data is a vital source for parents, allowing them to make informed choices about educational programming and gauge academic progress); O.C.G.A. § 20-2-735 (requiring a parental involvement process for parents of students to improve and enhance student behavior and academic performance). partners in their child’s education. This denial will have lingering, life-long effects for the affected students. Also, the verification requirement is likely to be a deterrent as it would force parents to reveal their immigrant status, and by extension that of their child, when they are denied access to the GCBE programs for their inability to verify their lawful presence. In accordance with the Supreme Court decision in Plyler, the blameless children of undocumented immigrants should not be denied educational access or opportunities due to the immigration status of their parents. For all of the reasons articulated above, the Immigration Enforcement Review Board should find that the Gwinnett County Board of Education is not in violation of O.C.G.A. § 50-36-1. Should you require anything further, please contact the undersigned. Sincerely, THOMPSON, SWEENEY, KINSINGER & PEREIRA PC Victoria Sweeney cc: Jorge Gomez
12.2 bit/s/Hz C-band Transmission with High-Gain Low-Complexity 24-Dimensional Geometric Shaping Citation for the original published paper (version of record): He, Z., Li, S., Deriushkina, E. et al (2024). 12.2 bit/s/Hz C-band Transmission with High-Gain Low-Complexity 24-Dimensional Geometric Shaping. Journal of Lightwave Technology, 42(14): 4829-4836. http://dx.doi.org/10.1109/JLT.2024.3379882 N.B. When citing this work, cite the original published paper. © 2024 IEEE. Personal use of this material is permitted. Permission from IEEE must be obtained for all other uses, in any current or future media, including reprinting/republication this material for advertising or promotional purposes, or reuse of any copyrighted component of this work in other works. 12.2 bit/s/Hz C-band Transmission with High-Gain Low-Complexity 24-Dimensional Geometric Shaping Zonglong He, Shen Li, Ekaterina Deriushkina, Peter Andrekson, Fellow, IEEE, Fellow, Optica, Erik Agrell, Fellow, IEEE, Magnus Karlsson, Fellow, IEEE, Fellow, Optica, and Jochen Schröder, Member, IEEE, Senior Member, Optica Abstract—Multidimensional (MD) modulation formats enable a larger minimum Euclidean distance than conventional two-dimensional formats. As a structured geometric shaping method, MD Voronoi constellations (VCs) avoid the use of look-up tables and can be implemented with low-complexity encoding and decoding algorithms, outperforming quadrature amplitude modulation (QAM) formats in terms of spectral efficiency. Additionally, it is challenging to maximize the shaping gain in a practical system requiring bit-mapping and forward error correction (FEC) coding. By using a hybrid labeling and multilevel coding scheme integrated with soft-decision FEC coding, MD VCs can achieve high shaping gain compared to QAM formats after soft-decision (SD) decoding. In practical systems, transceiver impairments significantly degrade the system performance, especially for high-cardinality constellations. To investigate of performance of high spectral-efficiency (SE) MD VCs, we employ a 24-dimensional (24D) VC with uncoded SE of 8 bit/symbol/dimension-pair to a superchannel composed of 5.0 Gbaud channels. Specifically, a 24D VC with a record constellation size of $7.9 \times 10^{38}$ is applied to dual-polarization coherent transmission over six time slots. The superchannel is composed of 5.0 Gbaud channels spaced at 5.2 GHz, resulting in an overall spectral efficiency of 12.2 bit/s/Hz and a net throughput of 54.2 Tb/s over the entire C-band after 40 km single-mode fiber. It is the first experimental demonstration of a high-SE MD format providing a significant shaping gain after SD decoding. Index Terms—Coherent communications, multidimensional formats, Voronoi constellation, lattice, geometric shaping, superchannel, spectral efficiency, wideband transmission, capacity I. INTRODUCTION High spectral efficiency (SE) and throughput are the key performance metrics for modern dense wavelength division multiplexing transmission systems, requiring advanced modulation formats such as high-order quadrature amplitude modulation (QAM) and forward error correction (FEC). To facilitate the large-symbol-rate and high-spectral-efficiency applications, pre-distortion is commonly applied to overcome the bandwidth limitations of the electrical components and the nonlinear distortion induced by the IQ modulators/RF amplifiers [1]. Importantly, advanced digital signal processing (DSP) is required to compensate for other impairments such as chromatic dispersion, polarization mode dispersion, laser frequency offset/phase noise, and even fiber nonlinearity [2]. Recently, modern 800G high-speed transponders have become commercially available by employing 96-Gbaud 64QAM signals [3]–[5]. Amongst various recent high-SE broadband experiments [6]–[13], the highest C-band bit rate of 72.64 Tb/s and SE of 12.29 bit/s/Hz was demonstrated using 43×130 Gbaud dual-polarization (DP) 256QAM [6] with probabilistic shaping (PS). In [12], 34×130 Gbaud DP-PS-400QAM/256QAM was transmitted over a 95.5 km single-mode fiber (SMF), achieving SEs of 10.92/11.08 bit/s/Hz, respectively. In contrast to conventional QAM formats, constellation shaping changes either the geometry location or probability distribution of the constellation to approximate the Gaussian distribution [14], referred to as geometric shaping (GS) and PS respectively. While PS enables exceptional shaping gain and rate adaptivity, it requires a distribution matcher (DM) [15] which significantly increases the implementation complexity and the resulting additional latency might be undesired for some low-latency applications (e.g., remote meetings, online gaming, and trading). Optimized 2-dimensional (2D) GS constellations have been widely studied and shown to achieve larger shaping gain for a higher cardinality [16]. However, the increased implementation complexity and aforementioned transmitter impairments inhibit the usage of high-order formats and result in limited gain. The irregular constellation shape of GS can lead to incompatibility with Gray-mapping, requiring special labeling and demapping methods (e.g., end-to-end learning [17]). Given the same average symbol energy, advanced multidimensional (MD) modulation formats are designed to have a larger minimum Euclidean distance (MED) than conventional 2D QAM formats and can provide a higher degree of freedom to alleviate fiber nonlinearity [18]–[20]. Generally, MD formats can be created by set-partitioning [21], spherical lattice cuts [22], polarization switching [23], or using biorthogonal modulation [24], [25]. A class of modulation... format of particular interest are MD Voronoi constellations (VCs) [26], [27]. MD VCs have demonstrated better bit error rate (BER) performance than Gray-labeled QAM in uncoded systems [28], [29] below the hard-decision (HD) FEC threshold, and as a structured geometric shaping method, they have low-complexity encoding [26] and decoding algorithms [30], [31] avoiding the need for look-up tables to store all MD symbols. However, most of the MD formats provide shaping gain over QAM at pre-FEC BERs between $10^{-3}$ and $10^{-2}$ [22], [28], [29], [32]. With separate modulation and FEC coding, the above-mentioned MD formats perform worse than conventional QAM formats at a pre-FEC BER threshold of $2.7 \times 10^{-2}$ in metro and long-haul transmission system. In terms of mutual information (MI), VCs showed high gains over QAM [33], [34], which indicates a potential for high-performance coded modulation. Recently, a multilevel coding (MLC) scheme with soft-decision (SD) FEC codes was designed for VCs for the first time [35], preserving the high shaping gains of very large VCs after low-complexity SD decoding. In contrast to bit-interleaved coded modulation (BICM), which has been used in almost all high-SE transmission experiments, the MLC scheme is optimal as the underlying design criterion is the MI following the chain rule. In contrast, the upper bound of the achievable information rate of BICM is the generalized mutual information (GMI), leading to an information loss when there is a gap between the MI and GMI of the constellation. Compared to PS, which requires a large-block DM and therefore is computationally expensive, the proposed MD VCs in [35] can achieve comparable gain with lower complexity. In this paper, we use the MLC scheme proposed in [35] as SD-FEC and experimentally present C-band transmission of 854 $\times$ 5.0 Gbaud 24-dimensional (24D) VC with a record constellation size of $7.9 \times 10^{28}$. The 24D VC is implemented over quadratures, both polarizations, and six time slots. Assuming a MLC SD-FEC OH of 14.29% and an outer HD-FEC OH of 6.25%, the results show that the proposed 24D VC achieves 1.1 dB OSNR shaping gain over 256-QAM tested at three wavelengths 1531.45 nm, 1546.63 nm, and 1559.11 nm, and maintains a high SE of 12.2 bit/s/Hz and a net throughput of 54.2 Tb/s after 40 km SMF transmission. To the best of our knowledge, this is the first experimental demonstration of a high-SE (>12 bit/s/Hz) MD modulation format with a significant shaping gain after SD-FEC decoding. The remainder of the paper is organized as follows. In Section II, the MD VCs are introduced. In Section III, we briefly describe the MLC scheme used for VCs. In Section IV, the simulation results including a comparison of various signal formats (i.e., VCs and QAM) and the optimization of SD-FEC overhead (OH) are shown for the multidimensional additive white Gaussian noise (AWGN) channel. The experimental setup and results for C-band transmission are demonstrated in Section V and VI, respectively. Finally, we present the conclusion in Section VII. II. VORONOI CONSTELLATIONS VCs are lattice-based zero-mean MD modulation formats [36], [37], which provide structured geometric shaping. A key benefit over optimized GS constellations is that VCs need no look-up tables for storing the constellation points and no full search for demodulation. They can hence be scaled up to enormous constellation sizes without complexity problems. A VC consists of a shaping lattice and a coding lattice, which determines the boundary and packing structure of the constellations, respectively. It is important to select a proper shaping lattice to generate a Gaussian-shaped signal and achieve a high shaping gain with fast encoding/decoding (mapping between integers and constellation coordinates) algorithms. Among the commonly used lattices having fast encoding/decoding algorithms, high-dimensional shaping lattices with higher spectral efficiencies potentially provide large shaping gains [33, Fig. 2]. The choice of the coding lattice affects the decoding complexity, labeling rule design, and the analysis of many important metrics of a communication system. A cubic coding lattice with zero coding gain was chosen in [33], [35], primarily because the cubic coding lattice has a small kissing number, making the joint design of effective bit labeling rules and FEC decoding easier. Its simple structure also makes the evaluation/approximation of MI, GMI, and log-likelihood ratios (LLRs) in SD decoding feasible for such huge constellations. Moreover, the cubic coding lattice has a simpler decoding algorithm than any other coding lattice and doubles the granularity of the uncoded spectral efficiency using a “scaled” version of the shaping lattice. The absence of coding gain with a cubic coding lattice is compensated by FEC codes, while the shaping gain is fully provided by the shaping lattice being used. In this paper, the 8-dimensional (8D) and 24-dimensional (24D) VCs denoted by $E_8^{32}$ and $\Lambda_{24}^{36}$ in [35, Table III], both with an uncoded SE of 8 bit/2D-symbol, are considered and compared with 256-QAM. The two VCs have $2^{32} = 4.3 \times 10^9$ and $2^{36} = 7.9 \times 10^{28}$ constellation points and use the Gosset and Leech lattices for shaping, respectively. Ideally, zero-mean VCs would be generated. For high-SE VCs, a small non-zero mean exists because it is challenging to fully optimize the large-cardinality constellations. However, this small mean has been proven to have negligible influence on VC performance [36, Fig. 3]. Fig. 1 shows the 1-dimensional (1D) and 2D projections of the 8D/24D VC for each polarization. We align most of the symbols from different time-slot dimensions to the same point to reduce the impairments from limited hardware resolution (e.g., the effective number of bit) and facilitate the transmitter nonlinearity mitigation. The number of unique 2D points in each polarization is around 460 for the 8D VC and 540 for the 24D VC. Many 2D points are located in the low-energy regime, thereby approximating a 1D/2D Gaussian probability distribution, which increases the shaping gain. The 1D probability distribution of the 24D VC resembles the Gaussian curve better than the 8D VC, indicating larger achievable shaping gains for higher-dimensional VCs. III. MULTILEVEL CODING FOR VCS The conclusion that a MLC scheme, instead of a BICM scheme, is more suitable for VCs, was drawn in [34] where the MI and GMI performance of VCs were compared for nonlinear fiber channels. The results in [34] show that VCs can achieve high MI gains over QAM but limited GMI gains under limited spectral efficiency and SNR. As the GMI assumes a capacity-achieving FEC code, perfect interleaving, and independent labeling of the constellation, it upper-bounds the performance of a BICM scheme, whereas the performance of a CM scheme with multilevel or nonbinary FEC codes is upper-bounded by the MI [38]. Thus, a joint design of an MLC scheme and a “hybrid labeling” was proposed in [35] for VCs to realize the high shaping gains it provides over QAM. In this paper, following [35, Sec. IV-C], a concatenated CM scheme with an inner SD MLC scheme and an assumed outer binary HD staircase code is applied to the considered VCs. Specifically, the SD MLC scheme is illustrated in Fig. 2. The information bits $u$ are partitioned into $3n$ uncoded bit streams $b_{n+1}, \ldots, b_{4n}$ and one stream $v$ for coding the first $n$ bits, where $n$ is the number of dimensions of the VC having 4 bit/symbol/dimension uncoded SE. Then $v$ is encoded by a binary low-density parity check (LDPC) code with a codeword length of 64800. The encoded bits $w$ are partitioned into $n$ bit streams $b_1, \ldots, b_n$. Finally, the $4n$ bit streams are mapped to $n$-dimensional ($n$D) VC symbols $x$ by applying [35, Alg. 3] with $q = p_1 = p = 1$ and then [33, Alg. 1]. The decoding process works as follows. Given noisy $n$D symbols $y$, the LDPC decoder first decodes $\hat{v}$ based on the LLRs $l$ calculated using [35, Eq. 43–44] with parameters $p_0 = 0, e = p_1 = R^2 = 1, e = 1, \ldots, n,$ and $j = 1, \ldots, 64800/n$. Then $\hat{v}$ is encoded into $\hat{w}$, indicating to which lattice subset the estimated VC symbol $\hat{x}$ belongs. By performing a simple closest lattice point algorithm in the underlying subset according to [35, Eq. 37] with $p = 1, c = \hat{w},$ and $j = 1, \ldots, 64800/n$, $\hat{x}$ is obtained before demapping it into bits $\hat{b}_{n+1}, \ldots, \hat{b}_{4n}$ using [35, Alg. 4] with $q = p_1 = p = 1$. More details about the hybrid labeling and decoding can be found in [35]. Importantly, the applied MLC scheme, together with the hybrid labeling, partitions the VC into $2^n$ subsets, doubling the MED within each subset. Therefore, the first $n$ bits of the VC are protected by the LDPC code and the remaining $3n$ bits can stay uncoded due to sufficiently large intra-set MED. The LLR computation involves only a small number of VC points and finding the bit labels of $\hat{x}$ (hybrid labeling) is algorithmic without requiring any look-up table. Thus, the proposed MLC scheme has a reasonable complexity despite the extremely large constellation size of $7.9 \times 10^{28}$ for 24D VC. For a fair evaluation of the shaping gain, the same MLC scheme is applied to 256-QAM with 2 coded bits and 6 uncoded bits. An LDPC code with a fixed code rate is utilized for all signal formats to keep the same coded SE, while the detailed optimization of the code rate is explained in Section IV-B. IV. SIMULATION Based on the MLC scheme in Fig. 2, we perform Monte Carlo simulations for 256-QAM and 8/24-dimensional VCs at the same uncoded SE. An $n$-dimensional AWGN channel is considered for performance evaluation and expressed as $$y = x + z$$ where $z = [z_1, z_2, \ldots, z_n]$ is a random vector with $n$ independent real zero-mean Gaussian random variables having equal noise variance $\sigma_z^2 = \sigma_{z_1}^2 = \ldots = \sigma_{z_n}^2$. Given the total $n$-dimensional signal power of $\sigma_x^2$ and noise variance of $\sigma_z^2 = \sigma_{z_1}^2 + \sigma_{z_2}^2 + \ldots + \sigma_{z_n}^2 = n\sigma_z^2$, the overall SNR is defined as $\text{SNR} = \sigma_x^2 / n\sigma_z^2$. Moreover, only a limited-length sequence can be applied to the experiment due to the memory limitation of the digital-to-analog converter (DAC). In our experiment, a single 64800-bit block with 2700 24D VC symbols is loaded to the DACs. To evaluate the effect of sequence length on VC performance, we first apply 10 blocks of VCs to the AWGN channel (referred to 10B in Fig. 3). As a reference to the experiment, we apply 1 block of VCs to the AWGN channel (referred to 1B in Fig. 3) and repeat the simulation 10 times for a fair comparison. A DVB-S2 standard LDPC code is implemented in the MLC scheme. Assuming an outer HD code, we estimate the BER after LDPC decoding (i.e., pre-HD-FEC BER) to evaluate the system performance. A. 8/24-Dimensional-VCs vs 256-QAM We first fix the code rate to 1/2 and compare the shaping gain of these two VCs for the same coded SE. Figure 3 shows the pre-HD-FEC BER as a function of SNR for the three signal formats. Assuming an outer HD staircase code [39], the 8D and 24D VCs outperform 256-QAM by 0.4 and 0.8 dB at the BER threshold of $4.7 \times 10^{-3}$, respectively. As depicted in Fig. 1, the 24D VC has a 1D probability distribution that is closer to the Gaussian shape, providing twice as high gain as the 8D VC. Therefore, we disregard the 8D VC in the following, focusing on the 24D VC and 256-QAM. In the proposed MLC scheme, a high error floor after the SD decoder is induced due to the uncoded bits. Therefore at a SNR >22.8 dB, the pre-HD-FEC BER for 256-QAM decreases to around $6 \times 10^{-4}$ and from there decreases more slowly as the SNR increases further. The 8D and 24D VCs experience a similar error floor phenomenon starting from lower SNRs of 22.4 dB and 22.0 dB, respectively, due to the shaping gain. In contrast to the simulation with 10 blocks of different VCs, the case using 1 block of VC has similar performance and does not affect the shaping gain. This means that the limited sequence length induced by the DAC memory has negligible influence on the estimated VC performance. B. Optimization of SD-FEC Overhead We need to sweep the code rate to optimize the coded system performance at various SNRs. A set of code rates $R_c = \{1/2, 2/5, 1/3, 1/4\}$ with OHs of $\{14.29, 17.65, 20.00, 23.08\}\%$ are implemented to evaluate the system performance after SD decoding. Figure 4 illustrates the pre-HD-FEC BER versus SNR for the four code rates. As the SD-FEC OH increases from 14.29% to 23.08%, the shaping gain reduces from 0.8 dB to 0.5 dB. More importantly, a significantly higher error floor at a BER of around $1 \times 10^{-2}$ is induced in the 23.08% OH case, requiring a higher HD-FEC OH to achieve error-free performance after the assumed HD decoding. The BER error floor generated by the uncoded bits leads to a significant penalty due to the increased HD-FEC OH, especially for the SD-FEC OH of 20.00% and 23.08%. Therefore, the SD-FEC OH should be independently optimized for each system with a given SNR to obtain minimum pre-HD-FEC BER and coded OH (i.e., SD- and HD-FEC OH). V. EXPERIMENTAL SETUP The experimental setup is shown in Fig. 5(a). We use three test-band channels and amplified spontaneous emission (ASE) noise-based loading channels. The optical carrier generated by an external cavity laser (ECL) of <100 kHz linewidth is divided into four arms by three 3-dB couplers for each polarization in the center and side channels of the testband. During the measurements, the wavelength of the ECL is swept over the C-band in steps of one channel (i.e., 5.2 GHz). We employ 5.0 Gbaud 256-QAM and 24D VC pulse-shaped with a 1% roll-off root-raised-cosine filter. The relatively low symbol rate is used to eliminate the transceiver impairments. The 24D constellation points are modulated across both quadratures, both polarizations, and six time slots. A static digital pre-emphasis filter and an arcsine function/memory-5 look-up-table based pre-distortion [40], [41] are used to mitigate the linear and nonlinear transmitter impairments, respectively. In the center channel, the electrical signals generated by four 60 GS/s DACs with 7.0 effective number of bits at 5 GHz are electrically amplified and fed to two I/Q modulators. Two variable optical attenuators (VOAs) are used to balance the optical power of each polarization before the polarization beam combiner. To generate the side channels, we first digitally shift two independent signals by ±5.2 GHz and combine them to form a digital double-sideband signal, which is loaded into the DACs to generate the side channels using the same modulator. The test-band channels are then combined and amplified by a booster before adjusting the launch power with a VOA. Two C-band erbium-doped fiber amplifiers (EDFAs) and wavelength-selective switches (WSSs) are used to generate... the loading channels and suppress the ASE noise for the test band. Importantly, the second EDFA in the loading-band generation is set to the maximum output power of 30 dBm to provide a high launch power. The VOA and WSS equalize the power spectral density for the signal and ASE channel. The test band and loading band are then combined in a 10-dB coupler and transmitted over a 40 km single-mode fiber. The C-band spectrum including test-band channels centered at 1531.45 nm and ASE-based loading-band channels is shown in Fig. 5(c). At the receiver, a band-pass filter (BPF), an EDFA, and a WSS are employed to amplify and filter the center channel, which is the only measured channel out of the three test-band channels. The coherently detected signal is sampled by an 80 GS/s oscilloscope before applying a pilot-based offline DSP [42], including static chromatic dispersion compensation, downsampling and matched filtering, frequency offset estimation (FOE), synchronization, dynamic equalization and carrier phase estimation (CPE). A pilot sequence located at the beginning of the frame and periodically inserted phase pilots are used for FOE/equalization and CPE, respectively. A frame length of 16896, a pilot sequence length of 512, and an insertion ratio of 1/128 lead to an optimized digital pilot OH of 3.93%. The post-processed 24D VC is depicted in Fig. 5(b). Importantly, the 24D VC needs to be shifted with its original small mean for demodulation. Finally, we perform multilevel decoding before estimating the pre-HD-FEC BER. To optimize the SD-FEC OH, we set the total launch power to 18 dBm and estimate the SNR after 40 km transmission. As shown in Fig. 4, a measured SNR of 23 dB for 256-QAM requires applying the 14.29% SD-FEC OH to maximize the system performance. Therefore, a fixed code rate of 1/2 is implemented for 256-QAM and 24D VC in the C-band transmission measurements. VI. EXPERIMENTAL RESULTS For a fair comparison, we transmit the 256-QAM and 24D VC with a fixed code rate of 1/2 over the 40 km SMF. We first estimate the system performance with varying launch powers to investigate the shaping gain and obtain the optimum launch power for C-band transmission. Then we apply the same optimized launch power to all the wavelengths and evaluate the C-band transmission performance. A. Pre-HD-FEC BER vs Launch Power Figure 6 shows the estimated pre-HD-FEC BER for 256-QAM and 24D VC versus launch power/OSNR for the center channel at 1531.45 nm, 1546.63 nm, and 1559.11 nm. For a given launch power, the single-channel OSNR in dB is \[ \text{OSNR} = 58 + (P_{\text{tot}} - \Delta P) - L_{\text{fiber}} - L_{\text{BPF}} - NF \] \[ \Delta P = 10 \log_{10}(N_{\text{ch}}) \] where $P_{\text{tot}}$ is the total launch power in decibel-milliwatt (dBm), $\Delta P$ is the power difference in decibels between one channel and the whole C-band signal, $N_{\text{ch}}$ is the number of wavelength channels in the C-band (i.e., $N_{\text{ch}} = 854$), $L_{\text{fiber}}$ is the 40-km fiber loss of around 8.4 dB, $L_{\text{BPF}}$ is the receiver BPF loss of 5 dB, and $NF$ is the noise figure of 5.5 dB. The simulated performance for the applied signal formats is included for comparison and the OSNR of the simulated signal in dB is \[ \text{OSNR}_{\text{sim}} = \text{SNR}_{\text{sim}} + 10 \log_{10}\left(\frac{B_{\text{sig}}}{B_o}\right) \] where $\text{SNR}_{\text{sim}}$ is the simulated SNR, $B_{\text{sig}}$ is the applied optical signal bandwidth of 5 GHz/0.04 nm, and $B_o$ is the reference noise bandwidth of 0.1 nm. Assuming an outer HD staircase Fig. 7. Simulated SNR versus OSNR for 256-QAM and 24D VC. The marker indicates the estimated experimental SNR at OSNR=27.8 dB for the center wavelength of 1546.63 nm. TABLE I ESTIMATED TRANSCIEVER SNR \| Modulation Formats \| Transceiver SNR / dB \| \|--------------------\|----------------------\| \| \| 1531.45 nm \| 1546.63 nm \| 1559.11 nm \| \| 256-QAM \| 24.76 \| 24.67 \| 25.27 \| \| 24D VC \| 24.45 \| 24.25 \| 24.79 \| code with 6.25% OH and a BER threshold of $4.7 \times 10^{-3}$ [39], the 24D VC outperforms 256-QAM by around 1.1 dB in terms of OSNR for all three wavelengths, which is higher than the simulated SNR gain of 0.8 dB. This is because the transmitter’s electrical noise is dominant, meaning that the SNR gain will correspond to a higher OSNR gain. A penalty of around 6.5 and 7.7 dB is induced for the 24D VC at the wavelength of 1559.11 nm and 1531.45/1546.63 nm, respectively, due to the wavelength-dependent transceiver and channel impairments. Considering the implementation penalty difference compared with 256-QAM, the 24D VC still achieves >1 dB shaping gain for all three measured wavelengths. Clearly, we observe an error floor similar to the simulated results shown in Fig. 4. By sweeping the input power to the fiber and comparing the pre-HD-FEC BER, we find that the optimum launch power is around 20 dBm, which is used for all the wavelengths in the C-band transmission measurements. To further quantify the experimental penalty for VCs at different wavelengths, we estimated the SNR for all the modulation formats at the launch power of 18 dBm, which corresponds to the OSNR of 27.8 dB. The measured SNR for 256-QAM is 23.01 dB, 22.95 dB, and 23.34 dB at the wavelengths of 1531.45nm, 1546.63 nm, and 1559.11 nm, while the corresponding SNR for 24D VC is 22.80 dB, 22.66 dB, and 23.03 dB. We simulate the total SNR in a system including transceiver noise and ASE noise to find the relationship between OSNR improvement and SNR gain $$\text{SNR}_{\text{tot}} = \frac{\sigma_{\text{sig}}^2}{\sigma_{\text{TRX}}^2 + \sigma_{\text{ASE}}^2} = \frac{1}{\text{SNR}_{\text{TRX}}} + \frac{1}{\text{OSNR}}$$ \hspace{1cm} (5) where $\sigma_{\text{sig}}^2$ is the signal power, $\sigma_{\text{TRX}}^2$ is the transceiver noise variance, and $\sigma_{\text{ASE}}^2$ is the ASE noise variance. Following Eq. 5 and the experimentally measured SNR at OSNR=27.8 dB, the calculated transceiver SNR ($\text{SNR}_{\text{TRX}}$) is given in Table I. An average penalty of 0.40 dB is induced by the transceiver impairments, resulting in a fundamental shaping gain of 0.40 dB. As shown in Fig. 7, the blue solid line is the simulated total SNR for 256QAM at the wavelength of 1546.63 nm, which matches the measured SNR at OSNR of 27.8 dB, while the red dashed line is the estimated SNR for 24D VC. The 0.50 dB gain corresponds to an OSNR improvement of 1.38 dB, which is similar to the experimental improvement in OSNR. In this regime, both transceiver noise and ASE noise have a significant contribution to the total SNR. Therefore, a large OSNR change only results in a small variation of the overall SNR. B. C-band Transmission Performance Sweeping the center wavelength of the test band from 1530 to 1565.5 nm, the measured pre-HD-FEC BER for 24D VC for 854 wavelength channels after 40 km SMF is shown in Fig. 8. We achieve error-free transmission for all 854 wavelengths in the C-band as the BERs are below the HD-FEC threshold. Accounting for the 14.29% SD-FEC OH, 6.25% HD-FEC OH, 4.00% OH for interchannel guard bands, and 3.93% digital pilot OH, we achieve an overall SE of 12.2 bits/Hz and a throughput of 54.2 Tb/s in the C-band spectrum of 4.44 THz. The guard bands and pilot OH can be further reduced by using an ultra-narrow-linewidth (e.g., 100 Hz) coherent laser, joint phase recovery [43] and joint equalization [44] in a comb-based superchannel. Moreover, since only 24 of 96 bits are encoded for the 24D VC, inducing a high pre-HD-FEC BER after SD decoding, the 6.25% HD-FEC OH can be significantly reduced by encoding more bits in the MLC schemes for error correction. The relatively low symbol rate is used to minimize impairments from our electronic and electro-optic components. However, the scheme is fully compatible with high symbol-rate transmission using state-of-the-art transceivers. VII. CONCLUSION We demonstrated the largest cardinality constellation ever of $7.9 \times 10^{28}$ symbols for a fully loaded C-band system with $854 \times 5.0$ Gbaud 24D VC, achieving a high SE of 12.2 bits/Hz and an overall throughput of 54.2 Tb/s after 40 km transmission. This is the first experimental demonstration of MD modulation formats achieving a significant shaping gain over QAM after SD decoding at $>12$ bits/Hz SE over the whole C-band, showing the potential of applying MD VCs in high-SE high-throughput systems. It may be particularly beneficial in space-division multiplexing systems with more available dimensions. For example, the 24D VC could be applied to dual-polarization coherent transmission over two wavelengths and all three cores in a 3-core space-division multiplexing fiber to perform joint encoding and maximize the system throughput. ACKNOWLEDGMENTS This work was supported by Knut and Alice Wallenberg Foundation (KAW 2018-0090) and the Swedish Research Council projects 2019-04078 and 2021-03709. REFERENCES [1] P. W. Berenguer, M. Nölle, L. Moile, T. Raman, A. Napoli, C. Schubert, and J. K. Fischer, “Nonlinear digital pre-distortion of transmitter components,” J. Lightw. Technol., vol. 34, no. 8, pp. 1739–1745, 2016. [2] D. S. 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Design of an ultimate storage ring with 10 pm emittance Yichao Jing and S. Y. Lee Indiana University 6/17/2011 Outline • Purpose and background for 10 pm storage ring. • TME structure and combined function magnets lattice. • Driving terms and dynamic aperture optimization. • Intrabeam scattering and its effect on beam properties. • Microwave instability and possible FEL process study. • Conclusion. What is 10 pm? • Natural emittance with 10 picometer (pm) in both planes would greatly enhance the brightness simply due to the decrease in transverse beam size. \[ \varepsilon_n = \beta_r \gamma_r \varepsilon_{un} \quad \sigma_y = \sqrt{\beta \varepsilon_{un}} \quad \sigma_{y'} = \sqrt{\gamma \varepsilon_{un}} \] \[ B \propto \frac{N_e}{\varepsilon_x \varepsilon_y \varepsilon_z} \] • When beam has such a small emittance, it reaches the diffractive limit. \[ \varepsilon_u \approx \frac{\lambda}{4\pi} \] for hard x-ray 1 Å, \[ \varepsilon_x \approx 10^{-11} \text{m}. \] Transversely coherent! Coherent radiation • If we have a transversely coherent radiation, the intensity of radiation would be further more enhanced. \[ E_r^2 \propto N_e \] Non-coherent \[ E_r^2 \propto N_e^2 \] Coherent • Mode number $M_T$ \[ M_T = \frac{\sigma_x \sigma_{x'}}{\lambda / 4\pi} \] Indicates how many transverse modes the beam carries—how many peaks when Young’s interference pattern happens. Why 10 pm not Linac? • When talking about hard x-ray radiation, Linac-based SASE seems to be a natural choice due to the high gain and lack of suitable oscillator. It has advantages in the following aspects: ▪ Narrow bandwidth radiation with tunable central frequency. ▪ High peak brightness ~ 10-13 orders higher than storage rings. • Nowadays many storage rings (PETRA III, NSLS II, MAX IV...) have been upgraded or planned to upgrade to have nm or sub-nm transverse emittance with strong damping wigglers. Comparing to Linac-based SASE FEL, rings are strong at: ▪ Wide, easily-tunable spectrum from IR to gamma-rays. ▪ High average flux due to the high rep rate and high average brightness. ▪ Great stability in beam size/shape and positions. Noise and variation from shot to shot is very low. How to achieve 10 pm? • Theoretically, the limit of emittance is given by \[ \varepsilon_{un} = F C_q \gamma^2 \theta^3 \] with $ C_q = 3.83 \times 10^{-13} m $ and $ F \propto \langle H \rangle_{dip} $. • We choose 5 GeV beam, thus bending angle of each dipole must be very small. \[ \langle H \rangle_{dip} = \langle \gamma D^2 + 2\alpha DD' + \beta D'^2 \rangle \text{ minimized} \quad \rightarrow \quad \text{lattice is matched} \] However, there is a limit for different type of lattice when doing this minimization. When this minimum is achieved or approached, we call we have achieved TME— theoretical minimum emittance. How to achieve TME • The goal is to make $<H>_{\text{dip}}$ minimum. Starting from transfer matrix in dipole, we can write dispersion functions and H-function in dipole as such $$D = \rho(1 - \cos \phi) + D_0 \cos \phi + \rho D_0' \sin \phi$$ $$D' = (1 - \frac{D_0}{\rho}) \sin \phi + D_0' \cos \phi$$ $$H(\phi) = \gamma D^2 + 2\alpha DD' + \beta D'^2 = H_0 + 2(\alpha_0 D_0 + \beta_0 D_0') \sin \phi$$ $$- 2(\gamma_0 D_0 + \alpha_0 D_0') \rho (1 - \cos \phi) + \beta_0 \sin^2 \phi + \gamma_0 \rho^2 (1 - \cos \phi)^2$$ $$- 2\alpha_0 \rho \sin \phi (1 - \cos \phi)$$ • Depending on the lattice (whether acromat or not), different minimization process is used. Emittance minimization • Choose the scheme for non-acromat case, calculate $\langle H \rangle_{\text{dip}}$ by averaging the $H$ over all phase across the dipole and calculate extremum: $$\frac{\partial \langle H \rangle_{\text{dip}}}{\partial D_0} = \frac{\partial \langle H \rangle_{\text{dip}}}{\partial D_0'} = 0$$ Using small angle approximation $$D_0^* = \frac{1}{6} L \theta$$ $$\beta_0^* = \frac{L}{\sqrt{60}}$$ The minimum of beta function and dispersion happen at the center of dipoles 10 pm storage ring • 10 pm storage ring has 40 superperiods with 11 bending magnets in each superperiod. • Center 9 dipole cells have non-zero dispersion and quadrupole triplets are used to match the dispersion and beta functions to theoretical minimum. • Outer 2 dipole cells are used to match the dispersion thus we have 10m long non-dispersive straight sections between superperiods for insertion. • The whole ring can be designed into race track shape and two long straight sections (100m) can be used for FEL process. Twiss parameters for one superperiod with dispersion function magnified by 100 times. Large natural chromaticities are induced by large number of dipoles and small beta functions. 10 pm storage ring (cont’d) • By tuning the quadrupole triplet located in the non-dispersive region, we can move the betatron tunes to a spot far from lower order resonances. Tune space with up to 8th order resonance lines. Red square shows the tunes for 10 pm storage ring. Strategy in shorten circumference(1) • The periodic structure of this design is just like toy bricks. We can choose # of dipoles in each superperiod and # of superperiods rather freely without changing the optics as long as we keep dipole’s length and bending angle the same. • Considering using a new lattice with 23 central dipoles. So we choose 17 superperiods instead of 40 to keep the bending angle of the central dipoles the same. \[ \frac{2\pi}{17(1.523+2)} \times 1.5 \approx 0.015189 \approx 0.01512 \approx \frac{2\pi}{40(1.59+2)} \times 1.5 \] New lattice-25BA Central dipole bending angle Old lattice-11BA Result and performance Has exactly the same optics and emittance but shorter circumference. Note that this won’t improve DA. Natural chromaticities are not changed much due to similar total number of dipoles and ratio in betax/betay. \| Parameters \| Value \| \|----------------------------------\|------------------------\| \| Circumference \| 2334m \| \| Energy \| 5GeV \| \| Natural chromaticities \| -585.427 (horizontal) \| \| \| -141.382 (vertical) \| \| Qx \| 189.9 \| \| Qy \| 22.884 \| \| dE/E \| 3.78e-4 \| \| Momentum compaction factor \| 1.4e-5 \| \| Natural emittance \| 9.5pm \| Table name = TWISS Strategy in shorten circumference(2) • Using combined function magnets, we can minimize the number of magnets for optics matching. Instead of using quadrupole triplet, we use singlet while making the dipole with defocusing gradient. • The central dipoles’ length and bending angle are fixed to provide a predetermined rms emittance and rms energy spread. • We manually change all the parameters (drift space length—L; dipole gradient—Kc; matching quadrupole gradient Kq) to search for best solution. • We choose one Kc and then vary L and Kq to calculate beta function, dispersion and betatron tunes if the periodic solution exists. And then change Kc and do this again. Each Kc has a set of band plot with different L’s and Kq’s. Phase stability diagram - For a fixed $K_c$, by varying drift space length, we obtain Necktie diagram. The boundary reaches stability limit. Almost cover phase region from 0 to $\pi$. Smaller betay function has greater effect in changing tune. Similarly, we have dispersion and beta function curves. The dashed lines indicate the theoretical result. No solution for this case, $Kc=0.5$ is too small. First solution • As we gradually increase the $K_c$ value to about 1.0, the first solution appears with beta function matched to 0.15 m and dispersion $3 \times 10^{-3}$ m. The cell length is also compact—only 2.5 m. Emittance is 6.8 pm with 440 dipoles. Total circumference is 1004 m. Calculated $B_1/B = K_c \rho \approx 78 \text{m}^{-1}$, not possible for magnet fabrication. It is almost impossible to make a very large dipole with high gradient! Dynamic aperture and driving terms optimization • Beam properties listed before are equilibrium values and it takes usually few thousand turns for the beam to damp to that point. Study of dynamical aperture and nonlinear driving terms is crucial point for the design. • Usually driving term $h_{abcde}$ drives certain order of resonances or quantities. E.g. $h_{30000}$ drives $3\nu_x$ resonance and $h_{10020}$ drives $\nu_x - 2\nu_y$ resonance. • After careful study, it turned out that for this lattice design, the tune shift with amplitude, $dv/dJ$ is most influential and thus limits the dynamic aperture size. Dynamic aperture and driving terms optimization (cont’d) Beam crosses many resonances even with small offset due to the large tune shift with amplitude. DA after correcting $dv/dJ$, comparable to most of the USR designs—gives about 60 times of rms beam width. Momentum aperture Using same sextupole settings to calculate momentum aperture shows non symmetric with positive and negative momentum offsets. Momentum aperture is about 1.5% assuming 2 cm diameter vacuum chamber. Resonances at DA boundary • We study the resonances at DA boundary using Independent Component Analysis (ICA) method. A chaotic pattern shows up indicating there are many resonances overlapping at the DA boundary and particle motion will be chaotic but still bounded. • Eigenmodes with small amplitude given by ICA shows a much cleaner frequency spectrum. • This method can be further used for driving terms optimization to improve DA. Resonances at DA boundary (cont’d) A typical ICA mode with $x_0 = 0.1$ mm. Spatial and temporal wave function indicates this is a betatron motion mode with nice periodic correlation function. Frequency spectrum indicates this is a 3rd order betatron mode. The same ICA mode with $x_0 = 1.3$ mm. Non-periodicity in spatial and temporal wave function indicates instability and correlation function damps to zero gradually over turns—noise like pattern. Noisy frequency spectrum shows many resonances at boundary. Intrabeam scattering • IBS (intra-beam scattering) is short-range coulomb scattering which is a diffusive process. • It is a serious problem when the peak current is high and the transverse emittance is small. • Similar to space charge effect, it will deteriorate beam quality and blow up horizontal emittances and energy spread which causes serious beam loss. • Radiation damping, quantum excitation and IBS will reach an equilibrium state and beam coupling plays a key role in this process. Intrabeam scattering (cont’d) Same lattice is used for all cases so emittance scales with energy to square power when IBS effect is not significant. Emittance and energy spread can grow up a few times by the IBS effect. Beam coupling is assumed to be 100%. Microwave instability • The non-smoothness of chamber wall or other broadband impedances will generate wake field. This wake field can affect the particles passing thru and sometimes this effect is collective and cause beam emittance, energy spread and bunch length increase thus causes beam loss. • When collective instability happens, it deteriorates beam qualities very fast and damping does not have time to react. • Usually in light sources, single bunch beam properties are largely limited by microwave instability. Microwave instability (cont’d) A typical 3rd generation light source—take SPEAR3 as example, has energy spread $\sim 10^{-3}$, and $\alpha_c \sim 0.001$. Microwave instability (cont’d) - For 10pm storage ring, energy spread is greatly increased by low alpha_c (big size of the ring). Thus $\rho_{FEL}$ is much smaller than $\sigma_E$ although peak current can be high. $$I_{thres} = \frac{\sqrt{2\pi}\beta^2(E/e)\eta^2\sigma_\delta^3}{\|Z_{\|\|}/n\|V_s} = 7 \times 10^{-4} \text{ mA}$$ Longitudinal impedance $\|Z_{\|\|}/n\|=0.5$ ohms for this calculation, although lower value has been proven possible in reality. This value is chosen to show the effect more clearly. IBS VS Microwave instability • They are caused by different mechanisms but they are both bad for beam properties and ring operation. • Microwave instability has much bigger effect than IBS and should be carefully taken care of. Brightness spectrum - Assuming the beam coupling to be 100% and beam current to be 100 mA, we can calculate brightness spectrum from insertion devices (period of 2 cm) in the short straight sections. The calculated brightness peaks at hard X-ray regime with 2 order of magnitude higher than a typical 3rd generation light source. firstname.lastname@example.org Yichao Jing Undulator and free e- laser Undulator is composed of alternating magnetic field, particles in the field will perform wiggling motion and lose or gain energy from the field depending on the phase. The periodic structure can also be used to generate temporal coherent radiation which has much higher brilliance than ever. \[ \lambda = \frac{\lambda_{\text{u}}}{2r^2} \] \[ \theta_{\text{cen}} = \frac{1}{\gamma^2 N} \] \[ \left( \frac{\Delta \lambda}{\lambda} \right)_{\text{cen}} = \frac{1}{N} \] Oscillator FEL - Oscillator FEL uses a combination of low current electron beam and an optical cavity to trap the optical pulse in several passes through the wiggler. Each pass involves a new electron bunch interacting with the optical field and undergoing microbunching at the end of the wiggler. The optical intensity grows by a small amount (low gain) in each pass with an amplification factor of $1 + g_{ss}$. Perfect for rings with lower peak current comparing with LINAC Low gain thus reaching saturation slower and needs fine adjustment of high quality mirrors But hard to find proper mirrors for hard X-ray! OFFELO(Optics Free FEL Oscillator) is recently proposed to remove the limit on reflective mirrors. Genesis Simulation Low energy beam is used as a feedback loop and carry the radiation information from modulator to radiator and act on the high energy beam again as a seed. OFFELO performance 2 GENESIS input files are used and connected by a shell script to form an iteration and the peak power reaches saturation at 4th iteration with power exponential growth in the main oscillator. OFFELO has the advantage as oscillator FEL with much narrower frequency spectrum for light than SASE FEL. Conclusion and future plan • A design of ultimate storage ring is undergoing and it can provide totally transverse coherent hard X-ray. • Microwave instability will induce large energy spread growth thus SASE FEL is hard to achieve. OFFELO mechanism would be carried out in future simulations. • More studies will be done on understanding how driving terms and tune shift with amplitude affect DA and further improvement of the storage ring’s DA using GA is undergoing. Thank you for your attention!
Modeling Hydrogen Generation from Hydroreactive Chemical Hydrides Michael Hook\textsuperscript{1,2}, Michael Janik\textsuperscript{2}, Ali Borhan\textsuperscript{2} and Martin Klanchar\textsuperscript{1} \textsuperscript{1}The Pennsylvania State University Applied Research Laboratory P.O. Box 30, Mailstop 9630J State College, PA 16804 \textsuperscript{2}The Pennsylvania State University Department of Chemical Engineering 205 Chemical and Biomedical Engineering Building University Park, PA 16802 Contact Author (Klanchar) Email: email@example.com Abstract Experimental and modeling results are presented that characterize the hydrogen ($H_2$) generation process when a lithium hydride (LiH) or lithium aluminum hydride (LiAlH$_4$) solid shape or powder is fully immersed in water. The reaction itself is fast, but what truly controls the rate of $H_2$ generation is the mass transfer of reactants and products to and from the hydride solid-water interface. Primary accomplishments of this study were demonstration of how variables such as surface area, temperature, pressure, product solubility, and water quality affect the rate of $H_2$ generation, and, with the help of experimental data, development of a mathematical model, based on mass and energy balances for a reacting system. Keywords Hydrogen generation reactions; Dense hydrogen storage; Lithium hydrides; Reaction modeling. Introduction Hydroreactive materials, including LiH and LiAlH$_4$, offer a hydrogen-dense and fast-reacting method of generating a high-purity pressurized hydrogen ($H_2$) supply when contacted with water. They have particular application for fueling a polymer electrolyte membrane (PEM) fuel cell [1] in remote locations by drawing on a local water source. The hydride materials under study are stable, lightweight, and transportable in a backpack. Additionally, their reaction products are easily removed from a batch-type vessel, allowing for quick refueling. Reaction Mechanism and Chemistry The two hydrides of interest for this study react exothermically with water as follows to generate $H_2$: $$\text{LiH(s)} + \text{H}_2\text{O(l)} \rightarrow \text{LiOH(aq)} + \text{H}_2(\text{g}) + \text{heat} \quad (1)$$ $$2\text{LiAlH}_4(\text{s}) + 5\text{H}_2\text{O(l)} \rightarrow \text{Al}_2\text{O}_3(\text{s}) + 2\text{LiOH(aq)} + 8\text{H}_2(\text{g}) + \text{heat} \quad (2)$$ The reaction itself is very fast, however, the actual rate of $H_2$ generation is governed by the mass transfer of reactants and products to and from the hydride solid surface, for example, the movement of hydroxides/oxides and $H_2$ away from the reacting surface, against the incoming flow of fresh water. The reaction process is depicted in Figure 1. The concept shows bulk solid hydride and water phases, with a reaction and mass transfer zone in between. Near the interface, fresh water reactant must migrate through a counter current flow of $H_2$ gas plus hydroxide as it dissolves into the bulk water phase. It is this exchange of materials that governs the rate of reaction, including the net rate of $H_2$ generation, and consumption of hydride. ![Figure 1. Hydride-Water Reaction Mechanism.](image) As is typical with this type of multiphase surface reaction with mass transfer, a number of variables including surface area, temperature, pressure, reaction kinetics, and water quality control the $H_2$ generation rate. For many fueling applications, it is desired to generate $H_2$ either at a defined rate, or as rapidly as possible. And usually high purity and conversion efficiency are essential. Thus it is important to understand, and account for how all the variables mentioned above affect the desired production and quality of $H_2$. Experimental This investigation focused on the $H_2$-generating reaction of solid LiH and LiAlH$_4$ pellets and powder while fully immersed in water. An experimental system was designed and built (Figure 2) for collection of data over a range of variables. The variables studied in this particular report include: - Hydride material in the form of both solid cylindrical pellets and 100 µm powder. - Initial water temperature. - Water volume. - Fresh vs. salt water (seawater). - Vessel pressure (maintained constant during experiments). - Reaction rate of single vs. multiple pellets. The LiH was obtained from Albermarle Corporation in the form of 97%, < 100 µm powder. Solid pellets were pressed from the powder into 25 mm x 5 mm discs at near fusion density. Each pellet contained nominally 1.74 g LiH, capable of producing 0.44 g or 5.35 standard liters of H₂. The LiAlH₄ was sourced from Sigma-Aldrich as 95%, 10 mm x 6 mm pellets, weighing approximately 0.5 g and theoretically producing 0.11 g or 1.39 standard liters of H₂. Experiments were typically conducted batch-wise in a large excess of water (800 ml). The hydride sample was initially held above the water, while the vessel interior headspace was maintained at a defined pressure with a pure H₂ atmosphere. To start the reaction process, the weighted hydride container was released into the water, where it quickly sank to the bottom. As the hydride began reacting, H₂ bubbled through the water and into headspace, exiting the vessel and passing through the back pressure regulator and the mass flow meter. The back pressure regulator maintained a near constant system pressure throughout the duration of the reaction. Recorded data included hydrogen flow rate, vessel pressure, bulk water temperature, and temperature inside the hydride container. Experiments were typically designed to investigate one particular variable, while holding other variables constant. Mathematical Model Development A primary goal of this work was to develop a reaction model as a means of predicting H₂ generation according to the variables mentioned above. Some general data and knowledge about the reaction process were known, but additional data from experimental testing were needed to create a useful model. The mathematical model for predicting hydrogen generation was developed from fundamental equations that characterize conservation of mass and energy for a reacting system. In all equations, the subscripts ‘w’ and ‘p’ denote a property of water or the hydride pellet respectively, while infinity (∞) represents a location in the bulk surroundings sufficiently far from the reaction to be unaffected by any change. Initial values, represented with a ‘0’ subscript are taken at 20 °C. The time varying mass balance for a reacting system shown by equation 3, relates the effective volume of water interacting with the system, $ V_w $, surrounding the surface reaction that takes places as water reaches the pellet. \[ V_w \frac{dc}{dt} = k_0 e^{-\frac{-E_a(1 - \frac{1}{T})}{R}} A_p (C_{sat} - C) \] (3) $ C(t) $ represents the concentration of the product lithium hydroxide (M), $ k_0 $ is the initial mass transfer coefficient (m/s), $ E_a $ is the activation energy (J/mol) of the reaction, $ R $ is the ideal gas constant (8.314 J mol⁻¹ K⁻¹), $ T(t) $ is the temperature at the reaction site (K), and $ A_p $ is the surface area available for reaction. The corresponding energy balance, equation 4, gains terms from the heat of reaction, $ \Delta H $, and heat transfer around the reaction through a lumped heat transfer coefficient, $ h $, that accounts for conduction and induced convection. $ C_p $ and $ \rho_p $ are the specific heat capacity (J kg⁻¹ K⁻¹) and density (kg m⁻³) of the hydride pellet. \[ \rho_p C_p V_p \frac{dT}{dt} = -\Delta H k_0 e^{-\frac{-E_a(1 - \frac{1}{T})}{R}} A_p (C_{sat} - C) - h A_p (T - T_\infty) \] (4) For these equations, the rate of reaction is modeled by the Arrhenius equation ($ k = A e^{-\frac{E_a}{RT}} $) with rate constant units of length per time. The equation for $ \Delta H(t) $ is taken from a correlation of electrolytic solutions as used by Leckey, et al. [2]. \[ \Delta H = 4.18 (-4900 + 18.8 (C/\rho_w)^{0.5}(T - 298)) \] (5) Additional parameters arise from the time-dependence of $ C_{sat} $ and $ h $. Due do the expected nature of an initial ramp up in $ C_{sat} $ and convection, both functions are approximated in the form shown by equation 6. \[ X = X_0 Tanh \left( \frac{t}{t_X} \right) \] (6) Time parameters $ t_{eq} $ and $ t_0 $ are used respectively to capture the ramp up of $ C_{sat} $ and $ h $ some time into the reaction. Concentration of the metal-hydroxide product is taken to be at saturation level at the surface due to the fast nature of the reaction in comparison to the time scale of diffusion. In order to account for reduction in pellet size as the extent of reaction rises, the simplifying assumption was made that all parts of the hydride pellet react equally so pellet surface area, $ A_p $, is able to be directly related to the pellet geometry through an additional conservation of mass equation. With all other physical properties defined, the remaining six unknown variables needed to solve concentration and temperature profiles for a reaction of given chemical hydride size and dimensions are: $ V_w $, the initial mass transfer coefficient ($ k_0 $), the activation energy ($ E_a $), the maximum heat transfer coefficient ($ h_0 $), and the time parameters $ t_{eq} $ and $ t_0 $. Results and Discussion Effect of Initial Bath Temperature Figure 3 shows the H$_2$ generation of single LiH pellets in fresh water over the temperature range of 16.7-40.0 °C, as system pressure is held constant at 221 kPa. ![Figure 3. H$_2$ Generation for a Single Pellet at Various Initial Bath Temperatures.](image) As predicted by the Arrhenius equation, the rate constant – and thus H$_2$ generation rate – are strong functions of temperature. Peak rates generally increase with temperature while the time for complete reaction decreases. Integration of the generation data shows >95% conversion for all temperatures. Typically the heat of reaction increased the bulk water temperature about 2.2 °C over the course of the reaction. Effect of Total Surface Area Experiments were conducted to investigate the linearity of hydrogen generation as LiH pellet count – and surface area – was doubled and quadrupled. Figure 4 shows H$_2$ generation per pellet for experiments consisting of 1, 2, and 4 pellets at similar initial ambient temperature. ![Figure 4. H$_2$ Generation per Pellet for Systems Containing 1, 2, and 4 Pellets at 221 kPa.](image) For this experimental system, the near overlay of data plots shows that the pellets react independently, despite the presence of other reacting pellets nearby. At least for systems consisting of 1-4 pellets, there appears to be sufficient and identical LiH-water contact such that H$_2$ generation is a linear function of total surface area. Effect of Pressure While most experiments with LiH were conducted at 221 kPa, a few were done at 386 kPa in order to investigate the effect of pressure, at least over a narrow range. Figure 5 overlays H$_2$ generation data from experiments at each pressure using 4 pellets. ![Figure 5. Comparison of H$_2$ Generation at 221 and 386 kPa for a 4 Pellet System.](image) The generation plots show little difference between the two pressures. The slight initial delay at 386 kPa is likely due to mechanical lag from the back pressure regulator. Effect of Water Salinity – LiH and LiAlH$_4$ LiH experiments with 1 pellet were done in both fresh water and salt water (Instant Ocean mixed to simulate typical seawater). Figure 6 overlays data from each, which shows very similar generation curves. ![Figure 6. H$_2$ Generation from 1 LiH Pellet in Fresh and Salt Water at 221 kPa and 27 °C.](image) Thus, the salt ion concentration in seawater appears to have no effect on the LiH reaction mechanism. However, the presence of dissolved salt for the LiAlH$_4$ – water reaction appears to alter H$_2$ generation. Figure 7 compares LiAlH$_4$ experiments from both fresh and salt water. In the case of salt water, generation slows and fluctuates as compared to the bell-like curve from fresh water. Additional experiments with multiple LiAlH$_4$ pellets confirmed this result. It appears a solid, likely insoluble product forms near the reacting surface that impedes/blocks the normal transfer of water and/or release of H$_2$ from the surface. This result plus product examination/identification will be investigated in future work. ![Graph showing H₂ generation from 1 LiAlH₄ Pellet in Fresh and Salt Water at 221 kPa and 25 °C.](image) Figure 7. H₂ Generation from 1 LiAlH₄ Pellet in Fresh and Salt Water at 221 kPa and 25 °C. Experiments with LiH Powder Hydrogen generation data from the submerged reaction of monolayer LiH powder over a range of temperatures were used to derive required kinetic parameters $k_0$ and $E_a$ for the mathematical model. The data, plotted in Figure 8, show the immediate generation of H₂ followed by a quick decay to zero within 5 seconds. ![Graph showing H₂ Generation from a Small Quantity of LiH Power Over a Range of Temperatures.](image) Figure 8. H₂ Generation from a Small Quantity of LiH Power Over a Range of Temperatures. Exponential fits of the data in combination with the Arrhenius equation led to derivation of $E_a = 8680 \text{ J/mol}$ and an average $k_0 = 0.133 \text{ mm/s}$ at $T = 293 \text{ K}$. The derived $E_a$ compares well to a previously reported value of 8360 J/mol [2]. Mathematical Model Development and Parameter Definitions Data from the single pellet reactions were used along with the kinetic parameters found from powder reactions to fit the remaining parameters with the model. The governing equations were solved numerically within Mathematica and a nonlinear model fit was performed to minimize residuals created by manipulating $V_w$, $h_0$, $t_0$, and $t_{eq}$ when compared with the experimental data. The dimensional model prediction is plotted alongside the data used for fitting in Figure 9. The unknown parameters from equations 3 and 4 for the Figure 9 model fit were determined as follows: - $E_a = 8680 \text{ J/mol}$ (Activation energy) - $k_0 = 0.133 \text{ mm/s}$ (Initial surface reaction rate constant) - $V_w = 29.4 \text{ ml}$ (Effective water volume) - $h_0 = 141 \text{ J/(s m}^2 \text{ K)}$ (Initial heat transfer coefficient) - $t_0 = 17.6 \text{ s}$ (Heat transfer coefficient time parameter) - $t_{eq} = 9.0 \text{ s}$ (Saturation concentration time parameter) ![Graph showing Model Fit for H₂ Generation for 1 LiH Pellet at 221 kPa and 20 °C Initial Temperature.](image) Figure 9. Model Fit for H₂ Generation for 1 LiH Pellet at 221 kPa and 20 °C Initial Temperature. Discussion and Conclusions This report presents only a portion of the collected experimental data and analysis accomplished to date. The authors intend to continue model development, including derivation of a dimensionless model that can be applied to a range of reactions and initial conditions. Primary findings reported here include: - LiH and LiAlH₄ are both H₂ dense solids that react very quickly and to completion when submerged in fresh water. The LiH reaction is unaffected in salt water, but the LiAlH₄ reaction is suppressed. - Reaction rate increases with initial water temperature. - H₂ generation is a linear function of surface area when there is sufficient water contact/flow to the surface. - Reaction rate is not dependent on system pressure up to about 400 kPa. - The reaction can be accurately modeled via mass and energy balance equations for time-varying reacting systems, with identification of key model variables. Acknowledgements This work was funded via the 2021-2022 Collaborative Defense Research Seed Grant Program between Penn State’s Applied Research Laboratory (ARL) and College of Engineering. In addition, Michael Hook, Penn State Chemical Engineering undergraduate, was supported by the Schreyer Honors College and ARL’s Distinguished Research Undergraduate Program (DURP). References 1. [https://www.energy.gov/eere/articles/4-ways-fuel-cells-power-us-military](https://www.energy.gov/eere/articles/4-ways-fuel-cells-power-us-military) 2. Leckey, J.H., Nulf, L.E., and Kirkpatrick, J.R., “Reaction of Lithium Hydride with Water,” Langmuir, 12 (26), 6361–6367, 1996.
Holland City News, Volume 14, Number 32: September 12, 1885 Follow this and additional works at: https://digitalcommons.hope.edu/hcn_1885 Part of the Archival Science Commons Recommended Citation Holland City News, "Holland City News, Volume 14, Number 32: September 12, 1885" (1885). Holland City News: 1885. 37. https://digitalcommons.hope.edu/hcn_1885/37 This Book is brought to you for free and open access by the Holland City News: 1880-1889 at Hope College Digital Commons. It has been accepted for inclusion in Holland City News: 1885 by an authorized administrator of Hope College Digital Commons. For more information, please contact firstname.lastname@example.org. HOLLAND CITY NEWS. WILLIAM H. ROGERS, Editor. SATURDAY, SEPTEMBER 12, '85. List of letters remaining in the post-office at Holland, Mich., Sept. 10, 1885: George Posket, Mrs. E. J. Randall and Jacob Schaaf. Wm. Verberk, P. M. GENERAL MANAGER MULLENKIN, Gen. Superintendent of K. V. Agnew, General Passenger Agent of the Chicago and West Michigan Ry., and State Railroad Commissioner McPherson, passed over the road on a tour of inspection Wednesday, Thursday and Friday, passing through this city on Thursday. A DISPATCH to the Grand Rapids Democrat dated Sangstuck, Sept. 9, states that "R. D'Stilini, book agent in the employ of the Allen Publishing Company, Grand Rapids, died last Sunday morning after suffering from illness for some time. He was the husband of Miss. D'Stilini of Milwaukee, a well known singer." This man is the same person who presented "The Drummer Boy" at Lyceum Hall last July with a local company for the benefit of the G. A. R. Post of this city. People do not generally appreciate the fact that the cost of a pound of merchandise is the stock in trade of a publisher; that it costs money for every line of matter; that a line of space is just like so much merchandise; that it means a pound of sugar or a yard of calico, or a pound of nails; that the sale of these lines of type earns the bread and meat of the editorial table just as the sale of the sugar, calico and nails earn the bread and meat for the merchant's family. Most any man can ask an editor for an inch or two of space in his locals, but it takes a good deal of cheek to step into a merchant's store and ask him for fifty cents, or a dollar's worth of tea.—Ed. The semi-annual Classis of Michigan of the Reformed Church met in Grand Rapids this week, Rev. Dr. Chas. Scott, of Hope College, presiding. Rev. B. Smiths was confirmed as the pastor of the Reformed Church at Montcalm. Arrangements were made for his installation. Dr. Beardsley, of West Troy, N. Y., will preach the sermon, and Rev. P. Moordyke will pronounce the charge to him and Dr. Scott to charge the people. It was resolved to raise funds for Hope College at the rate of $1 per member, and their proportional share of $500 for the Western Theological seminary, amounting to $50. Mr. Isaac Van Kampen was voted the usual amount to provide for his salary. The sessions were harmonious and the next meeting of the Classis will be held at South Bend, Ind., the second Tuesday in April, 1886. Neighboring News. Of the 300 persons prosecuted last year in this county, 145 were convicted. In the other cases there were acquittals, discharges, and fines, and, in many cases, etc. Prosecuting attorney McElrath deserves credit for his efficiency. Last Monday morning, G. W. Seely of Grand Haven township, killed one of his horses, and finding a camping place near where the animal might have been shot, he got onto a horse, and in a short time overtook a man driving his horse, and shooting at him. He captured the culprit, took his horse and gun, and brought the thief to town. The other horse proved to be belonging to a man named Ives. The third was the name of Andrew Brown, of North Ranch, LaPorte county. No claimant has been found for the horse. Brown was a brother to Exquire Angel, plead guilty, and was sentenced by Judge Arnold last Tuesday to five years in the state penitentiary. Last Monday, Charles Lawrence, Swede, was run over by a logging car at Jenison, and both of his feet were badly crushed. Church Items with the Services for To-morrow. First Reformed Church, services at 9:30 a.m. and 2 p.m. Sunday School 3:30. Weekly prayer meeting with the Third Reformed Church, on Thursday, at 7:30. Rev. N. M. Steffens will occupy the pulpit. Hope Reformed Church—Services at 10:30 a.m. and 3:30 p.m. Sunday School at 12 o'clock. Rev. Walter Jones, Pastor. Abel H. Hutson, student, Baltimore, Md., will preach morning and evening. Congregational singing. Gospel melody in the choir. Weekly prayer and prayer meeting Thursday at 7:30 p.m. All are welcome. Third Reformed Church—Rev. D. Zirock, Pastor. Services at 9:30 a.m. and 2 p.m. Sunday School at 8:30 p.m. Prayer meeting Thursday at 7:30. Subjects: Morning, A Communion service and reception of members. Afternoon, "Where Love is with a perfect heart and with a willing mind." First Church, Rev. E. Bos, Pastor—Services at 10:30 a.m. and 2 p.m. Sunday School at 12 o'clock. Rev. Morris—"Give us this day our daily bread." Afternoon, "God's longevity is power. Eternal life is the kingdom which shall never be destroyed." Holland Christian Ref. Church—Services at 9:30 a.m., 5:00 and 7 p.m. Prof. Boer, of Grand Rapids, will preach. Methodist Episcopal Church—Rev. T. T. Groot, Pastor. Services at 9:30 a.m. and 7:30 p.m. Sunday school 3:30 p.m. Prayer meeting Thursday evening at 7:30. Subjects: Morning, "The heart for God." Evening, "Impostor and flattery." Special Notices. Gent's Furnishing Goods. Underwear in the best and cheapest quality. Hat and Collar Stands, Umbrellas and everything in the line of Gent's Furnishing Goods can be procured at the new store of D. BERTSCH. Never in our knowledge has any medicine with such a wide range of action as Quinine Blister. It combines the best remedies of the vegetable kingdom so as to develop the greatest possible effect, and to make wonderful cures. Two largest stock of Dry Goods, Dress Goods and Fancy Notions, ever displayed in this city is now at the new store of D. BERTSCH. Protect your Children. The season is upon us when children especially need jackets, vests, summer coats and malignant diarrhoea often with fatal results. The most efficient and economical remedy for this is the Schuchardt Compound Syrup of Rumex. Sold by all dealers in medicines. FANCY Wool Yarns in all shades and colors and a full line of Fancy Goods. D. BERTSCH's New Store. New Advertisements. "CHEAP JOHN" is here but for a Few Days Longer! and will sacrifice his stock of GOODS. Musical Instruments, Silver Ware, and Notions, FAIRLY GIVEN AWAY. CALL AND SEE. Auction every night in Bosman's old store, opposite the post-office. ROUND OAK STOVES! The Best in the World! Can be purchased of A. B. BOSMAN, Hardware, Nails, Etc., Eighth Street. THE ROUND OAK is the Best, Cheapest, and Most Durable Stove to be procured in the market, and I sell them at Bottom Figures! Second-Hand Stoves Bought and Sold. Call and get Good Bargains! F. W. WURZBURG, The Strictly One Price Dry Goods & Carpet House, Corner of Canal and Bronson Streets, Grand Rapids, Mich. For the Fall Trade, BRUSSE BRO'S have received a stock of Cloths and Trimmings, which, although not the largest, is without doubt the finest and most varied line of goods ever shown in this city. Corkscrew and Diagonal WORSTEDS, in the latest weaves and colors are kept in stock, together with a choice assortment of Fancy and Fashionable Pants Patterns which will compare with anything to be found in the large cities, while the WORK and TRIMMING will always be found to be FIRST-CLASS. Anyone in need of a fine suit for BUSINESS OR DRESS PURPOSES, will do well to examine our stock before going out of town to buy the same goods at fancy prices. BRUSSE BRO'S HOLLAND, Mich., September 4, 1885. READY FOR School Opening! The largest stock of School Books, Slates, Pencils, Sponges, Pens, Inks, and Papers, EVER OPENED IN HOLLAND. A beautiful Decorated Book Cover, and an ELEGANT BOOK FREE TO EVERY PURCHASER OF A SCHOOL BOOK. Come One and All. YATES & KANE Holland, Mich., September 4, 1885. Fall Opening! G. Van Putten & Sons. We have just received a full line and a complete stock of DRY GOODS, DRESS GOODS, FLANNELS, REPELLENTS, UNDERWEAR, HOSIERY, JERSEYS, YARNS, and a full stock of DOMESTICS. We have a new stock of HATS and a full line of FUR CAPS. We also keep at all times a complete line of FRESH GROCERIES. G. VAN PUTTEN & SONS, HOLLAND, Sept. 4, 1885. ATTENTION Farmers and Woodsmen. We will buy all the Stave and Heading Bolts you can make and deliver the year round. Oak Stave Bolts, 30 inches long. White Ash Stave Bolts, 30 inches long. Black Ash Stave Bolts, 30 inches long. Black Ash Heading Bolts, 33 inches long. Black Ash Heading Bolts, 36 inches long. Pine Heading Bolts, 30 inches long. For more information apply to Fisher's Steam Factory, ED. VER SCHOON, Sup't, or to G. Van Putten & Sons' store.
Halloween Parties for Adults Dark Chambers Haunted Attraction In this issue... • Dubuque Food & Wine on the River Festival • Tri-State Veteran’s Conference • Kalmes Restaurant • 365’s Fall Pet Feature Family Halloween Fun! Find us online... DUBUQUE365.com on the cover: 12 • dark chambers haunted attraction 14 • food and wine on the river festival 16 • all the way home veterans’ conference 18 • fall pet feature 28 • halloween for families 31 • halloween for adults issue #197 • October 10 – 23, 2013 4 community events 9 university arts 10 area arts 11 open the door for three 12 dark chambers 14 dbq food and wine festival 16 veteran’s conference 17 corn maze / mccoy 40k for 40 18 fall pet feature 20 arts 21 budweiser nightlife 22-23 local live music 25 mississippi moon bar 26 kalmes restaurant 28 family halloween events 31 adult halloween events 32 clarke university events 36 movies 37 pam kress-dunn 38 library events 39 do it yourself advice from sara 39 eating healthy with hy-vee 40 bob’s books / crossword 41 mattitude 42 trixie kitsch’s bad advice 43 dr. mccracken’s horoscopes 365ink production staff { bryce parks } email@example.com Publisher, Everything Else { mike ironside } firstname.lastname@example.org Feature Writer, Photography { kristina nesteby } email@example.com Ad Designer 365ink contributing writers { matt booth } Mattitude firstname.lastname@example.org { pam kress-dunn } Feature Writer email@example.com { bob gelms } Bob’s Book Reviews firstname.lastname@example.org { rich belmont } Argosy’s Food For Thought email@example.com 365ink advertising staff { lisa stevenson } 563.580.1691 firstname.lastname@example.org { kellie kerrigan } 563-581-7014 email@example.com special thanks to: Brad Parks, Margie Blair, Chris Wand, Neil Stockel, Ron Kirchhoff, Fran Parks, Christy Monk, Julie Steffen, Kay Kluseman, Ralph Kluseman, Ron & Jennifer Tigges, bacon, Steven Schleuning, Mark Dierker, Julie Griffin, Dave Haas, Tim Brechlin, Julien’s Journal, Roy & Deb Buol, Gen. Bob Felderman and all of our 365 friends and advertisers. { dubuque365 / 365ink } 432 Bluff Street, Dubuque, IA, 52001 dubuque365.com \| 563-588-4365 All contents © 2013, Community, Incorporated. All rights reserved. All bacon served crispy. Where’s Wando We’ve hidden Wando somewhere in this issue of 365ink. Can you find him? www.Dubuque365.com It seems like a bad mood month to me. People are grumpy. I’m grumpy. Maybe it’s the government shutdown. If it is, it’s not about the shutdown at all; it’s about how people are acting like little babies about the shutdown. But I guess it does make watching Fox News more fun these days, trying to demand the moral high ground without having any constitutional footing. It’s extra funny, in that not funny sort of way, considering these are the guys who wave their pocket constitutions around. But when a bill passes the House and Senate, is signed into law by a President and upheld by the Supreme Court, I guess it’s okay to toss aside the constitution, take your toys and leave the sandbox until the other kids will agree that the law didn’t happen. It’s also hilarious that it’s a “slimdown” to them, except for the really fringe ones who, of course, call it Obama’s Shutdown, because they really haven’t been paying attention to reality for some time now. Enough of that. I’m sure my loyal Tea Party readers (both of them) have already lit this issue on fire by now anyway. When you get a paper, you can get all grumpy too. I have other stuff to be grumpy about. Have you ever gone way out of your way to help someone and they have no idea or at least do not comprehend that what you did for them was above and beyond what you’d normally do? And in the end, instead of getting karma points, they find something to be upset about. And because they don’t like it, you didn’t just lose your points for going the extra mile for them, you get treated like you haven’t been their #1 cheerleader for years and everything you’ve done in the past apparently meant nothing? Yeah, me too. Rough week. But then people go and, without asking, do things to make the month great, just so you can’t stay upset. How dare they? I came into the office and I had an order for multiple full pages ads on my desk. We didn’t even try to sell them. They just came in. How do you like that? Last week I got a call about Toys For Tots from Simmons Promotions at the Farley Speedway. They had a donation to make to Toys For Tots and wanted me to come out and pick it up in person so they could take a picture with me. Not being one to ever turn down a donation, we set-up a time and I went out. Now sometimes you do things like this and it’s a four-hour dinner and you are one of a few dozen recipients of $100. That’s great too. I love a free meal, but it also takes up an entire evening to get $100. Farley is a good 20-25 minutes west. I had no idea what to expect. Who’s ever seen me speechless? I was presented with not a check but a bank bag stuffed with $5660 for Toys for Tots that Simmons Promotions raised from the auction at the annual Yankee Dirt Track Classic in September. It was the incredible work of a special elf named Karen Crawford whose passion behind the project resulted in the jaw-dropping gift, almost ten times larger than their donation the previous year. Absolutely unbelievable and simply, WOW! Needless to say, we’re sending Marines and Santa and a tank or two out to that event next year. Take notes everyone, West Dubuque is teaching classes on generosity. I realize that was a rambling incubator, but rambling sums up my last few weeks. Baconfest October 10, 6-9 p.m. Dubuque County Fairgrounds Area Residential Care presents the first ever Dubuque Area Baconfest, October 10, 6-9 p.m. at the Dubuque County Fairgrounds, to raise money toward their mission of empowering people with intellectual disabilities. Chefs from all over the tri-states will unite to show off their best recipes featuring bacon. Attendees will be able to sample all the various dishes and beverages, and vote for their favorites. Those with nerves, and possibly arteries, of steel will be able to enter a bacon eating contest, and music will be performed by the Nutsy Turtle Band featuring Nutsy Turtle-Lori and Matt Mcherson. Tickets are $25 for general admission, and $40 for VIP tickets. Visit www.dbqbacon.com. Every Little Crook and Nanny October 10 - 20 Bell Tower Theater, Fountain Park In Every Little Crook and Nanny, a retired nanny spends her days visiting with friends and running a boarding house. Her quiet life is turned upside down when one of the kids she used to take care of returns looking for a room to rent. All he needs is an unassuming place to plan the robbery of the bank down the street. Throw in the Chief of Police, a suspicious fiancé and a half-pint brat and nobody knows what will happen next. Performances are Thursday evenings at 7:30 pm, Friday and Saturday evenings at 8 pm, and Sunday afternoons at 3 p.m. Tickets are $19. Thursdays are Girls’ Night Out; all audience members get a free glass of wine. For information and to purchase tickets call 563-588-3377 or visit us online at www.belltowertheater.net. Kids Expo Saturday, October 12, 10 a.m. - 2 p.m. Grand River Center Kids Expo is a free family fun and resource fair. Families can visit 50 booths to learn more about resources in the community and pick up information and giveaways. The expo features recreational opportunities, educational services, health care services, social service groups, family-friendly businesses, and more. Activities include balloon artists, musical performances, dance demonstrations, make-and-takes, and large inflatables. This year, Kids Expo has combined with the former Kinderpalooza (a Dubuque Community School District event) to offer health services for children, including immunizations, oral health screenings, lead testing, vision checks, and developmental screenings. For more information, call Dubuque County Early Childhood at (563) 588-1620 or visit www.dcearlychild.org. Galena Country Fair October 12-13 Grant Park, Galena, IL More than 150 vendors offer original, handmade arts, crafts, and fine arts accompanied by fair food, live entertainment, children’s games, and farmers’ markets. Admission is $2. For more information, visit www.galenacountryfair.com. Gentlemen of DBQ Rugby October 12, Nov. 12, 1 p.m. Rite Hite Field The Gentlemen of Dubuque Rugby Football Club is a Men’s Side Division III team. The team plays all home games at Rite Hite field in Dubuque, Iowa. Practices are Tuesdays and Thursdays from 6-8 at Comiskee Park. All home matches will be played at 1 PM at Rite Hite Field on Chavennelle Road. Unless noted otherwise. Upcoming him matches include Cedar Rapids on Oct. 12, and Grinnell on Nov. 12. Swing Out October 12, 2 p.m. & 7:30 p.m. The Grand Opera House Hunter Fuerste’s American Vintage Orchestra - Swing Out returns to the Grand October 12th for another tuneful program of swing era favorites featuring his popular 14 piece orchestra and the Penthouse Serenaders vocal group. This show is always a fantastic experience! Get your tickets online now at www.thegrandoperahouse.com. Maggie Mae The Ohnward Fine Arts Center, Maquoketa, IA Saturday, Oct. 12, 7 p.m. Maggie Mae, a home-grown talented country singer/Nashville recording artist from Oxford, Wisconsin has been entertaining crowds with her country music and yodeling. She is a regular performer on RFD TV’s “Midwest Country Show” on Saturday nights (on Direct TV and Dish Network), which has made her a familiar face in millions of homes across the country. Tickets are $22 (adv.) and $25 (door) for adults and $13 / $15 for students @ ohnwardfineartscenter.com. Dubuque Flea Market Sunday, October 13 Dubuque County Fairgrounds Antique lovers and collectors should make plans to attend the Dubuque Flea Market Sunday, October 13 from 8:00 a.m. to 3 p.m. at the Dubuque County Fairgrounds. Antiques, retro art, old school mementos, collectibles, and plenty of new merchandise for that perfect gift … it’s all there at the Dubuque Flea Market & Antique Show. A tradition started in the 1960s, the Dubuque Flea Market features a range of exhibitors, collectors and dealers showing a variety of antiques and hard-to-find collectibles. Admission is just a dollar and kids 11 and under are free. Foro exhibitor space, contact JFK Promotions at firstname.lastname@example.org or 815-747-7745. Terra Madre Monday, October 21 @ 7:00 p.m. Brodbeck Concert Hall Riverview Center Duck Derby Sunday, October 13m 9 a.m. - 5 p.m. Galena Country Fair, Grant Park Join Riverview Center for our 18th Annual Duck Derby at to provide free counseling and advocacy services for survivors of sexual and domestic violence in the tri-state area. Buy a duck for $5 to enter the derby (need not be present to win), or buy 4 for $20 to have four ducks in the race and to be entered into a raffle for an iPad3. The first four ducks that cross the finish line win $1,000, $750, $500 and $250. For more information or to buy ducks, stop by one of the Duck Derby tables at the Galena Country Fair or visit at www.riverviewcenter.org. Word of Life Church Grand Re-Opening October 13-16 Word of Life Church (4450 Dodge St.) has made room for more! The expansion and remodel is complete and they invite you to celebrate with them at their Grand Re-Opening. A four day celebration will begin on Sunday, October 13. Tours and refreshments will be held at their Sunday 9 am and 11 am services. Sunday evening will be a church dedication with special guests Rev. Kenneth and Lynette Hagin of Rhema Bible Training College, Tulsa, OK. The celebration continues Monday October 14 - Wednesday October 16 with special services as Word of Life Church hosts the Living Faith Crusade. The service times are 10:30 am and 7:00 pm. There will be special music at each service featuring the Rhema Singers and Band. Everyone is welcome. Arts & Humanities Celebration hosted by NISOM October 18, 5-7 p.m. Carnegie Stout Public Library The Northeast Iowa School of Music (NISOM) will host a celebration for National Arts & Humanities Month on Friday, October 18 in the Rotunda at the Carnegie-Stout Public Library. Open to the public, the celebration will feature keynote speaker Greg Sandow, an author, consultant, speaker, composer, and a former arts writer for the Wall Street Journal. He is currently on faculty at The Juilliard School in the music graduate studies department. A Q&A will follow his remarks as time and interest dictate. Sponsored by Tom & Julie Kane, Kane Appraisals, this reception is hosted by NISOM in partnership with Carnegie-Stout Public Library and the City of Dubuque. Admission is free, but RSVPs are requested. Contact NISOM at (563) 690-0151 or email@example.com by October 10 to RSVP. Following the reception, Mr. Sandow will lead a focus group at 7PM in the library auditorium. March of Dimes Tailgate Party Saturday, October 19th, 2:30 p.m. The Whisky, University Avenue Join us upstairs at The Whisky on University for Iowa Hawkeye Football and great raffle prizes in support of March of Dimes. Ticket Donation is only $20 per person. Enjoy live TV’s covering all the action on the gridiron plus food and beverages are provided. There will be a Game Time Raffle and Door Prizes. All proceeds go to support the March of Dimes, dedicated to improving the health of babies by preventing birth defects, premature birth, and infant mortality. Mellon Sisters 2K/5K Race Against Violence Saturday, October 19, 7:30 a.m. Heritage Pond (off Rupp Hollow Rd.) A 2K/5K race event which raises money for the Dubuque/Delaware Coalition Against Domestic Violence Fund and Awareness Victim Assistance. Registration begins at 7:30 a.m., the 2K begins at 8:30 a.m., and the 5K begins at 9:00 a.m. Adult Registration is $25, Children 10 and under are $10. There is a Team Prize of the Kelly Francois Traveling Trophy for the team with the most participants. Donations are welcome. For information, call the Dubuque Community Y at (563) 556-3371. Images & Information Style Show Monday, October 21, 5:30 p.m. Grand River Center The Images & Information Style Show promotes awareness and celebrates survivorship of breast cancer for the 20th year. The evening will showcase new fall fashion styles from local merchants and feature informational booths as well as a cash bar, music, dessert, and coffee. The style show and speaker begin at 7:00 p.m. Tickets are available for $20 at the door and for $15 at Amirage Salon, DBQ Fashions, The Discovery Shop, and Tri-State Vein Center. For more information, visit www.imagesandinformation.org. Harlem Ambassadors Thursday, October 24 at 7 p.m. Platteville Middle School This is a unique opportunity to see world-class basketball right here in Platteville. Tickets are only $5.00 if purchased in advance. The Ambassadors will be playing a team made up of area all-stars and coached by local coaches. There will be an autograph session after the game. The Harlem Ambassadors offer a unique brand of Harlem-style basketball, featuring high-flying slam dunks, dazzling ball-handling tricks and hilarious comedy routines. The Ambassadors feature non-stop laughs and deliver a positive message for kids wherever the Ambassadors play. Get tix through the Platteville Area Chamber of Commerce, City Hall Rec Department, or online at www.brownpapertickets.com/events/456609. DO MORE THAN TOUR DUBUQUE AND GALENA – TRIKKE IT! Explore Dubuque and Galena with Tour Dubuque on Trikke Carving Vehicles. Our Premier and Trikke Ability Tours give you a new and unique, up close and personal way to experience Dubuque and Galena. Trikkes are an entirely new, easy-to-master means of transportation that add fun to every tour. 198 MAIN ST., DUBUQUE 563.326.5535 TOURDUBUQUE.COM Moonlight and Magnolias October 24-27 Bijou Room, Five Flags Center Fly By Night Productions presents Moonlight and Magnolias by Ron Hutchinson Imagine the Marx Brothers writing the screenplay for Gone With the Wind, and you get the picture. The play is loosely based on an actual incident when producer David O. Selznick halted filming Gone With the Wind to rewrite the screenplay in five days. The local production featuring Kevin Firnstahl, Dan Fairchild, Dan Haggerty Jr. and Whitney Arnold is directed by Lenore Howard. Evening performance will take place on October 24, 25, and 26 at 7:30 p.m. and one matinee performance on October 27 at 2 p.m. Performances will take place in the Bijou Room at Five Flags Civic Center. Tickets are $15 online at ticketmaster.com, by phone at 1-800-745-3000, at the Five Flags Center box office or one hour prior to each performance at the door. Visit flybynightdubuque.com. 10th Annual Shalom Shenanigans Fundraiser October 25, 5:30 - 9 p.m. Shalom Retreat Center Shalom Retreat Center will host its 10th annual Shalom Shenanigans benefit dinner from 5:30 to 9:00 p.m. on Friday, October 25, at Shalom Retreat Center, 1001 Davis St., Dubuque. This fun event features a social hour, plated dinner, silent and super silent auctions, chance raffle, and entertainment by a cappella singing group, JustVoices. There will also be a raffle drawings. Event tickets are $40 per person. Advance registration and prepayment required by Friday, October 18. Call Shalom at (563) 582-3592 or e-mail firstname.lastname@example.org. A sampling of auction items this year includes: Walt Disney World park hopper passes; a Green Bay Packer football autographed by the 2013 players and coaches; dinner at Shalom with Archbishop of Dubuque Michael Jackels; and much more. Ensemble Galilei presents “First Person: Seeing America” Sunday, November 3, 2013 - 2:00 p.m. University of Dubuque Heritage Center Hailed for its unique blend of Irish, Scottish, early and original music, Ensemble Galilei creates an inspired sound on stage and CD. Mixing the colors and styles of early instruments with Celtic traditions, the group is equally at home with Irish Reels, Medieval Cantigas, and English country dance tunes. Embodying all of the precision of a first rate classical string quartet, Ensemble Galilei is versatile, virtuosic, energetic, and very entertaining. First Person: Seeing America takes audiences on an innovative journey combining the spoken word, music, and projected iconic images from The Metropolitan Museum of Art. Searing photos of the Civil War and haunting portraits from the Great Depression with the music of Ensemble Galilei and narration by professional actors Lily Knight and Adrian LaTourelle create a powerful performance. Tickets run $7 - $29 and are available online at www.dbq.edu or by phone at 563-585-SHOW (7469). Van’s Annual Fall Wine (& Liquor) Tasting Wednesday, November 6, 5:30-8p.m. Timmerman’s Supper Club, East Ddq. The must anticipated annual event will feature a specialty reserve tasting featuring some of the best wines available. The evening will also include a free commemorative wine glass, hors’d oeuvres, and an opportunity to sample over 80 wines, and 25+ single malt scotches and bourbons. Many vendors will be available to describe the history and style of their vintages. Tickets are $20 in advance and $25 at the door, with all ticket sale proceeds benefiting Hospice of Dubuque and the Dubuque Jaycees / Radio Dubuque July 3 Fireworks and Air Show on the River. For an extra $10 you can sample the 30+ premium wines in the Reserve Tasting. Tickets are available at Van’s Liquor Store, Hospice of Dubuque and Timmerman’s. For more information, call Van’s Liquor Store at (815)747-3631. See the ad on page 14. Jim Witter’s The Piano Men Friday, October 11, 7:30 p.m. Live at Heritage Center, University of Dubuque Heritage Center, the University of Dubuque’s new performing arts, worship, and campus center, will continue its Live at Heritage Center Performing Arts Series with Jim Witter’s The Piano Men on Friday, October 11 at 7:30 p.m. The concert, part of UD’s 2013 Homecoming campus celebration, will feature the music of Billy Joel and Elton John, with Jim Witter and his band performing their classic 70s hits such as “Your Song” and “Rocket Man”. The Piano Men leads the audience on a full-fledged, multi-media musical tour of the decade, saluting these two iconic contemporary songwriters with performances of “Candle in the Wind,” “My Life,” “Just the Way You Are,” and much more. The concert also utilizes projection of images from the 70s, enhancing the musical performance with newspaper headlines, automobiles, people, events, toys and even TV shows that shaped the era. In The Piano Men, Witter is backed by musicians on keyboards, guitar, bass, flute, sax, and drums. The music is not an attempt to “recreate” or “mimic” the evening’s long list of familiar hits; instead, Witter and his band put their personal sound on hit after hit in order to recreate fully-formed mental and emotional return visits to specific landmarks in a pop culture timeline. Tickets range from $29-$33 for adults, $16 for children/students and can be purchased now at the Farber Box Office Monday through Friday from 12 pm to 5:30 pm or 90 minutes prior to showtime at Heritage Center; by phone at 563-585-SHOW; or online at www.dbq.edu/heritagecenter. Jamie Tworkowski Mackin-Mailander Lecture Sunday, October 13, 4 p.m. Clarke University, Kehl Center The Clarke University Mackin-Mailander lecture series will present Jamie Tworkowski, the founder of To Write Love on Her Arms (TWLOHA), during Homecoming activities on Sunday, Oct. 13, in the Robert and Ruth Kehl Center on the Clarke campus. Tickets are $10 for adults and $5 for students. The program begins at 4 p.m. with a performance by Noah Gundersen, lead singer of the band The Courage. That will be followed by Tworkowski’s presentation. TWLOHA is a non-profit movement dedicated to presenting hope and finding help for people struggling with depression, addiction, self-injury and suicide. TWLOHA began in 2006 as Tworkowski’s attempt to help a friend and tell a story. He posted a blog on MySpace and began selling t-shirts as a way to pay for his friend’s treatment. Sparked by the support of bands such as Switchfoot, Anberlin and Paramore, the t-shirts quickly became something of a phenomenon within the music realm. TWLOHA now has the largest online audience of any non-profit on MySpace and Facebook, responding to more than 160,000 messages from more than 100 countries, in addition to investing more than $850,000 directly to treatment and recovery. That Tree, iPhone Photographs Mark Hirsch Artist Reception Friday, October 11, 6-8 p.m. Gallery C While recovering from a near fatal car accident in 2012, Mark Hirsch was inspired by a friend to use his iPhone to document a year-long photo-a-day project focusing on an old bur oak tree. Hirsch embraced the challenge resulting in a transformative experience of healing, self-discovery, inspiration, and enlightenment. An artist reception and book signing will take place Friday, October 11, from 6:00-8:00 p.m. The show runs through November 3. Gallery C is a contemporary art gallery specializing in innovative art by emerging and established artists from around the globe. Showcasing artwork and featuring events that create dialog, engage the community, and enrich the experience of the arts. The gallery also emphasizes a collaborative effort among artists and arts organizations to most fully impact the community. Gallery C is located in the Schmid Innovation Center at 900 Jackson St., Ste. 113, Dubuque, IA. Monty Python’s Spamalot October 31, 8:00 p.m. November 1-2, 7:00 p.m. November 3, 2:00 p.m. Dubuque Senior High School Lovingly ripped off from the classic film Monty Python and the Holy Grail, Spamalot tells the legendary tale of King Arthur and his Knights of the Round Table. Featuring a bevy of beautiful showgirls, not to mention cows, killer rabbits and French people, Monty Python’s Spamalot is “a smash hit.” This show contains mild language and crude humor. Adult tickets are $10, students/seniors are $8, and children under seven are free. Terra Madre in Concert Monday, October 21, 7 p.m. UW-Platteville Center for the Arts The University of Wisconsin-Platteville Center for the Arts will present Terra Madre on Oct. 21 at 7 p.m. in the Brodbeck Concert Hall. Marco Albonetti has been described as one of the most exceptional saxophone players in the world. Harry Stoltzman of the New York Concert Review boasts, “His tone and intonation are impeccable.” Albonetti’s latest project, Terra Madre (Mother Earth), is a musical plea for world unity that celebrates both the diversity and shared influences of indigenous music from nine countries. “There is, within them, extraordinary passion and versatility. An exceptional evening,” La Repubblica said of the debut at Carnegie Hall in New York. Tickets for this event are $12 for general admission, $8 for children under 18 and senior citizens 62 and older, and $6 for UW-Platteville students with current ID. Tickets are available through the University Box Office, located in the lower level of Ullsvik Hall. Phone orders can be made by calling (608)-342-1298 or toll free at 1-877-727-1CFA. Tickets are also available online at tickets.uwplatt.edu. The next event in the series is Laurie Rubin on Oct. 30 at 7 p.m. For more information on the Performing Arts Series and other performances, visit uwplatt.edu/arts/cfa. Twenty Dirty Hands Annual Pottery Tour Friday-Sunday, October 18-20 Twenty Dirty Hands invites you to join them from 10:00 a.m.-6:00 p.m. Friday-Sunday, October 18-20. Tour the beautiful Galena countryside, enjoy the fall colors, and visit some of the area’s best known pottery and sculpture studios. Open just for this weekend, special exhibits and events allow visitors a unique view of kilns, forges, and workspaces. The artists of Twenty Dirty Hands are bound together by a love for life and art in the small towns along the Mississippi River. As friends and colleagues for many years, they have shared meals, music, studio spaces, kiln-building projects, and a way of life. Their work is constantly evolving and they pride themselves on displaying their newest and best pieces on the tour. Enjoy visiting each of them at their studios and galleries. For more information or maps, go to www.twentydirtyhands.com. Studiowork: Adrienne Seagraves 130 N Main St • Elizabeth IL • 61028 815.858.3588 • email@example.com Stephanie O’Shaughnessy 202 S West St • Galena IL • 61036 815.777.1100 • firstname.lastname@example.org Eshelman Pottery: Paul Eshelman 238 N Main St • Elizabeth IL • 61028 815.858.2327 • eshelmanpottery.com Doug Reynolds 803 10th Ave SW • Waverly IA • 50677 319.352.1879 Pinder Pottery: Joe Pinder 236 N Main St • Galena IL • 61036 815.291.0618 • pinderpottery.com Galena Clay Works: Kent Henderson 704 Dewey Ave • Galena IL • 61036 815.777.0364 • email@example.com Pine Hollow Pottery: Larry Priske 4700 N Council Hill Rd • Galena IL • 61036 815.777.2975 • firstname.lastname@example.org Gary Carstens 406 E 7th St • Dubuque IA • 52001 563.590.5806 • email@example.com Ron Hahlen 563.588.3368 • firstname.lastname@example.org Delores Fortuna 7213 W Buckhill Road • Galena IL • 61036 708.524.1422 • email@example.com www.Dubuque365.com Dubuque Irish Tradition presents “Open the Door for Three” Saturday, October 12, 7 p.m. Gallery C - Schmid Innovation Center After over four years based in France and travelling around the world working as co-musical and artistic directors of the show “Celtic Legends”, Liz Knowles and Kieran O’Hare are very excited to be back in the US, in a new collaboration “Open the Door for Three” with their long-time colleague Pat Broaders. The production will visit Dubuque on Saturday October 12, 7 p.m. at the beautiful new Gallery “C” in the Schmid Innovation Center. This is an opportunity to hear contemporary and traditional Celtic music from virtuosic performers in an intimate concert setting meant for listening rather than volume. Liz Knowles has brought her distinctive sound—the fire and finesse of Irish fiddle music combined with the tonal richness of the classical violin—to concert stages and festivals across the world. Her auspicious beginnings as the fiddler for Riverdance and as soloist on the soundtrack for the film Michael Collins established her as a virtuosic and versatile performer, and she has since performed as soloist with such orchestras as the New York Pops and the Cincinnati Pops. Liz was a member of the renowned Cherish the Ladies, played on Broadway with The Pirate Queen, traveled the world for over four years as Music Director and performer with the wildly popular Celtic Legends and, today she performs with another all-star female super-group, the highly acclaimed String Sisters. “In 2007-08, Kieran O’Hare was a featured performer on the PBS special presentation “Celtic Origins” with the Irish choral group ANÚNA. He made his Carnegie Hall debut in 2010 as a soloist with the New York Pops Orchestra under the baton of Steve Reineke. Most recently, with his wife the fiddler Liz Knowles, Kieran toured the world for over four years as musical director, contractor, and performer with the France-based show Celtic Legends.” On top of holding one of the longest running gigs in the history of Chicago (and possibly the world), Pat Broaders has performed and recorded with Dennis Cahill, Liz Carroll, and Martin Hayes, as well as a host of other musicians in and around Chicago. He has also fostered a healthy career outside of Chicago, playing with such musicians as John Doyle, Paddy O’Brien, Mick O’Brien, Robbie O’Connell, and Danú.” Opening with singer-storyteller Andreas Transø, the concert will begin at 7:00 p.m. All ages welcome. This special Celtic New Year concert is sponsored by Dubuque’s Irish Hooley, Premier Bank, Family Beer & Liquor, Vinnie Vannucci’s Little Italy, Dubuque Irish Trad Session, and SlowPrint.com. Visit openthedoorforthree.com for more information. Dark Chambers Haunted Attraction Now - November 2 Port of Dubuque If you can get past the modern notion that Halloween is all about dressing up as sexy versions of things that used to be scary, then you might remember that scary is very much at the heart of Halloween for many lovers of the holiday. Technically, the religious day is dedicated to remembering the dead, including saints (hallows), martyrs, and all the faithful departed believers. But spooky is just much more fun. And when it comes to spooky, there’s really only one game in town these days for getting your fright-on and that’s Dark Chambers, the haunted attraction in the Port of Dubuque created and passion-powered by Trent Johnson (pictured at right, sort of). Dark Chambers Haunted Attraction, the tri-states most exciting haunted house experience returns for 2013 with an all new haunt! Test your nerves through over 5,000 square feet of dark turns and terrifying sights will get your heart pounding. Not ones to rest on their successes, last year’s Zombie Apocalypse experience was completely torn down and a whole new experience prepared for this season. It’s so big it had to continue outside! “What’s new”, we asked Trent over a latte’s at Monk’s Kaffee Pub. “Everything” he replied. “I spent three months in there this Spring, and we have at least six differently themed areas now. No more Zombie Apocalypse. We opened for just a weekend during America’s River to test our some of the new features, but we took off the blistering Summer and we’re back in now adding even more elements including an outdoor section that should add another almost 1000 square feet made from pallet walls.” Why expand outside, we asked. “Well… let’s just say you can’t put chainsaws inside,” said Trent with a knowing grin. “We’re expanding, but everything is also completely re-themed from last year. There’s not a single thing that’s the same.” For those who went through many times last year, that will come as a welcome treat. But it also makes for a heap of work. Having been the man in the middle of this situation for a good five years or more with the Jaycees in my energetic youth, I have an inkling just how much work this kind of project can be. As much as we liked to make new scares every year, I can’t say we ever dared to do something completely different every year. How many years can one do this before he burns himself out? “When I think that we did the whole thing the first year in two months, from nothing at all, I can’t believe it. That’s like 170 wall components, all that stuff coming in from the fair and not much experience to draw from. It’s incredible. If I can get a permanent location we can build amazing sets that might stay. We have them now but we could do even more. You learn so much every year. It’s the layers, the wall paper and little details that make the setting seem absolutely real.” And feeling all too real is what makes for an experience far better, far scarier than cheap thrills. “I’ve taken everything I learned in the last two season and made a haunt that the most care-free for me. I want a haunt that’s so much fun for us to run. People do not understand or appreciate the amount of work and detail put into making the experience code compliant for fire, and safety and to meet ADA standards. “Last year we had one of those electric scooters go through the whole thing. Not just a wheel chair, a Rascal scooter, and it worked.” In fact, they’ve passed each fire code walk through while continuing to add emergency lights and fire extinguishers every season. “It could be the last season at this location. Trent is looking at locations outside of the city limits that can include some of the extensive outdoor components people may remember from the Jaycees Haunted Forest. And as much as they like to provide a fully accessible haunt, it can also greatly limit some of the opportunities for great scares. “Everyone got great ideas about how to switch things around. The staff brings tons of creativity to do what they want to do and not trap them into a theme like they were with the Zombie Apocalypse. We’re back to having a lot more diverse costumes and masks this year. Last year was tons of makeup for zombies and uniforms for the military.” Speaking of attention to detail. These guys applied makeup with an air-brush and will drop $50 each for a pair of colored contacts for twelve actors. But in all of the excitement of new idea, Trent has to keep an eye on logistics. “Constant repairs and resets of stunts can get very draining on the staff. Building a 40 foot ramp is a massive undertaking, so we can’t just add something like that on a whim.” Trent has to balance the unbridled energy of the build crew with the realities of the building and concern for public safety. These people love the fun of the haunt, so it’s connecting as much with the spirit of the experience (pun intended) that keeps the haunters engaged and excited through many long nights of inducing screams. “Last year we were open 19 nights. This year it’s 13, which is much less draining on the staff but it also condensed the crowds and therefore creates more exciting energy all around. You don’t want to over work your people. They are the spirit and energy that make the great sets you built come to life. When multiple groups are in the haunt at the same time and you hear screaming coming from elsewhere in the building it makes it that much scarier and more exciting. I got to be in it a lot more for summer frights. It was all freshly built so there was not so much to fix and I was really absorbed in it. I could just hear how well it was running.” Trent knows the building so well that when something breaks, he doesn’t rush through the haunt, he runs across the top of the sets in the dark and will drop into a scene to make a repair and pop back up and out without a break in the action. You have to wonder where the love of the haunt come from? So we asked. “Scaring people is just so much fun. We used to scare people on my best friends porch when we were kids in Cresco, Iowa on Halloween,” admits Trent. “We’d pose as scarecrows holding the bucket of candy and then move and scare them when they reached in. Then people got wise to what we were doing so we had to change up the scare and put a dummy there and hide elsewhere. Then we made a home haunt on my sisters porch and eventually started volunteering for the local theater who did a haunted house for two years.” You know the experience is going to be special when the man in charge approaches his work as a passion first and as a business second. You just have to hope they remember to do that second part too. There’s a root-level love of the scare in Trent Johnson. Each season, he will hit every other haunted attraction he can within a huge radius of the tri-states. Last year he took is scream team on a road trip to experience one of the best. It’s not about scoping out competition. It’s about enjoying the ride. When you bring your crew to Dark Chambers this season, you too are going to enjoy the ride. This year’s remaining creepy dates are mainly weekends, October 11, 12, 17, 18, 19, 24, 25, 26, 27, 31 (Halloween night) and November 1 and 2. Light Fright runs from 6:00 - 7:00 p.m. with Full Scare following from 7:00 - 11:00 p.m. Dark Chambers Haunted Attraction is located just off Highway 151 in the Port of Dubuque at 121 E 4th St., just behind the Diamond Jo Casino. Admission is only $10 for the full scare or just $5 for the “Light Fright” (a less intense haunt experience, with more light and fewer actors). Ages five and under are always free, and we will never close while there is a line. Look for discount coupons all over town, including 365ink at 432 Bluff. Do you have the haunt in your heart? Volunteer acting at Dark Chambers is challenging and lots of fun and you could be a part if it. Volunteers MUST be at least 18 years old and be prepared to present for 6+ hours per night, lose your voice, occasionally get hit by customers, and make thousands of people scream. Apply by emailing your information (name, age, location, phone number) to firstname.lastname@example.org. Get your friends and anyone else you think will help you make it out and come test your mortality inside the Chambers… For more information, visit www.darkchambers.com. Dubuque Food & Wine on the River November 8, 9,10 - Port of Dubuque If you’ve been wondering why Dubuque doesn’t have one of those amazingly decadent wine celebration weekends you see in Galena, full of food and music and wine, wine, wine… well, your wait is over! A who’s who of Dubuque’s fine dining establishments and, of course, area wine experts, have put their heads and talents together (and we assume a few wine glasses) and created a weekend filled with wine and food sure to satisfy your every desire. On November 8, 9, and 10, get ready for the First Annual Dubuque Food and Wine on the River Festival. The event starts off with one heck of a decadent night of wine and food tasting at the Mississippi Moon Bar at the Diamond Jo Casino on Friday, November 8 at 6:30 p.m. Enjoy gourmet food prepared on site by L.May Eatery, The Woodfire Grille, The Pepper Sprout, and Caroline’s from the Hotel Julien Dubuque. Pairing with the mouthwatering line-up of spectacular eats is a reserve wine tasting to die for. Bring tissues because you’re taste buds are going to be crying tears of joy. Live music for the night will come from the sultry-voiced Kristina Castenada and friends. It’s a Grand Tasting, Dubuque style. But don’t go overboard on the first night because as awesome as it is, it’s just a warm-up for a day-long exercise in food and wine happiness coming on Saturday, hosted by Stone Cliff Winery at the Port of Dubuque. A full day of good times begins with a celebratory parade. Nouveau style, down Main Street in Dubuque, across the 3rd Street Bridge to Stone Cliff Winery, where the celebration continues. In addition to another stellar wine tasting featuring over 30 wines, the day will also feature gourmet samplings of top-shelf treats from your favorite places including Stam Chocolatier, East Mill Bakery and Main Street Cheesecake from 2-5 p.m. There will also be great craft brews to taste from Potosi Brewery, Millstream Brewing and more. Yes guys, there will be beer! And to prove that this is no gathering of wine snobs, the fun really kicks in as Larry Thomas, the one and only “Soup Nazi” from Seinfeld, will be there, in-person, to host and judge a soup battle royale between L.May, Woodfire Grille, The Pepper Sprout, & Caroline’s Restaurant. The “Soup-Off” starts simmering at 4 p.m. Live music, perfect for such an event, comes from the kings of audience participation, the Lonely Goats. You’ll surely want to take advantage of coupons and offers gathered during the day to partake of an amazing dinner at one of the sponsoring restaurants for the event, who provided the tastings on Friday night. In case you wake up on Sunday and don’t want the dream to be over, it doesn’t have to be. Van’s Wine & Liquor, literally seconds off the bridge in East Dubuque, IL will be featuring great wine and beer deals from the weekend’s samplings along with pastries & complimentary mimosas’ to cap off your weekend. You will be able to place orders while you are tasting on Friday and Saturday and pick those up on Sunday or at another date from Van’s as well. Advanced tickets for the weekend’s activities include a Weekend Pass that will get you into everything for just $99. You can also get tickets for just Friday night’s Reserve Wine and Food Tasting for $65 or Saturday’s day of tastings at Stone Cliff for $45. Tickets are limited to just 250 per day, so you will want to secure yours in advance to guarantee your spot. Get them online now at www.dbqfoodandwine.com. Don’t say we didn’t warn to to get them now! Special room packages are available for the weekend from the Hotel Julien Dubuque for out of town wine lovers or even those looking for a great stay-cation opportunity. Also, at registration for either Friday or Saturday’s tastings, ticket holders can enter a drawing for a gourmet DBQ Getaway to include 2 nights lodging @ Hotel Julien, two Reserve Bottles of Wine, & dinner for two, two consecutive nights at their choice of Caroline’s, L.May, The Pepper Sprout, or The Woodfire Grille. The drawing will take place at Van’s on Sunday afternoon. We not sure exactly what else a food and wine lover could possibly hope for in an event. That’s what happens when the event is created and hosted by a big fun group of food and wine lovers. Any excuse for a party. And oh what a party it’s going to be! More to come in the October 24 issue of 365ink! First Annual Food & Wine On the River Festival NOVEMBER 8 • 9 • 10 Find full information and advance tickets online: www.dbqfoodandwine.com Friday, Nov 8: 6:30 p.m. Reserve Wine & Food Tasting at the Diamond Jo Casino’s Mississippi Moon Bar Gourmet features from: • Caroline’s Restaurant • L.May Eatery • Pepper Sprout • Woodfire Grill • Stone Cliff Winery • Van’s Wine & Liquor Plus great live music and more! Saturday, Nov. 9 PARTY AT STONE CLIFF! • Parade to Stone Cliff Winery, 1 p.m. • Wine Tasting featuring over 30 wines, craft beer tasting & gourmet food, as well gourmet tastings from 2-5 p.m., • SOUP OFF 2013 with Seinfeld’s SOUP NAZI, Larry Thomas, 4 p.m. • Live music by the Lonely Goats Sunday, Nov. 10: 10 a.m. - 1 p.m. • Send off mimosas and pastries plus retail wine deals from the weekend’s tastings @ Van’s Liquor in East Dubuque, IL Special weekend room packages available from the Hotel Julien Dubuque! Advance Tickets: Weekend Pass: $99 Friday Only: $65 Saturday Only: $45 Tickets are limited... Secure yours now at www.dbqfoodandwine.com Saturday’s “SOUP OFF” will be judged in person by Larry Thomas, Seinfeld’s “Soup Nazi” Ticket holders enter a drawing for a Gourmet Dubuque Getaway for 2! All the Way Home IV Tri-State Veterans Conference Saturday, October 12, 9 a.m. - 3 p.m. Main Street / Five Flags Center All the Way Home IV: Tri-State Veterans Conference comes to Five Flags on October 12, from 9 a.m. to 3 p.m.. The event kicks-off with an All Military Parade down Main Street at 9 a.m. The event is also totally free and everyone is welcome. Military service is considered our nation’s highest form of citizenship and has been freely accepted by millions of men and women throughout U.S. history. There are an estimated 23.5 million living American veterans, and 13 percent of Tri-State residents, as many as 12,000, are military service veterans. All the Way Home: The Tri-States Veteran’s Conference is designed to connect these veterans with the benefits and services they deserve and are owed. Because of their selfless commitment to our country, U.S. veterans are eligible for a variety of services, both federal and state, to assist them and their families including pension, healthcare, pharmacy, education, home loans, life insurance, vocational training and rehabilitation, burial and survivors’ benefits essential to helping vets recover from wartime injuries, readjust to civilian life, build a career and raise their families. “What’s really important is that all of the services and all of the help available to our veterans and their families are located in one place,” stresses Tom Parsley, Radio Dubuque General Manager and event organizer. “More than anything what’s important is that those veterans who have not ever sought out help, have that opportunity.” “As the sponsoring agency,” explains Charlie Brimeyer, Executive Director of the Dubuque Department of Veterans Affairs, the VA very much wants these vets to come forward and get what’s coming to them from healthcare to mental health assistance at the Dubuque, Iowa City or nearest clinics. When veterans benefit, their families benefit.” For some vets it has been a matter of not knowing the procedure to claim their benefits or not knowing they even existed. For others, it’s an issue of pride to not ask for assistance even when it’s needed. “Veteran’s so often don’t want preferential treatment,” explains Brimeyer. “They say, ‘I may have a disability but I’m not disabled.’” This conference aims to break down those barriers. families to all of resources that our community has to offer them as well as an opportunity for the general public to meet area veterans and learn more about the issues they face and the people that serve veterans locally. The family-friendly and fun atmosphere will feature over 100 booths, many to serve the needs of veterans, but many will have something for everyone who attends, even kids. “We hope to have the climbing wall again,” says Parsley, “and kids love having their own dog tags made, which is also pretty special for active duty parents as another way to connect with their families. Plus we’ve got two military Jeeps coming for the kids to enjoy.” This year’s keynote speaker is Toby Montoya with the Wounded Warrior Project. Toby was deployed in Iraq in 2004 and to Afghanistan in 2008. That’s where he barely survived the blast from an improvised explosive device (IED). “My head, neck, back, bladder, and lungs were all injured in the blast,” he explains. “I suffered traumatic brain injury (TBI) and continue to deal with the effects of post-traumatic stress disorder (PTSD).” Toby has never let his injuries defeat him. He credits much of his recovery to his mother, who he says encourages him every day. And every day the future looks brighter. He plans to complete school and earn his master’s degree – all while doing everything he can to live life to its fullest. “My family taught me to give, even when I have nothing to give,” says Toby. “Kindness is free; I believe you should never ask to have it repaid. I want to be a good son, a good father, and be known for honor and integrity.” Come and hear Toby’s story in person during the conference at about 10 a.m., just after the introductory speakers. See the huge ad at the right for more details on participating organizations as well as the many great businesses and organizations who make the program possible. 365ink joins with Radio Dubuque the many other organizations on the list that are pitching in to make this event a success. We strongly urge you to come down and take in an hour at the conference for yourself and bring the kids. If nothing else, clear your schedule at 9 a.m. on Saturday, October 12 and find you way to Main Street to show your respect to the men and women who have served your country and defended your freedom. For more information, visit allthewayhomeconference.com. Vesperman Farms Corn Maze and Pumpkin Patch Now Open in Lancaster, WI People are getting lost in the corn and someone’s shooing pumpkins a quarter mile out of a cannon!!! Welcome to Vesperman Farms! Located at 8149 Stage Road, in Lancaster, Winsonsin. (Don’t worry, there are signs), the farm boasts one of the biggest and most challenging Corn Mazes in the Midwest. The corn is towering ten feet or higher, thick and lush. New this year will be baby chicks added to their collection of display animals which the kids love. They’ll have chicks on display at different stages of growth from newborn on up for kids to see the growth process. Fall is also pumpkin time and Vesperman Farms has them by the wagon load. Come pick out the perfect jack-o-lantern for your front porch while you visit. The pumpkin air canon shoots a pumpkin 1200ft. That’s a quarter mile. You simply have to see it fire in person to really comprehend what that means. And yes, there is a real homemade trebuchet (catapult) at the farm that will take a 20-25 pound pumpkin and chuck it up to 600 feet which was also one heck of a sight to see. The farm is open and running weekends through the fall (Saturdays 10 a.m. - 7 p.m. and Sundays, 10 a.m. - 5 p.m.), you and the family, friends, co-workers, heck, everybody, can make your way to Vesperman Farms and lose yourself, quite literally, in the amazing corn maze. Never fear, they won’t let you get lost for real. General admission to the farm is $5 for everyone 6 and up. You can also call 608-723-2542 for group rates and special times by appointment. It’s great wholesome fall fun for the entire family and not too far from home. From Dubuque, take HWY 151 North to Dickeyville, turn on to HWY 61 to Lancaster. Turn Left on Stage Road and go two miles. Look for Pumpkins! McCoy’s 40K for 40 Years October Giveaway This one’s for you! To thank all of you that have been supporting the ‘$40k for 40 Years’ program and the local non-profits by voting every month, October’s contest is for you! We are giving away this month’s piece to someone you nominate! It can be yourself, a non-profit organization or somebody you think deserves a custom piece of jewelry! All you have to do is submit a photo and story of why your nomination deserves the piece. We are taking submissions from October 10th until noon October 24th for the candidates. Voting will then begin starting October 25th and end at noon October 30th. The winner of the event will be announced October 31st! This month’s piece is 14k white gold ‘sparkling’ halo pendant set with round brilliant white diamonds in the halo and one 1.07ct round neon bubblegum pink tourmaline. The Dubuque Regional Humane Society (DRHS) invites the public to attend a “ribbon chewing” ceremony on Thursday, Oct. 24, at 4:30 p.m. to commemorate the opening of its new animal resource center, Kinsey’s Campus, at 4242 Chavenelle Road. The new center is named in memory of a beloved golden retriever named Kinsey, a disaster response and rescue dog owned by Nan Stuart of Longmont, CO. Stuart and her charitable organization, the Hadley & Marion Stuart Foundation, contributed $2 million to the DRHS animal resource center project. Kinsey’s Campus is nearly double the size of the current DRHS facility. The larger space will eliminate any over-crowding issues, so the DRHS can better manage the significant increase of cat and kitten intakes during the spring and summer seasons. The additional space also allows for different animal species to remain separate during stages of intake, medical recovery and adoption; this helps to lower stress levels and safety concerns among animals and staff. All surfaces and materials at Kinsey’s Campus were selected with sanitation and health in mind; they are easy to clean, yet presented in bright, cheerful colors. A state-of-the-art HVAC system was also installed to help further prevent the spread of germs and airborne illnesses. And the contemporary housing areas create more comfortable and healthy living spaces for animals; these new environments will also make it easier for people to view adoptable animals and foresee having them as a pet in their home. “We are so excited to finally make this move and usher in a more modern concept of what a humane society is and the kind of dedicated services we provide for animals and people in the community,” said Jane McCall (pictured above), who has served as the DRHS President & CEO for the past 22 years. Kinsey’s Campus will also house a Community Learning Center on the second floor designated for humane education initiatives and programming like the Pet Loss Support Group. Animal classes and activities will now have a separate space on the main floor in the Training Center. The DRHS expects to provide more services with the new building such as doggy daycare and a membership-based dog park, as well as expand upon its current services including boarding and training classes. The Dubuque Regional Humane Society (DRHS) is a private 501(c)(3) non-profit organization and one of the oldest charities in Dubuque, serving the tri-state region since 1901. The DRHS is committed to building life-long bonds between people and animals through adoptions, humane education, community outreach programs, and animal cruelty prevention. 1. Set up a winter check-up for your pets before winter begins The cold weather can affect pets just like humans. Your veterinarian can make sure your furry friend doesn’t have any medical problems that will cause discomfort during the winter months. 2. Play dress up Pet clothing becomes more of a necessity in the wintertime. Small dogs in particular need to have an extra layer of warmth to maintain a normal body temperature. Consider boots to avoid getting salt on your companion’s paws. 3. Glow in the dark If you’ve ever had a pet escape, you understand how important it is for drivers to see them coming. Reflective gear, whether it be a collar, harness or something else, is an ideal way to alert drivers to your pet’s presence. While you’re at it, make sure they have an updated name tag so if they’re found they can return home safely. 4. Clean the paws Even if you don’t use salt on your sidewalks, there’s a good chance your neighbor does. The chemicals will irritate the paw pads, so wipe them off with a warm, moist cloth when you get inside. 5. Sooth sore skin Treat your friend’s dry, cracked nose with a healing balm made for pets. If their skin is dry and itchy, give them a bath with gentle soap and apply a triple antibiotic ointment. 6. Watch out for antifreeze Antifreeze is sweet and seems like a treat to some pets. However, it is toxic and can cause death. Make sure your garage floor is free from antifreeze. Call your veterinarian immediately if you believe your pet ingested antifreeze. 7. Bang on your hood. Animals, especially cats, can be resourceful when it comes to finding a warm place to sleep even if it’s your car engine. Be sure you can locate your feline friend and alert any other animals of your presence before you start your vehicle. 8. Provide a warm home Outdoor pets need a warm, dry place to stay in wintertime. Make sure the enclosed shelter is raised to prevent melted snow from covering the floor. Provide clean bedding and ensure the shelter is warm. 9. Give them water, not ice Supplying water outdoors can be difficult. Water bowl heaters prevent water from turning into ice. Also, moving water doesn’t freeze as easily as still water, so consider a drinking fountain. Whatever you plan to do, make sure you use plastic food and water bowls instead of metal so your pet’s tongue doesn’t stick to the dishes. 10. Exercise frequently Just like us, our pets can gain “winter weight.” If it’s too cold to go outside, take your pet to an indoor facility where they can get the exercise they need to maintain a healthy body. Otherwise, join them for some fun in the snow! Dubuque Museum of Art Exhibits & Events Tom Nakashima: Nature Morte Ongoing until November 10, 2013 Heather O’Neil: Monochrome Ongoing until October 27, 2013 Annual Art Auction & Holiday Party Friday, November 1 The party and auction will be held at the Hotel Julien Dubuque with cocktails served at 6:00 p.m. and the auction starting at 7:30 p.m. Karen Kurka Jensen: Fearfully and Wonderfully Made November 8-February 23, 2014 The ancient art of East Asian brush painting that resembles calligraphy, called Sumi-e, by this Wisconsin artist. Edward S. Curtis: Selections from The North American Indian November 23-March 9, 2014 Bisigano Art Gallery Shows University of Dubuque Heritage Center 12:30 p.m.-5:30 p.m., Monday-Friday U.D. Homecoming Alumni Show September 16 - October 30 Associated American Artists Collection: 100 Years of American Regionalism (Knuth Collection) November 1 - December 1 Iowa Collects: Highlights from Public Collections in Iowa December 2 - January 5 Juried Regional High School Art Show January 6 - February 1 Every Little Crook & Nanny Through October 20 Bell Tower Theater (See Page 4) Jim Witter’s “The Piano Men” Friday, October 11, 7:30 p.m. (See Page 9) Heritage Center, University of Dubuque Featuring the music of Billy Joel & Elton John That Tree, iPhone Photographs Mark Hirsch Artist Reception Friday, October 11, 6-8 p.m. (See Page 10) Gallery C (Schmid Innovation Center @ Caradco) Swing Out: The Big Band Show October 12, 2 p.m. & 7:30 p.m. The Grand Opera House (See Page 5) President’s Scholarship Concert October 12, 7:30 p.m. Clarke University, Jansen Music Hall Featuring performances by students, faculty, and alumni, will honor Clarke music professor emeriti Nancy Lease. Maggie May Saturday, October 12th, 7 p.m. Ohnward Fine Arts Center (See Page 5) Dubuque Irish Tradition presents “Open the Door for Three” Saturday, October 12, 7 p.m. Gallery C - Schmid Innovation Center (See page 11) A trio of award-winning, internationally renowned musicians, Irish Fiddler Liz Knowles (Riverdance), Uilleann Piper Kieran O’Hare and Singer-Guitarist Pat Broaders. NISOM Arts & Humanities Celebration October 18, 5:00-7:00 p.m. Carnegie-Stout Public Library (See Page 6) Gregg Allman October 18, 2013, 8 p.m. ($43 - $78) (See Page 25) Mississippi Moon Bar, Diamond Jo Casino Rock and Roll Hall of Famer in Concert. Twenty Dirty Hands Pottery Tour Friday-Sunday, October 18-20 Galena, Dubuque (See Page 10) Images & Information Style Show Monday, October 21, 5:30 p.m. Grand River Center (See Page 7) Terra Madre featuring Marco Albonetti Monday, October 21, 7 p.m. U.W. Platteville, Center for the Arts (See Page 10) Ensemble Galilei presents First Person: Seeing America November 3, 2 p.m. University of Dubuque, Heritage Center, Tix $7 – $29 Anique blend of Irish, Scottish, early, and original music. Moonlight and Magnolias October 24-27 Bijou Room, Five Flags Center (See page 8) Noises Off November 7-9, 7:00 p.m. Hempstead High School A slapstick comedy about a group of actors who find their production and backstage intimacies, leading toward disaster. Dubuque Symphony Orchestra: Heaven and Earth November 9, 7:30 p.m., November 10, 2 p.m. Five Flags Theater (See page 16) Outside the Lines Gallery 10 Year Anniversary Show Opening Reception November 8, 6-8 p.m. A 2D/3D exhibit featuring a snapshot of 28 artists represented past and present. Available through December. Time Stands Still November 12, 7:00 p.m. Dubuque Senior High School Charles Dickens’ A Christmas Carol November 15-17, 22-24 Grand Opera House Featuring origin music by Paul Hemmer Tickets $20 & $12 (under 21) Oleanna November 21-23, 7:30 p.m., November 24, 2:00 p.m. Clarke University A riveting journey into the world of higher education provided by award-winning playwright David Mamet. Jim Brickman’s The Magic of Christmas December 3, 7:00 p.m. Grand Opera House See the full arts calendar with all event details @ dubuque365.com or use the QR code at right from your smart phone. Thursday, October 10 Johnnie Walker Witches Night Out Mississippi River Museum, 6 PM Noel Cooney Frank O’Dowd’s Pub, 6 PM James Robinson, 7 PM Joie Wails, 8 PM Stiletto Night, Riverboat Lounge Francis & The Diddlers Improv Comedy Group eronel, 7 PM Dueling Pianos Mississippi Moon Bar, 8 PM Jazz Night w/ ‘Round Midnight Monk’s Kaffee Pub, 8 PM The Skywalkers The Cornerstone, 8 PM Friday, October 11 Artie & The Pink Catillacs Dubuque Driving Range, 7 PM Corey Jenny, Steve’s Pizza, 7 PM Andy Wilberding Timmerman’s, 7 PM Broken Rubber Band Galena Brewing Co., 7:30 PM Brownie & Sam Frank O’Dowd’s Pub, 7:30 PM One: Metallica Tribute Mississippi Moon Bar, 8 PM Steve Cavanaugh & Randy Droessler, Spirits, 8 PM Nick Stika, Grape Escape, 8 PM Cory Hill, The Cornerstone, 8 PM Miles Nielsen & The Rusted Hearts. eronel, 9 PM Cameron McGill & What Army? Cranes/Vultures The Lift, 9 PM Playground of Sound Murph’s South End Tap, 9 PM 8 Balls, Northside Bar, 9 PM Almost Classy, Courtside, 9 PM Matt McPherso, Keil’s Tavern, 9 PM The Swing Crew, Budde’s, 9:30 PM Aaron Williams & The Hoodoo Sandy Hook Tavern, 10 PM Saturday, October 12 Kevin Beck & Johnnie Walker, 9:30 AM, Sunshine, 1 PM Galena Country Fair Jason Ray Brown Grape Escape, 2 PM The Wundos, 4 PM Mighty Wheelhouse, 7 PM Platteville 2nd St. Celebration American Icon: Johnny Cash Tribute, 4 & 7 PM Ralph Kluseman, 9 PM Mississippi Moon Bar “Open the Door for Three”, 7 p.m. Gallery C - Schmid Innovation Ctr. Blue Willow Stone Cliff Wine & Beer Bar, 7 PM The Wundos Dubuque Driving Range, 7 PM The Swing Crew Fennimore Fire Dept. Dance, 7 PM Derty Rice Galena Brewing Co., 7:30 PM Brownie & Sam Frank O’Dowd’s Pub, 7:30 PM Sunday, October 13 Fever River String Band, 9:30 AM Sunshine, 1 PM, Galena Country Fair Open Mic with Scott Rische Grape Escape, 12 PM Council Hill Fall Music Fest The Blackberry Bushes, 1 PM Fever River String Band, 2 PM The Matriarchs, 3 PM The Blackberry Bushes, 4 PM Council Hill Station Broom Street Drifters The Cornerstone, 8 PM Bojangles Sock Hop Mystique Casino, 8 PM A Bizarre Gardening Accident Knicker’s, 8 PM Johnny Rocker Grape Escape, 8 PM Mike Mangione & The Union eronel, 9 PM The Tyme Machines, Nixon, Fifth Fret, The Lift, 9 PM Taste Like Chicken, Spirits, 9 PM Enemies of Confusion Denny’s Lux Club, 9 PM Jabberbox, Jumpers, 9 PM Blue & Evil Northside Bar, 9 PM Monday, October 14 The Gunshy, Waxeater, Civil Soldier, The Lift, 9 PM Tuesday, October 15 New Voices: Open Mic Rendezvous Coffee & Tea, 6:30 PM Ryan Getz Riverboat Lounge, 7 PM Jeremy Server The Cornerstone, 7 PM Names Divine, Little Ruckus, Control, eronel, 9 PM Wednesday, October 16 Noel Cooney Frank O’Dowd’s Pub, 6 PM Rosalie Morgan Riverboat Lounge, 7 PM The Blackberry Bushes The Cornerstone, 7 PM Laughing Moon Comedy April Macie Mississippi Moon Bar, 8 PM Thursday, October 17 Noel Cooney Frank O’Dowd’s Pub, 6 PM Dark Slide Skateboard Art Opening, eronel, 7 PM Broken Rubber Band, Blackberry Bushes String Band The Lift, PM ...continued on page 24 Cameron McGill, Cranes/Vultures The Lift, Friday 11, 9pm/81 Musical dynamic duo Nate Jenkins and Brad Cavanagh crank out original indie-folk-rock tunes, leaning heavily on vocal harmonies and ecstatic loops. The dichotomy of Cranes/Vultures reflects the versatile emotional style and personality of the music, ranging from soft, introspective to lyrical, driving you inward to punchy outward licks that will leave you dancing. Chicago songwriter Cameron McGill has carved out a place for himself through years of relentless touring and a growing list of accolades. His new album, “Almost Classy” (out October 15) finds McGill in the company of a new band. After a three-year run with his previous incarnation, Cameron McGill & What Army, the new lineup further refines McGill’s version of baroque songwriting, drawing on the soulful, bookish stylings of Randy Newman and Harry Nilsson with a rhythm section drawing on the Stax Records catalog. Almost Classy Courtside, Friday, Oct. 11, 8:30 p.m. Los Angeles based, Dubuque native, musician and actor Rob Cunliffe will be visiting Courtside October 11th to help celebrate his debut of his first CD / EP, The Robcuntle Car. Winners of the Los Angeles RAW Artist Band of the Year award in 2012, the band is tinged with hints of their biggest inspirations, ranging from Gustav to early Maroon 5. Their sound is a perfect acoustic, “harmony heaven” style, is pushed right from classic bands like Queen and The Beatles, peppering their tracks with a uniqueness that sets them apart from their musical peers. While the band demonstrates a blend of genres and sounds on their debut, they have a strong sense of ability to weave them into a cohesive style that is all their own, making their flexibility part of what excites us about them. Visit www.almostclassymusic.com. Miles Nielsen and The Rusted Hearts eroneL, Friday October 11, 10PM Miles Nielsen and his band, The Rusted Hearts, rest comfortably on the power of the one side of the dial and their movements from another. Their harmonies are tight and focused, often floating over a 60’s jangle or big 70’s chords. The band itself is truly regional. There’s a rust belt sense of nostalgia and a certain romanticism and big pleasant rush of familiarity and new, eternal possibilities. Having developed from a solo act in years past, Miles has learned to work with the musicians he’s surrounded himself with, and, in turn, the songs have progressed into the sort of solid work that has felt the touch of many hands. The Tyme Machines, Fifth Fret, Nixon The Lift, Saturday, October 12, 9 p.m. Chicagoan Bryan Adamiek had a bunch of song topics inspired by his 4 years living in Green Bay, Wisconsin. He noticed the locals using terms such as “Tyme Machine” and “Elecro” to describe the locals wearing mustaches. It was a lot to handle and songs needed to be written! The band regularly plays their tunes (peppered with some of the most awkward 90’s covers imaginable) live at bars and festivals throughout the area. In Spring 2010, they released a 5 song EP entitled “Super Club Serenades” featuring Wisconsin themed tunes and available for download on iTunes. Nixon is a Dubuque based power trio that plays primarily classic rock covers from the Beatles to Pink Floyd, and originals inspired by classic rock. Fifth Fret features Fisher Woodley and Bryce Reeg playing original material and playing guitars, banjo, keyboard, harmonica, mandola, djemba, vocals and just plain fun. Council Hill Station Fall Music Festival The Cornerstone Sunday, October 13, 1-6 p.m. The Cornerstone is the destination for authentic roots music and cold beer in the rolling hills near Seales Mound, Illinois, hosts a Fall Music Festival that Sunday afternoon that is sure to get toes tapping. Local fans are no doubt familiar with the Blackberry Bushes trio, featuring the talented Sara, John and “Famous Jake” Breitbach and his musical partner (soon to be bride) Jea Raymond, performs original alternative folk that blends a variety of influences with a strong bluegrass orientation into a “sound with folk twang and sophistication.” Also joining the lineup is classically trained Taylor Kent on the upright bass. They will both open and close the show. All that authentic music for a $5-10 suggested donation at the door! The Gunshy, Waxeater, Civil Soldier The Lift, Monday October 14, 9 p.m. It’s been a few years since The Gunshy brought his weary tales of small towns, wartime loves, and constant touring back to the stage. In 2010, the group released a couple of critically acclaimed records, started a recording studio, and moved a few times. If you’ve seen him play, you know the gravel voice and heartfelt delivery that will remind you of Hot Water Music, Against Me, or Leatherface. We’re happy help him out this tour on the hardest of nights, the dreaded “Monday show.” Waxeater, Kenosha’s noisy garage punk outfit, are also helping support “Baltimore Record,” a harsh and humorous ode to various characters and scenarios from “The Wire,” perhaps the greatest tv show of all time. The band employs aluminum neck guitars, big drums, pounding bass, and enough in between to make you think you’ve been accidentally showed up to comedy club night. Dubuque’s Civil Soldier opens. Jeremy Serwer The Cornerstone Tuesday, October 15, 7 p.m. Seattle singer-songwriter Jeremy Serwer makes a special stop on his fall tour at The Cornerstone in Galena on Tuesday, October 15 before a full house performance. A modern-day troubadour and a decade-long advocate for the songwriter movement, Serwer looks “underneath the beauty and glamour of the United States,” singing about “the American dream, the American myth in both its national words and the city.” He’s a “serious-minded songwriter,” writes Jeff Rosenbog of the Portland, Ore., Willamette Weekly, and his songs are at once hopeful, hopeful, searing and heartbreaking. Serwer is touring to promote his fourth solo album, “The Sound of Your Name,” recorded and produced in his own Brandy Studio in Seattle, where he records independent artists from the region. The Mayflies, Dirt Simple eroneL, Friday, October 18, 10PM Iowa City five-piece The Mayflies are a party—a delightful mess, a crazed dance party, a wild ride, a celebration and race, slow and away. Although their music is unquestionably Americana—a distinctly Midwestern mix of blues and country guitar; folk and rock lyrics, fiddle and banjo—The Mayflies are also a firm breed to that rare universe of rock bands, the rockabilly revivalists because YEAH COOL. Show at 10:00 at Bronel on Saturday, October 19. The Dark Slide Skate Deck art show will be newly opened and ready to rage, so come early and check it out! Frank Bang and the Secret Stash The Lift, Saturday, October 19, 9 p.m. Frank Bang describes his new album, Double Dare, as “driving music – something to get you from point A to point B.” For this 11-song thrill ride of a disc, that’s got a double meaning. Songs like the slamming title track and the rocking “Double Dare” track will certainly keep the pedal to the floor; but more contemplative numbers, like the slide guitar ballad, “Wonder Woman,” and the celebration of life’s simple joys, “This Is What It’s All About,” also bridge the gap between life’s colliding chaos and romance. Sometimes things you really need to get you from point A to point B,” Bang observes, chuckling. Road Ragin’ Hot Rod Show with Menace, Sandy Hook Tavern Saturday, October 19 See feature story on page 36! Gypsy Lumberjacks eroneL, Friday October 25, 10PM ### Thursday, October 17 - Dueling Pianos - Mississippi Moon Bar, 8 PM - Jazz Night with ‘Round Midnight Trio - Monk’s Kaffee Pub, 8 PM - The Lonely Goats - The Depot, Cuba City, 9 PM - Sunshine - The Gold Room, 9 PM - Zero 2 Sixty, Dirty Ernie’s - Sandy Hook Tavern, 9:30 PM - The Buzz Berries - Sandy Hook Tavern, 10 PM ### Saturday, October 19 - Briana Hardyman - Grape Escape, 8 PM - Dave Pingel Band - The Cornerstone, 8:30 PM - Jason Ray Brown - Grape Escape, 2 PM - A&B Cruise-In & Car Show, 4-10 PM - Sandy Hook Tavern ### Friday, October 18 - Garrett Hillary - Galena Elks Lodge, 6 PM - Andy Wilberding, L.May - Stone Cliff Wine & Beer Bar, 7 PM - Johnnie Walker - Stone Cliff Wine & Beer Bar, 7 PM - Wundos - Dubuque Driving Range, 7 PM - Frankie Lee & Richard Wiegel - Galena Brewing Co., 7:30 PM - Katie & Brownie - Frank O’Dowd’s Pub, 7:30 PM - Gregg Allman - Mississippi Moon Bar, 8 PM - Brown Bottle Bandits - Mystique Casino, 8 PM - Boys Night Out, Spirits, 8 PM - Denny Garcia - The Cornerstone, 8 PM - Roy Schroedl - Woodlands Lng, Eagle Ridge, 8 PM - The Mayflies, Dirt Simple - eronel, 9 PM - People Brothers Band - The Lift, 9 PM - Kruser, Northside Bar, 9 PM - Yabba Griffiths, Jumpers, 9 PM ### Sunday, October 20 - Open Mic with Scott Rische - Grape Escape, 12 PM - New Diggings Band Reunion - Council Hill Station, 1 PM - Ten Gallon Hat - The Cornerstone, 1:30 PM - Larry Michael, Wheel Inn, 3 PM - Stone Kings - New Diggings Gen. Store, 3:30 PM - Becky McMahon & Charles Harris - Stone Cliff Wine and Beer Bar, 4 PM - Laura McDonald & Jeff Weydert - Sunset Ridge Winery, 4 PM - Black Water Gin - Sandy Hook Tavern, 6 PM - Andreas Transo - Frank O’Dowd’s Pub, 6 PM ### Tuesday, October 22 - New Voices: Open Mic - Rendezvous Coffee & Tea, 6:30 PM - Castaneda/Healy - Riverboat Lounge, 7 PM - Two Ugly People - Stone Cliff Wine & Beer Bar, 7 PM - Acoustic Jam w/ Garrett Hillary - The Cornerstone, 6:30 PM - Nate Jenkins - Riverboat Lounge, 7 PM - Laughing Moon Comedy - Dave Coulter - Mississippi Moon Bar, 8 PM - Open Mic with Dave, Cricket, & Tim, The Lift, 9 PM ### Wednesday, October 23 - Andreas Transo - Frank O’Dowd’s Pub, 6 PM - Michael Breitbach - Bomb Fire Pizza, 7 PM - Country Tradition - Mooney Hollow Barn, 7 PM - The Old 57s - Galena Brewing Co., 7:30 PM - Andreas Transo - Frank O’Dowd’s Pub, 7:30 PM - Vic Ferrari Band - Mississippi Moon Bar, 8 PM ### Thursday, October 24 - Andreas Transo - Frank O’Dowd’s Pub, 6 PM - Fever River String Band - Grape Escape, 7 PM - Cheap Thrill - Mississippi Moon Bar, 8 PM - Jazz Night with ‘Round Midnight Trio - Monk’s Kaffee Pub, 8 PM - Proud Feet - The Cornerstone, 8:30 PM - Larry Michael - Shark’s Roadhouse, 7 PM - Johnnie Walker - Galena Brewing Co., 7:30 PM - Andreas Transo - Frank O’Dowd’s Pub, 7:30 PM - Project Pink: Pink Floyd Tribute - Mississippi Moon Bar, 8 PM - Dean Napolitano - Mystique Casino, 8 PM - Taste Like Chicken - Sandy Hook Tavern, 10 PM - Castaneda/Healy - Riverboat Lounge, 7 PM - Two Ugly People - Stone Cliff Wine & Beer Bar, 7 PM - Acoustic Jam w/ Garrett Hillary - The Cornerstone, 6:30 PM - Nate Jenkins - Riverboat Lounge, 7 PM - Laughing Moon Comedy - Dave Coulter - Mississippi Moon Bar, 8 PM - Open Mic with Dave, Cricket, & Tim, The Lift, 9 PM ### Friday, October 25 - Legal Fingers, Lines - eronel, 9 PM - Halloween Party - Dead Larry, The Lift, 9 PM - Brown Bottle Bandits - Spirits, 9 PM - Jabberbox - Denny’s Lux Club, 9 PM - Halloween Bash - Half-Fast, Jumpers, 9 PM - Awesome Sauce - Halloween Party, Northside Bar, 9 PM - Pash N Brew - Shenanigan’s Pub, 9 PM - Six Shots ‘til Midnight - Hammerheads, 9 PM - Taste Like Chicken - Dirty Ernie’s, 9 PM - Matt McPherson Band - Bronco Inn, 9 PM - Classical Blast - Corner Tap, Stockton, 9 PM - Buzz Berries - Buddie’s, 9:15 PM - Mississippi Band - Murph’s South End Tap, 9:30 PM - Renegade, Eichman’s, 9:30 PM - Nitrix - Sandy Hook Tavern, 10 PM ### Sunday, October 27 - Open Mic with Scott Rische - Grape Escape, 12 PM - Open Mic with Broom Street Drifters - The Cornerstone, 1:30 PM - Classical Blast - New Diggings Gen. Store, 3:30 PM - Johnnie Walker - Stone Cliff Wine & Beer Bar, 4 PM - The Lonely Goats - Sandy Hook Tavern, 6 PM ### Tuesday, October 29 - New Voices: Open Mic - Rendezvous Coffee & Tea, 6:30 PM - Garrett Hillary - Riverboat Lounge, 7 PM ### Wednesday, October 30 - Acoustic Jam - The Cornerstone, 6:30 PM - Rosalie Morgan - Riverboat Lounge, 7 PM - Laurie Rubin - UW-Platteville CFA, 7 PM - Drive-By Truckers - Mississippi Moon Bar, 8 PM ### Halloween Thursday, October 31 - “Cheers” Halloween Party - Dubuque Driving Range, 7 PM - Club 84: Halloween Party - Mississippi Moon Bar, 8 PM - Jazz Night w/ ‘Round Midnight T - Monk’s Kaffee Pub, 8 PM - Open Mic with Jeff & Jimmy - The Cornerstone, 8 PM - Super Happy Funtime Burlesque - eronel, 9 PM Want your Halloween party in our list for the next issue of 365ink on October 24? Send information about your party, entertainment, costume contests, drink specials and anything else that might be interesting to email@example.com. Want even more impact? Ad space is still available. Carter Cash are portrayed by Doug Allen and Nicole Evans in this multimedia theatrical show. Tix $15-$35 Dave Coulier Wednesday, October 23, 8 p.m. ($10 - $15) Dave Coulier’s stand-up routine is centered on his ability to mimic celebrities and cartoon characters, a talent that has given him a second career in voice acting. Coulier is most notably known for his role as Joey on the TV series Full House and as the host of America’s Funniest People. Drive-By Truckers with Special Guest the Fast Clydes October 30, 8 p.m. An alternative country/Southern rock band, their 2008 album, Brighter Than Creation’s Dark, went to number 37 on the Billboard 200 album chart and was billed a gothic masterpiece. Project Pink: Pink Floyd Tribute October 25, 8 p.m. North America’s premier Pink Floyd tribute band, Project Pink faithfully recreates the complete Floyd experience with sights, sounds and intangible vibe. $7-$25. Pat Benetar & Neil Geraldo November 1, 8 p.m. The queen of 80’s angst filled female rock and roll returns to the Mississippi Moon Bar with her huge roster of hits and her husband and collaborator Neil Geraldo. John Tesh - Big Band Christmas December 15, 7 p.m. $25 - $35 Much more than a TV host, John Tesh has penned some of the most recognizable jingles and theme songs on Television is now a bandleader with a devoted following. Tix on sale August 17. Rodney Carrington: Laughter’s Good Tour Saturday, November 23, 7 & 9:30 p.m. Rodney Carrington is a multitalented comedian, actor, and country music artist. Rodney has recorded eight major record label comedy albums selling over three million copies. Rodney has also starred in his own TV sitcom Rodney, which ran for two seasons on ABC and he co-wrote and co-starred with Toby Keith in the feature film Beer for My Horses. Rodney’s comedy act typically combines stand-up comedy and some of his original songs. According to Pollstar, Rodney has been one of the top ten highest grossing touring comedians for the last ten years and among the top 4 or 5 for the last several years. Shows are at 7 p.m. & 9:30 p.m. with ticket prices ranging from $40-$50. Close to You: The Music of The Carpenters Saturday, November 30 Singer Lisa Rock and her 6-piece band are bringing the music of The Carpenters back to the stage with their spot-on renditions of Carpenters classics. Shows are at 4pm & 7pm and ticket prices range from $15-$20. Hairball Friday, December 13 Hairball is the world’s ultimate “80’s Rock” impersonation act, recreating the good-time party atmosphere of the decadent decade with unmatched authenticity. Hairball’s unique dual front man assault, featuring veteran vocalist Bobby Jensen and Kris Voxx, sets them apart from all other “80’s” tributes. Hairball also consists of guitarist “Happy,” bassist Shawn “Sports” Pop and drummer Colt Python. Don’t miss the most exciting recreation of the greatest era in rock history. Tickets range from $15-$30. No Cover Live Music! Missbehavein’ - Sept 27, 8 p.m. Full Code - October 4, 8 p.m. Vic Ferrari - October 26, 8 p.m. Wednesday Nights, 8 p.m. www.Dubuque365.com Kalmes Restaurant by Rich Belmont Go to the intersection of Highways 151 and 52 South of Dubuque. Go South on Highway 52 towards Bellevue for 10 miles and 10 minutes. You will find yourself smack in the middle of Saint Donatus, Iowa. Don’t blink, or else you will have missed it. Saint Donatus is a tiny town. It only has a population of about 150, yet lays four claims to fame. First, it is named in honor of, and has a Catholic Church dedicated to Saint Donatus of Bad Münstereifel, Germany. He was a 2nd century Roman soldier who at age 17 enlisted in the 12th Legion Fulminatrix (Thundering Legion). He worked his way up the ranks and was appointed a personal bodyguard to Emperor Marcus Aurelius. During the Marcomannic Wars his unit was surrounded and almost destroyed but was saved by a miraculous thunderstorm. Legend has it Donatus was a leader of Christian soldiers who prayed for such a miracle. Upon being saved Donatus gave thanks to God instead of to Aurelius and was promptly martyred by the Emperor. Saint Donatus is the Patron of Lightening Strikes. Second, the town of Saint Donatus is known for its status as a Luxembourger Village. This designation refers to several Midwestern villages with a large population of ancestors of immigrants from Luxembourg. This landlocked country is bordered by Belgium, France and Germany. Besides Saint Donatus, Luxembourg Societies are located in other places including Remsen and Preston, Iowa; Belgium and New Luxembourg, Wisconsin; and Rollingstone and New Ulm, Minnesota. Third, the Gehlen Barn built in 1939 is the oldest still-standing barn in Iowa. It’s right behind the Gehlen House Bed and Breakfast which is across from Kalmes Restaurant and is part of the Kalmes complex. Peter Gehlen, a flour mill owner, built the barn and later moved to Remsen, Iowa, another Luxembourger Village. He was one of the founding fathers of Gehlen Catholic High School in nearby Le Mars, Iowa. Fourth, Saint Donatus is home to Kalmes Restaurant. The Kalmes family has been serving the Luxembourg Village of Saint Donatus for almost 160 years! Their enterprise is a bar, restaurant, convenience store, gas station, catering business and unofficial Saint Donatus town hall. Certainly Kalmes is well known throughout the Tri-States for its Luxembourgian cuisine. Its fame is countrywide, though, thanks to being featured on Alton Brown’s TV program: Feasting on Asphalt, Mid-American Pie Episode. In fact, three of the Kalmes Family recipes are now immortalized in Alton Brown’s Feasting on Asphalt, the River Run book published in 2008. It’s a chronology of his second culinary expedition started in Venice Louisiana on April 19, 2007 and ending in Itasca State Park, Minnesota. He and his crew enjoyed “Good Eats” at Kalmes Restaurant on Day 20 of that trip. Kalmes Restaurant 100 N. Main Street, Saint Donatus, IA 52071 563-773-2480 • www.GehlenHouse.com HOURS: Mon - Sat: 7:30 a.m. – 9 p.m., Sun: 8 a.m. – 8 p.m. DINING STYLE: Come as you are NOISE LEVEL: Conversational RECOMMENDATIONS: Hamburger, Olive Burger, Pork Tenderloin, Kraut Pork Sausage Sandwich, Wiener Schnitzel, Fried Chicken Livers, Luxembourg Ground Steak, Ribeye, Ham Steak, All-You-Can-Eat Friday Fish Fry, Fried Chicken, Luxembourg Buttered Noodles LIQUOR SERVICE: Full Bar PRICE RANGE: Breakfast: $3.59 - $11.99 Lunch: $2.09 - $8.39 Dinner: $3.99 - $18.99 PAYMENT OPTIONS: Cash, Debit, All Credit Cards except AMEX, NO checks, ATM on premises ACCESSIBILITY: Front Door & Restrooms KIDS POLICY: Menu, Booster, Highchairs RESERVATIONS: Yes CATERING: Yes TAKE OUT: Yes DELIVERY: No PARKING: Private Lot The Kalmes story begins with Peter and Anna Kalmes who came to this country from Nospelt, Luxembourg sometime around 1840. Peter was a skilled sausage maker who found his way to the Luxembourg Village of Saint Donatus. In the early 1850’s he started a bar business in the red pebble stone building across the street from the current Kalmes Restaurant just north of the Gehlen House. In 1933, Theodore and Stella Kalmes purchased the present property and built a small bar and gas station. They added a grocery store and upstairs living quarters in 1942. Lawrence, grandson of Peter, and his wife Helen (married 56 blissful years so far, at right) bought the business from his father in 1956. They opened a dining room in 1982, remodeled in 1988 and added the Luxembourg dining room in 1995. By the way, Lawrence goes by the nickname Windy. He was given that moniker years ago by some of his customers who said he talked too much! Windy and Helen are still in the kitchen every day. However, they have turned over the daily operations to three of their children. Jim and his wife Lori (left), Brian and his wife Barb and Jodi Hingtgen and her husband Willie. Jim is in charge. He has been cooking in this very same kitchen for 37 years already and there isn’t anything he doesn’t know about the tastes of Luxembourgers. Actually, their cuisine for the most part is German peasant food. Jimmy’s son Jimmy Jr., a fifth generation Kalmes, is now running the catering department. It’s a huge operation considering it has seven vehicles and several trailer mounted grills and is typically doing 4 to 12 events every week as far away as Madison and Des Moines. They typically cater to 30 to 1200 people and routinely do 2 or 3 parties in the same day. They have fried as many as 4600 pieces of chicken or grilled 1400 Ribeye steaks in a single day! Kalmes is open 7 days a week for breakfast, lunch and dinner. The breakfast menu includes all the usual favorites: eggs, toast, ham, bacon, sausage, French toast, pancakes, and omelets. The truly outstanding item, though, is the home made sausage! Kraut pork sausage, Tripen in Luxembourgish, is made from a 150 year old recipe handed down from Peter Kalmes. This mild, plump sausage is full of old world flavor and is superb with sauerkraut. You can order it anytime during the day. It’s so popular you can buy it in the grocery and enjoy it at home. The hamburgers are exceptional. Hand-ground beef mixed with Ribeye steak trimmings are hand-formed and loosely shaped. In 1999 Old Jazzbo of Dubuque (the late Thomas Gifford) declared Kalmes the World’s Greatest Burger and Winner of the Golden Burger Award. This is what Old Jazzbo wrote: “The half-pounder, well done, plain or with a slice of onion, Heinz 57 sauce, ketchup or mustard is absolute perfection. Done uniformly all the way through, unfailingly rich and juicy.” Another popular lunch sandwich is the Fried Pork Tenderloin. Hand-cut pork is tenderized until it is only 1/3 inch thick. It is tossed with pepper, Kalmes Steak Seasoning and bread crumbs, then brushed with oil and fried on a griddle. Incidentally, Kalmes Steak Seasoning is wonderful on just about any meat. It is available in the Kalmes Grocery and at many other food suppliers in the tri-state area. I use it at home on steaks, pork loins and chicken. The Reuben is good; corned beef, sauerkraut, Swiss cheese and 1000 Island dressing. The Slider is an interesting diversion from the usual sandwiches: sliced and grilled summer sausage, pressed pork and pressed ham with lettuce, mayo and cheese on a sesame bun. There is a Noon Special Monday through Friday that is guaranteed to be worth the drive to Saint Donatus. For example, this week on Tuesday it was 3 pieces of chicken with mashed potatoes and green beans. On Wednesday it was roast pork with mashed potatoes and corn and on Thursday Polish sausage and sauerkraut. Dinners at Kalmes can be irresistible. The Ribeye is the signature steak. It is aged 21 days and hand-cut. It’s well marbled and yet is served without needing too much trimming. By the way, all steaks can be ordered sizzling from the griddle or charbroiled. Prime Rib is slow roasted for 6 to 7 hours so it is only available on Friday and Saturday nights. As much as I like a Kalmes T-Bone or Top Sirloin, I have determined my favorite steak is the Luxembourg Ground Steak. This is a beef patty mixed with egg, cracker crumbs and onions, grilled then smothered with homemade cream of mushroom sauce. Helen’s Fried Chicken is as good as it gets. It is cooked in a controlled low pressure, lower temperature fryer and is always juicy and never dried out. Speaking of chicken, the Cordon bleu is unusual since it has bacon in addition to ham and Swiss cheese and is covered with Cream of Mushroom gravy. If you like Chicken Livers this is the place to get them. They are fresh and crispy fried and served with a scrumptious cocktail sauce. Alton Brown states in his book the Kalmes Fried Chicken Livers are the best he has ever had. My tasting team was very impressed with a few other entrées as well. Like the bone-in hardwood smoked Ham Steak, which is more ham than any two people can eat. So too the Turkey Fillet Mignon, grilled fresh turkey wrapped in bacon and the Seafood Platter including 6 shrimp scampi, 8 breaded shrimp, two pieces of cod and 3 scallops. Without a doubt, my favorite Kalmes dinner is the Wiener Schnitzel. A hand-cut veal cutlet is rolled in cracker-meal breading and eggs and is served with choice of noodle or potato. As you can see, I always ask for the famous Luxembourg buttered noodles! Everybody has enjoyed the Luxembourg noodles, right? Windy still makes them with the assistance of daughter Jodi. They mix flour, eggs, a little oil and some seasonings together and then add more flour until the dough is just right. Then they meticulously roll and cut the dough into strips. After the noodles are boiled they are sautéed with crumbled saltine crackers and butter. If you are one of the few who haven’t pigged out on Luxembourg noodles you owe it to yourself to get to Saint Donatus as soon as possible! After a totally satisfying dinner at Kalmes Restaurant a little something sweet is in order. There is always a delicious cake on the salad bar and sometimes there is a special dessert. For instance, autumn is apple season so a tantalizing Apple Tart is waiting for you. It’s made from scratch with a flaky hand-folded pastry shell, apples from a local orchard and a drizzling of sweet caramel sauce. You cannot be in business for 160 years without garnering a whole slew of awards and accolades. Here is a sampling from just the past few years: 2000 – Jackson County Beef Backer Award. 2001 – Iowa Restaurateur of the Year, awarded by the Iowa Hospitality Association, 2006 – Restaurant Neighbor Award from the National Restaurant Association, 2010 & 2011 – Hospice of Dubuque Best Fest Best Caterer and Best Place for Prime Rib, 2012 – Windy Kalmes, Champion of the Year by the Iowa Restaurant Association recognizing a lifetime of Advocacy for Iowa’s Hospitality Industry. So a visit to Kalmes Restaurant is an opportunity. An opportunity to enjoy some satisfying, unpretentious meals at very reasonable prices prepared by a very experienced staff. And an opportunity to encounter a little piece of Iowa history, Roman legend and Luxembourg culture. All in little Saint Donatus – who knew? www.Dubuque365.com Vesperman Farms Corn Maze and Pumpkin Patch Weekends through the fall Vesperman Farms boasts one of the biggest and most challenging corn mazes in the Midwest. While at the farm, you can also check out the trebuchet, rubber duck races, farm animals, air cannon and caramel apples and apple cider doughnuts. Vesperman Farms is open on weekends through the fall, Saturdays 10 a.m.-7 p.m. and Sundays 10 a.m.-5 p.m. For more information, call 608-723-2542. See page 17. Dark Chambers Haunted Attraction October 11-12, 18-19, 24-27, 31 November 1-2 Port of Dubuque Dark Chambers Haunted Attraction is the tri-states’ most exciting haunted house experience. Over 5,000 sq ft of dark turns and terrifying sights will get your heart pounding. Get your friends and anyone else you think will help you make it out and come test your mortality inside the Chambers. Tickets are $5 for Light Fright and $10 for the Full Scare. For more information visit DarkChambers.com. Also see the feature story on page 10. Western Dubuque Local History Cemetery Walks Monday, October 14 Our walk begins at Highview Cemetery in Epworth, Iowa at 5 p.m. with lifelong Epworth resident and co-author of “History of Epworth, Iowa” Bill Mausser. Following Highview Cemetery is Saint Patrick Cemetery and a reception at the Dubuque County Library in Epworth. Please wear sturdy walking shoes and bring a flashlight. For more information, call Jen at Hills & Dales at 563-556-7878. Seeking the Unknown for Teen Read Week Tuesday, October 15 at 6 p.m.-8 p.m. Carnegie Stout Public Library Seek the unknown with us and find out what it is like to be a teen zombie by watching the movie Warm Bodies (PG-13). Refreshments will be served. For ages 13 through high school. Please register at the Children’s Help Desk or by calling 563-589-4225, ext. 2228. 14th Annual Halloween Harvest Saturday, October 19 Kennedy Mall, Dubuque Hills & Dales hosts the 14th Annual Halloween Harvest Saturday, October 19 from 4-7 p.m. at Dubuque’s Kennedy Mall. Halloween Harvest is a fun, family-friendly event that celebrates the spirit of Halloween. It is a night complete with costumes, candy, games and a dance party! Tickets are $5 a child. For more information, call Jen at Hills & Dales at 563-556-7878. The Shining (R) Thursday, October 24, 6 p.m. Carnegie-Stout Public Library Okay, maybe not exactly family friendly, as it was Rated R when it came out in 1980, but... Carnegie-Stout Public Library will show the classic horror movie “The Shining” on Thursday, October 24, 2013 at 6:00 p.m. in the Aigler Auditorium on the Library’s 3rd Floor. Admission is free, but seating will be available on a first-come, first-served basis. Directed by Stanley Kubrick and starring Jack Nicholson and Shelley Duvall, “The Shining” (1980) is based on a Stephen King novel about a writer and his family who are snowbound in a haunted hotel. The movie is 142 minutes long and is rated R. For more information, please call the Library at 563-589-4225 or visit us online at www.dubuque.lib.ia.us/movienight. Fever River Puppeteers presents: “A Halloween Adventure” October 19-20, 26-27 Hazel Green Opera House In this spoof of a well-known fairy tale, Witch Hazel Green finds herself in a strange land where witches come in bunches. She makes some friends who look oddly familiar: a scarecrow girl, a disjointed skeleton and a cowardly cow. Together they take a journey to find The Big Cheese. The Fever River Puppeteers will present the marionette show, “A Halloween Adventure,” 11 a.m. and 2 p.m. Saturday, Oct. 19; 2 p.m. Sunday, Oct. 20; 11 a.m. and 2 p.m. Saturday, Oct. 26; and 2 p.m. Sunday, Oct. 27. Tickets for all performances are $5 for adults and $4 for children 12 and younger. Doors open a half hour before each weekend performance. Performances are approximately 45 minutes. After each show, the puppeteers answer questions and bring out some of the marionettes so that the audience can learn more about the art of puppetry. For information, call 608-732-6404 Halloween Family Movie Night Friday, October 25 Dickeyville Community Center The Dickeyville Community Center hosts Halloween Family Movie Night on Friday, October 25 in the Community Center gym. Kids are welcome to wear costumes and join the costume parade at 6:00 p.m., with the movie at 6:30 p.m. Juice and popcorn will be provided. For more information, call 608-568-3333. Asbury Halloween Parade Friday, October 25 The Asbury Halloween Parade will be held on Friday, October 25 with line-up beginning at Lord of Life Church (corner of Hales Mill Rd and Springreen Dr) at 6:30 pm. The parade will begin at 7 p.m. and follows Springreen Dr to the Dubuque County Library on Saratoga Rd. Anyone interested in participating in the parade can contact Peggy at the Asbury City Hall at 556-7106. Final Destination Halloween Party Friday, October 25 Dubuque County Library, Asbury Branch The Dubuque County Library invites all to come to the Asbury branch (5900 Saratoga Plaza) for an enchanted evening on Friday, October 25 from 7-8:30 p.m. The “Final Destination” of the Asbury Halloween Parade is the Dubuque County Library where prizes and fun will be had by all! Kids are encouraged to come in costume and check out a scary Halloween book. www.Dubuque365.com --- Night of the Zombies Friday, October 25, 6 – 8 p.m. Carnegie-Stout Public Library Dig up a date or come with your undead self to this creepy event. Shake off those maggots and gimp (dance) the night away. Don’t like to gimp (dance)? Then join in on the un-deadly fun at the makeup bar or nibble at the table of yummy zombie treats. Who knows you may be crowned the King or Queen Zombie! Ages 12 – High School. Please register at the Children’s Help Desk or by calling 563-589-4225, ext. 2228. --- IBM’s Day of Scare Saturday, October 26 Roshek Building Day of Scare is a family-friendly halloween event with trick-or-treating at booths from over 30 community partners from 2-4 p.m. and a costume contest beginning at 2 p.m. Live music is provided by NISOM and the Chorale Cadenza. Admission is free for all ages, but please bring canned food for donation to the Dubuque food banks. --- Hotel Transylvania Even Monsters Need a Vacation Join KAT FM and Dupaco Community Credit Union for their annual Halloween Movie Party at AMC/Star Cinema on Saturday, October 26th. Take the kids to see Hotel Transylvania (rated PG) for just 92 cents. Shows will run at 9:00 and 11:00 am. Proceeds will benefit the Rising Star Theater Company. Kids in costume will be eligible for contest prizes. Halloween treat bags with goodies will be handed out at the completion of the movie. Tickets must be purchased in advance and are on sale at Dupaco Community Credit Union locations. --- Galena’s 35th Annual Halloween Parade & Festival Saturday, October 26 Ghosts and goblins of all ages will converge at Galena, Illinois for the 35th Annual Halloween Parade & Festival. The Galena Area Chamber of Commerce serves as the host of this one-day event in downtown Galena on Saturday, October 26. The Halloween Festival takes place at 2 p.m. at Washington and Perry Streets and features food and entertainment from up to eight different vendors. The nearly two-hour long Halloween parade literally lights up Galena’s historic Main Street. The popular event features spectacular floats, local marching bands, costumed participants and plenty of sweet treats. Making a return to this year’s parade will be several hot air balloons that will light up the night sky, as well as provide a fleeting moment of warmth, as they make their way through the parade. The parade begins promptly at 6:30 p.m. near the intersection of Green and Main Streets and continues north until reaching the intersection of Franklin and Main Streets. To accommodate the high volume of parade goers, there will be two shuttles operating between 4:00 - 9:00 p.m., excluding parade times, 6:30 - 8:30 p.m. Shuttle parking and pickup, all in Galena, will take place at Walmart (10000 Bartell Blvd.) and Recreation Park (corner of Stagecoach Trail and Field Street). --- DOG-O-WEEN Contest Sunday, October 27, 1 p.m. Theisen’s The DOG-O-WEEN Contest is hosted by Theisen’s of Dubuque to raise funds for the Dubuque Humane Society and is done in conjunction with the Humane Society. There will be a $7 entry fee per dog and all money collected will be donated to the Dubuque Humane Society. Plus, to offset that entry fee, Theisen’s is giving each participant a $7 Theisen’s Gift Card! This year’s contest takes place at 1 pm (registration starting at 10 am) on Sunday, October 27, 2013 at Theisen’s of Dubuque. A photo background will be set up for anyone who wishes to photograph his/her dog with their own camera. A panel of judges will evaluate each dog’s costume. Prizes and trophies will be awarded for... “overall best” and for first, second and third runners up. For official contest rules, please visit the Dubuque Theisen’s Store or go to dbghumane.org. Trick-or-Treat on the William M. Black Sunday, October 27, 407 p.m. National Mississippi River Museum & Aquarium The Dubuque County Historical Society will be celebrating its 25th annual Trick-or-Treat event at the National Mississippi River Museum & Aquarium Sunday, Oct. 27, from 4 to 7 p.m. Guests are invited to walk the decks of the William M. Black steamboat and explore the boatyard and wetland areas, while meeting various characters giving out treats along the way. The Trick-or-Treat event provides a safe, non-scary and family-fun experience for children 12-years-old and younger. All children must be accompanied by an adult. The event costs $4.00 per person ages 2 and older; a family of four will get in for $10; regular Museum & Aquarium admission charges do not apply at this event since it takes place outdoors in the boatyard plaza. The Historical Society permits costumes, but for safety reasons, no masks. Remember, no strollers are allowed on the William M. Black boat. Trick-or-Treat is sponsored by American Trust and Radio Dubuque. Please visit www.rivermuseum.com or call 563-557-9545 for more information. Dubuque Museum of Art Pumpkins On Parade Monday, October 28, 4 - 8:30 p.m. Outside the DBQ Museum of Art The Dubuque Museum of Art once again hosts the family-fun-filled event, Pumpkins On Parade. This one night celebration will allow children and adults to showcase their creative talents through a public jack o’lantern display and contest. Running concurrently with the Dubuque YMCA/YWCA’s Halloween Parade, the Dubuque Museum of Art is sponsoring this unique jack O’ lantern festival on Monday, October 28th at 4 p.m. - 8:30 p.m. in front of the Dubuque Museum of Art, 701 Locust Street. The public is invited to bring their pre-carved pumpkins to the Museum of Art between 4 p.m. - 6:00 p.m. on October 28th to register for the festival. There is no fee to participate and the event is free to all. The Museum will provide lights and will display the pumpkins until 8:00pm. Pumpkins will be judged by local artists and cash prizes will be awarded at approximately 7:00pm – but you do not need to be present to win. For those participants who would like to keep their pumpkin, they must pick it up at the park between 8:00pm and 8:30pm on October 28th. YMCA Halloween Parade Monday, October 28, 6:30 p.m. Main Street, Downtown Dubuque Ghosts and goblins of all ages will converge once again for perhaps the most popular parade of the year in Dubuque. Line up begins promptly at 5:30p.m. at Jackson Park and the parade begins at 6:30 p.m., following the usual parade route, ending at Washington Park. Scores of groups come out in full costumed madness for a super-fun hour in the streets of Dubuque. Candy will be distributed to all children who have participated in the parade and prizes will be awarded to organizational floats, business floats and walking groups. Dubuque Trick or Treating October 31, 5:30 PM - 7:30 PM Platteville Trick or Treating October 31, 4 PM - 7 PM Galena Trick or Treating October 31, 5:30 PM - 7:30 PM It’s no surprise that Halloween is a big reason to celebrate in the Tri-States. The holiday continues to grow in popularity with parties popping up like zombies in an apocalyptic landscape. In fact, because October 31 happens to be a Thursday this year, some venues are celebrating the holiday on the weekend before, while others are celebrating the weekend immediately following, not to mention events elsewhere in the month. And why not? The fun of dressing up in costume – funny, scary, or of course, sexy – should not be limited to the last day of the month. Add some decorations, maybe some fun-size candy, and a few adult beverages and Halloween parties become some of the best times to be had all year. Tri-State area nightspots are happy to host the fun so let’s take a look at what’s going on this month so you can plan where and when to get your All-Hallows-Eve on. Fairgrounds Zombie Run Saturday, October 12, 5:30 p.m. Dubuque County Fairgrounds From Dusk Till Dead is a 5K race throughout the Dubuque County Fairgrounds. But there’s a catch: There has been a bio-hazard chemical spill on the grounds, and it has created the perfect environment for Zombie activity. It is your mission to run for your life through obstacles of Zombies (on a course inspired by The Barnyard Charge) and make it safely to the Beer Garden where you can celebrate surviving the Apocalypse with food, friends, drinks, and music. The Zombies will try to take your “flags” (think flag football). When your flags are gone, you’re “dead”. Dead runners can finish the race, but will not have their name in the prize drawings. Each runner will get 2 flags with their registration. Additional flags may be purchased for $5 each. The course consists of: The Headless Horseman Horse Mississippi Moon Bar & 365ink host Halloween Night at Club 84 Thursday, October 31, 8 p.m. Mississippi Moon Bar @ Diamond Jo Casino With a slew of halloween parties vying for your spookily-attired attention on the weekend of Oct. 26-27, The Mississippi Moon and 365ink are saving it up for the actual night itself, October 31st. Join the cast of Club 84 and the 365ink crew for the biggest costume party of the season. Let’s face it, Club 84 is basically the best Halloween party of the year week-in and week-out anyway! And because it’s in the Moon Bar, sorry kids, this one’s for adults only. Very, very childish adults. The centerpiece of the evening is, of course, the costume contest where we’ll be awarding $500 in cash and other prizes worth another $500 in a variety of categories. - Sexiest Costume (naturally) - Scariest Costume - Best Group theme - Best Overall Costume Judges will pick an overall winner, separate from (but possibly including) the category winners, to receive the awesome GRAND PRIZE… $200.00 IN CASH, plus great swag like concert tix and more! EVERYONE in costume wins a prize! Boogie your brains out all night long with free admission and come decked-out to take home some spoils for all of your efforts. Now, because this is inside a casino, there are some limitations. You have to be able to get in the door, which means you have to be able to show a photo I.D. at the door and be easily recognizable from the I.D. So you won’t be able to apply creative make-up before arriving. Keep that in mind when preparing for the night. Doors open at 8 p.m. and costume categories prizes will be awarded through the night from 9 p.m. to Midnight. Admission is free. You must be 21 years of age. Adult Halloween Parties in the tri-states Arena, The Slaughter House, The Grandstand of Doom, The Graveyard, The Haunted Forest, The Tunnel of Terror and, of course, chainsaws! Day-of registration are $40 and begin at 4:30 and the race begins at 5:30. Zombies should be ready to go by 5 p.m. Make-up services by Dark Chambers starting at 3:30 p.m. Get this. You can also register to be a Zombie for $15. Prizes will be awarded for: Best Zombie ($50), 1st Female Across the Finish Line ($30), 1st Male Across the Finish Line ($30). Runners and Zombies will also turn in their flags at the end with their name on them and there will be a drawing for additional prizes. If you make out alive, join us for an after party in the Beer Garden. DJ Jazzy Jerr will play some tunes. Food and beverages will be available for purchase. The Walking Dead Zombie Pub Crawl Sunday, October 13, 3 P.M. Monk’s Kaffee Pub & other downtown pubs Just as AMC’s original series The Walking Dead has become one of TV’s most popular series, Dubuque’s own Zombie Pub Crawl – timed to coincide with the premiere of season 4 of the show – has become a popular annual tradition. So again this year, fans of the series and a shuffling horde of their undead friends will gather on the Sunday of the premiere, October 13 and take to the streets. The zombie gathering will begin at Monk’s Kaffee Pub at around 3 p.m. for preparatory drinks and last-minute makeup application (more blood, etc.). While doing your own makeup beforehand is encouraged, others will be glad to gore you up. (A $5-10 donation toward materials would be a nice gesture, though.) It’s also suggested that you wear clothes you don’t mind ruining (what with the blood and rotting flesh and all that). The tentative schedule should have zombies admiring the dead animals on the walls at Paul’s at 4:00, shuffling over to The Lift on Main Street at 5:00, staggering down to eronel at 6:00, ordering pizza with extra brains at the Shot Tower at 7:00, and then dragging back to Monk’s at 8:00 for more drinks and general celebration of zombies, The Walking Dead, etc. The Walking Dead season 4 premiere is scheduled to begin at 8:00 p.m. Organizers (who knew zombies organized?) note that Monks has limited seating so it might be good to have a secondary viewing option as a backup plan if the horde overtakes the pub. That’s kind of a “no-brainer.” In the event of a zombie apocalypse, it’s ALWAYS a good idea to have a backup plan. Find the event on Facebook and check back as the plan develops. Easy Street Saturday, October 26, 8 P.M. Well known for bringing the party to South Main, Easy Street will once again throw a Halloween party of epic proportions. With the bar all decked out for the holiday, Easy Street is set to celebrate. The costume contest will award the Best Costume and the Sexiest Costume with each taking home $200! Well, the winner doesn’t have to take it home. They could get a great deal of their friends in the party spirit. Especially when the drink specials begin at 8 p.m. with $2 Blue Moons, $2 25 ounce PBRs, and $1 Shot List shots! Mad Monster Party with Half-Fast Jumpers Sports Bar & Grill Saturday, October 26, 9 P.M. With two weekends from which to choose, Jumpers says “YES!” and hosts TWO Halloween parties this year. The first is Jumpers’ annual Mad Monster Party on Saturday, October 26 with Half-Fast from 9 p.m. In addition to the rockin’ music by Half-Fast, Jumpers Halloween Mad Monster Party will feature a costume contest with $200, $100, and $75 prizes, not to mention some sweet Jumpers drink specials (3 aluminum pints of Coors Light and Bud Light, $2 caramel apple shots and $1 apple pie shots!). It’s mad I tell you! Mad! (You’ll have to read on for the second!) Mississippi Band @ Murph’s South End Tap Saturday, October 26, 9:30 P.M. Wanna know what’s scary? The Mississippi Band has been together for more than 40 years! Still frighteningly good, Mississippi will be rocking the Halloween party at Murph’s South End Tap from 9:30 p.m. Dead Larry @ The Lift Saturday, October 26 9 p.m. For many Halloween revelers, Main Street is the destination and one of the tried and true destinations is always The Lift. This year the Saturday night Halloween party will be brought, or at least dialed up a notch by the appropriately named Minneapolis-based high energy rock, dance and funk band Dead Larry. Get your costume because The Lift is hosting a killer contest with $300 for first place, a $100 bar tab for second, and $50 for third place. Brown Bottle Bandits Spirits, Days Inn Saturday, October 26, 9 p.m. What? A place named “Spirits” on Halloween weekend? While it might seem spooky that is the name of the fun lounge at the Days Inn just off Dodge Street at the Hill Street exit. The Brown Bottle Bandits (formerly known as Badfish) will be leading the kind of party for which Spirits is known. Trackside Bar & Grill Saturday, October 26, 9:30 P.M. Trackside Bar & Grill in Peosta, home to some seriously good home-style cooking hosts a Halloween party Peosta-style all starting at 8 p.m. We suggest you go earlier so you can eat, just be sure to pick a costume where that is possible. Costume judging will be at 9:30 p.m. Legal Fingers, Lines @ eronel Saturday, October 26, 9 p.m. Lurking in the underground stone chambers below Crust, eronel hosts a week of Halloween-appropriate events, beginning with a rock show on Saturday, October 26 featuring local sleaze rockers Legal Fingers and Lines. There’s better than a ghost of a chance that another band will be added to that bill that would dial the whole thing up a notch but it’s just too soon to say. You should probably just go anyway. Jabberbox @ Denny’s Lux Club Saturday, October 26, 9 P.M. The Lux Club on Asbury Road will be rockin’ hard with Jabberbox leading the Halloween festivities from 9 p.m. to 1 a.m. An All-New Haunted Experience for 2013! October 4, 5, 11, 12, 17, 18, 19, 24, 25, 26, 27 & November 1, 2 $5 Light Fright 6-7 p.m. $10 Full Scare 7-11 p.m. 121 E. 4th St. – Port of Dubuque (Behind Diamond Jo) www.darkchambers.com Six Shots ‘til Midnight Hammerhead’s Bar and Billiards Saturday, October 26, 9 P.M. Hard rock and metal masters Six Shots ‘til Midnight will be leading what will no doubt be a headbanging Halloween party at Hammerheads. Not only is there no cover charge, but if you wear a costume you could enter the contest to win $250 first place, $150 second place and $100 third place! Awesome Sauce Northside Bar Saturday, October 26, 9 P.M. Dubuque’s North End neighborhood bar, Northside, hosts a great annual Halloween Party but what could make it even better? Awesome Sauce! Rockin’ the party band vibe, Awesome Sauce leads the dance party from 9 p.m. to 1 a.m. Northside will conduct a costume contest with prizes awarded in the categories of “Scariest,” “Sexiest,” and “Most Unique.” Guests indulging in Northside drink specials might have trouble distinguishing between the categories. Pash N Brew Shenanigan’s Pub Saturday, October 26, 9 P.M. Shenanigan’s, the friendly neighborhood bar with the Irish theme at the corner of 32nd and Jackson hosts the 3rd Annual “Howloween” party with Pash N Brew rockin’ from 9 p.m. to 1 a.m. Food, a costume contest and drink specials just add to the fun. Set In Stone Dubuque Driving Range Saturday, October 26, 9 P.M. The Dubuque Driving Range invites everyone to “Dress up for Halloween or simply come as you are (scary!) for a Halloween party featuring the music of Set in Stone. A costume contest will feature prizes for best costume. Renegade @ Eichman’s Saturday, October 26, 9 P.M. Classic rock trio Renegade rocks the Saturday night Halloween party at Eichman’s on Highway 52 North from 9:30 p.m. to 1:30 a.m. Come for the party; stay for the prizes! Taste Like Chicken @ Dirty Ernie’s Saturday, October 26, 9 P.M. Dirty Ernie’s in downtown Farley sounds like fun and will no doubt look like a Halloween party when Taste Like Chicken gets the ghoulish groove on Saturday night from 9 p.m. to 1 a.m. Buzz Berries @ Budde’s Saturday, October 26, 9 P.M. Budde’s Bar & Grill in Key West hosts a Halloween dance party the likes of which only party band the Buzz Berries can inspire. The band starts precisely at 9:15 p.m., or so it has been reported. The dancing starts at immediately! Firewood Revival The Cornerstone, Galena Saturday, October 26, 9 P.M. The Cornerstone on Main Street in Galena celebrates the Halloween weekend with the Firewood Revival, that loose collective of alt-country songwriters and roots rock musicians so talented, it’s scary! While the Firewood Revival will provide the tunes (from about 8 p.m.), Cornerstone owner and resident mixologist Lehn will provide the tasty libations for the party. Costumes are of course, encouraged as the Galena Halloween Parade will pass right by The Cornerstone’s front window. We suggest getting to Galena early to get a parking space and then parking your butt on a bar stool at The Cornerstone. Mr. Obvious @ Elk’s Lodge, Platteville Saturday, October 26, 9 P.M. Put on your scariest costume and your best dancing shoes and get ready for a frightfully good time at the Elk’s Lodge Halloween Costume Party! There will be ghosts and goblins and goodies galore along with the grave-stompin’ groove laid down by Mr. Obvious from 8 p.m. to midnight. Prizes will be awarded for the best costumes, so now’s the time to get started on your wicked wardrobe. Don’t miss a ghoulishly good time – mark your calendars (in blood, of course) for a night of demonic dancing with Mr. Obvious! Full Code @ Dickeyville Fire Dept. Halloween Dance, Sunset Lanes Saturday, October 26, 9 P.M. The Dickeyville Fire Department hosts a Halloween Dance at Sunset Lanes featuring the classic rock of Full Code from 9 p.m. to 1 a.m. Lonely Goats @ Sandy Hook Tavern Subday, October 27, 9 P.M. The Sandy Hook Tavern stakes a claim on the “Sunday Funday,” hosting a Halloween Party with dance provocateurs The Lonely Goats playing from 6 to 10 p.m. The Goats will likely pull out their annual Halloween song list to get the party started and the Hook will have prizes for both the “best” and “worst” costumes, with contest judging at 9 p.m. Easy Street Thursday, October 31, 9 P.M. Easy Street reanimates the monster party from Saturday night on the “real” Halloween with howling mad drink specials like $1 draws and $2 microbrew mugs to get things started and a costume contest that awards the winner a free keg party from Easy Street! Super Happy Funtime Burlesque @ eronel Thursday, October 31, 9 P.M. eronel steps up for Halloween with the return of Super Happy Funtime Burlesque. Utterly unique and unclassifiable, the 12-member production is all at once a live band, an original work of musical theater, a comedy show, a bawdy and sexy burlesque production, a giant ball of chaos rolled up into one neat little production that has been leaving jaws on the floor for nearly a decade. Designed to find your line and cross it, SHFB fancifully and musically deconstructs taboos and convention; making light of politics, the sexes, and religion using original music that backs up a cast of playful and beautiful burlesque dancers. Trick or treat! Halloween Warm-Up Riverboat Lounge Thursday, October 31, @ 7 p.m. The Riverboat Lounge hosts a “Halloween Warm Up” party for those trying out their costume for later in the night or later in the week. Wear your costume and get your drink half price! The Riverboat Lounge hosts a DJ dance party on Saturday night as well. The Lonely Goats @ Grape Escape Saturday, November 2, 8 P.M. Miss Kitty’s Grape Escape in “Uptown” Galena (at the far end of Main Street) hosts a Halloween costume dance party with The Lonely Goats from 8 p.m. The Goats will be adding some special Halloween songs to their usual eclectic list of dance music and prizes and drink specials just add to the fun. Becky McMahon Thursday, October 31, @ 7 p.m. Stone Cliff Wine and Beer Bar Singer Becky McMahon leads a special Halloween night karaoke party at Stone Cliff Wine and Beer Bar in the Star Brewery at the Port of Dubuque from 7 to 11 p.m. A costume contest and drink specials add to the fun. We suggest you dress as the musical artist whose songs you will be performing! “Cheers” Halloween Party Dubuque Driving Range Thursday, October 31, @ 7 p.m. The Dubuque Driving Range hosts a Halloween costume party with a unique theme. Guests for the “Cheers” Halloween Party are encouraged to dress as their favorite character from TV show Cheers or if you prefer, a character from another TV show! The party starts at 7 p.m. Mississippi Moon Bar & 365ink host Halloween at Club 84 Thursday, October 31, 8 p.m. Mississippi Moon Bar @ Diamond Jo Casino See full details of this party on page 31! eronel Friday, November 1, 9 p.m. Rocking the post-Halloween weekend, eronel hosts a dance party on Friday night. If you haven’t yet destroyed your costume (or if you have another look to inhabit) arrive in costume and get a discounted cover charge! Riverboat Lounge @ Hotel Julien Saturday, November 2, 9 P.M. The Riverboat Lounge at the Hotel Julien is a DJ dance party every Saturday night, this one just happens to be a Halloween costume party as well. $2.75 rail drinks and bottles of domestic beer should get the party started. Beach Party of the Damned with Surf Zombies Jumpers Sports Bar & Grill Saturday, November 2, 9 P.M. Jumpers’ second Halloween party wraps up the weeklong celebration with the Beach Party of the Damned featuring the Surf Zombies. In addition to the rockin’ surf music of the Surf Zombies, the Beach Party of the Damned will feature a second costume contest with $200, $100, and $75 prizes, and even more Jumpers drink specials. Surf’s up … if you dare! 6th Annual A&B Automotive Road Ragin’ Hot Rod Show With Menace Sandy Hook Tavern Saturday, October 19 Hot rod and muscle car fans will want to mark their calendars for the 6th Annual A&B Automotive Road Ragin’ Hot Rod Show scheduled for the afternoon and evening of Saturday, October 19. Moved in recent years to the fall, the Hot Rod Show co-sponsored by A&B Automotive and the Sandy Hook will feature loads of classic and custom cars, vintage and modern muscle, and all kinds of motorcycles. The show starts Saturday afternoon (the Hook opens at noon, so all are welcome any time after that) with cars and bikes “cruising in,” stretching into the evening to be capped off by a performance by hard rock and metal masters Menace from 10 p.m. to close. MOVIE BUZZ Director Alexander Payne (About Schmidt, The Descendants) will produce an adaptation of The Judge’s Will, Ruth Prawer Jhabvala’s final New Yorker piece about a Delhi judge who, fearing his life is drawing to an end, must tell his beautiful young wife that his lower-calls mistress is in his will. Peter Dinklage is attached to star in an untitled comedy Paramount about a man who tells people he is a true leprechaun. Bourne Identity and Jumper director Doug Liman is in talks to helm Narco Sub, initiated by the late Tony Scott. It’s based on the use of semi-submersible watercrafts to smuggle cocaine. Jett Lucas says that dad, George, is still “constantly talking with J.J. Abrams,” and that may well be because Episode VII is still based on Lucas’s story that was about half way through when he sold to Disney. Focus and Universal are reportedly in talks with Jennifer Ehle to play the role of Anastasia’s Southern mother, Carla, in their adaptation of Fifty Shades of Grey. Ehle joins the already-cast bondage-loving leads Dakota Johnson and Charlie Hunnam. The actress recently appeared in Zero Dark Thirty and will soon be seen in RoboCop, and was in the 1995 Pride and Prejudice miniseries with Colin Firth. Reese Witherspoon will star in Happily Ever After for Disney from Don’t Trust the B---- in Apartment 23 creator Nahnatchka Khan. The high-concept idea picks up a decade after the events of an archetypical fairy tale, following up to see where the prince and princess are now. Tom Clancy has left us, but Jack Ryan lives on it in Shadow Recruit. Star Trek’s Chris Pine is reincarnated as the latest Ryan, sent to Russia to stop the evil Kenneth Branagh. Keira Knightly and Kevin Costner also star. Look for the trailer online. How We Find Out by pam kress-dunn Families are funny. Just when you believe that everybody’s clan celebrates birthdays by playing miniature golf, and everybody sings “For He’s a Jolly Good Fellow” at funerals, the way your family does, you find out that the folks next door do it differently. Some of those rites and rituals are surface things. Others denote a deeper difference. Take the family of my ex-husband, Chris (please). To say they had some problems is the understatement of the year. You can say those problems have caused a lot of pain and grief for my children, too. One of the ways a family reveals its true colors – and here I’m talking about not just Mom, Dad, and the Kids, but the whole extended smorgasbord, from snarky cousin Sue to that sweetheart Uncle Ned – is how the news is spread of a death in the family. Some workplaces set up calling trees as a means of getting news out efficiently, but I doubt any family has a plan that rigid. (My dad might have liked that idea; I kind of do myself; I am definitely my father’s girl.) When your parents are alive, it’s usually one of them who calls to say Aunt Betty has lost her battle with that awful disease. Once your folks are gone, you can only hope someone else will include you in the phone tree, especially if you’ve moved away from the homestead. My grandpa, the only one I knew, died while I was living in Colorado, after I’d separated from my first husband. Mom called, and it was sad, but not unexpected. He was 95, living in a nursing home. I couldn’t make the funeral, but I did tell my kids, who were only four and seven. I described their Great-Grandpa as best I could, hoping a memory would sprout so they could know what they’d lost. “Remember the big back yard, with the apple trees? I think I have a picture of you guys throwing green apples!” A little spark lit in their eyes. I was paying attention to Allison, because she was the oldest. Daniel was only four, and what does a four-year-old know of death? I learned my lesson that day, as my daughter and I turned to Daniel, who had burst into tears. Oh, I thought, gathering him to me. I guess a four-year-old does know something about death. To this day, family is very important to him. Years later, when my cousin Mary’s 17-year-old daughter Jolee was killed in a car wreck, it was my Aunt Maureen who called. I’d never met Mary’s kids, but I was stricken. Of course I drove down to the funeral. Jolee’s white coffin was strewn with messages written with a black magic marker, tortured farewells from her bewildered friends. After my parents were gone, I ended up relying on my sister, Bonnie. She may have an IQ of 70 and more than one psychiatric diagnosis, but she can read, and she always scoured the obituaries. It was Bonnie who called to tell me about Uncle John. Bonnie took these losses hard. She always ended up in the hospital’s psych ward after a family death. I thought it was a good thing when she had to move to Keokuk, to one of Iowa’s few nursing homes for people with mental health disorders. Now she couldn’t read the Quad City Times. Now I could keep the distressing news from her. She wouldn’t have learned of the deaths in my late ex-husband’s family, since they’d all moved far from Davenport. Chris had a father, a mother, three siblings, and one aunt and uncle, plus three girl cousins. That was it. We learned Chris had died when his brother David called. After that, only one of those sibs kept in touch, and only with my daughter. Aunt Catherine was her Facebook “friend,” a term I use very loosely. So that’s how Allison figured out that Grandpa Jack had died, when Catherine wrote a her cryptic Facebook message: “Allison! Call your Grandma Jean right now!” She did not. As grandparents, Jean and Jack left a lot to be desired. I can forgive them their alcoholism – it’s a disease; it’s excruciatingly hard to get sober – but not the way they picked on my kids when they were drunk. Just so, it was through Facebook that Allison figured out her Grandma Jean was gone. Some friend of her Aunt Catherine’s posted, “Are both of your parents still alive?” and she answered, “No.” Allison called me, and in a flurry of web surfing, we found an obituary from January. Why did no one call, or email? Maybe they were angry that we seemed to ignore Jack’s passing. In Jean’s obituary, we learned of another loss, when it said she was preceded in death by her sister Kay. Now that was someone we would miss. While we were at it, I looked up my Aunt Genevieve, widow of my father’s older brother. I found her months-old obituary, and wondered why no one had told me. Maybe they tried; maybe they’d lost my address, and couldn’t remember my new husband’s name. Aunt Gen was wonderful, and I regret missing her funeral. If only I had known. I forgive them. I’m certain they wanted to reach me. Our family had its share of dysfunction – name me one that doesn’t! – but there was a lot of love and care mixed in. Now I have only one aunt left, and all my uncles are gone. It’s news I work hard to keep from my sister. As far as she knows, no one has died since she moved away. I like being able to keep these good people, such a part of our lives growing up, alive for her, forever. -firstname.lastname@example.org Family Movies @ Your Library NICC/Peosta, Thursday, October 17, 6:30 p.m. 3rd Thursday of the month: “Oz the Great and Powerful”, Rated PG. Popcorn will be provided. No registration required. GAB Book Discussion NICC/Peosta, Thursday, October 17, 6 p.m. “Half the Sky” by Nicholas Kristoff; copies available on request. American Girl Book Club Farley/Drexler Branch, Saturday, October 19th, 10:30 a.m. - Noon Peosta/NICC Branch, Thursday, October 24st, 6-7:30pm Explore the world of the American Girl, Molly. Read the book, Meet Molly to learn about time period in which she lived. Computers 202 Epworth, Monday, Oct., 21, 1 - 2:30 p.m. A continuation from Computers 101. We will examine word processing, publishing & data base usage. Author Visit Asbury - The Residences, Wednesday, October 23, 4 - 5 p.m. Peosta/NICC, October 29, 10 - 11 a.m. Come meet a local author, Art Huinker. His book “Small Man, BIG Heart” shares his experiences in the world of baseball. Movie Night Epworth, Thursday, Oct. 24, 7 - 8:45 p.m. “Much Ado About Nothing” (2012) PG-13. iPad 101 eReader Workshop Asbury, Friday, October 25, 10 -11 a.m. iPad 101 and/or 102 workshop (November 9th, 3-4pm). Bring your own iPad with WiFi capability, Dubuque County Library card and Apple user ID. ‘The Final Destination’ – Parade Party Asbury Branch, October 25, 7 - 8:30 p.m. Stop in for a prize and check out a spooky story after the Asbury Halloween Parade. (See Page 29!) Cemetery Walk 2 - Epworth Highview & St. Patrick Cemeteries - Epworth Branch/Historical Society Monday, October 14th, 5-7pm, Reception follows @ the branch, 7 - 7:30 p.m. Explore the local history of the area with a walk through the past via the headstones of community leaders. (See page 28) Five Convenient County Locations... Same Great Service! \| Location \| Address \| Phone \| \|----------------\|--------------------------------\|----------------\| \| Asbury Branch \| 5900 Saratoga Plaza, Suite 5 \| 563-582-0008 \| \| Farley/Drexler Middle School \| 405 3rd Ave. N.E. \| 563-744-3371 ext. 5160 \| \| Epworth \| 110 Bierman Road S.E. \| 563-876-3388 \| \| Holy Cross \| 895 Main Street \| 563-870-2082 \| \| NICC / Peosta \| 8342 NIICC Drive \| 563-556-5110 ext. 224 \| --- Why Read Machiavelli’s The Prince Wednesday, October 23, 7 p.m. Aigler Auditorium Loras Professor Dr. David Cochran will moderate the book discussion celebrating the 500 years of political influence of Machiavelli’s The Prince. 18+ No registration. Books at circulation desk. The Shining (R) Thursday, October 24, 6 p.m. Free Movies in the Aiger Auditorium This classic horror flick starring Jack Nicholson is based on Stephen King’s novel. Rated R. Admission is free, but seating is first-come, first-served. Artemis: Spaceship Bridge Simulator Saturday, October 26, 2:30 - 4:30 p.m. Aigler Auditorium Enjoy playing this multiplayer, multi-computer networked game for Windows computers and iOS and Android devices. Players assume the roles of the captain and bridge crew of a starship. --- Never Underestimate WillPower Attend a FREE, one-hour informational session on preparing your will. October 2013 is Make a Will Month All sessions are open to the public. - Sunday, October 27: 2:00 pm Carnegie - Stout Public Library, 360 W. 11th Street, Dubuque. - Tuesday, October 29: 6:30 pm Carnegie Stout Public Library, 360 W. 11th Street, Dubuque. Win dinner for two at the Champagne restaurant and a show for two -- at Mystique Casino! We’ll tell you how when you attend one of the above Make a Will sessions. Take advantage of this weather! After enjoying all fall has to offer the past few days, it’s hard to believe that winter weather could be just weeks away. Don’t let mother nature catch you off guard. Take advantage of the beautiful temperatures and do a little preparation that will make winter feel less agonizing. Indoors: • Weatherstripping should be used to make sure drafts don’t make heating your home a challenge this winter. • Install plastic on any poorly insulated windows and doors. Many kits available make this an easy process. Tip: Be sure to lock those windows prior to sealing them. • Change your furnace filter. I like the Ace Brand pleated filters which helps minimize the dust throughout your home. Outdoors • Prevent critters from entering your home by resisting the temptation to open garage doors and other doors that open to the outside for any period of time. • Walk around your home and fill in any potential cracks or holes that might encourage mice from entering. I recommend using Geat Stuff Pest Block, a pest foam that is specifically designed for this purpose. • If you haven’t already, make sure your snow blower is tuned up and ready for use. • If you don’t have frost proof exterior faucets, be sure to drain them properly to prevent cracking the lines. • Be sure to fertilize your lawn one last time. It will make a huge difference come spring. Tip: For your final mowing, mow your lawn a little lower than usual to prevent voles from burrowing and causing damage. • Prior to a hard frost, be sure that your garden has been recently watered. This will not only help late blooming plants like mums handle the frost but will also help other plants prepare for the long winter. • Plant fall bulbs. Now is the prefect time to plant and your hard work will pay off when you crave color the most. • While raking don’t forget about the leaves that may collect in your gutters. • Install heat tape to prevent ice damming from forming. If you already have heat tape installed, check that it is in good working order. • Buy some ice melt or rock salt to have on hand for those early frosts. Parsnips with nutritionists Megan Horstman & Amber Jaeger Parsnips are a root vegetable that closely resemble a carrot in shape, but taste more like a sweet potato. The vegetable is usually grown in northern climates where the weather is cooler. Interesting Facts Parsnips are sweetest after a frost. In Europe they were used to sweeten jams and cakes before sugar became widely available. How to Select Parsnips have year-round availability, but are in-season from mid-August through March. At the end of their season (February/March) they can have a woodier center, which no amount of cooking can soften. It’s best to buy fresh parsnips in the late fall through early winter months. Choose parsnips that are firm and dry without pits. The smaller vegetables may be more flavorful and tender. How to Store Refrigerate parsnips unwashed in an unsealed bag for up to three weeks. How to Use Parsnips are usually eaten in a cooked form and are rarely eaten raw. Parsnips can be combined with other root vegetables, sprinkled with olive oil and roasted for a side dish. They can also be added to stews or soups to bring out a sweet flavor, or be pureed and added to broth as a base for a soup. In addition, parsnips can be steamed, or sliced into chips and baked. Freezing Parsnips can be preserved in the freezer easily. Wash, peel and cut the parsnips. Blanch for two minutes, place in freezer-safe containers and freeze. Nutrition Benefits Parsnips contain high amounts of potassium, which aids in blood pressure control. They also contain high amounts of folate (folic acid), a B vitamin that helps the body make healthy new cells. Parsnips also shine as a good source of fiber, which helps keep you full and aids in digestion. Try the recipe below for a quick, filling side dish at any family meal. Harvest Vegetable Salad Recipe from fruitandveggiesmorematter.org (Serves 4) All you need: 2 cups romaine lettuce 1 cup cilantro leaves 1 cup coarsely chopped peeled parsnips 1 cup coarsely chopped peeled carrots 1 cup coarsely chopped peeled turnips ¼ cup lime juice ½ tsp grated lime zest 1 tsp sugar ¼ tsp chili powder 1 tbsp olive oil All you do: • Boil 1 quart of water. Combine lettuce and cilantro and divide onto 4 plates. • Place parsnips, carrots and turnips into boiling water. Return water to a simmer; cook vegetables for 2 minutes. Strain into colander. • Mix lime juice, lime zest, sugar, chili powder and olive oil to make dressing. • Place hot vegetables on top of greens and top with homemade salad dressing. Serve immediately. Nutrition information (per serving): 90 calories, 4 g fat (0.5 g saturated fat), 1 g protein, 14 g carbohydrates, 4 g fiber, 24 mg sodium; each serving is an excellent source of vitamins A, C and K, and a good source of fiber, folate, manganese and potassium. The Hunt For Tom Clancy By Bob Gelms Noted author Tom Clancy died October 1st. I’ve read probably 20 obits and they all say about the same thing. ‘Thomas Leo ‘Tom’ Clancy (April 12, 1947 – October 1, 2013) was an American author best known for his technically detailed espionage and military science storylines that are set during and in the aftermath of the Cold War, along with video games which bear his name for licensing and promotional purposes. Seventeen of his novels were best-sellers, with over 100 million copies in print. His name was also a brand for similar movie scripts written by ghost writers and many series of non-fiction books on military subjects and merged biographies of key leaders. He was a part-owner of the Baltimore Orioles and Vice Chairman of their Community Activities and Public Affairs committees.” The book was made into a taut cold war thriller in 1990 starring Sean Connery as Cpt. Vilnius, Alec Baldwin as Jack Ryan, and James Earl Jones as Adm. James Greer. It also featured Sam Neill, Scott Glenn, Jeffery Jones and future Senator from the great state of Tennessee Fred Thomson. Wikipedia states, “There were several differences between the novel and the film, including the Red October traveling up the Chesapeake Bay and near Tom Clancy’s Calvert County waterfront home, and the prominence of the Royal Navy, including light aircraft carrier Invincible. The order of many events also has been changed. In the film version, the ‘Caterpillar Drive’ is described as a magneto hydrodynamic system, essentially, ‘a jet engine for the water.’” The movie was a critical and box office smash and Clancy was on his way writing many books in the techno thriller genre featuring Jack Ryan to great success. The book contains long passages describing how a submarine works or what this or that system does. Now in the business of writing it is not recommended that you utilize long descriptive passages of any kind. It’s better to show that to tell. Clancy made it all work. For some reason he was able to engender in his reader a thirst for that kind of knowledge that never faded away. He came to be known for it and all the other writers in the genre followed right along. I went hunting for The Hunt for Red October and I can’t seem to find it anywhere in my library. I haven’t read it for a long time and I think now is as good a time as any to re-read one of the best cold war novels ever written. JAMES BOND The new James Bond novel is called Solo and it was published just a few days ago as you read this…more on that book in a future issue of 365ink. THE INVISIBLE MAN If you read this column in the last issue, you will already know that Ralph Ellison’s great novel The Invisible Man was banned in all the schools in Randolph County North Carolina by the school board there. I am happy to report that the school board got so many heated emails, phone calls, letters, and personal communications over this issue that they have decided to lift the ban on the book. Way to go Randolph County. Don’t anyone tell them about Huckleberry Finn. Encourage Others by matt booth I was the starting middle linebacker on our high school football team. Weighing in at only 140 pounds, I was small and overmanned. I will never forget what our coach said at halftime during the game against one of our rivals: “If everybody plays as hard in the second half as Booth did in the first half, they won’t know what hit them!” Talk about affirming a young man in front of his peers. In the second half, I played even harder than ever before, so hard that I threw up on the sidelines. • Love – Tell others you love them. When they feel loved, they are encouraged. • Time – Spending time with someone is so close to being loved that they are almost indistinguishable. • Appreciation – Expressing thanks and praise encourages others. No one will ever get tired of you thanking them. Although my high school football days are long gone, encouragement like what my coach did 25 years ago still inspires me to do my best. I gave a presentation a couple of weeks ago to an assisted living association and the person who hired me came up to me before the program and said, “I know you haven’t started yet, but I want to tell you that you were engaging, energizing and just the perfect thing our attendees needed to start the morning, thanks!” The program was all that and a bag of chips because nothing inspires a person to take action like encouragement. Having encouraged thousands of people over the years, I have discovered that everyone wants to have hope. They want to believe that tomorrow will be better than today. Encouragement is often unknowingly delivered right smack in the middle of life’s storms. People who are encouraged rediscover their hope for the future. People are craving for someone to say, “I’m so proud of what you are doing, you make this world a better place to live in.” Here are four ways to encourage others: • Acceptance – There’s not a better way to encourage others than by accepting them for who they are. Mattitude Quote “Always be asking, what is my attitude towards myself and what is my attitude towards others?” - Matt Booth Engaging keynote speaker, Matt Booth, is the attitude expert. He is an Award-winning speaker and author. Through his keynote speeches and training programs, he educates and entertains audiences with his unique abilities and talents. To find out how Matt can help you improve your attitude, call 563-590-9693 or email email@example.com. Dear Trixie: I feel like killing myself. My home life is unsatisfactory and nobody in my family including my husband seems to notice. I am sick and tired and depressed and suicidal. My friends ignored me when I tried to explain the giant empty hole that is growing in my soul and threatening to eat me whole. I get no pleasure from any of life’s activities—even the ones I used to enjoy doing like riding a bike, hiking in the woods behind my house and swimming. I can’t sit down and read a book or concentrate on a movie and all I want to do is not look at people and cry. What am I doing wrong here? - Down and Out Dear Down and Out: Most people say things like, “I wish I were dead” about a thousand times a week. That’s why nobody is paying any attention. So your home life is “unsatisfactory”? That is how EVERYONE’s life is. How do you expect people to take you seriously unless you actually show them how dissatisfied you are? Start with poetry, write somber prose or if you can’t express yourself in that form leave Sylvia Plath books and biographies of famous people who killed themselves lying around with notes in the margins in bold black marking pen that says things like, “GOOD IDEA” and “I AM DEFINITELY TRYING THIS”. If you are still ignored then move up topainting. Try abstract pieces and give them titles like, “What it feels like to wish you were dead”. Then try interpretive dance. Stage impromptu recitals at family wedding receptions or at your job. I recommend flinging yourself bodily into furniture or down long staircases to music while screaming. Eventually someone will have you committed for annoying them. Dear Trixie: My husband and I have voted Republican for the last few years. About 4 months ago he left me and we can’t find him to get any child support. I dropped out of college and worked to put him through his MA program. Now I am a single mom with 2 little kids under the age of 2 and had to actually go on the WIC program to help pay for milk, formula and fresh vegetables and fruit for my children. I am a receptionist for a politician and even with that salary I needed that WIC program. I know I could probably qualify for housing and food stamps but as a Republican it is all I can bear to accept the milk and stuff from WIC. Now I am being laid off indefinitely because of this government shutdown. Trixie, I don’t know what to do. Can you suggest an occupation that pays well but one where I could get immediate employment without a college degree? - Desperate Mom Dear Desperate Mom: Yes. Prostitution or drug dealing. Dear Trixie: Have you seen the size of the new Snicker’s Miniature candy bars? Why, they are half the size they were last Halloween and they cost twice as much this year. Why, you can’t even fit a razor blade inside of them anymore. Help! I am on a fixed income. - That Nice Old Man Down The Street Dear Nice Man: If you buy carpet tacks in bulk you can save almost 78% as opposed to buying razor blades. Carpet tacks fit nicely in apples and cookies as well. Happy Halloween. Aries 3/21-4/19 If people seem a bit more stubborn and emotional than usual, try helping out by writing a pamphlet about positive mental attitude, publishing several hundred copies, and then throwing them all away before locking your keys in your car and walking home forever. Taurus 4/20-5/20 This isn’t the time to contemplate whether or not you should be more gracious in social situations. Just talk less and try not to listen to the voice in your head that tells you that you won’t get arrested for dressing up like a candy bar and trying to sneak yourself into the movie theater. Gemini 5/21-6/21 If you’ve got a hunch, it’s time to act. Get out of bed, look in the mirror, and cry about someone blocking you on Twitter. Cancer 6/22-7/22 Brian’s adopted brother is killed when he discovers that the shop he works in sends weapons to Vietnam instead of medications. To the police it looks like suicide, but Brian knows better so he skates off to investigate the murder himself. Your lucky number is 33. Leo 7/23-8/22 You have all the information you need to justify buying a fishbowl shaped like a rack of ribs. Make sure you’re getting the attention you deserve for being an insufferable bore pretty much all of the time. Virgo 8/23-9/22 Perhaps people have less patience with your opinions on dreadlocks than they used to. This is not their fault. Libra 9/23-10/22 This is a very opportune time for you to say hello to strangers, have them mishear you, and bite you in the fleshy part of your arm or leg. Don’t forget that random kindness is usually a nuisance. Scorpio 10/23-11/21 Opportunities are abundant, but only if you take time away from misspelling crude insults in eBay messages and think about talking to an organic person every once in awhile. Sagittarius 11/22-12/21 Get into the action by reading all the labels of things under the sink and figuring out the best one to use for bleaching your soul. Let your emotions shine, and if others think you’re being a nightmare, think of a poem about nature and then go live there until something eats you. Capricorn 12/22-1/19 If you spent as much time doing the dishes as you did worrying about how Latino you can act without being racist while singing a song from West Side Story, things would probably be a lot easier for you. Aquarius 1/20-2/18 Unless you want to eat the leftovers of someone else’s dreams, it’s probably not a good time for much of anything right now. Pisces 2/19-3/20 If it feels like nobody’s listening. --- Regina Voss Book Signing Friday, October 11, 5:30 - 6:30 p.m. River Lights Bookstore Author Regina Voss visits River Lights Bookstore at 1098 Main St. in downtown Dubuque on Friday, October 11 from 5:30 - 6:30 p.m. to sign copies of her new work “We Never Travel Alone, A Collection of Essays on Journeys Near and Far”. In her insightful new collection, Voss combines nature, memoir and history, balancing it all with her travels in the present. It has been called “a delightful mix of travel detail, place, self history and research.” Jennifer Chiaverini Author Talk & Book Signing: Monday, October 14, 7 p.m. Carnegie-Stout, Agler Auditorium New York Times bestselling author Jennifer Chiaverini of the popular Elm Creek Quilts series and the historical novels, Mrs. Lincoln’s Dressmaker and The Spymistress, will speak. After her presentation, Ms. Chiaverini will sign copies of her books which will be available to purchase. Free tickets, available in advance only, will be required to attend this event. --- Conceptis Sudoku By Dave Green \| \| 1 \| 6 \| 9 \| \|---\|---\|---\|---\| \| 9 \| 3 \| 1 \| 7 \| \| 4 \| 6 \| 2 \| 4 \| \| 3 \| 1 \| 8 \| 7 \| \| \| 9 \| 9 \| 2 \| \|---\|---\|---\|---\| \| 8 \| 9 \| 7 \| 5 \| \| 5 \| 7 \| 3 \| 6 \| Difficulty Level ★★★★☆ ©2013 Conceptis Puzzles, Dist by King Features Syndicate, Inc. --- Sudoku Answers \| \| 3 \| 1 \| 4 \| 6 \| 7 \| 5 \| 9 \| 8 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 9 \| 6 \| 5 \| 2 \| 8 \| 7 \| 1 \| 4 \| \| 7 \| 4 \| 8 \| 5 \| 9 \| 1 \| 6 \| 3 \| Crossword Answers \| \| \| \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| --- www.Dubuque365.com GAME DAY WEEKLY SPECIALS SUN, MON & THUR DURING NFL GAMES $6 DOUBLE CHEESEBURGER BASKET $4 KICKEN ‘A’ SIGNATURE DRINK $2 DRAFTS SAT DURING COLLEGE GAMES 11AM-7PM (2) 16OZ BUD, BUD LIGHT OR BUSCH LIGHT CANS AND ONE TOPPING PIZZA FOR $15 UPCOMING ENTERTAINMENT TICKETS ON SALE NOW! AVAILABLE AT MYCLUB OR ONLINE MYSTIQUEDBQ.COM DEAN NAPOLITANO OCTOBER 25 & 26 AT 8PM DEAN NAPOLITANO HAS BEEN SEEN ON THE SMALL SCREEN IN A VARIETY OF SHOWS ON VARIOUS NETWORKS. HIS TV CREDITS INCLUDE, THREE RIVERS, WHAT ABOUT BRIAN (ABC), HEROES (NBC), LAS VEGAS(NBC), THE SHIELD (FX) PASSIONS (NBC), GHOST DOG (PAX), FROM THE EARTH TO THE MOON (HBO), MYSTERY FILES OF SHELBY WOO (NICKELODEON), SAFE HARBOR (AARON SPELLING PRODUCTIONS), VAMPS (VICTORY PRODUCTIONS) AND MANY MORE. HUNKS THE SHOW NOVEMBER 1 & 2 AT 8PM DOORS OPEN AT 7PM LADIES, MARK YOUR CALENDARS... THE MEN OF LAS VEGAS ARE RETURNING! THE PARTY STARTS EARLY WITH THESE GUYS, AND WILL CONTINUE AFTER THE SHOW IS OVER! JOIN US FOR HUNKS THE SHOW HALLOWEEN STYLE! LIVE DJ FOLLOWING THE SHOW, COSTUMES ARE ENCOURAGED.
This is a repository copy of Getting close to clothes: Using material objects to rethink the creative geographies of post-war London fashion. White Rose Research Online URL for this paper: http://eprints.whiterose.ac.uk/140099/ Version: Accepted Version Article: Bide, B (2019) Getting close to clothes: Using material objects to rethink the creative geographies of post-war London fashion. Area, 51 (1). pp. 35-44. ISSN 0004-0894 https://doi.org/10.1111/area.12407 © 2017 Royal Geographical Society (with the Institute of British Geographers). This is the pre-peer reviewed version of the following article: Bide, B (2017) Getting close to clothes: Using material objects to rethink the creative geographies of post-war London fashion, which has been published in final form at https://doi.org/10.1111/area.12407. This article may be used for non-commercial purposes in accordance with Wiley Terms and Conditions for Use of Self-Archived Versions. Reuse Items deposited in White Rose Research Online are protected by copyright, with all rights reserved unless indicated otherwise. They may be downloaded and/or printed for private study, or other acts as permitted by national copyright laws. The publisher or other rights holders may allow further reproduction and re-use of the full text version. This is indicated by the licence information on the White Rose Research Online record for the item. Takedown If you consider content in White Rose Research Online to be in breach of UK law, please notify us by emailing email@example.com including the URL of the record and the reason for the withdrawal request. Getting close to clothes: Using material objects to rethink the creative geographies of post-war London fashion Bethan Bide This work was supported by an AHRC CDA in conjunction with the Museum of London (grant number AH/L003430/1). Acknowledgements This research owes a large amount to discussions with Beatrice Behlen about reading the materiality of garments and to David Gilbert for his guidance on fashion cities and the role of objects within them. Thanks are also due to Ruth Slatter and the anonymous referees whose clear and thoughtful comments provided new ideas and perspectives. Abstract Getting close to clothes provides new perspectives on the geographies of fashion cities and the processes and collaborations by which they function. Taking the history of London’s garment industry in the post-war 1940s as a case study, this paper traces the major stages of the making process of clothes – pattern making, cutting, machining and finishing – through four garments from the Museum of London’s fashion collection. By understanding these material fashion objects as processes, it uncovers the hidden stories of historic garment workers through the tiny clues left in old stitching, revealing the creativity of the individuals who made them and how they contributed to the creative cultures of the historic fashion city. This study of material processes shows how individual makers shaped garments and contributed to a creative culture that played a vital role in London’s growing post-war reputation as a fashion city. It also broadens the boundaries of London as a fashion city beyond the confines of the West End by revealing that a network of workrooms and factories across the city supported this centrally located cluster of fashion businesses. Having established the historical role of making in the creative cultures of London fashion, this paper concludes by questioning how future studies of contemporary fashion cities might look to material objects in order to reconsider the creative agency of subcontracted garment workers in the new international division of labour and the contributions they make towards the symbolic reputations of major fashion cities, in spite of geographical distances. Keywords creativity, fashion, globalisation, historical geography, making, material culture Amid the uniform rows of rolling stacks in the museum store, I unzip a white Tyvek garment bag. The dress revealed on the hanger beneath looks similar to many others in the collection. There is nothing unusual about the fabric or the cut. Made in 1948, its full skirt and colourful stripes make it a typical example of a cotton sundress from this period, one of many mass-produced by London factory workers remembered only as statistics. But turn it inside out and look at the seams. Note the neatness of the stitching and the slightly wonky hand finishing in hard to reach corners. See where the seam meanders slightly near the hem—a momentary lapse of concentration from the machinist, but not a big enough mistake to unpick and redo. Not when you are being paid by the garment. We encounter clothes everyday but rarely pause to really look at them and consider the processes by which they were made and what these tell us about the people who made them. Close study of the materiality of everyday fashion objects bridges the divide between the front and back room activities of design and manufacture. It allows us to focus in from a broad overview of fashion systems to encounter the makers that work within them—to see the machinist at a workroom bench and the shears in a cutter’s hand (Adamson 2016). As a result, getting close to clothes provides new perspectives on the geographies of fashion cities and the processes and collaborations by which they function. In this paper I propose that studying garments can contribute to more nuanced understandings of historical commodity chains and the development of fashion cities. Using objects from the Museum of London’s fashion collection, I expose the important contribution that 1940s garment workers made to the city’s creative cultures and post-war growth as a symbolic fashion capital. Through this I suggest that using material objects to increase the visibility of historic garment workers might help us see makers in contemporary globalised fashion systems as individuals who make significant creative contributions rather than a homogenous group. Finding creativity in material processes This work draws on established commodity chain literatures (Cook 2004; Leslie 2017) and more recent publications that consider the geographical narratives contained within the processes of making clothes (Hall & Jayne 2016). Garment manufacture has long been a subject of interest to those studying inequality in contemporary commodity chains (McRobbie 1997; Fletcher 2010; Pollard 2013) and interest in making has been piqued more recently by the growing body of work concerned with craft processes (DeSilvey et al. 2013; Thomas et al. 2013). Although crafting has often been considered as an alternative to mass production (Fletcher 2016), this paper builds on work interested in collapsing distinctions between crafting and manufacture (Gibson 2016), considering how literatures of crafting and creativity can be applied more broadly to cultures of fashionable making. Looking at material sources reminds us that fashion is about fashioning, about shaping physical garments as well as designing, imagining, purchasing and wearing. The symbolic status of fashion cities relies upon physical networks of production built around highly skilled garment workers (Gilbert 2006). Numerous studies of agglomerations of fashion-related businesses have demonstrated how small firms engaged in flexible specialisation share knowledge and skills in order to facilitate competitive global fashion businesses (Crewe 1996; Green 1997; Weller 2007). However, these studies do not pick apart individual objects in order to better understand the actual making processes that facilitate these relationships, nor do they adequately explore the full breadth of making process—including mass manufacture—that comprise the activities of fashion cities such as London. Historically, much of this oversight stems from a lack of material in collections and archives that documents fashionable making processes. Makers are particularly absent from the information recorded about objects in museum catalogues, which primarily detail named designers or the location where a garment was purchased or worn. Such labelling ignores many of the transformational processes undergone by an object up to the point of sales as, unless a garment is home sewn, the donor is unlikely to know much about its pre-purchase history. To a certain extent this missing information also reflects the power structures which shaped collections and deemed material concerning the processes of making non-couture clothing and the individuals involved as insufficiently important to include (Steedman 2001, 91; Ogborn 2011, 89). In this paper I demonstrate how lost and hidden making stories might be recovered through the close study of garments. I draw on the methodology of ‘slow looking’, which encourages researchers to make informed speculations about fashion objects using material and contextual knowledge (Mida and Kim 2015), in combination with literature that considers material objects as processes, rather than things containing a single, clear set of information to be read (DeSilvey 2007). Understanding material objects as processual (Gregson and Crang 2010) makes it possible to read multiple narratives of fashionable production in old clothes since these extant objects contain evidence of the numerous different processes that transformed their materiality as they moved from sketch to final product. Building on object-based studies of commodity chains and manufacturing (Cook 2004, 644; Moon 2009, 196), I use the processes of material transformation to track technologies and divisions of labour across the post-war city where possible. Where information is missing, I consider how informed speculation might play a necessary role in recovering the making processes of certain types of commodities. Reading the seams, hems and cuts of a garment as products of numerous different places and individual makers reconnects the material objects to the sites and bodies that shaped them (Gibson 2016). This opens up our understanding of where creativity is located in the processes of fashion manufacture by uncovering new stories of how makers evolved and translated making processes (Patchett 2015). Careful looking at the minute details of fashion objects reveals how garment workers shaped the clothes they made through novel decisions about where to put a seam or which colour thread to use. By acknowledging the agency of individuals to shape objects during making processes—even if only in small ways—this paper evidences the important contributions made by garment workers (whose female, immigrant and working-class voices are too often forgotten) to the creative cultures of the post-war fashion industry. It also destabilises the creative hierarchies of fashion—which place high-end bespoke and couture making above mass-market ready-to-wear—by considering how closely making the latter corresponds with standard definitions of creative practice.$^1$ Post-war change in London fashion Post-war London provides a fruitful setting to study the creative relationship between garment makers and fashion cities because government regulations and the physical disruption caused by the Second World War accelerated London’s transition from a place known for its concentration of highly-skilled garment workers producing high-end fashions to a more symbolic fashion city (Bide 2017). London’s share of U.K. garment manufacturing fell dramatically between 1935 and 1948 by all measures (HMSO 1952, Table 1). This can be traced to both the devastating effect of the Blitz on the garment districts of the East End and rapid growth in mass manufacture prompted by the government Utility scheme, which hit London particularly hard due to the city’s reliance on bespoke manufacturing (Sladen 1995). At the same time, London’s global status as a fashion city was boosted by the damage wartime occupation caused to Paris’s reputation and by the formation of groups such as the Incorporated Society of London Fashion Designers and the London Model House group, dedicated to enhancing London’s international reputation (and increasing exports) through glamorous shows, tours and publicity campaigns (Ehrman 2004). --- $^1$ Ready-to-wear makers producing economically cut products in a novel range of colours and styles clearly demonstrate the ‘originality and effectiveness’ Runco and Jaeger (2012, 92) use to define creative practice. Existing histories of post-war London fashion describe how a new creative energy was brought to the West End when many of the companies that survived wartime losses chose to relocate there from the badly bomb-damaged East End, creating a particularly strong creative cluster (Breward 2006, 21). This written narrative is reinforced by the addresses associated with the manufacturers labels present in extant garments in museum collections. However, Post Office Directories demonstrate that the geographical distribution of fashionable networks was considerably more diverse. The same firms that opened headquarters and showrooms in the West End simultaneously expanded their East End and suburban factories.$^2$ Yet although the number of East End workrooms grew in the late 1940s, the workers in these factories play little part in current narratives of the creative rise of post-war London fashion. To uncover the contributions such individuals made to London’s creative economy, I turn to four garments from the Museum of London’s fashion collection produced between 1945 and 1950. These were chosen to represent the range of making stories contained within the collection and give a snapshot of how different making processes changed during this period. I use these objects to trace the creative role of makers through the four major stages of garment production—pattern making, fabric cutting, machining and finishing—analysing evidence of the historic labour which shaped these items. $^2$ Kelly’s Post Office London Directory 1939, 1946, 1948 and 1950, Guildhall Library. Contextualising this material evidence through research in trade union and business archives allows these garments to challenge the prevailing historical orthodoxies that value and memorialise well-known designer names and famed fashion streets at the expense of acknowledging the creative contributions made by other makers in other places. At first sight each of the four garments discussed seems to adhere to familiar historical agglomerations, with high-end bespoke making located in the West End and low-quality mass-market clothing produced in the East End. However, each provides an example of how London making processes interconnected spatially through practices of outworking and hidden subcontracting, revealing the fluid boundaries and shared spaces of post-war fashion. The processes of making i. Pattern Cutting. The construction of object 45.15 from the Museum of London’s collection (Figure 1) is astonishingly clever. The skirt of this ready-to-wear day dress comprises four panels of fabric, slightly gored towards the hem in order to give shape while using the smallest amount of material possible. Similarly, the careful positioning of the five darts which sculpt the back bodice gives the garment a sense of structural tailoring, imitating more expensive bespoke items. Although convention would call this garment ‘well designed’, in reality these features likely owe more to the considerable efforts of a pattern cutter than a dress designer. Pattern cutting is the process by which an illustrated design idea is translated into a three dimensional object. This highly skilled role involves breaking a design down into component parts that can be stitched together to form a garment, creatively translating a designer’s concept into an innovative and well-functioning fashion object. The creativity of pattern cutters working for wholesale manufacturers such as Messrs W and O Marcus Ltd, owners of the Jersey De Luxe brand, was bounded by economic concerns. Their aim was to create the best possible finished garment in the most economical way possible, minimising the amount of fabric and labour involved in its construction. This made their role particularly important in Britain between 1942-1946 when clothing design was regulated by government restrictions that stipulated the maximum number of pleats, buttons and seams any garment was allowed (Sladen 1995). Object 45.15 reflects the technical understanding of garment construction required to ‘cheat’ this system. For example, the vertical diagonal line that runs from the shoulder seam to the waist of this dress is formed from a fold of fabric that gives the impression of a tuck—a design feature prohibited under the Making of Civilian Clothing (Restrictions) orders—but is in fact a constructional join. The pattern cutter was not only responsible for imagining designs into objects, but also for translating this vision into a practical template that could be understood by a range of machinists. Due to the operational organisation of London’s wholesale manufacturers, patterns were often sent out of the workroom where the cutter was based to the various factories and outworkers who made up the business’s supply network. In this case, while Otto Marcus’s business was run from a central office in Wells Street, in the heart of the West End’s wholesale garment district, the company’s factory was located 350 miles away in Hawick, a town in the Scottish boarders. Examples of the patterns sent from London workroom to Scottish factory still exist, and these rare survivals of industry patterns are covered in notches, line diagrams and scribbled notes—ciphers that reveal the importance of the pattern cutter’s communication skills in facilitating outsourcing. Although the entirety of the company’s production occurred outside of London, the fact they retained their pattern cutters and model makers in a workroom in their West End headquarters is a reflection of the high skill level of London’s workforce. Even at a time when ready-to-wear firms were expanding their mass-manufacture capabilities to out-of-town factories, the back pages of Draper’s Record remained filled with vacancies for pattern cutters in London, demonstrating the central role played by the creativity of London’s practitioners in the growth of British mass-market fashions. ii. Fabric Cutting. Object 67.49, a grey wool coat (Figure 2), was cut with one specific body in mind—that of the purchaser for whom it was created by Harrods’ made-to-measure department. Harrods’s workroom offered a personalised service to customers, who were able to commission garments based on the latest fashions, modified by workroom staff to fit their individual tastes and bodies. Unlike ready-to-wear coats from this period, which rely on tucks and adjustable belts to provide best fit across a range of body shapes, the back of this coat is comprised of six long panels, shaped by constructional seams that are cut to mirror the dimensions of the wearer’s back and waist. This means that the coat needed to fit the wearer --- 3 Marked paper pattern pieces, c. 1945-1950. The Messrs W & O Marcus Ltd. archive at Herriot-Watt University precisely in order to hang properly, requiring the services of a highly-skilled cutter who could translate the numerical measurements of a customer’s body into three dimensions and adapt designs to suit. Although mass-produced ready-to-wear was of growing importance to the fashion industry during this period, the Board of Trade Censuses of Production demonstrate that bespoke items still accounted for a significant proportion of London’s gross output. Crucially, this figure is higher for London than elsewhere in the country (HMSO 1952, Table 5), indicating a concentration of skilled makers in the city. Yet, while the historic agglomerations of Savile Row’s bespoke tailors and Mayfair’s court dressmakers are still well known today, history has largely forgotten the department store workrooms through which a significant proportion of London’s bespoke making was commissioned at this time. Skilled cutters often worked between multiple firms, and many apprentice cutters transferred from the workrooms of famous couturiers to department stores.$^4$ This knowledge sharing meant the creative talents of department store workroom staff were well respected, giving London retailers a competitive advantage over their provincial rivals. Managers investigating the high sales figures attained by Peter Jones’s fashion departments between 1946-1950 found that bespoke workroom orders formed the backbone of fashion sales in the store, with reports $^4$ Membership Records of the National Union of Tailors and Garment Workers. Hackney Archive D/S/24/3/9 indicating that made-to-measure services were popular due to the quality of their output and the creative possibilities they offered for individual customisation.$^5$ iii. Making up. The somewhat sloppy construction of object 67.39 (Figure 3) suggests that this unlabelled dress of unknown origin likely represents the mid-to-low end of London’s garment industry. It is unlined, its seams are unfinished, its hem hastily overlocked and the machine stitching around the back of the neck is distinctly wonky. This dress was put together at speed, most likely by a machinist getting paid per garment, and yet there is creativity even in this time-poor making process. Unlike the new production line factories emerging outside of London, which employed up to 200 machinists, London factories still commonly comprised only 10-20 machines and an individual machinist would often complete the entire construction of a dress. London’s machinists faced rising pressure from out-of-town competition during this period, with well-known brands such Windsmoor closing their London factories and relocating to areas such as South Wales where wages were cheaper.$^6$ Recognising that it was increasingly difficult to compete with the large out-of-town factories and their modern machinery, London’s workforce compensated by offering speed, efficiency and flexibility to firms looking to subcontract work. --- $^5$ John Lewis Gazette 15 May 1948. John Lewis Archive $^6$ Record of disputes by National Union of Tailors and Garment Workers. Hackney Archive D/S/24/4/9 London’s small workrooms and subcontracting factories trained machinists who could respond to industry demands and new fashion trends by turning over orders in a few days (Newby 1985). Machinists were given a great deal of autonomy as to how they translated a pattern and ready cut pieces of cloth into a finished garment, and machinists who succeeded in this environment creatively evolved novel ways to make garments as efficiently as possible.$^7$ Much of the construction of object 67.39 seems to have been done by eye, utilising fast freehand skills rather than laboriously following a carefully marked and measured pattern. This is particularly evident in the uneven pleating at the front of the garment, which looks aesthetically correct but, when measured, reveals that the size of the pleats varies by up to 1cm. The type of piece-work offered to London’s subcontracted machinists was highly varied and rewarded workers who could reinterpret patterns to be made up faster. Although their employment was more precarious than their counterparts in large, unionised factories, this method of working allowed them to develop their skills, often leading to promotion to the higher-paid roles of fabric and pattern cutters. iv. Finishing. Under lights, the visual effect of the panels of dart-shaped embroidery that dominate the front of object 2002.155/2a (Figure 4) is dazzling. Each glass bead has been selected based on the way its size and shape will reflect light and contribute to the overall aesthetic and hand sewn to the fabric. The work of specialist embroiderers, as seen on this jacket, was a time consuming and repetitive process, but one that demanded both skill and creativity. While a designer would specify a type of surface decoration and the shape of the $^7$ An Oral History of British Fashion. British Library 2003-02-28. pattern, it was up to the embroiderer to translate those ideas into specific materials, scale patterns and then decide how those materials were to be applied to achieve the desired look. London’s garment workers were renowned for their embellishment skills. These were nurtured by a mixture of in-house training provided by bespoke workrooms and a concentration of educational establishments including Barrett Street Technical School (now the London College of Fashion), which had a national reputation for producing excellent workroom staff from its three-year training programme. Records from this period demonstrate that its alumnae frequently went on to work in the high-end bespoke workrooms of the West End, including the company which made this jacket—a well-established dressmaking business situated on Whitfield Street in London’s West End called Peggy Lewis & Co.$^8$ However, the type of elaborate embroidery the company was known for was hit hard by the Making of Civilian Clothing (Restrictions) orders, which limited surface decoration, and then by post-war inflation. In response, it is likely that Peggy Lewis outsourced some of the time-consuming embroidery work as a cost-saving measure, making it doubtful whether this jacket was entirely produced in a West End workroom. The number of outworkers and homeworkers operating in London grew in the post-war period after nearly thirty years of decline, providing a cheaper alternative source of labour at a time of rising rents and unionised wage agreements.$^9$ The role played by this hidden network of skilled workers undermines our understanding of --- $^8$ Barrett Street Trade School Prospectuses 1930-1950. London College of Fashion Archive $^9$ London Ladies Tailor’s Union reports on factories and conditions of employment. Hackney Archive D/S/24/3/6 bespoke agglomerations, revealing that the geographies of London’s post-war fashion industry stretched into numerous suburban kitchens and spare rooms all over the city. Connecting past and present making processes London’s post-war fashion producers went to considerable lengths in order to conceal the diversity of their production networks. Successful wholesale manufacturers advertised their new, prestigious West End addresses while simultaneously removing the locations of their East End factories from letter heads.$^{10}$ Smaller bespoke manufacturers sold their products by emphasising the traditions of their West End workrooms without mentioning the army of outworkers who enabled their businesses to function. They believed this deception was necessary in order to capitalise on the growing reputation of the West End as creative centre, revealing the power structures of a fashion system that privileged the cultural capital of well-connected designers, managers and publicists above predominantly working class garment workers. Their efforts have left gaps in the archive that have shaped the way the geographies of London fashion are understood in popular culture to this day. The nature of these archival gaps indicate that the types of companies who produced garments without labels in unrecorded locations likely relied upon the most disenfranchised makers operating in the city at the time. This further emphasises the importance of trying to recover the contribution these individuals made to London fashion by using material objects as sites to $^{10}$ Dispute record for Harris Ltd, compiled by National Union of Tailors and Garment Workers. Hackney Archive D/S/24/4/9. bring together information about known making processes and locations with speculation and imagined spaces. This resulting attempt shows how London’s highly skilled garment workers operated in conjunction with designers as part of the same creative production processes. It draws connections between well-known creative clusters in the West End and Mayfair and a much broader network of workrooms and factories, reintegrating distinctly unfashionable locations such as Walthamstow and Peckham back into the story of London fashion. It also demonstrates how the skills of the city’s garment workers shaped its fashionable output. Since the cultural image of a fashion city needs to be supported by the presence of specialist makers in order to thrive (Scott 2002, 1304; Gilbert 2006, 27), the creativity evident in the making processes discussed highlights the important role played by garment workers in attempts to revive London’s fashion industry following the Second World War. At the same time, the material evidence of the deskilling that resulted from the changing technologies, education and economic systems of the late 1940s can be understood to have diminished the unique making cultures of the city and so paved the way for future outsourcing of production as processes of deindustrialisation took hold in subsequent decades. Understanding the creative role played by London’s garment workers in the past has implications for the way we see the networks of garment workers across the world who support London fashion today. To understand the fashion city in a globalised world, we must strive to know more about the flows of creativity between places rather than just follow the movement of goods. Recent studies of Western fashion cities have focused on activities that have largely resisted offshoring, namely design, promotion and display (Martínez 2007; Rantisi 2004), but this paper suggests that studies of fashion cities should look beyond these local clusters of creativity to consider how creative making shapes fashion in an age of globalisation, where design and manufacturing are increasingly separated by oceans rather than postcodes. Acknowledging how London brands and businesses benefit from the creative skills of workers in other parts of the world has the potential to enhance London’s fashionable status rather than diminish it. Aware that offshore production negatively impacts consumer perceptions of quality and authenticity (Johns and Brenton 2011, 3), some fashion businesses are already experimenting with the way they use place-image in their marketing (Tokatli 2012), hoping that publicising garments as hybrid products of multiple places can positively contribute to brand cultures (Woodward 2016, 54). Incorporating multiple places into their brand stories by combining the value of a symbolic fashion city with the perceived qualities of production methods in a separate location could clearly be beneficial for London fashion businesses. Beyond increasing brand value, understanding how the interconnected nature of historic labour practices shaped London fashion provides a fresh appreciation of the creative contribution that contemporary garment workers make to fashion cities, in spite of geographical distance. Attempts to trace the voices of garment workers through complex supply chains often results in narratives that focus on exploitation and hardship (Crewe 2008, 25). This risks reducing makers to two-dimensional figures only interesting in relation to Northern consumers, rather than significant in their own right (Daya 2014, Pardy 2014). Building on the work of groups such as Fashion Revolution who are already harnessing curiosity about making processes by encouraging consumers to ask ‘Who Made My Clothes?’ (Fashion Revolution 2015), I conclude by suggesting that historical geographies of fashion cities which promote a better understanding of the creative contributions made by makers could be used to attribute greater agency to garment workers operating within the new international division of labour, prompting greater appreciation of their skills and perhaps even encouraging consumers to ascribe increased value to the material products they produce. Adamson G 2016 Looking at Craft: Upside Down, Backwards, and Inside Out (http://garlandmag.com/article/looking-at-craft-upside-down-backwards-and-inside-out/) Accessed 25 June 2016 Bide B 2017 ‘Austerity Fashion’ Unpublished PhD thesis Department of Geography, Royal Holloway, University of London. Breward C 2006 Fashion’s Front and Back: ‘Rag trade’ Cultures and Cultures of Consumption in Post-war London c. 1945–1970 The London Journal 31:1 15-40 Conekin B 2012 Eugene Vernier and "Vogue" Models in Early "Swinging London": Creating the Fashionable Look of the 1960s Women's Studies Quarterly 41:1/2, 89-107 Cook I 2004 Follow the Thing: Papaya Antipode 36:4, 642-664 Crewe L 1996 Material Culture: Embedded Firms, Organizational Networks and the Local Economic Development of a Fashion Quarter Regional Studies 30:3, 257-272 Crewe L 2008 Ugly beautiful: counting the cost of the global fashion industry Geography 93, 25–33. Daya S 2014 Beyond exploitation/empowerment: re-imagining Southern producers in commodity stories Social & Cultural Geography 15:7, 812-833 DeSilvey C 2007 Art and archive: memory-work on a Montana homestead Journal of Historical Geography 33:4, 878-900 DeSilvey C, Ryan J and Bond S 2013 21 stories Cultural Geographies 21:4, 657–672 Ehrman E 2004 Broken Traditions in Breward C, Ehrman E and Evans C eds The London Look: Fashion From Street to Catwalk Yale University Press, New Haven Fashion Revolution 2015 White Paper ([http://fashionrevolution.org/fashion-revolution-launches-white-paper-on-transparency-in-fashion-supply-chain/](http://fashionrevolution.org/fashion-revolution-launches-white-paper-on-transparency-in-fashion-supply-chain/)) Accessed 25 June 2016 Fletcher K 2010 Slow Fashion: An Invitation for Systems Change Journal of Design, Creative Process and the Fashion Industry 2:2, 259–266. Fletcher K 2016 Craft of Use: Post-Growth Fashion Routledge, London. Gibson C 2016 Material Inheritances: How Place, Materiality, and Labor Process Underpin the Path-dependent Evolution of Contemporary Craft Production Economic Geography 92:1, 61-86 Gilbert D 2006 From Paris to Shanghai: The Changing Geographies of Fashion’s World Cities’ in Breward C and Gilbert D eds Fashion's World Cities Berg, Oxford Green N 1997 Ready-to-Wear and Ready-to-Work: A Century of Industry and Immigrants in Paris and New York Duke University Press, Durham NC Gregson N and Crang M 2010 Materiality and waste: inorganic vitality in a networked world Environment and Planning 42, 1026-1032 Hall S and Jayne M 2016 Make, mend and befriend: geographies of austerity, crafting and friendship in contemporary cultures of dressmaking in the UK Gender, Place & Culture 23:2, 216-234 HMSO 1952 Final Report on the Census of Production for 1948 HMSO, London Johns A and Brenton S 2011 The effects of production location on perceptions of product authenticity in creative industries (https://www.researchgate.net/publication/260952149) Accessed 30 May 2016 Leslie D 2017 Global Commodity/Value Chains The International Encyclopaedia of Geography, 1-10. Martínez J G 2007 Selling Avant-garde: How Antwerp Became a Fashion Capital (1990–2002) Urban Studies 44:12, 2449–2464 McRobbie A 1998 British Fashion Design: Rag Trade or Image Industry? London: Routledge Mida and Kim 2015 The Dress Detective: A Practical Guide to Object-Based Research in Fashion London, Bloomsbury Moon C 2009 From factories to fashion: An intern’s experience of New York as a global fashion capital in Paulicelli E and Clark H eds The Fabric of Cultures: Fashion, Identity, and Globalisation Routledge, Abingdon Newby E 1985 Something Wholesale: My life and Times in the Rag Trade Pan, London Ogborn M 2011 Archive in Agnew J and Livingston D eds The Sage Handbook of Geographical Knowledge Sage, London Pardy M 2014 Hien’s shed: (re)framing images of female immigrant home-based clothing workers Gender, Place & Culture 21:1, 68-86 Patchett M 2015 The taxidermist’s apprentice: stitching together the past and present of a craft practice Cultural Geographies 1-19 Pollard J 2013 Gendering Capital: Financial Crisis, Financialization and (an Agenda for) Economic Geography Progress in Human Geography 37:3, 403–423 Rantisi N 2004 The Ascendance of New York Fashion International Journal of Urban and Regional Research 28:1, 86-106 Runco M and Jaeger G 2012 The Standard Definition of Creativity Creativity Research Journal 24:1, 92-96 Scott A 2002 Competitive Dynamics of Southern California’s Clothing Industry: The Widening Global Connection and its Local Ramifications Urban Studies 39:8, 1287–1306 Sladen S 1995 The Conscription of Fashion: Utility Cloth, Clothing and Footwear 1941-1952 Scholar Press, Aldershot Steedman C 2001 Dust Manchester University Press, Manchester Thomas N, Hawkins H and Harvey D 2013 Crafting the region: creative industries and practices of regional space Regional Studies 47:1, 75–88 Tokatli N 2012 The Changing Role of Place-Image in the Profit Making Strategies of the Designer Fashion Industry Geography Compass 6, 35–43 Weller S 2007 Fashion as viscous knowledge: Fashion’s role in shaping trans-national garment production Journal of Economic Geography 7, 39–66 Woodward S 2016 “Humble” blue jeans: Material culture approaches to understanding the ordinary, global, and the personal in Jenss H ed Fashion Studies: Research Methods, Sites and Practices Bloomsbury, London Images Figure 1. 45.15. Slim cut day dress in grey wool. Made in 1944 by Jersey De Luxe, a subsidiary of Messrs W and O Marcus Ltd of Wells Street, London W1. Picture credit Museum of London. Figure 2. 67.49. Full skirted coat in grey wool. Made in 1946 by Harrods Ltd, a department store in Kensington, London. Picture credit Museum of London. Figure 3. 67.39. Floral rayon print day dress with peplum. Unlabeled, but likely the product of an East London workroom c.1947-50. Picture credit Museum of London. Figure 4. 2002.155/2a. Black silk jacket embroidered with glass beads, part of a cocktail suit. Made in 1949 by bespoke dressmakers Peggy Lewis & Company of Whitfield Street, London W1. Picture credit Museum of London.
Chapter 1 UNITS AND DIMENSIONS Learning objective: After going through this chapter, students will be able to; - understand physical quantities, fundamental and derived; - describe different systems of units; - define dimensions and formulate dimensional formulae; - write dimension equations and apply these to verify various formulations. 1.1 DEFINITION OF PHYSICS AND PHYSICAL QUANTITIES Physics: Physics is the branch of science, which deals with the study of nature and properties of matter and energy. The subject matter of physics includes heat, light, sound, electricity, magnetism and the structure of atoms. For designing a law of physics, a scientific method is followed which includes the verifications with experiments. The physics, attempts are made to measure the quantities with the best accuracy. Thus, Physics can also be defined as science of measurement. Applied Physics is the application of the Physics to help human beings and solving their problem, it is usually considered as a bridge or a connection between Physics & Engineering. Physical Quantities: All quantities in terms of which laws of physics can be expressed and which can be measured are called Physical Quantities. For example; Distance, Speed, Mass, Force etc. 1.2 UNITS: FUNDAMENTAL AND DERIVED UNITS Measurement: In our daily life, we need to express and compare the magnitude of different quantities; this can be done only by measuring them. Measurement is the comparison of an unknown physical quantity with a known fixed physical quantity. Unit: The known fixed physical quantity is called unit. OR The quantity used as standard for measurement is called unit. For example, when we say that length of the class room is 8 metre. We compare the length of class room with standard quantity of length called metre. Length of class room = 8 metre \[ Q = nu \] Physical Quantity = Numerical value × unit \[ Q = \text{Physical Quantity} \] \[ n = \text{Numerical value} \] \[ u = \text{Standard unit} \] e.g. Mass of stool = 15 kg Mass = Physical quantity 15 = Numerical value Kg = Standard unit Means mass of stool is 15 times of known quantity i.e. Kg. Characteristics of Standard Unit: A unit selected for measuring a physical quantity should have the following properties (i) It should be well defined i.e. its concept should be clear. (ii) It should not change with change in physical conditions like temperature, pressure, stress etc.. (iii) It should be suitable in size; neither too large nor too small. (iv) It should not change with place or time. (v) It should be reproducible. (vi) It should be internationally accepted. Classification of Units: Units can be classified into two categories. - Fundamental - Derived Fundamental Quantity: The quantity which is independent of other physical quantities. In mechanics, mass, length and time are called fundamental quantities. Units of these fundamental physical quantities are called Fundamental units. e.g. Fundamental Physical Quantity \| Fundamental unit ---\|--- Mass \| Kg, Gram, Pound Length \| Metre, Centimetre, Foot Time \| Second Derived Quantity: The quantity which is derived from the fundamental quantities e.g. area is a derived quantity. \[ \begin{align} \text{Area} &= \text{Length} \times \text{Breadth} \\ &= \text{Length} \times \text{Length} \\ &= (\text{Length})^2 \\ \text{Speed} &= \frac{\text{Distance}}{\text{Time}} \\ &= \frac{\text{Length}}{\text{Time}} \end{align} \] The units for derived quantities are called Derived Units. 1.3 SYSTEMS OF UNITS: CGS, FPS, MKS, SI For measurement of physical quantities, the following systems are commonly used: (i) C.G.S system: In this system, the unit of length is centimetre, the unit of mass is gram and the unit of time is second. (ii) F.P.S system: In this system, the unit of length is foot, the unit of mass is pound and the unit of time is second. (iii) M.K.S: In this system, the unit of length is metre, unit of mass is kg and the unit of time is second. (iv) S.I System: This system is an improved and extended version of M.K.S system of units. It is called international system of unit. With the development of science & technology, the three fundamental quantities like mass, length & time were not sufficient as many other quantities like electric current, heat etc. were introduced. Therefore, more fundamental units in addition to the units of mass, length and time are required. Thus, MKS system was modified with addition of four other fundamental quantities and two supplementary quantities. Table of Fundamental Units \| Sr. No. \| Name of Physical Quantity \| Unit \| Symbol \| \|---------\|---------------------------------\|----------\|--------\| \| 1 \| Length \| Metre \| m \| \| 2 \| Mass \| Kilogram \| Kg \| \| 3 \| Time \| Second \| s \| \| 4 \| Temperature \| Kelvin \| K \| \| 5 \| Electric Current \| Ampere \| A \| \| 6 \| Luminous Intensity \| Candela \| Cd \| \| 7 \| Quantity of Matter \| Mole \| mol \| Table of Supplementary unit \| Sr. No \| Name of Physical Quantity \| Unit \| Symbol \| \|--------\|---------------------------------\|----------\|--------\| \| 1 \| Plane angle \| Radian \| rad \| \| 2 \| Solid angle \| Steradian\| sr \| Advantage of S.I. system: (i) It is coherent system of unit i.e. the derived units of a physical quantities are easily obtained by multiplication or division of fundamental units. (ii) It is a rational system of units i.e. it uses only one unit for one physical quantity. e.g. It uses Joule (J) as unit for all types of energies (heat, light, mechanical). (iii) It is metric system of units i.e. its multiples & submultiples can be expressed in power of 10. Definition of Basic and Supplementary Unit of S.I. 1. Metre (m): The metre is the length of the path travelled by light in vacuum during a time interval of $1/299\,792\,458$ of a second. 2. Kilogram (Kg): The kilogram is the mass of the platinum-iridium prototype which was approved by the Conférence Générale des Poids et Mesures, held in Paris in 1889, and kept by the Bureau International des Poids et Mesures. 3. Second (s): The second is the duration of $9192631770$ periods of the radiation corresponding to the transition between two hyperfine levels of the ground state of Cesium-133 atom. 4. Ampere (A): The ampere is the intensity of a constant current which, if maintained in two straight parallel conductors of infinite length, of negligible circular cross-section, and placed 1 metre apart in vacuum, would produce between these conductors a force equal to $2 \times 10^{-7}$ Newton per metre of length. 5. Kelvin (K): Kelvin is the fraction $1/273.16$ of the thermodynamic temperature of the triple point of water. 6. Candela (Cd): The candela is the luminous intensity, in a given direction, of a source that emits monochromatic radiation of frequency $540 \times 10^{12}$ hertz and that has a radiant intensity in that direction of $1/683$ watt per steradian. 7. Mole (mol): The mole is the amount of substance of a system which contains as many elementary entities as there are atoms in 0.012 kilogram of Carbon-12. Supplementary units: 1. Radian (rad): It is supplementary unit of plane angle. It is the plane angle subtended at the centre of a circle by an arc of the circle equal to the radius of the circle. It is denoted by $\theta$. $$\theta = l / r; \quad l \text{ is length of the arc and } r \text{ is radius of the circle}$$ 2. Steradian (Sr): It is supplementary unit of solid angle. It is the angle subtended at the centre of a sphere by a surface area of the sphere having magnitude equal to the square of the radius of the sphere. It is denoted by $\Omega$. $$\Omega = \Delta s / r^2$$ SOME IMPORTANT ABBREVIATIONS \| Symbol \| Prefix \| Multiplier \| Symbol \| Prefix \| Multiplier \| \|--------\|--------\|------------\|--------\|--------\|------------\| \| D \| Deci \| $10^{-1}$ \| da \| deca \| $10^{1}$ \| \| c \| centi \| $10^{-2}$ \| h \| hecto \| $10^{2}$ \| \| m \| milli \| $10^{-3}$ \| k \| kilo \| $10^{3}$ \| \| µ \| micro \| $10^{-6}$ \| M \| mega \| $10^{6}$ \| \| n \| nano \| $10^{-9}$ \| G \| giga \| $10^{9}$ \| Some Important Units of Length: (i) 1 micron = $10^{-6}$ m = $10^{-4}$ cm (ii) 1 angstrom = $1\text{\AA} = 10^{-10}$ m = $10^{-8}$ cm (iii) 1 fermi = 1 fm = $10^{-15}$ m (iv) 1 Light year = 1 ly = $9.46 \times 10^{15}$ m (v) 1 Parsec = 1 pc = 3.26 light year Some conversion factor of mass: 1 Kilogram = 2.2046 pound 1 Pound = 453.6 gram 1 kilogram = 1000 gram 1 milligram = $\frac{1}{1000}$ gram = $10^{-3}$ gram 1 centigram = $\frac{1}{100}$ gram = $10^{-2}$ gram 1 decigram = $\frac{1}{10}$ gram 1 quintal = 100 kg 1 metric ton = 1000 kilogram 1.4 DEFINITION OF DIMENSIONS Dimensions: The powers, to which the fundamental units of mass, length and time written as M, L and T are raised, which include their nature and not their magnitude. For example \[ \text{Area} = \text{Length} \times \text{Breadth} \] \[ = [L^1] \times [L^1] = [L^2] = [M^0L^2T^0] \] Power (0,2,0) of fundamental units are called dimensions of area in mass, length and time respectively. e.g. Density = mass/volume \[ = [M]/[L^3] \] \[ = [M^1L^{-3}T^0] \] 1.5 DIMENSIONAL FORMULAE AND SI UNITS OF PHYSICAL QUANTITIES Dimensional Formula: An expression along with power of mass, length & time which indicates how physical quantity depends upon fundamental physical quantity. e.g. \[ \text{Speed} = \frac{\text{Distance}}{\text{Time}} \] \[ = [L^1]/[T^1] = [M^0 L^1 T^{-1}] \] It tells us that speed depends upon $ L $ & $ T $. It does not depend upon $ M $. Dimensional Equation: An equation obtained by equating the physical quantity with its dimensional formula is called dimensional equation. The dimensional equation of area, density & velocity are given as under- \[ \text{Area} = [M^0 L^2 T^0] \] \[ \text{Density} = [M^1 L^{-3} T^0] \] \[ \text{Velocity} = [M^0 L^1 T^{-1}] \] Dimensional formula SI & CGS unit of Physical Quantities \| Sr. No. \| Physical Quantity \| Formula \| Dimensions \| Name of S.I unit \| \|---------\|------------------------------------\|----------------------------------------------\|------------------\|-----------------\| \| 1 \| Force \| Mass × acceleration \| $[M^1 L^1 T^{-2}]$ \| Newton (N) \| \| 2 \| Work \| Force × distance \| $[M^1 L^2 T^{-2}]$ \| Joule (J) \| \| 3 \| Power \| Work / time \| $[M^1 L^2 T^{-3}]$ \| Watt (W) \| \| 4 \| Energy (all form) \| Stored work \| $[M^1 L^2 T^{-2}]$ \| Joule (J) \| \| 5 \| Pressure, Stress \| Force/area \| $[M^1 L^{-1} T^{-2}]$ \| Nm$^{-2}$ \| \| 6 \| Momentum \| Mass × velocity \| $[M^1 L^1 T^{-1}]$ \| Kgms$^{-1}$ \| \| 7 \| Moment of force \| Force × distance \| $[M^1 L^2 T^{-2}]$ \| Nm \| \| 8 \| Impulse \| Force × time \| $[M^1 L^1 T^{-1}]$ \| Ns \| \| 9 \| Strain \| Change in dimension / Original dimension \| $[M^0 L^0 T^0]$ \| No unit \| \| 10 \| Modulus of elasticity \| Stress / Strain \| $[M^1 L^{-1} T^{-2}]$ \| Nm$^{-2}$ \| \| 11 \| Surface energy \| Energy / Area \| $[M^1 L^0 T^{-2}]$ \| Joule/m$^2$ \| \| 12 \| Surface Tension \| Force / Length \| $[M^1 L^0 T^{-2}]$ \| N/m \| \| 13 \| Co-efficient of viscosity \| Force × Distance/Area × Velocity \| $[M^1 L^{-1} T^{-1}]$ \| N/m$^2$ \| \| 14 \| Moment of inertia \| Mass × (radius of gyration)$^2$ \| $[M^1 L^2 T^0]$ \| Kg-m$^2$ \| \| 15 \| Angular Velocity \| Angle / time \| $[M^0 L^0 T^{-1}]$ \| Rad.per sec \| \| 16 \| Frequency \| 1/Time period \| $[M^0 L^0 T^{-1}]$ \| Hertz \| \| 17 \| Area \| Length × Breadth \| $[M^0 L^2 T^0]$ \| Metre$^2$ \| \| 18 \| Volume \| Length × breadth × height \| $[M^0 L^3 T^0]$ \| Metre$^3$ \| \| \| Physical Quantity \| Dimensional Formula \| Unit \| \|---\|-------------------------\|-----------------------------\|--------------\| \| 19\| Density \| Mass/volume \| $[M^1L^{-3}T^0]$ \| Kg/m$^3$ \| \| 20\| Speed or velocity \| Distance/time \| $[M^0L^1T^{-1}]$ \| m/s \| \| 21\| Acceleration \| Velocity/time \| $[M^0L^1T^{-2}]$ \| m/s$^2$ \| \| 22\| Pressure \| Force/area \| $[M^1L^{-1}T^{-2}]$ \| N/m$^2$ \| Classification of Physical Quantity: Physical quantity has been classified into following four categories on the basis of dimensional analysis. 1. Dimensional Constant: These are the physical quantities which possess dimensions and have constant (fixed) value. e.g. Planck’s constant, gas constant, universal gravitational constant etc. 2. Dimensional Variable: These are the physical quantities which possess dimensions and do not have fixed value. e.g. velocity, acceleration, force etc. 3. Dimensionless Constant: These are the physical quantities which do not possess dimensions but have constant (fixed) value. e.g. $e$, $\pi$, numbers like 1, 2, 3, 4, 5 etc. 4. Dimensionless Variable: These are the physical quantities which do not possess dimensions and have variable value. e.g. angle, strain, specific gravity etc. Example.1 Derive the dimensional formula of following Quantity & write down their dimensions. (i) Density (ii) Power (iii) Co-efficient of viscosity (iv) Angle Sol. (i) Density = mass/volume $$= [M]/[L^3] = [M^1L^{-3}T^0]$$ (ii) Power = Work/Time $$= \text{Force} \times \text{Distance}/\text{Time}$$ $$= [M^1L^1T^{-2}] \times [L]/[T]$$ $$= [M^1L^2T^{-3}]$$ (iii) Co-efficient of viscosity $$= \frac{\text{Force} \times \text{Distance}}{\text{Area} \times \text{Velocity}}$$ $$= \frac{\text{Mass} \times \text{Acceleration} \times \text{Distance} \times \text{time}}{\text{length} \times \text{length} \times \text{Displacement}}$$ $$= [M] \times [LT^{-2}] \times [L] \times [T]/[L^2] \times [L]$$ $$= [M^1L^{-1}T^{-1}]$$ (iv) Angle = arc (length)/radius (length) $$= [L]/[L]$$ $$= [M^0L^0T^0] = \text{no dimension}$$ Example.2 Explain which of the following pair of physical quantities have the same dimension: (i) Work & Power (ii) Stress & Pressure (iii) Momentum & Impulse Sol. (i) Dimension of work = force x distance = $[M^1L^2T^{-2}]$ Dimension of power = work / time = $[M^1L^2T^{-3}]$ Work and Power have not the same dimensions. (ii) Dimension of stress = force / area = $[M^1L^1T^{-2}]/[L^2] = [M^1L^{-1}T^{-2}]$ Dimension of pressure = force / area = $[M^1L^1T^{-2}]/[L^2] = [M^1L^{-1}T^{-2}]$ Stress and pressure have the same dimension. (iii) Dimension of momentum = mass x velocity = $[M^1L^1T^{-1}]$ Dimension of impulse = force x time = $[M^1L^1T^{-1}]$ Momentum and impulse have the same dimension. 1.6 PRINCIPLE OF HOMOGENEITY OF DIMENSIONS It states that the dimensions of all the terms on both sides of an equation must be the same. According to the principle of homogeneity, the comparison, addition & subtraction of all physical quantities is possible only if they are of the same nature i.e., they have the same dimensions. If the power of M, L and T on two sides of the given equation are same, then the physical equation is correct otherwise not. Therefore, this principle is very helpful to check the correctness of a physical equation. Example: A physical relation must be dimensionally homogeneous, i.e., all the terms on both sides of the equation must have the same dimensions. In the equation, \[ S = ut + \frac{1}{2} at^2 \] The length (S) has been equated to velocity (u) & time (t), which at first seems to be meaningless. But if this equation is dimensionally homogeneous, i.e., the dimensions of all the terms on both sides are the same, then it has physical meaning. Now, dimensions of various quantities in the equation are: Distance, \[ S = [L^1] \] Velocity, \[ u = [L^1T^{-1}] \] Time, \[ t = [T^1] \] Acceleration, \[ a = [L^1T^{-2}] \] ½ is a constant and has no dimensions. Thus, the dimensions of the term on L.H.S. is $ S=[L^1] $ and Dimensions of terms on R.H.S. \[ ut + \frac{1}{2} at^2 = [L^1T^{-1}] \ [T^1] + [L^1T^2] \ [T^2] = [L^1] + [L^1] \] Here, the dimensions of all the terms on both sides of the equation are the same. Therefore, the equation is dimensionally homogeneous. ### 1.7 DIMENSIONAL EQUATIONS, APPLICATIONS OF DIMENSIONAL EQUATIONS; Dimensional Analysis: A careful examination of the dimensions of various quantities involved in a physical relation is called dimensional analysis. The analysis of the dimensions of a physical quantity is of great help to us in a number of ways as discussed under the uses of dimensional equations. Uses of dimensional equation: The principle of homogeneity & dimensional analysis has put to the following uses: (i) Checking the correctness of physical equation. (ii) To convert a physical quantity from one system of units into another. (iii) To derive relation among various physical quantities. 1. To check the correctness of Physical relations: According to principle of Homogeneity of dimensions a physical relation or equation is correct, if the dimensions of all the terms on both sides of the equation are the same. If the dimensions of even one term differs from those of others, the equation is not correct. Example 3. Check the correctness of the following formulae by dimensional analysis. (i) $ F = mv^2/r $ (ii) $ t = 2\pi\sqrt{l}/g $ Where all the letters have their usual meanings. Sol. \[ F = mv^2/r \] Dimensions of the term on L.H.S Force, \[ F = [M^1L^1T^{-2}] \] Dimensions of the term on R.H.S \[ mv^2/r = [M^1][L^1T^{-1}]^2 / [L] \] \[ = [M^1L^2T^{-2}] / [L] \] \[ = [M^1L^1T^{-2}] \] The dimensions of the term on the L.H.S are equal to the dimensions of the term on R.H.S. Therefore, the relation is correct. (ii) $ t = 2\pi \sqrt{l/g} $ Here, Dimensions of L.H.S, $ t = [T^1] = [M^0L^0T^1] $ Dimensions of the terms on R.H.S Dimensions of (length) = $[L^1]$ Dimensions of g (acc due to gravity) = $[L^1T^{-2}]$ $2\pi$ being constant have no dimensions. Hence, the dimensions of terms $2\pi \sqrt{l/g}$ on R.H.S \[ = \left( \frac{L^1}{L^1T^{-2}} \right)^{1/2} = [T^1] = [M^0L^0T^1] \] Thus, the dimensions of the terms on both sides of the relation are the same i.e., $[M^0L^0T^1]$. Therefore, the relation is correct. Example 4. Check the correctness of the following equation on the basis of dimensional analysis, $ V = \sqrt{\frac{E}{d}} $. Here $ V $ is the velocity of sound, $ E $ is the elasticity and $ d $ is the density of the medium. Sol. Here, Dimensions of the term on L.H.S \[ V = [M^0L^1T^{-1}] \] Dimensions of elasticity, $ E = [M^1L^{-1}T^{-2}] $ & Dimensions of density, $ d = [M^1L^{-3}T^0] $ Therefore, Dimensions of the terms on R.H.S \[ \sqrt{\frac{E}{d}} = \left[ M^1L^{-1}T^{-2}/M^1L^{-1}T^{-2} \right]^{1/2} = [M^0L^1T^{-1}] \] Thus, dimensions on both sides are the same, therefore the equation is correct. Example 5. Using Principle of Homogeneity of dimensions, check the correctness of equation, $ h = 2Td / rg\cos\theta $. Sol. The given formula is, $ h = 2Td / rg\cos\theta $. Dimensions of term on L.H.S Height (h) = $[M^0L^1T^0]$ Dimensions of terms on R.H.S \[ T = \text{surface tension} = [M^1L^0T^{-2}] \] \[ D = \text{density} = [M^1L^{-3}T^0] \] \[ r = \text{radius} = [M^0L^1T^0] \] \[ g = \text{acc.due to gravity} = [M^0L^1T^{-2}] \] \[ \cos\theta = [M^0L^0T^0] = \text{no dimensions} \] So, Dimensions of $ 2Td / rg\cos\theta $ = $[M^1L^0T^{-2}] \times [M^1L^{-3}T^0] / [M^0L^1T^0] \times [M^0L^1T^{-2}] $ \[ = [M^2L^{-5}T^0] \] Dimensions of terms on L.H.S are not equal to dimensions on R.H.S. Hence, formula is not correct. Example 6. Check the accuracy of the following relations: (i) \[ E = mgh + \frac{1}{2} mv^2; \] (ii) \[ v^3 - u^2 = 2as^2. \] Sol. (i) \[ E = mgh + \frac{1}{2} mv^2 \] Here, dimensions of the term on L.H.S. Energy, $ E = [M^1L^2T^{-2}] $ Dimensions of the terms on R.H.S, Dimensions of the term, $ mgh = [M] \times [LT^{-2}] \times [L] = [M^1L^2T^{-2}] $ Dimensions of the term, $ \frac{1}{2} mv^2 = [M] \times [LT^{-1}]^2 = [M^1L^2T^{-2}] $ Thus, dimensions of all the terms on both sides of the relation are the same, therefore, the relation is correct. (ii) The given relation is, \[ v^3 - u^2 = 2as^2 \] Dimensions of the terms on L.H.S \[ v^3 = [M^0] \times [LT^{-1}]^3 = [M^0L^3T^{-3}] \] \[ u^2 = [M^0] \times [LT^{-1}]^2 = [M^0L^2T^{-2}] \] Dimensions of the terms on R.H.S \[ 2as^2 = [M^0] \times [LT^{-2}] \times [L]^2 = [M^0L^3T^{-2}] \] Substituting the dimensions in the relations, \[ v^3 - u^2 = 2as^2 \] We get, \[ [M^0L^3T^{-3}] - [M^0L^2T^{-2}] = [M^0L^3T^{-2}] \] The dimensions of all the terms on both sides are not same; therefore, the relation is not correct. Example 7. The velocity of a particle is given in terms of time $ t $ by the equation \[ v = At + \frac{b}{t+c} \] What are the dimensions of $ a $, $ b $ and $ c $? Sol. Dimensional formula for L.H.S \[ V = [L^1T^{-1}] \] In the R.H.S dimensional formula of $ At $ \[ [T] = [L^1T^{-1}] \] \[ A = \frac{[LT^{-1}]}{[T^{-1}]} = [L^1T^{-2}] \] $ t + c = \text{time}, $ $ c $ has dimensions of time and hence is added in $ t $. Dimensions of $ t + c $ is $[T]$ Now, \[ b / (t + c) = v \\ b = v(t + c) = [LT^{-1}] [T] = [L] \] There dimensions of $ a = [L^1T^{-2}] $, Dimensions of $ b = [L] $ and that of $ c = [T] $ Example 8. In the gas equation $(P + a/v^2)(v - b) = RT$, where $ T $ is the absolute temperature, $ P $ is pressure and $ v $ is volume of gas. What are dimensions of $ a $ and $ b $? Sol. Like quantities are added or subtracted from each other i.e., $(P + a/v^2)$ has dimensions of pressure $= [ML^{-1}T^{-2}]$ Hence, $ a/v^2 $ will be dimensions of pressure $= [ML^{-1}T^{-2}]$ \[ a = [ML^{-1}T^{-2}] \ [\text{volume}]^2 = [ML^{-1}T^{-2}] \ [L^3]^2 \\ a = [ML^{-1}T^{-2}] \ [L^6] = [ML^5T^{-2}] \] Dimensions of $ a = [ML^5T^{-2}] $ $(v - b)$ have dimensions of volume i.e., $ b $ will have dimensions of volume i.e., $[L^3]$ or $[M^0L^3T^0]$ 2. To convert a physical quantity from one system of units into another. Physical quantity can be expressed as \[ Q = nu \] Let $ n_1u_1 $ represent the numerical value and unit of a physical quantity in one system and $ n_2u_2 $ in the other system. If for a physical quantity $ Q; M_1L_1T_1 $ be the fundamental unit in one system and $ M_2L_2T_2 $ be fundamental unit of the other system and dimensions in mass, length and time in each system can be respectively $ a, b, c $. \[ u_1 = [M_1^aL_1^bT_1^c] \\ \text{and} \quad u_2 = [M_2^aL_2^bT_2^c] \] as we know \[ n_1u_1 = n_2u_2 \\ n_2 = n_1u_1/u_2 \\ n_2 = n_1 \left[ \frac{M_1^aL_1^bT_1^c}{M_2^aL_2^bT_2^c} \right] \] \[ n_2 = n_1 \left[ \left( \frac{M_1}{M_2} \right)^a \left( \frac{L_1}{L_2} \right)^b \left( \frac{T_1}{T_2} \right)^c \right] \] While applying the above relations the system of unit as first system in which numerical value of physical quantity is given and the other as second system. Thus knowing $[M_1L_1T_1]$, $[M_2L_2T_2]$ $a$, $b$, $c$ and $n_1$, we can calculate $n_2$. Example 9. Convert a force of 1 Newton to dyne. Sol. To convert the force from MKS system to CGS system, we need the equation \[ Q = n_1 u_1 = n_2 u_2 \] Thus \[ n_2 = \frac{n_1 u_1}{u_2} \] Here $n_1 = 1$, $u_1 = 1 \text{N}$, $u_2 = \text{dyne}$ \[ n_2 = n_1 \left[ \frac{M_1 L_1 T_1^{-2}}{M_2 L_2 T_2^{-2}} \right] \] \[ n_2 = n_1 \left( \frac{M_1}{M_2} \right) \left( \frac{L_1}{L_2} \right) \left( \frac{T_1}{T_2} \right)^{-2} \] \[ n_2 = n_1 \left( \frac{\text{kg}}{\text{gm}} \right) \left( \frac{m}{cm} \right) \left( \frac{s}{s} \right)^{-2} \] \[ n_2 = n_1 \left( \frac{1000 \text{ gm}}{\text{ gm}} \right) \left( \frac{100 \text{ cm}}{\text{ cm}} \right) \left( \frac{s}{s} \right)^{-2} \] \[ n_2 = 1 (1000)(100) \] \[ n_2 = 10^5 \] Thus 1N = $10^5$ dynes. Example 10. Convert work of 1 erg into Joule. Sol: Here we need to convert work from CGS system to MKS system Thus in the equation \[ n_2 = \frac{n_1 u_1}{u_2} \] $n_1 = 1$ $u_1 = \text{erg} $ (CGS unit of work) $u_2 = \text{joule} $ (SI unit of work) \[ n_2 = \frac{n_1 u_1}{u_2} \] \[ n_2 = n_1 \left[ \frac{M_1 L_1^2 T_1^{-2}}{M_2 L_2^2 T_2^{-2}} \right] \] \[ n_2 = n_1 \left( \frac{M_1}{M_2} \right) \left( \frac{L_1}{L_2} \right)^2 \left( \frac{T_1}{T_2} \right)^{-2} \] \[ n_2 = n_1 \left( \frac{\text{gm}}{\text{kg}} \right) \left( \frac{cm}{m} \right)^2 \left( \frac{s}{s} \right)^{-2} \] \[ n_2 = n_1 \left( \frac{\text{gm}}{1000 \text{ gm}} \right) \left( \frac{\text{cm}}{100 \text{ cm}} \right)^2 \left( \frac{s}{s} \right)^{-2} \] \[ n_2 = 1(10^{-3})(10^{-2})^2 \quad n_2 = 10^{-7} \] Thus, $ 1 \text{ erg} = 10^{-7} \text{ Joule} $. Limitations of Dimensional Equation: The method of dimensions has the following limitations: 1. It does not help us to find the value of dimensionless constants involved in various physical relations. The values of such constants have to be determined by some experiments or mathematical investigations. 2. This method fails to derive formula of a physical quantity which depends upon more than three factors. Because only three equations are obtained by comparing the powers of M, L and T. 3. It fails to derive relations of quantities involving exponential and trigonometric functions. 4. The method cannot be directly applied to derive relations which contain more than one terms on one side or both sides of the equation, such as $ v = u + at $ or $ s = ut + \frac{1}{2} at^2 $ etc. However, such relations can be derived indirectly. 5. A dimensionally correct relation may not be true physical relation because the dimensional equality is not sufficient for the correctness of a given physical relation. * EXERCISES Multiple Choice Questions 1. $[ML^{-1}T^{-2}]$ is the dimensional formula of (A) Force (B) Coefficient of friction (C) Modulus of elasticity (D) Energy. 2. $10^5$ Fermi is equal to (A) 1 meter (B) 100 micron (C) 1 Angstrom (D) 1 mm 3. rad/sec is the unit of (A) Angular displacement (B) Angular velocity (C) Angular acceleration (D) Angular momentum 4. What is the unit for measuring the amplitude of a sound? 5. The displacement of particle moving along x-axis with respect to time is $x = at + bt^2 - ct^3$. The dimension of c is (A) LT$^{-2}$ (B) T$^{-3}$ (C) LT$^{-3}$ (D) T$^{-3}$ Short Answer Questions 1. Define Physics. 2. What do you mean by physical quantity? 3. Differentiate between fundamental and derived unit. 4. Write full form of the following system of unit (i) CGS (ii) FPS (iii) MKS 5. Write definition of Dimensions. 6. What is the suitable unit for measuring distance between sun and earth? 7. Write the dimensional formula of the following physical quantity - (i) Momentum (ii) Power (iii) Surface Tension (iv) Strain 8. What is the principle of Homogeneity of Dimensions? 9. Write the S.I & C.G.S units of the following physical quantities- (a) Force (b) Work 10. What are the uses of dimensions? Long Answer Questions 1. Check the correctness of the relation $\lambda = \frac{h}{mv}$; where $\lambda$ is wavelength, h- Planck’s constant, m is mass of the particle and v - velocity of the particle. 2. Explain different types of system of units. 3. Check the correctness of the following relation by using method of dimensions (i) $v = u + at$ (ii) $F = \frac{mv}{r^2}$ (iii) $v^2 - u^2 = 2as$ 4. What are the limitations of Dimensional analysis? 5. Convert an acceleration of 100 m/s$^2$ into km/hr$^2$. Answers to multiple choice questions: 1 (C) 2 (C) 3 (B) 4 (A) 5 (C) Chapter 2 FORCE AND MOTION Learning objective: After going through this chapter, students will be able to; - understand scalar and vector quantities, addition of vectors, scalar and vector products etc. - State and apply Newton’s laws of motion. - describe linear momentum, circular motion, application of centripetal force. 2.1 SCALAR AND VECTOR QUANTITIES Scalar Quantities: Scalar quantities are those quantities which are having only magnitude but no direction. Examples: Mass, length, density, volume, energy, temperature, electric charge, current, electric potential etc. Vector Quantities: Vector quantities are those quantities which are having both magnitude as well as direction. Examples: Displacement, velocity, acceleration, force, electric intensity, magnetic intensity etc. Representation of Vector: A vector is represented by a straight line with an arrow head. Here, the length of the line represents the magnitude and arrow head gives the direction of vector. Types of Vectors Negative Vectors: The negative of a vector is defined as another vector having same magnitude but opposite in direction. i.e., any vector $\vec{A}$ and its negative vector $[-\vec{A}]$ are as shown. Figure:2.2 Equal Vector: Two or more vectors are said to be equal, if they have same magnitude and direction. If $\vec{A}$ and $\vec{B}$ are two equal vectors then $$\vec{A} = \vec{B}$$ ![Figure:2.3](image) Unit Vector: A vector divided by its magnitude is called a unit vector. It has a magnitude one unit and direction same as the direction of given vector. It is denoted by $\hat{A}$. $$\hat{A} = \frac{\vec{A}}{A}$$ Collinear Vectors: Two or more vectors having equal or unequal magnitudes, but having same direction are called collinear vectors. ![Figure:2.4](image) Zero Vector: A vector having zero magnitude and arbitrary direction (be not fixed) is called zero vector. It is denoted by $O$. ### 2.2 ADDITION OF VECTORS, TRIANGLE & PARALLELOGRAM LAW Addition of Vectors (i) Triangle law of vector addition. If two vectors can be represented in magnitude and direction by the two sides of a triangle taken in the same order, then the resultant is represented in magnitude and direction, by third side of the triangle taken in the opposite order (Fig. 2.5). Magnitude of the resultant is given by $$R = \sqrt{A^2 + B^2 + 2AB \cos \theta}$$ And direction of the resultant is given by $$\tan \beta = \frac{B \sin \theta}{A + B \cos \theta}$$ ![Figure:2.5](image) (ii) Parallelogram (\|\|gm) law of vectors: It states that if two vectors, acting simultaneously at a point, can have represented both in magnitude and direction by the two adjacent sides of a parallelogram, the resultant is represented by the diagonal of the parallelogram passing through that point (Fig. 2.6). Magnitude of the resultant is given by \[ R = \sqrt{P^2 + Q^2 + 2PQ \cos \theta} \] And direction of the resultant is given by \[ \tan \Phi = \frac{Q \sin \theta}{P + Q \cos \theta} \] ![Figure:2.6](image) ### 2.3 SCALAR AND VECTOR PRODUCT Multiplication of Vectors (i) Scalar (or dot) Product: It is defined as the product of magnitude of two vectors and the cosine of the smaller angle between them. The resultant is scalar. The dot product of vectors $ \vec{A} $ and $ \vec{B} $ is defined as \[ \vec{A} \cdot \vec{B} = AB \cos \theta \] ![Figure:2.7](image) (ii) Vector (or Cross) Product: It is defined as a vector having a magnitude equal to the product of the magnitudes of the two vectors and the sine of the angle between them and is in the direction perpendicular to the plane containing the two vectors. Thus, the vector product of two vectors A and B is equal to \[ \vec{A} \times \vec{B} = AB \sin \theta \hat{n} \] ### 2.4 DEFINITION OF DISTANCE, DISPLACEMENT, SPEED, VELOCITY, ACCELERATION Distance:** How much ground an object has covered during its motion. Distance is a scalar quantity. SI unit is meter. Displacement: The shortest distance between the two points is called displacement. It is a vector quantity. SI unit is meter. Dimension formula: [L] Speed: The rate of change of distance is called speed. Speed is a scalar quantity. Unit: ms$^{-1}$. Linear Velocity: The time rate of change of displacement. \[ v = \frac{\text{displacement}}{\text{time}} \] Units of Velocity: ms$^{-1}$ Dimension formula = [M$^0$L$^1$T$^{-1}$] Acceleration: The change in velocity per unit time, i.e., the time rate of change of velocity. \[ A = \frac{\text{Change in Velocity}}{\text{time}} \] If the velocity increases with time, the acceleration ‘a’ is positive. If the velocity decreases with time, the acceleration ‘a’ is negative. Negative acceleration is also known as retardation. Units of Acceleration: C.G.S. unit is cm/s$^2$ (cms$^{-2}$) and the SI unit is m/s$^2$ (ms$^{-2}$). Dimension formula = [M$^0$L$^1$T$^{-2}$] ### 2.5 FORCE AND ITS UNITS, CONCEPT OF RESOLUTION OF FORCE Force: Force is an agent that produces acceleration in the body on which it acts. Or it is a push or pull which changes or tends to change the position of the body at rest or in uniform motion. Force is a vector quantity as it has both direction and magnitude. For example, (i) To move a football, we have to exert a push i.e., kick on the football (ii) To stop football or a body moving with same velocity, we have to apply push in a direction opposite to the direction of the body. SI unit is Newton. Dimension formula: [MLT$^{-2}$] Resolution of a Force The phenomenon of breaking a given force into two or more forces in different directions is known as ‘resolution of force’. The forces obtained on splitting the given force are called components of the given force. If these are at right angles to each other, then these components are called rectangular components. Let a force F be represented by a line OP. Let OB (or $F_x$) is component of F along x-axis and OC (or $F_y$) is component along y-axis (Fig. 2.8). Let force $F$ makes an angle $\theta$ with x-axis. In $\Delta OPB$ $$\sin \theta = \frac{PB}{OP}$$ $$PB = OP \sin \theta$$ $$F_y = F \sin \theta$$ $$\cos \theta = \frac{OB}{OP}$$ $$OB = OP \cos \theta$$ $$F_x = F \cos \theta$$ Vector $\vec{F} = \vec{F}_x + \vec{F}_y$ Resultant: $$F = \sqrt{F_x^2 + F_y^2}$$ ### 2.6 NEWTON'S LAWS OF MOTION Sir Isaac Newton gave three fundamental laws. These laws are called Newton's laws of motion. Newton’s First Law: It states that everybody continues in its state of rest or of uniform motion in a straight line until some external force is applied on it. For example, the book lying on a table will not move at its own. It does not change its position from the state of rest until no external force is applied on it. Newton’s Second law: The rate of change of momentum of a body is directly proportional to the applied force and the change takes place in the direction of force applied. Or Acceleration produced in a body is directly proportional to force applied. Let a body of mass $ m $ moving with a velocity $ u $. Let a force $ F $ be applied so that its velocity changes from $ u $ to $ v $ in $ t $ second. Initial momentum = $ mu $ Final momentum after time $ t $ second = $ mv $ Total change in momentum = $ mv - mu $. Thus, the rate of change of momentum will be \[ \frac{mv - mu}{t} \] From Newton's second law \[ F \propto \frac{mv - mu}{t} \quad \text{or} \quad F \propto \frac{m(v-u)}{t} \] but \[ \frac{v - u}{t} = \frac{\text{Change in velocity}}{\text{Time}} = \text{Acceleration}(a) \] Hence, we have \[ F \propto ma \] or \[ F = k \ ma \] Where $ k $ is constant of proportionality, for convenience let $ k = 1 $. Then \[ F = ma \] Units of force: One dyne is that much force which produces an acceleration of $ 1 \text{cm/s}^2 $ in a mass of 1 gm. \[ 1 \text{ dyne} = 1 \text{gm} \times 1 \text{ cm/s}^2 \\ = 1 \text{gm.cm s}^{-2} \] One Newton is that much force which produces an acceleration of $ 1 \text{ m/s}^2 $ in a mass of 1 kg. \[ \text{using} \quad F = ma \\ 1 \text{N} = 1 \text{kg} \times 1 \text{m/s}^2 \\ \text{or} \quad = 1 \text{kgm/s}^2 \\ \text{IN} = 1000 \text{gm} \times 100 \text{ cm/s}^2 \quad = 10^5 \text{ dyne} \] Newton’s Third law: To every action there is an equal and opposite reaction or action and reaction are equal and opposite. When a body exerts a force on another body, the other body also exerts an equal force on the first, in opposite direction. From Newton’s third law these forces always occur in pairs. \[ F_{AB} \text{ (force on A by B)} = -F_{BA} \text{ (force on B by A)} \] 2.7 LINEAR MOMENTUM, CONSERVATION OF MOMENTUM, IMPULSE Linear Momentum ($p$): The quantity of motion contained in the body is linear momentum. It is given by product of mass and the velocity of the body. It is a vector and its direction is the same as the direction of the velocity. Let $m$ is mass and $v$ is the velocity of a body at some instant, then momentum is given by $p = mv$. Example, a fast-moving cricket ball has more momentum in it than a slow moving one. But a slow-moving heavy roller has more momentum than a fast cricket ball. Units of momentum: The SI unit is kg m/s i.e. kg.ms$^{-1}$. Dimension formula = [M$^1$L$^1$T$^{-1}$]. Conservation of Momentum If external force acting on a system of bodies is zero then the total linear momentum of a system always remains constant. i.e. If $F=0$ Thus, $\frac{d}{dt} \int p = 0$ Hence, $p$ (momentum) is constant. Recoil of the Gun: When a bullet is fired with a gun the bullet moves in forward direction and gun is recoiled/pushed backwards. Let $m$ = mass of bullet $u$ = velocity of bullet $M$ = mass of gun $v$ = velocity of gun The gun and bullet form an isolated system So the total momentum of gun and bullet before firing = 0 Total momentum of gun and bullet after firing = $m.u + M.v$ Using law of conservation of momentum $0 = m.u + M.v$ $M.v = -m.u$ $v = \frac{-mu}{M}$ This is the expression for recoil velocity of gun. Here negative sign shows that motion of the gun is in opposite direction to that of the bullet. Also, velocity of gun is inversely proportional to its mass. Lesser the mass, larger will be the recoil velocity of the gun. Impulse Impulse is defined as the total change in momentum produced by the impulsive force. OR Impulse may be defined as the product of force and time and is equal to the total change in momentum of the body. \[ F.t = p_2 - p_1 = \text{total change in momentum} \] Example. A kick given to a football or blow made with hammer. ### 2.8. CIRCULAR MOTION The motion of a body in a circle of fixed radius is called circular motion. For example, the motion of a stone tied to a string when whirled in the air is a circular motion. Angular Displacement: The angle described by a body moving in a circle is called angular displacement. Consider a body moves in a circle, starting from A to B so that $ \angle BOA $ is called angular displacement. SI unit of angular displacement is radian (rad.) ![Figure:2.9](image) Angular Velocity: Angular velocity of a body moving in a circle is the rate of change of angular displacement with time. It is denoted by $ \omega $ (omega). If $ \theta $ is the angular displacement in time $ t $ then \[ \omega = \frac{\theta}{t} \] SI unit of angular velocity is rad/s. Time Period: Time taken by a body moving in a circle to complete one cycle is called time period. It is denoted by $ T $. Frequency ($ n $): The number of cycles completed by a body is called frequency. It is reciprocal of time period \[ n = \frac{1}{T} \] Angular Acceleration: The time rate of change of angular velocity of a body. It is denoted by $ \alpha $. Let angular velocity of a body moving in a circle change from $ \omega_1 $ to $\omega_2$ in time $t$, then $$\alpha = \frac{\omega_1 - \omega_2}{t}$$ SI unit of ‘$\alpha$’ is rad/s$^2$ Relationship between linear and angular velocity Consider a body moving in a circle of radius $r$. Let it start from A and reaches to B after time $t$, so that $\angle BOA = \theta$ (Fig. 2.9). Now $$\text{angle} = \frac{\text{arc}}{\text{radius}}$$ $$\theta = \frac{AB}{OA} = \frac{S}{r}$$ $$S = r\theta$$ Divide both sides by time ($t$) $$\frac{S}{t} = r \frac{\theta}{t}$$ Here $\frac{S}{t} = v$ is linear velocity And $\frac{\theta}{t} = \omega$ is angular velocity Hence $v = r\omega$ ### 2.9 CENTRIPETAL AND CENTRIFUGAL FORCES Centripetal Force The force acting along the radius towards the centre of circle to keep a body moving with uniform speed in a circular path is called centripetal force. It is denoted by $F_C$. $$F_c = \frac{mv^2}{r}$$ For example, a stone tied at one end of a string whose other end is held in hand, when round in the air, the centripetal force is supplied by the tension in the string. Centrifugal Force: A body moving in circle with uniform speed experiences a force in a direction away from the centre of the circle. This force is called centrifugal force. For example, cream is separated from milk by using centrifugal force. When milk is rotated in a cream separator, cream particles in the milk being lighter, and experience less centrifugal force. ### 2.10 APPLICATION OF CENTRIPETAL FORCE IN BANKING OF ROADS Banking of Roads: While travelling on a road, you must have noticed that, the outer edge of circular road is slightly raised above as compared to the inner edge of road. This is called banking of roads (Fig. 2.10). Angle of Banking: The angle through which the outer edge of circular road is raised above the inner edge of circular roads is called angle of banking. Application of centripetal force in banking of roads Let \[ m = \text{mass of vehicle} \] \[ r = \text{radius of circular road} \] \[ v = \text{uniform speed (velocity) of vehicle} \] \[ \theta = \text{angle of banking} \] At the body two forces act. (i) Weight (mg) of vehicle vertically downwards. (ii) Normal reaction (R). R makes an angle $ \theta $ and divides the forces into two components (i) $ R \sin \theta $ towards the centre (ii) $ R \cos \theta $ vertically upwards and balance by weight of (mg) vehicle $ R \sin \theta $ provides the necessary centripetal force $ \left( \frac{mv^2}{r} \right) $ \[ R \sin \theta = \frac{mv^2}{r} \] --- (1) and \[ R \cos \theta = mg \] --- (2) Divide equation 1 by 2 \[ \frac{R \sin \theta}{R \cos \theta} = \frac{\frac{mv^2}{r}}{mg} \] \[ \tan \theta = \frac{v^2}{rg} \] \[ \theta = \tan^{-1} \left( \frac{v^2}{rg} \right) \] EXERCISES Multiple Choice Questions 1. What is the maximum possible number of components of a vector can have (A) 2 (B) 3 (C) 4 (D) Any number 2. Which of the following operations with two vectors can result in a scalar (A) Addition (B) Subtraction (C) Multiplication (D) None of these 3. The acceleration of the particle performing uniform circular motion is (A) $\omega^2/r$ (B) zero (C) $vr$ (D) $v^2/r$ 4. Centripetal force always acts at 90 degrees to the velocity, and away from the centre of the circle. (A) True (B) False (C) can’t predict (D) none of these 5. Railway tracks are banked at the curves so that the necessary centripetal force may be obtained from the horizontal component of the reaction on the train (A) True (B) False (C) can’t predict (D) none of these 6. Which of the following is called a fictitious force? (A) Gravitational force (B) Frictional force (C) Centrifugal force (D) Centripetal force 7. At which place of the earth, the centripetal force is maximum (A) At the earth surface 7. The angle through which the outer edge is raised above the inner edge is called (A) angle of inclination (B) angle of repose (C) angle of banking (D) angle of declination 8. The angle through which the outer edge is raised above the inner edge is called (A) angle of inclination (B) angle of repose (C) angle of banking (D) angle of declination 9. A model aeroplane fastened to a post by a fine thread is flying in a horizontal circle. Suddenly the thread breaks. What direction will the aeroplane fly? (A) In a circular path, as before (B) Directly to the centre of the circle (C) In a straight line at a tangent (D) Directly to the centre of the circle. 10. A force which acts for a small time and also varies with time is called: (A) Electrostatic force (B) Electromagnetic force (C) Impulsive force (D) Centripetal force Short Answer Type Questions 1. State and explain laws of vector addition. 2. What do you understand by resolution of a vector? 3. How is impulse related to linear momentum? 4. What do you mean by circular motion? Give examples? 5. What do you mean by banking of roads? 6. What are scalar and vector quantities? Give examples? 7. Define resolution and composition of forces. 8. What is impulse? 9. Why does a gun recoil when a bullet is fired? 10. Differentiate between centripetal and centrifugal forces? 11. An artificial satellite takes 90 minutes to complete its revolution around the earth. Calculate the angular speed of satellite. [Ans. 2700 rad/sec] 12. At what maximum speed a racing car can transverse an unbanked curve of 30 m radius? The co-efficient of friction between tyres and road is 0.6. [Ans. 47.8] 13. Justify the statement that Newton’s second law is the real law of motion. 14. Define Force. Give its units. 15. Define Triangle law of vector addition. 16. State parallelogram law of vector addition. Long Answer Type Questions 1. Explain Newton’s Law of Motion. 2. Explain Banking of Roads. 3. What is conservation of momentum? 4. Derive relationship between linear and angular velocity. 5. Derive a relation between linear acceleration and angular acceleration. Answers to multiple choice questions: 1. (D) 2. (C) 3. (D) 4. (B) 5. (A) 6. (C) 7. (B) 8. (C) 9. (C) 10. (C) Chapter 3 WORK, POWER AND ENERGY Learning objective: After going through this chapter, students will be able to; - understand work, energy and power, their units and dimensions. - describe different types of energies and energy conservation. - solve relevant numerical problems 3.1 WORK (DEFINITION, SYMBOL, FORMULA AND SI UNITS) Work Work is said to be done when the force applied on a body displaces it through certain distance in direction of applied force. \[ \text{Work} = \text{Force} \times \text{Displacement} \] In vector form, it is written as; $ \vec{F} \times \vec{S} = FS \cos \theta $ It is measured as the product of the magnitude of force and the distance covered by the body in the direction of the force. It is a scalar quantity. Unit: SI unit of work is joule(J). In CGS system, unit of work is erg. \[ 1 \text{ J} = 10^7 \text{ ergs} \] Dimension of work = $[M^1L^2T^{-2}]$ Example 1. What work is done in dragging a block 10 m horizontally when a 50 N force is applied by a rope making an angle of 30° with the ground? Sol. Here, \[ F = 50 \text{ N}, \quad S = 10 \text{ m}, \quad \theta = 30^\circ \] \[ W = FS \cos \theta \] \[ W = 50 \times 10 \times \cos 30^\circ \] \[ W = 50 \times 10 \times \sqrt{\frac{3}{2}} \] \[ = 612.4 \text{ J} \] Example 2. A man weighing 50 kg supports a body of 25 kg on head. What is the work done when he moves a distance of 20 m. Solution. Total mass = 50 + 25 = 75 kg \[ \theta = 90^\circ \] Distance = 20 m \[ W = FS \times 0 \] (Cos $90^\circ = 0$) \[ W = 0 \] Thus, work done is zero. Example 3. A man weighing 50 kg carries a load of 10 kg on his head. Find the work done when he goes (i) 15 m vertically up (ii) 15 m on a levelled path on the ground. Solution. Mass of the man, $m_1 = 50$ kg Mass carried by a man, $m_2 = 10$ kg Total mass $M = m_1 + m_2 = 50 + 10 = 60$ kg. When the man goes vertically up, Height through which he rises, $h = 15$ m \[ W = Mgh = 60 \times 9.8 \times 15 = 8820 \text{ J} \] When the man goes on a levelled path on the ground. \[ W = FS \cos \theta \] As $\theta = 90^\circ$, therefore, $\cos 90^\circ = 0$ Hence $W = F \times S \times 0 = 0$ ### 3.2 ENERGY (DEFINITION AND ITS SI UNITS), EXAMPLES OF TRANSFORMATION OF ENERGY Energy Energy of a body is defined as the capacity of the body to do the work. Like work, energy is also a scalar quantity. Unit: SI system - Joule, CGS system - erg Dimensional Formula: $[ML^2 T^{-2}]$. Transformation of Energy The energy change from one form to another is called transformation of energy. For example. - In a heat engine, heat energy changes into mechanical energy. - In an electric bulb, the electric energy changes into light energy. - In an electric heater, the electric energy changes into heat energy. - In a fan, the electric energy changes into mechanical energy which rotates the fan. - In the sun, mass changes into radiant energy. - In an electric motor, the electric energy is converted into mechanical energy. - In burning of coal, oil etc., chemical energy changes into heat and light energy. - In a dam, potential energy of water changes into kinetic energy, then K.E rotates the turbine which produces the electric energy. In an electric bell, electric energy changes into sound energy. In a generator, mechanical energy is converted into the electric energy. 3.3 KINETIC ENERGY (FORMULA, EXAMPLES AND ITS DERIVATION) Kinetic Energy (K.E.): Energy possessed by the body by virtue of its motions is called kinetic energy. For example; (i) running water (ii) Wind energy; work on the K.E. of air (iii) Moving bullet. Expression for Kinetic Energy Consider $ F $ is the force acting on the body at rest ($ i.e., u = 0 $), then it moves in the direction of force to distance (s). Let $ v $ be the final velocity. Using relation \[ v^2 - u^2 = 2aS \] \[ \frac{v^2 - u^2}{2S} = a \] \[ \frac{v^2 - 0}{2S} = a \] \[ \frac{v^2}{2S} = a \] \hspace{1cm} (1) Now, work done, $ W = F.S $ or $ W = ma.S $ \hspace{1cm} (using $ F = ma $) \hspace{1cm} (2) By equation (1) and (2) \[ W = m.\frac{v^2}{2S}.S \] or $ W = \frac{1}{2}mv^2 $ This work done is stored in the body as kinetic energy. So kinetic energy possessed by the body is (K.E.) $= \frac{1}{2}mv^2$ 3.4 POTENTIAL ENERGY (FORMULA, EXAMPLES AND ITS DERIVATION) Potential Energy (P.E.): Energy possessed by the body by virtue of its position is called potential energy. Example (i) Water stored in a dam (ii) Mango hanging on the branch of a tree Expression for Potential Energy (P.E) It is defined as the energy possessed by the body by virtue of its position above the surface of earth. \[ W = F \times S \] Work done = Force $ \times $ height \[ = mg \times h = mgh \] This work done is stored in the form of gravitational potential energy. Hence Potential energy = $ mgh $. Law of Conservation of Energy Energy can neither be created nor be destroyed but can be converted from one form to another. 3.5 CONSERVATION OF MECHANICAL ENERGY OF A FREE FALLING BODY Let us consider K.E., P.E. and total energy of a body of mass $ m $ falling freely under gravity from a height $ h $ from the surface of ground. According to Fig. 3.3 At position A: - Initial velocity ($ u $)= 0 - K.E. = $ \frac{1}{2} mv^2 $ - P. E. = $ mgh $ Total Energy = K.E + P.E \[ = 0 + mgh \] \[ = mgh \] --------------- (1) At position B - Potential energy = $ mg(h - x) $ - Velocity at point B = $ u $ - From equation of motion K.E. = $ \frac{1}{2} mu^2 $ - As $ V^2 - U^2 = 2aS $ - Hence $ u^2 - 0^2 = 2gx $ - or $ u^2 = 2gx $ - Putting this value we get, KE = $ \frac{1}{2} m(2gx) $ or \[ \text{K.E.} = mgx \] Total Energy = K.E + P.E \[ = mgx + mg(h - x) \] \[ = mgh \] \hspace{1cm} (2) At position C Potential energy = 0 (as $ h = 0 $) Velocity at Point B = $ v $ From equation of motion K.E. = $ \frac{1}{2} mv^2 $ As \[ V^2 - U^2 = 2aS \] Hence \[ v^2 - 0^2 = 2gh \] or \[ v^2 = 2gh \] Putting this value we get KE= $ \frac{1}{2} m(2gh) $ or \[ \text{K.E.} = mgh \] Total Energy = K.E + P.E \[ = mgh + 0 \] \[ = mgh \] \hspace{1cm} (3) From equations (1), (2) and (3), it is clear that total mechanical energy of freely falling body at all the positions is same and hence remain conserved. Example 3. A spring extended by 20 mm possesses a P.E. of 10 J. What will be P.E., if the extension of spring becomes 30 mm? Solution: \[ h = 20 \text{ mm} = 20 \times 10^{-3} \text{ m} \] \[ g = 9.8 \text{ ms}^{-2}, m = ? \] P.E = $ mgh = 10J $ i.e., \[ m \times 9.8 \times 20 \times 10^{-3} = 10 J \] \[ m = \frac{10}{9.8 \times 20 \times 10^{-3}} \] \[ m = 51.02 \text{ Kg} \] When extension is 30 mm i.e., $ 30 \times 10^{-3} \text{ m} $, then \[ P.E = mgh \] \[ = 51.02 \times 9.8 \times 3 \times 10^{-3} = 15.0 \text{ J} \] ### 3.6 POWER (DEFINITION, FORMULA AND UNITS) Power is defined as the rate at which work is done by a force. The work done per unit time is also called power. If a body does work $W$ in time $t$, then power is $$P = \frac{W}{t}$$ Units of Power: SI unit of power is watt (W) Power is said to be 1 W, if 1 J work is done in 1 s. $$1W = \frac{1J}{1s}$$ Bigger units of power are: - Kilowatt (KW) = $10^3$ W - Megawatt (MW) = $10^6$ W - Horse power (hp) = 746 W Dimension of power = $[M^1 L^2 T^{-3}]$ Example 4. A man weighing 65 kg lifts a mass of 45 kg to the top of a building 10 meters high in 12 seconds. Find; (i) Total work done by him. (ii) The power developed by him. Solution. Mass of the man, $m_1 = 65$ kg Mass lifted $m_2 = 45$ kg Height through which raised $h = 10$ m Time taken $t = 12$ seconds. (i) Total work done by the man, $W = mgh$ $$= 110 \times 9.81 \times 10 = 10791.0 \text{ J}$$ (ii) Power developed $$P = \frac{W}{t} = \frac{10791 \text{ J}}{12 \text{ s}} = 899.25 \text{ W}$$ EXERCISES Multiple Choice Questions 1. Which of the following is not correct for the condition for work not to be done: (A) Force and displacement are perpendicular to each other (B) Force and displacement are at 180 degrees with each other (C) Displacement is zero, though force is non-zero (D) Force is zero 2. There are two bodies X and Y with equal kinetic energy but different masses m and 4m respectively. The ratio of their linear momentum is- (A) 1:2 (B) 4:1 (C) 1:$\sqrt{2}$ (D) 1:4 3. Which of the following statements is false: (A) Kinetic energy is positive (B) Potential energy is positive (C) Kinetic energy is negative (D) Potential energy is negative 4. How should the force applied on a body be varied with velocity to keep the power of force constant? (A) Force should be inversely proportional to the square root of the velocity of the body (B) Force should be inversely proportional to the velocity of the body (C) Force should be directly proportional to the velocity of the body (D) Force should not be varied. It should remain constant with the velocity 5. When does the potential energy of a spring increase? (A) Only when spring is stretched (B) Only when spring is compressed (C) When spring is neither stretched nor compressed (D) When spring is compressed or stretched 6. Which of the following force is non-conservative? (A) Restoring force of spring (B) Force between two stationary masses (C) Force between two stationary charges (D) Human push or pull 7. You are in a lift moving from the 3rd floor to the 12th floor, through a height H. If the elevator moves at a constant speed without stopping, what is the work performed on you by the elevator? Take your body mass as M. (A) MgH (B) Mg (C) -MgH (D) -Mg 8. Which of the following is not a kind of potential energy? (A) Gravitational potential energy (B) Magnetic potential energy (C) Electrostatic potential energy (D) Nuclear potential energy Short Answer Type Questions 1. Define the terms energy, potential energy and kinetic energy. 2. Define potential energy. Derive expression for gravitational potential energy. 3. Define work and write its unit. 4. Define the term power and write its unit. 5. State and prove principle of conservation of energy. 6. Define power. Give it S.I unit. 7. What is transformation of energy? 8. A person walking on a horizontal road with a load on his head does not work. Explain. 9. State kinetic energy. Write expression for kinetic energy of a body of mass m moving at a speed u. 10. Define potential energy of body. Give expression for it. 11. Give some examples of transformation of energy. 12. Define power. Give its units and dimensions. Long Answer Type Questions 1. Explain the law of conservation of energy for free falling body, show that mechanical energy remains same. 2. What is meant by positive work, negative work and zero work? Illustrate your answer with two examples of each type. 3. What are conservative and non-conservative forces, explain with examples. Mention some of their properties. 4. What is meant by power and energy? Give their units. 5. Explain meaning of kinetic energy with examples. Obtain an expression for kinetic energy of body moving uniformly? Answer to multiple choice questions: 1. (C) 2. (A) 3. (C) 4. (B) 5. (D) 6. (D) 7. (C) 8. (D) Chapter 4 ROTATIONAL MOTION Learning objective: After going through this chapter, students will be able to; - define rotational motion and parameters like; torque, angular momentum and momentum conservation. - describe Moment of inertia and radius of gyration. - solve relevant numerical problems. 4.1 ROTATIONAL MOTION WITH EXAMPLES The rotation of a body about fixed axis is called Rotational motion. For example, (i) motion of a wheel about its axis (ii) rotation of earth about its axis. 4.2 DEFINITION OF TORQUE AND ANGULAR MOMENTUM Torque ($\tau$) It is measured by the product of magnitude of force and perpendicular distance of the line of action of force from the axis of rotation. It is denoted by $\tau$, \[ \tau = \vec{F} \times \vec{r} \] where $F$ is force and $r$ is perpendicular distance. Unit: Newtons (N) Dimension Formula: $[M^1L^2T^{-2}]$ Angular Momentum (L) Angular momentum of a rotating body about its axis of rotation is the algebraic sum of the linear momentum of its particles about the axis. It is denoted by L. \[ L = \text{Momentum} \times \text{perpendicular distance} \] \[ L = p \times r \] or \[L = mvr\] Unit: Kg m$^2$/sec Dimensional Formula=$[ML^2T^{-1}]$ 4.3 CONSERVATION OF ANGULAR MOMENTUM Law of Conservation of Angular Momentum When no external torque acts on a system of particles, then the total angular momentum of the system remains always a constant. Let $I$ be moment of inertia and $\omega$ the angular velocity, then angular momentum is given as $$L = I \omega$$ Also the torque is given by $$\tau = \frac{dL}{dt}$$ If no external torque is present on the body i.e., $\tau = 0$ $$\text{Hence } \tau = \frac{dL}{dt} = 0$$ which means $L$ is constant (as derivative of constant quantity is zero). Hence, if no external torque acts on system, the total angular momentum remains conserved. Examples: (i) An ice skater who brings in her arms while spinning spins faster. Her moment of inertia is dropping (reducing the moment of arm) so her angular velocity increases to keep the angular momentum constant. (ii) Springboard diver stretches his body in between his journey. 5.4 MOMENT OF INERTIA AND ITS PHYSICAL SIGNIFICANCE, RADIUS OF GYRATION Moment of Inertia Moment of Inertia of a rotating body about an axis is defined as the sum of the product of the mass of various particles constituting the body and square of respective perpendicular distance of different particles of the body from the axis of rotation. Expression for the Moment of Inertia: Let us consider a rigid body of mass $M$ having $n$ number of particles revolving about any axis. Let $m_1$, $m_2$, $m_3$ ..., $m_n$ be the masses of particles at distance $r_1$, $r_2$, $r_3$... $r_n$ from the axis of rotation respectively (Fig. 4.2). Moment of Inertia of whole body $$I = m_1 r_1^2 + m_2 r_2^2 + ... m_n r_n^2$$ Figure: 4.2 or \[ I = \sum_{i=1}^{n} m_i r_i^2 \] Physical Significance of Moment of Inertia It is totally analogous to the concept of inertial mass. Moment of inertia plays the same role in rotational motion as that of mass in translational motion. In rotational motion, a body, which is free to rotate about a given axis, opposes any change in state of rotation. Moment of Inertia of a body depends on the distribution of mass in a body with respect to the axis of rotation. Radius of Gyration It may be defined as the distance of apoint from the axis of rotation at which whole mass of the body is supposed to be concentrated, so that moment of inertia about the axis remains the same. It is denoted by $ K $. If the mass of the body is $ M $, the moment of inertia ($ I $) of the body in terms of radius of gyration is given as, \[ I = MK^2 \] \hspace{1cm} (1) Expression for Radius of Gyration Let $ m_1, m_2, m_3 \ldots, m_n $ be the masses of particles at distance $ r_1, r_2, r_3 \ldots r_n $ from the axis of rotation respectively (Fig. 4.3). Then Moment of Inertia of whole body \[ I = m_1 r_1^2 + m_2 r_2^2 + \ldots + m_n r_n^2 \] If mass of all particles is taken same, then \[ I = m(r_1^2 + r_2^2 + \ldots + r_n^2) \] Multiply and divide the equation by $ n $ (number of particle) \[ \Rightarrow I = \frac{m \times n(r_1^2 + r_2^2 + \ldots + r_n^2)}{n} \] or \[ I = \frac{M(r_1^2 + r_2^2 + \ldots + r_n^2)}{n} \] \hspace{1cm} (2) $(M = m \times n, \text{is total mass of body})$ Comparing equation (1) and (2), we get \[ MK^2 = \frac{M(r_1^2 + r_2^2 + \ldots + r_n^2)}{n} \] Or \[ K^2 = \frac{(r_1^2 + r_2^2 + \ldots + r_n^2)}{n} \] \[ K = \sqrt{\frac{(r_1^2 + r_2^2 + \ldots + r_n^2)}{n}} \] Thus, radius of gyration may also be defined as the root mean square (r.m.s.) distance of particles from the axis of rotation. Unit: SI unit of radius of gyration is meter. Example 1. What torque will produce an acceleration of $2 \text{ rad/s}^2$ in a body if moment of inertia is $500 \text{ kg m}^2$? Solution. Here, $I = 500 \text{ kg m}^2$ $\alpha = 2 \text{ rad/s}^2$ Now, torque $\tau = I \times \alpha$ $= 500 \text{ kg m}^2 \times 2 \text{ rad/s}^2 = 1000 \text{ kg m}^2 \text{s}^{-2}$ $= 1000 \text{ Nm or J}$ Example 2. An engine is rotating at the rate of 1500 rev. per minute. Find its angular velocity. Solution. Here, Revolution per minute of engine, $N = 1500$ Angular velocity $\omega = 2\pi N$ Or $\omega = 2 \times \frac{22}{7} \times \frac{1500}{60}$ $\omega = 157.1 \text{ rad/s}$ Example 3. How large a torque is needed to accelerate a wheel, for which $I = 2 \text{ kg m}^2$, from rest to 30 r.p.s in 20 seconds? Solution. Here, Moment of inertia, $I = 2 \text{ kg m}^2$ R.P.S after 20 sec, $n = 30$ Initial velocity, $\omega_1 = 0$ Final velocity, $\omega_2 = 2 \times \pi \times 30 = 188.4 \text{ rad/s}$. Angular acceleration $= \frac{\omega_2 - \omega_1}{t} = \frac{188.4 - 0}{20} = 9.43 \text{ rad/s}^2$. Now, torque, $\tau = I \times \alpha$ $= 2 \text{ kg m}^2 \times 9.43 \text{ rad/s}^2 = 18.86 \text{ Nm or J}$ Example 4. If a point on the rim of a wheel 4 m in diameter has a linear velocity of 16 m/s, find the angular velocity of the wheel in rad/sec. Solution. Radius of wheel $(R) = \frac{\text{Diameter}}{2} = \frac{4}{2} = 2 \text{ m}$ From the relation $v = r\omega$ Angular velocity of wheel is 8 rad/s. EXERCISES Multiple Choice Questions 1. The radius of gyration of a ring of radius R about an axis through its centre and perpendicular to its plane is (A) $ \frac{R}{\sqrt{2}} $ (B) $ R $ (C) $ \frac{R}{2} $ (D) $ \frac{5R}{\sqrt{2}} $ 2. Two rings have their moment of inertia in the ratio 2:1 and their diameters are in the ratio 2:1. The ratio of their masses will be: (A) 1:2 (B) 2:1 (C) 1:4 (D) 1:1 3. The moment of inertia of a body is independent of (A) Choice of axis of rotation (B) Its mass (C) Its shape and size (D) Its angular velocity 4. A ring has greater moment of inertia than a circular disc of same mass and radius, about an axis passing through its centre of mass perpendicular to its plane, because (A) All mass is at maximum distance from axis (B) Because the centre of the ring does not lie on it (C) Because the ring needs greater inertia to bend it (D) Because the moment produced in the ring is more 5. A person standing on a rotating platform with his hands lowered outstretches his arms. The angular momentum of the person (A) Become zero (B) Decreases (C) Remains constant (D) Increases 6. Relation between torque and angular momentum is similar to the relation between (A) Force and linear momentum (B) Energy and displacement (C) Acceleration and velocity (D) Mass and moment of inertia 7. An earth satellite is moving around the earth in a circular orbit. In such case, what is conserved? (A) Force (B) Velocity (C) Angular momentum (D) Linear momentum 8. When no external Torque acts on a system, what is conserved (A) Energy (B) Force (C) Angular momentum (D) Linear momentum Short Answer Type Question 1. Define torque. 2. What is moment of inertia? 3. What is Radius of gyration? 4. What is rotational inertia or moment of inertia? Give its SI unit. 5. What is radius of gyration and mention its SI units? 6. What do you understand by kinetic energy of rotation with expression? 7. Derive an expression for torque in terms of moment of inertia. 8. Derive the relation between torque and angular momentum. Long Answer Type Question 1. Derive an expression for angular momentum in terms of moment of inertia. 2. State and prove law of conservation of angular momentum. 3. What is radius of gyration and derive its expression. 4. What is moment of inertia? Derive its expression and what is its physical significance? Answers to multiple choice questions: 1. (B) 2. (A) 3. (D) 4. (A) 5. (C) 6. (A) 7. (C) 8. (C) Chapter 5 PROPERTIES OF MATTER Learning objective: After going through this chapter, students will be able to; - understand elasticity, deforming force, restoring force etc. - define stress, strain, Hook’s law, modulus of elasticity, pressure etc.. - describe surface tension, viscosity and effect of temperature on these. - understand fluid motion and nature of flow. 5.1 DEFINITION OF ELASTICITY, DEFORMING FORCE, RESTORING FORCE, EXAMPLE OF ELASTIC AND PLASTIC BODY Elasticity: It is the property of solid materials to return to their original shape and size after the forces deforming them have been removed. Deforming Forces: The forces which bring the change in configuration of the body are called deforming forces. Restoring Force: It is a force exerted on a body or a system that tends to move it towards an equilibrium state. Elastic Body: It is the body that returns to its original shape after a deformation. Examples are Golf ball, Soccer ball, Rubber band etc. Plastic Body: It is the body that do not return to its original shape after a deformation. Examples are Polyethylene (PE), Polypropylene (PP), Polystyrene (PS) and Polyvinyl Chloride (PVC). 5.2 DEFINITION OF STRESS AND STRAIN WITH THEIR TYPES Stress: It is defined as the restoring force per unit area of a material. Stress is of two types: 1. Normal Stress: If deforming force acts normal to the surface of the body then the stress is normal stress. 2. Tangential Stress: If deforming force acts tangentially to the surface of the body then the stress is tangential stress. Strain: It is defined as the ratio of change in configuration to the original configuration, when a deforming force is applied to a body. The strain is of three types: (i) Longitudinal strain: If the deforming force produces a change in length only, the strain produced is called longitudinal strain or tensile strain. It is defined as the ratio of change in length to the original length. \[ \text{Longitudinal strain} = \frac{\text{Change in length}(\Delta l)}{\text{original length}(l)} \] (ii) Volumetric strain: It is defined as the ratio of the change in volume to the original volume. \[ \text{Volumetric strain} = \frac{\text{Change in volume}(\Delta v)}{\text{original volume}(v)} \] (iii) Shearing strain: It is defined as the ratio of lateral displacement of a surface under the tangential force to the perpendicular distance between surfaces \[ \text{Shearing strain} = \frac{\text{Lateral Displacement}}{\text{Distance between surfaces}} \] \[ = \frac{\Delta L}{L} = \tan \Phi \] ![Figure: 5.1](image) The shearing strain is also defined as the angle in radian through which a plane perpendicular to the fixed surface of a rectangular block gets turned under the effect to tangential force. Units of strain: Strain is a ratio of two similar physical quantities, it has no units and dimensions. ### 5.3 HOOK’S LAW, MODULUS OF ELASTICITY Hook’s law: Within elastic limits, the stress and strain are proportional to each other. Thus, Stress $ \propto $ Strain \[ \text{Stress} = E \times \text{Strain} \] Where $ E $ is the proportionality constant and is known as modulus of elasticity. Modulus of Elasticity: The ratio of stress and strain is called modulus of elasticity. Young’s Modulus(Y): The ratio of normal stress to the longitudinal strain is defined as Young’s modulus and is denoted by the symbol Y. \[ Y = \frac{F/A}{\Delta l/l} = \frac{F \times l}{A \times \Delta l} \] Since strain is a dimensionless quantity, the unit of Young’s modulus is the same as that of stress i.e., Nm$^{-2}$ or Pascal (Pa) Bulk Modulus (B): The ratio of normal (hydraulic) stress to the volumetric strain is called bulk modulus. It is denoted by symbol B. \[ B = \frac{F/A}{\Delta V/V} = \frac{F \times V}{A \times \Delta V} \] SI unit of bulk modulus is the same as that of pressure i.e., Nm$^{-2}$ or Pa Shear Modulus or Modulus of rigidity ($\eta$): The ratio of shearing stress to the corresponding shearing strain is called the shear modulus of the material and is represented by $\eta$. It is also called the modulus of rigidity. \[ \eta = \text{Tangential stress / Shear strain} \] \[ \eta = \frac{F/A}{\Delta L/L} = \frac{F \times L}{A \times \Delta L} \] SI unit of shear modulus is Nm$^{-2}$ or Pa. ### 5.4 PRESSURE AND PASCALS LAW Pressure: It is defined as the force per unit area over the surface of a body. \[ P = \frac{F}{A} \] SI unit is Nm$^{-2}$ or Pa Pascal Law: A change in the pressure applied to an enclosed incompressible fluid is transmitted undiminished to every portion of the fluid and to the walls of its container. ### 5.5 SURFACE TENSION AND EFFECT OF TEMPERATURE ON SURFACE TENSION Surface Tension: The property of a liquid due to which its free surface behaves like stretched membrane and acquires minimum surface area. It is given by force per unit length. \[ T = \frac{F}{l} \] Surface tension allows insects (e.g. water striders), usually denser than water, to float and stride on a water surface. SI unit is N/m. Applications of surface tension It plays an important role in many applications in our daily life. - Washing clothes - Cleaning - Cosmetics - Lubricants in machines ![Figure: 5.2](image-url) • Spreading of ink, colours • Wetting of a surface • Action of surfactants • Paints, insecticides • Creating fuel-spray in automobile engines • Passing of liquid in porous media Effect of Temperature on Surface Tension In general, surface tension decreases when temperature increases and vice versa. This is because cohesive forces decrease with an increase of molecular thermal activity. The influence of the surrounding environment is due to the adhesive action liquid molecules have at the interface. ### 5.6 VISCOSITY AND EFFECT OF TEMPERATURE ON VISCOSITY Viscosity: The property of liquid due to which it oppose the relative motion between the layers of fluid. It is also known as liquid friction. SI unit of viscosity is Pascal-second (Pa.s) and CGS unit is Poise. Effect of Temperature on Viscosity In liquids the source for Viscosity is considered to be atomic bonding. As we understand that, with the increase of temperature the bonds break and make the molecule free to move. So, we can conclude that the viscosity decreases as the temperature increases and vice versa. In gases, due to the lack of cohesion, the source of viscosity is the collision of molecules. Here, As the temperature increases the viscosity increases and vice versa. This is because the gas molecules utilize the given thermal energy in increasing its kinetic energy that makes them random and therefore resulting in more the number of collisions. ### 5.7 FLUID MOTION, STREAM LINE AND TURBULENT FLOW Fluid Motion: A liquid in motion is called fluid. There are two types of fluid motions; streamline and turbulent. Streamline Flow: Flow of a fluid in which its velocity at any point of given cross section is same. It is also called laminar flow. Turbulent flow: It is type of fluid (gas or liquid) flow in which the speed of the fluid at given cross section is continuously undergoing changes in both magnitude and direction. EXERCISES Multiple Choice Questions 1) Elastic body is the body that returns to its original shape after a ........... (A) Restoration (B) Deformation (C) Elongation (D) Acceleration 2) Stress is defined as the .................... per unit area of a material. (A) Force (B) Velocity (C) Distance (D) Displacement 3) ...............................is the ratio of change in dimensions to the original dimensions. (A) Strain (B) Surface Tension (C) energy (D) elasticity 4) For small deformations the stress and strain are proportional to each other. This is called ....................... (A) Hook’s Law (B) Pascal’s Law (C) Snell’s law (D) Newton’s law 5) Pressure is defined as the force per unit ..................... over the surface of a body. (A) Area (B) Volume (C) Line (D) Energy 6) A change in the pressure applied to an enclosed incompressible fluid is transmitted undiminished to every portion of the fluid to the walls of its container. It is called....................... (A) Hooks Law (B) Pascal’s Law (C) Snell’s law (D) Newton’s law 7) Elasticity is the property of solid materials to return to their original shape and size after the removal of deforming forces. (A) True (B) False 8) Restoring force is the force exerted on a body or a system that tends to move it towards an equilibrium state. (A) True (B) False Short Answer Type Questions 1. Define Elasticity. 2. What is Viscosity? 3. What is Turbulent Flow? 4. Define Surface Tension. 5. What is Young’s Modulus of Elasticity? 6. State and explain Hooks Law. 7. State and explain Pascal’s Law. 8. What is the effect of temperature on surface tension? 9. What is the effect of temperature on viscosity? 10. Give any five applications of Surface Tension. 11. What is difference between elastic and plastic bodies? Long Answer Type Questions 1. Explain different kind of modulus of elasticity. 2. What is Surface Tension? Give formula, Units and Applications of Surface Tension. 3. Explain streamline flow, laminar flow and turbulent flow. 4. Explain different types of stress. 5. Explain Young’s modulus and its units. Answers to multiple choice questions: 1. (B) 2. (A) 3. (A) 4. (A) 5. (A) 6. (B) 7. True 8. True Chapter 6 HEAT AND TEMPERATURE Learning Objectives: After going through this chapter, the students will be able to: - define heat and temperature, understand the difference between heat and temperature; - describe principles of measuring temperature and different temperature scales, - enlist properties of heat radiations and various modes of transfer of heat. 6.1 HEAT AND TEMPERATURE All objects are made of atoms or molecules. These molecules are always in some form of motion (linear, vibrational or rotational) and possess kinetic energy by virtue of their motion. The hotter an object is, faster will be the motion of the molecules inside it and hence more will be its kinetic energy. Heat of an object is the total energy of all the individual molecules of which the given object is made. It is a form of thermal energy. When the object is heated, its thermal energy increases, means its molecules begin to move more violently. Temperature, on the other hand, is a measure of the average heat or thermal energy of the molecules in a substance. Heat is the form of energy which produces the sensation of warmth or coldness. Conventionally, heat energy supplied to a body is taken as positive and the heat energy given out by a body is taken to be negative. The CGS unit of heat is the calorie (cal) - defined as the amount of heat required to raise the temperature of 1g of water through $1^\circ C$. The S.I. unit of heat energy is the Joule (J) – defined as the amount of work done when a force of one Newton acts through one meter parallel to itself. The relationship between two units is: $$1 \text{ cal} = 4.18 \text{ J}.$$ Heat on the basis of kinetic theory: According to the kinetic theory, heat of a body is total kinetic energy of all its molecules. If a body have ‘$n$’ number of molecules having mass $m$ and velocities $v_1, v_2, v_3, \ldots, v_n$ respectively, then Total heat energy in the body ($H$) = Sum of kinetic energy of all molecules $$H = K \left( \frac{1}{2} m v_1^2 + \frac{1}{2} m v_2^2 + \frac{1}{2} m v_3^2 + \ldots + \frac{1}{2} m v_n^2 \right)$$ ; where $K$ is thermal constant. When the body is heated, the kinetic energy of each molecule inside it increases due to increase in their velocity. This results in the increase of total kinetic energy of the body and in turn represents total heat of the body. Temperature Temperature is the degree of hotness of the body. It is the average kinetic energy of all the molecules of which the given body is made and is given by the expression; \[ T = \frac{K\left(\frac{1}{2}mv_1^2 + \frac{1}{2}mv_2^2 + \frac{1}{2}mv_3^2 + \ldots + \frac{1}{2}mv_n^2\right)}{n} \] Units of temperature are; Fahrenheit (°F), Celsius (°C) and Kelvin (K). Kelvin is the S.I. unit of temperature. 6.2 DIFFERENCE BETWEEN HEAT AND TEMPERATURE: \| Heat \| Temperature \| \|----------------------------------------------------------------------\|--------------------------------------------------\| \| Heat is energy that is transferred from one body to another as the \| Temperature is a measure of hotness or coldness \| \| result of a difference in temperature \| \| \| It is total kinetic energy of all the molecules \| It is average kinetic energy of all the molecules\| \| It depends on quantity of matter \| It does not depend on quantity of matter \| \| It is form of energy (Thermal) \| It is measure of energy \| \| S.I. unit is Joule \| S.I. unit is Kelvin \| 6.3 PRINCIPLES OF MEASUREMENT OF TEMPERATURE: Measurement of temperature depends on the principle that properties (physical/electrical/chemical) of material changes with change in temperature. A device that utilizes a property of matter to measure temperature is known as thermometer. Temperature is a principle parameter that needs to be monitored and controlled in most engineering applications such as heating, cooling, drying and storage. Temperature can be measured via a diverse array of sensors. All of them infer temperature by sensing some change in a physical characteristic; be it a thermal expansion, thermoelectricity, electrical resistance or thermal radiation. There are four basic types of thermometers, each working on a different principle: 1. Mechanical (liquid-in-glass, bimetallic strips, bulb & capillary, pressure type etc.) 2. Thermo-electric (Thermocouples) 3. Thermo-resistive (RTDs and thermistors) 4. Radiative (Infrared and optical pyrometers). Each produces a different scale of temperature which can be related to one another. Commonly used thermometers are mercury thermometer, platinum resistance thermometer, thermo-electric and pyrometers. Liquid thermometers can measure temperature up to 300°C. Resistance thermometers can go up to 1200°C while thermo-electrics are used for measuring temperature as high as 3000°C. For still higher temperatures pyrometers (very hot furnaces) are used. 6.4 DIFFERENT SCALES OF TEMPERATURE AND THEIR RELATIONSHIP In general, there are three scales of temperature measurement. The scales are usually defined by two fixed points; temperature at which water freezes and the boiling point of water as defined at sea level and standard atmospheric pressure. a) Fahrenheit Scale: It was given by physicist Daniel Gabriel Fahrenheit in 1724. It uses the degree Fahrenheit (symbol: °F) as the unit. On this scale freezing point of water is taken as the lower fixed point (32°F) and boiling point of water is taken as upper fixed point (212°F). The interval between two points is divided into 180 equal parts. Each division is 1° F. This scale is used for clinical and meteorological purpose. b) Celsius Scale: This scale was given by Anders Celsius in 1742. The scale was called centigrade scale. However in 1948 it was given the name Celsius to honour Anders Celsius. On this scale freezing point of water is taken as the lower fixed point (marked 0°C) and boiling point of water is taken as upper fixed point (marked 100°C). The interval between two points is divided into 100 equal parts. Each division is 1°C. This scale is used for common scientific, clinical, meteorological and technological work. c) Kelvin Scale: In 1954, the Celsius scale was redefined in terms of the absolute zero and the triple point of a specially purified water. This definition also precisely relates the Celsius scale to the Kelvin, which defines the SI base unit of temperature with symbol K. On this scale freezing point of water is taken as the lower fixed point (273K) and boiling point of water is taken as upper fixed point (373K). The interval between two points is divided into 100 equal parts. Each division is 1K. \[ 1^\circ C = 1 \text{ K} \] This is the natural scale of temperature also called the absolute temperature scale. Absolute zero is the basis of the Kelvin scale. The scale is based on ideal gas thermometer. Figure 6.1 shows three temperature scales with maximum and minimum temperature points. Absolute Zero: Absolute zero is the temperature at which all molecular motions come to stand still i.e. net kinetic energy becomes zero. It is taken as zero Kelvin (-273°C). At absolute zero temperature, the pressure (or volume) of the gas goes to zero. This may imply that if the temperature is reduced below -273.15°C, the volume becomes negative which is obviously not possible. Hence $-273.15^\circ C$ is the lowest temperature that can be achieved and therefore called the absolute zero of temperature. The interval on the scale is the same as on the Celsius scale ($1 \text{ K} = 1 \text{ }^\circ \text{C}$) and two scales can be related as. $$K = ^\circ C + 273.15$$ Thus on absolute scale of temperature, water freezes at 273.15K and boils at 373.15K. Triple Point of water: The triple point is that point on a pressure versus temperature graph which corresponds to the equilibrium among three phases of a substance i.e. gas, liquid and solid. Triple point of pure water is at 273.15K. It is unique and occurs at single temperature and single pressure. Relation among the Scales of Temperature Temperature of a body can be converted from one scale to the other. Let, $L =$ lower reference point (freezing point) $H =$ upper reference point (boiling point) $T =$ temperature read on the given scale. Now $$\frac{T - L}{H - L} = \text{Relative temperature w.r.t. both reference point.}$$ This relative temperature should not change if we are measuring the temperature of a body by using different thermometers. Let us take a body whose temperature is determined by three different thermometers giving readings in $^\circ C$, $^\circ F$ and K respectively. Let $T_1 = C =$ Temperature in $^\circ C$, $L_1 = 0^\circ C$, $H_1 = 100^\circ C$ $T_2 = F =$ Temperature in $^\circ F$, $L_2 = 32^\circ F$, $H_2 = 212^\circ F$ $T_3 = K =$ Temperature Kelvin, $L_3 = 273 \text{ K}$, $H_3 = 373 \text{ K}$ We can write, $$\left( \frac{T_1 - L_1}{H_1 - L_1} \right) = \left( \frac{T_2 - L_2}{H_2 - L_2} \right) = \left( \frac{T_3 - L_3}{H_3 - L_3} \right)$$ \[ \Rightarrow \left( \frac{C - 0}{100 - 0} \right) = \left( \frac{F - 32}{212 - 32} \right) = \left( \frac{K - 273}{373 - 273} \right) \] \[ \Rightarrow \frac{C}{100} = \frac{F - 32}{180} = \frac{K - 273}{100} \] \[ \Rightarrow \frac{C}{5} = \left( \frac{F - 32}{9} \right) = \left( \frac{K - 273}{5} \right) \] ### 6.5 MODES OF TRANSFER OF HEAT When two bodies having different temperatures are brought close together, the heat flows from body at higher temperature to body at lower temperature. Heat may also flow from one portion of body to another portion because of temperature difference. The process is called transfer of heat. There are three modes by which heat is transferred from one place to another. These are named as conduction, convention and radiations. (i) Conduction: It is defined as that mode of transfer of heat in which the heat travels from particle to particle in contact, along the direction of fall of temperature without any net displacement of the particles. For example, if one end of a long metal rod (iron or brass) is heated, after some time other end of rod also become hot. This is due to the transfer of heat energy from hot atoms to the nearby atoms. When two bodies have different temperatures and are brought into contact, they exchange heat energy and tend to equalize the temperature. The bodies are said to be in thermal equilibrium. This is the mode of heat transfer in solids. (ii) Convection: The process of transmission of heat in which heat is transferred from one point to another by the physical movement of the heated particles is called convection. For example, if a liquid in a vessel is heated by placing a burner below the vessel, after some time the top surface of liquid also become warm. This is because the speed of atoms or molecules increases when liquid or gases are heated. The molecule having more kinetic energy rise upward and carry heat with them. Liquids and gases transfer heat by convection. Examples are heating of water, cooling of transformers, heating of rooms by heater etc. (iii) Radiation: The process of heat transfer in which heat is transmitted from one place to another without heating the intervening medium is called radiation. Thermal radiations are the energy emitted by a body in the form of radiations on account of its temperature and travel with the velocity of light. We receive heat from sun by radiation process. All the bodies around us do emit these radiations. These radiations are the electromagnetic waves. The energy contained in radiation is $ E = h \nu $, where $ \nu $ is frequency of waves emitted. 6.6 PROPERTIES OF HEAT RADIATIONS 1. They do not require a medium for their propagation. 2. Heat radiations travel in straight line. 3. Heat radiations do not heat the intervening medium. 4. Heat radiations are electromagnetic waves. 5. They travel with a velocity $3 \times 10^8$ m/s in vacuum. 6. They undergo reflection, refraction, interference, diffraction and polarization. 7. They obey inverse square law. * * * * * EXERCISES Multiple Choice Questions 1. Heat of an object is the .................... energy of all the molecular motions inside that object. A) Average B) Total C) Minimum D) Zero 2. Temperature is a measure of the .................... energy of the molecules. A) Binding B) Potential C) Thermal D) Gravitational 3. .................... is the transfer of heat across a medium or objects which are in physical contact. A) Conduction B) Radiation C) Convection D) Absorption 4. Transfer of heat from a fluid to a solid surface or within a fluid is called ............. A) Conduction B) Radiation C) Convection D) Absorption 5. Matter that is at finite temperature emits energy in space in the form of electromagnetic waves. The process is known as .................... A) Conduction B) Radiation C) Convection D) Absorption 6. Heat radiation travels at the same speed as sound. (True/ False). 7. The Kelvin scale is an absolute scale. (True/ False) 8. Heat radiations cannot travel through a vacuum. (True / False) 9. Celsius temperature is defined to be exactly 273.15 less than the Kelvin temperature. (True / False) 10. Air conditioner is an example of radiation. (True / False) Short Answer Questions 1. What is heat? Give SI unit of heat. 2. What is temperature? Give SI unit of temperature. 3. What are heat radiations? Whether these travel in straight line or not? 4. What is principle of measurement of temperature? 5. Define absolute zero of temperature? 6. What is triple point? 7. Give two examples of convection. 8. Define the process of conduction in metals. 9. Give relationship between Celsius and Fahrenheit scales of temperature. 10. Temperature of a patient is 40°C. What will be the corresponding temperature on Fahrenheit scale? Long Answer Questions 1) Explain heat and temperature on basis of kinetic theory. 2) Describe principle of temperature measurements and name two such devices. 3) Describe with example different modes of transfer of heat. 4) Explain different scales of temperature and establish relationship between them. 5) Explain, what do you understand by absolute zero and triple point? 6) Give any five properties of heat radiations. Answers to multiple choice questions: 1. B 2. C 3. A 4. C 5. B 6. False 7. True 8. False 9. True 10. False Chapter 7 WAVE MOTION AND ITS APPLICATIONS Learning Objective: After going through this chapter, students will be able to: - understand concept of waves and wave motion, define parameters representing a wave motion and their relationship, define simple harmonic motion with examples, understand vibrations and types of vibrations. - describe concept of acoustics, associated parameters and methods to control acoustics of buildings. - Identify ultrasonic waves and enlist their engineering applications. 7.1 WAVE MOTION Motion of an object is the change in its position with time. In different types of motions, some form of energy is transported from one place to another. There are two ways of transportation of energy from its place of origin to the place where it is to be utilized. One is the actual transport of matter. For example when a bullet is fired from a gun it carries kinetic energy which can be utilized at another place. The second method by which energy can be transported is the wave process. A wave is the disturbance in which energy is transferred from one point to other due to repeated periodic motion of particles of the medium. The waves carry energy but there is no transport of matter. There are two types of waves: 1. Mechanical or Elastic waves 2. Electromagnetic waves Mechanical waves Those waves which are produced due to repeated periodic motion of medium particles are called mechanical or elastic waves. They need a material medium for their generation and propagation. For example sound waves, water waves are mechanical in nature. Electromagnetic wave (Light) The wave which travels in form of varying electric and magnetic fields mutually perpendicular to each other and also perpendicular to direction of propagation of wave. They do not need material medium for their propagation. For example, light waves, heat radiations, radio waves, X-rays are electromagnetic waves. The propagation of disturbance through a medium due to repeated periodic motion of medium particles is called wave motion. The characteristics of wave motion are: 1. The wave travels forward but the particles vibrate only about their mean position. 2. The velocity of propagation is the rate at which the disturbance travels through the medium. 3. The velocity of the wave depends on the type of wave (light, sound) and type of medium (air, water, or metal). 4. The velocity of waves is different from the velocity of particles. 5. There is regular phase difference between particles of wave. Types of Wave Motion: There are two types of wave motion; a) Transverse wave motion b) Longitudinal wave motion a) Transverse wave motion When the particles of the medium vibrate perpendicular to the direction of propagation of wave the wave motion is called transverse wave motion. A transverse wave motion is shown in Fig. 7.1. A transverse wave consists of one crest and one trough that makes one cycle. The distance between two consecutive crests or two consecutive troughs is called wavelength. The farthest point in positive direction is called crest and that in negative direction is called trough. ![Fig. 7.1](image) Examples are wave produced by a stretched string, light waves, waves produced on surface of water etc. b) Longitudinal Waves When the particles of medium vibrate parallel to the direction of propagation of wave the wave motion is called longitudinal wave motion. A longitudinal wave travels in the form of compressions and rarefactions as shown in the Fig. 7.2. The part of medium where distance between medium particles is less than their normal distance is called compression and the portion where distance is more than their normal distance is called rarefaction. One cycle consist of one complete compression and one complete rarefaction. The distance between two consecutive compressions and rarefaction is called wavelength. ![Fig. 7.2](image) Most familiar example of longitudinal waves is sound waves. Sound waves can travel in medium such as solids, liquids and gases. The main points of difference between transverse and longitudinal waves are listed below: \| S. No. \| Transverse Waves \| Longitudinal Waves \| \|--------\|----------------------------------------------------------------------------------\|------------------------------------------------------------------------------------\| \| 1. \| The particles of the medium vibrate perpendicular to the direction of propagation of wave \| The particles of medium vibrate parallel to the direction of propagation of wave \| \| 2. \| The wave travels in form of crests and troughs \| The wave travels in form of compressions and rarefactions. \| \| 3. \| There is no change in density of the medium. \| These waves produce change in density of the medium. \| \| 4. \| These waves can be polarised. \| These waves cannot be polarised. \| \| 5. \| Electromagnetic waves, wave travelling on stretched string, light waves are the examples. \| Sound waves, pressure waves, musical waves are its examples. \| Terms Characterizing Wave Motion: Various parameters used to characterize a wave motion are defined below. Displacement: The distance of a particle from its mean position, at any instant is called displacement. Amplitude: It is the maximum displacement of the particle from its mean position of rest. Wavelength: It is the distance travelled by the wave in the time in which the particle of the medium completes one vibration. It is denoted by $\lambda$ and measured in metres. The distance AB or DE in figure 7.3 is equal to one wavelength. ![Diagram](image) Fig. 7.3 Time period: It is defined as the time taken by a wave to complete one vibration or one cycle. It is denoted by (T) and S.I. unit is second. Frequency: The number of vibrations made by a wave in one second is called frequency. It can also be written as reciprocal of time period ($\nu = \frac{1}{T}$). It is represented by $ n $ or $ \nu $ (nu) and units are Hertz (Hz), KiloHertz (KHz), MegaHertz (MHz) ... etc. Wave Velocity: The distance travelled by the wave per unit time is defined as wave velocity. It is denoted as $ V $ and measured in m/s. Phase: Phase of a vibrating particle tells the position of a particle at that instant. It is measured by the fraction of angle or time elapsed by wave at any instant since the particle has crossed its mean position in positive direction. It is denoted by $ \theta $ and unit is radian. Phase difference: The difference in angle or time elapsed between two particles at any instant. It is calculated by the formula \[ \text{Phase difference} = \frac{2\pi}{\lambda} \times \text{path difference} \] Relation between Wave velocity, Wavelength and Frequency Wave velocity is the distance travelled by a wave in one time period. \[ V = \frac{\text{Distance}}{\text{Time}} = \frac{\lambda}{T} \] and frequency is reciprocal of time period i.e. \[ \nu = \frac{1}{T} \] Thus \[ V = \nu \lambda \] The relation holds for both transverse and longitudinal waves. Numerical 1: A radio station broadcasts at a frequency of 15 MHz. The velocity of transmitted waves is $ 3 \times 10^8 $ m/s. What is the wavelength of transmitted waves? Solution: Given, frequency ($ \nu $) = 15 MHz = $ 15 \times 10^6 $ Hz, Velocity of waves ($ V $) = $ 3 \times 10^8 $ m/s Using relation; $ V = \nu \lambda $ we get wavelength ($ \lambda $) = $ \frac{V}{\nu} = \frac{3 \times 10^8}{15 \times 10^6} = 20 $ m Numerical 2: A tuning fork of frequency 512 Hz makes 24 vibrations in air. If velocity of sound in air is 340 m/s, how far does sound travel in air? Solution: Here, frequency ($ \nu $) = 512 Hz and velocity = 340 m/s Using the relation $ V = \nu \lambda $, we get Wavelength ($ \lambda $) = $ \frac{V}{\nu} = \frac{340}{512} = 0.664 $ m Therefore, distance in 24 vibrations = $ 24 \times \lambda = 24 \times 0.664 $ m = 15.94 m 7.2 FREE, FORCED AND RESONANT VIBRATIONS Vibrations A motion in which the object moves to and fro about a fixed mean position is called oscillatory motion (vibration). All oscillatory motion needs to be periodic. The motion in which the object repeats its path after a fixed regular interval of time is called periodic motion. For example, motion of hands of clock, motion of spring mass system, simple pendulum, cantilever, rim of cycle wheel etc. Whenever there are vibrations, there is transfer of energy which makes a wave. An understanding of vibrations and waves is required to understand our physical world. We see around us because of light waves and we hear the world around us because of sound waves. Types of Vibrations: There are three types of vibrations: free, forced and resonant. 1) Free Vibrations: A force can set a resting object into motion. But when the force is a short-lived or momentary, it only begins the motion. The object moves back and forth, repeating the motion over and again. When a body is set into vibrations and is allowed to vibrate freely under the influence of its own elastic forces such vibrations are called free vibrations. The frequency of vibration is called natural frequency. Examples are vibrations of simple pendulum, cantilever, loaded beam etc. Free vibrations can also be divided in two classes; damped and undamped vibrations. a) Damped Vibrations: In case of free vibrations, the extent of displacement from the equilibrium position reduces with time. This is because the force that started the motion is a momentary force and the vibrations ultimately cease. The object is said to experience damping. Thus when the amplitude of vibrations goes on decreasing with time and finally the vibrations stop after some time then such vibrations are called damped vibrations as shown in Fig. 7.4. For example vibrations of cantilever, loaded beam, spring mass system etc. Damping is the tendency of a vibrating object to lose or to dissipate its energy over time. The mechanical energy of the object is lost to other objects. Without a sustained forced vibration, the back and forth motion of the object eventually ceases as energy is dissipated to other objects. ![Damped Vibrations](image) Fig. 7.4. Damped vibrations b) Undamped Vibrations: If the amplitude of vibrations remains constant and the vibrations continue for infinite time then such vibrations are called undamped vibrations as shown in Fig. 7.5. For example vibrations of simple pendulum in a closed glass box. ![Fig. 7.5. Undamped vibrations](image) 2) Forced Vibrations: A vibrating object naturally loses energy with time. It must continuously be put back into the vibrations through a force in order to sustain the vibration. A sustained input of energy would be required to keep the back and forth motion going. Thus when a periodic force is used to maintain the vibrations of an object then such vibrations are called forced vibrations. For example swing of a child. 3) Resonant Vibrations: It is a special type of forced vibration in which the frequency of applied force matches with natural frequency of an object. In this situation resonance occurs and the amplitude of vibrations increases largely. For example tuning of radio set, swing of a child. (a) Tuning of a radio set: There are many stations sending radio waves of various frequencies causing forced oscillations in the circuit of receiver. When the frequency of tuner equals that of waves from particular broadcasting station, the resonance takes place and hence we can hear only that station, whose amplitude is increased. (b) Another example is swing of a child, which acts as a pendulum. The force with a frequency that matches with the natural frequency of the swing (its resonant frequency) makes the swing go higher and higher (maximum amplitude), while attempts to push the swing at a faster or slower rate produce smaller amplitude. This is due to the fact that swing absorbs maximum energy when the force matches with natural frequency of swing. Resonance occurs widely in nature. Some sounds we hear, like when hard objects of metal, glass, or wood are struck, are caused by brief resonant vibrations in the object. Electromagnetic waves are produced by resonance on an atomic scale. Other examples are the balance wheel in a mechanical watch, tidal resonance, acoustic resonances of musical instruments, production of coherent light by optical resonance in a laser etc. ### 7.3 SIMPLE HARMONIC MOTION (SHM) It is a special type of motion in which the restoring force is directly proportional to displacement from the mean position and opposes its increase. Applying Newton’s second law of motion (force = mass × acceleration), it can be stated as a periodic motion in which the acceleration is directly proportional to displacement and is always directed towards mean position. In other words, if $F$ is the restoring force and ‘$y$’ is the displacement from the mean position, then $$F = - K y \quad \text{or} \quad a = - \frac{K}{m} y$$ The negative sign indicates that $F$ opposes increase in $y$ and $K$ is constant of proportionality, called force constant. In such motion displacement varies harmonically with time and can be represented in terms of harmonic functions i.e. $\sin \theta$, $\cos \theta$ such as $$y(t) = A \sin \omega t \text{ or } A \cos \omega t \quad (\theta = \omega t)$$ Here $A$ is the amplitude of SHM and is the maximum value of displacement from the mean position and $\omega$ is angular frequency. Characteristics of SHM: - The motion should be periodic. - Force causing the motion is directed toward the equilibrium point (minus sign). - Acceleration produced is directly proportional to the displacement from equilibrium. Under the influence of a restoring force ($F$), a body acquires a velocity $\left( \frac{dy}{dt} \right)$ and hence an acceleration $\left( \frac{d^2 y}{dt^2} \right)$. This can be written as $$\text{Acceleration} = - \frac{K}{m} \times y$$ or $$\frac{d^2 y}{dt^2} = - \omega^2 y \quad ; \quad \omega = \sqrt{\frac{K}{m}}$$ Term $\omega$ is called angular frequency which is $2\pi$ times the frequency ($v$). Frequency ($v$) is measured in cycles per second (cps) or Hertz (Hz) and $\omega$ in radians/sec. $$\omega = 2\pi v = \frac{2\pi}{T}$$ $T$ is the time period of the motion (smallest time interval after which a motion repeats itself) and is given by $$T = \frac{2\pi}{\omega} = 2\pi \sqrt{\frac{m}{K}}$$ Examples of SHM are; motion of simple pendulum, cantilever, mass-spring system, swing etc. ### 7.4 CANTILEVER A metallic beam fixed at one end and free to vibrate at other end is called cantilever. The normal configuration of a cantilever is shown in Fig. 7.6. When it is loaded at free end it vibrates and its edge performs simple harmonic motion. The time taken to complete one vibration is called time period. The time period is given by \[ T = 2\pi \sqrt{\frac{p}{g}} \] Where $ p $ is the depression of beam (displacement of beam from its unloaded position) and $ g $ is acceleration due to gravity. ### 7.5 SOUND WAVES These are mechanical waves and need medium for their propagation. Sound waves also called pressure waves can be transmitted through solid, liquid or gas. There are three frequency ranges in which sound is categorised: a) Audible: The sound waves between frequencies 20 Hz to 20 kHz is audible to human ears and is called audible range. b) Infrasonic: Sound waves below frequency 20 Hz are called infrasonic and are inaudible to human ears. A number of animals produce and use sounds in the infrasonic range. For example elephant, whales, rhinos etc. c) Ultrasonic: The sound waves with frequency above 20 kHz are called ultrasonic. Bats communicate through ultrasonic waves. They are also inaudible to human ears. Properties of sound waves are: 1. Sound waves are longitudinal mechanical waves. 2. They need material medium for their generation and propagation. 3. They cannot traverse through vacuum so their velocity in vacuum is zero. 4. Their velocity in air at NTP is 332 m/s and it increases with rise in temperature. 5. Sound waves travel faster in solids than in liquids than in gasses. 6. They show the phenomena of reflection, transmission, diffraction etc. 7.6 ACOUSTICS OF BUILDINGS The branch of physics that deals with study of audible sound including their generation, propagation and properties is called acoustics. Acoustics of buildings: It deals with construction of public halls, auditoriums, cinema halls etc. for best sound effects. Generation of Audible Sound: Any object that can produce longitudinal mechanical waves of frequency between 20 Hz to 20 KHz generates audible sound. For example, musical instruments, vibrating fork, human throat (vocal chord) etc. Propagation of Audible Sound: Audible sound propagates in material medium only. Its velocity is lowest in air and increases with increase in density of the medium. It travels fastest in metals. While travelling in one medium if it meets another medium it gets divided into three parts; reflected part, absorbed part and transmitted part. Coefficient of Absorption of Sound: The ratio of sound energy absorbed by a surface to the total sound incident on a surface is called coefficient of absorption or simply absorption coefficient of sound. It is denoted by ‘a’ and its SI unit is OWU (Open window unit). Its value is maximum (=1) for an open window. \[ a = \frac{\text{absorbed sound energy by a surface}}{\text{Total sound energy incident on the surface}} \] Types of Audible Sound: Two types of audible sound are musical sound and noise. Musical Sound: The sound that produces pleasant effect on our ears is called musical sound. It is a single sound or multiple sounds having same frequency, wavelength and meeting in same phase. Noise: The sounds that produce unpleasant effect on our ears are called noise. It has irregular amplitude with time. It is generally a combination of multiple sounds of different frequency, wavelength and meeting in different phases. Reverberation: It is the persistence of sound after the source has stopped emitting sound due to reflection from multiple surfaces. Reverberation Time: The time up to which a sound persists in a hall or room after the source has stopped emitting it is called reverberation time. Standard reverberation time (Sabine’s formula): Reverberation time is the time taken by the sound intensity to drop by 60 dB or reduce to its one millionth parts. An American scientist W. C. Sabine developed an equation for calculating the reverberation time as: \[ T = \frac{0.16V}{\sum a \times S} \] where $ V $ is the volume of the hall in $ m^3 $, $ a $ is the average absorption coefficient of room surfaces and $ S $ is total surface area of room in $ m^2 $. Here $ \sum aS = a_1s_1 + a_2s_2 + a_3s_3 + \ldots $ where $ a_1, a_2, a_3 $ etc. are absorption coefficients of different objects in hall and $ s_1, s_2, s_3 $ etc. are their surface areas. Echo: The repetition of original sound by reflection from a surface is called echo. The echo is produced if the reflected sound reaches our ears after 1/10 of a second. It is different from reverberation as echo is identified as repeated sound due to a time gap of at least 1/10 of a second. The distance ‘$ d $’ of reflector/obstacle causing echo is given by \[ d = \frac{V.t}{2} \] where ‘$ V $’ is velocity of sound and ‘$ t $’ is time taken by reflected sound to reach our ears. The minimum distance of obstacle to produce echo thus is given as \[ s = \left( \frac{332 \times (1/10)}{2} \right) = 16.6 \text{ m/s} \] Thus, the obstacle must be placed at a minimum distance of 16.6m from the source to produce echo. Methods to Control Reverberation time: To control reverberation time the simplest way is to increase absorption in the hall. The methods to control reverberation are: 1. Provide few open windows in hall- Open windows are good absorbers of sound and the reverberation time can be controlled by adjusting the number of open windows in the hall. 2. Cover the floor with carpets- The carpets are also good absorbers of sound which help in reducing the reverberation time in the hall. 3. Curtains- The use of heavy folded curtains on doors and windows allows to control the reverberation time. 4. Cover the walls-Covering the walls with absorbing materials like fibre or asbestos sheetsetc. help in reducing reverberation time. 5. Provide false ceiling - False ceiling is made of sound absorbing materials which reduces the reverberation in a hall. 6. Using upholstered cushioned seats in hall - The seats in the empty hall would also absorb the sound if they are made of good absorbing cushioned material and turn up when no one is sitting on them. 7. A good number of audience increases the absorption of hall. ### 7.7 ULTRASONICS The sound waves having frequency more than 20 kHz are called ultrasonics. Their characteristics are: i. They are high frequency and high energy waves. ii. If they are passed through a liquid it is shaken violently. iii. They work as catalyst for chemical reactions. iv. They can be sent in the form of narrow beam to long distances without loss of energy. v. Travelling in one medium if they meet another, they return back in same medium at 180 degree. vi. Just like ordinary sound waves, ultrasonic waves get reflected, refracted and absorbed. vii. They produce intense heating effect when passed through a substance. Production of Ultrasonic: The natural producer of ultrasonics is ‘Bat’. Another simple method to produce low frequency ultrasonics is ‘Galton’s whistle’. Two types of oscillators are used to produce ultrasonic sounds: Magnetostriction oscillator, Piezo electric oscillator. Applications of Ultrasonic: Ultrasonic waves are used in various fields like; medical for ultrasound, navigation for various purposes, engineering for drilling, cleaning, flaw detection etc. Some important applications of ultrasonic are described below: 1) Drilling: Ultrasonic is high frequency and high energy wave, so they can be used in applications involving high amount of energy. They can be used to make a drill even in hardest material of world i.e. Diamond. For this a tool bit is attached at lower end of magnetostriction oscillator. The sheet to be drilled is kept below the tool bit. It is driven by a magnetostriction oscillator that creates the vibrations. When oscillator is switched on the tool bit moves up and down that produces enough strain to make a drill in the sheet. The setup of drilling is shown in Fig. 7.7. ![Fig. 7.7 Ultrasonic drilling](image) 2) Ultrasonic welding (cold welding): The setup is shown in Fig. 7.8. Cold welding means welding without involvement of heat which is possible only with ultrasonics. A hammer is attached at lower end of magnetostriction oscillator. The sheets to be welded are kept below the hammer. When oscillator is switched on, the hammer strikes the sheets frequently. In case of resonance, the molecules of both sheets enter into each other due to high amplitude. and welding is performed without involvement of heat. The interface of the two parts is specially designed to concentrate the energy for maximum weld strength. 3) SONAR: SONAR is a technique which stands for Sound Navigation and Ranging. It uses ultrasonic for the detection and identification of underwater objects. A powerful beam of ultrasonic is sent in the suspected direction in water. By noting the time interval between the emission and receipt of beam after reflection, the distance of the object can be easily calculated. Measuring the time interval (t) between the transmitted pulses and the received pulse, the distance between the transmitter and the remote object is determined using the formula \[ d = V \times \frac{t}{2} \] where $ V $ is the velocity of sound in sea water. The same principle is used to find the depth of the sea as shown in Fig. 7.9. Numerical 3. An ultrasonic scanner travelling with a speed of 1.5 km/s in a tissue operating under a frequency of 4.1 MHz. What is the wavelength of sound in the tissue? Solution: Given, Velocity ($ V $) = 1.5 km/s = 1.5 \times 1000 = 1500 \text{ m/s} Frequency ($ v $) = 4.1 MHz = 4.1 \times 10^6 \text{ Hz} Using the relation; $ V = v \lambda $, we can get Wavelength, $ \lambda = \frac{V}{v} = \frac{1500}{4.1 \times 10^6} = 3.65 \times 10^{-4} \text{ m} = 36.5 \text{ mm} $ Numerical 4. A man hears his sound again after reflection from a cliff after 1 second. If the velocity of sound is 330 m/s, find the distance of cliff from the man. Solution: Given Velocity of sound, $ V = 330 \text{ m/s} $ Time after which sound is heard, $ t = 1.0 \text{ s} $ Let $ d $ be the distance of cliff from man. Total distance travelled by sound in going and coming back from cliff = 2d Thus, \[ 2d = V \times t = 330 \times 1 = 330 \text{ m} \] \[ d = \frac{330}{2} = 165 \text{ m} \] * * * * * * EXERCISES Multiple Choice Questions: 1. In __________ waves, matter in the medium moves forward and backward in the same direction the wave travels. A) Transverse B) Longitudinal C) Radio D) Ocean 2. When the vibrations of a body are maintained by its own elastic forces then such vibrations are called ________. A) Free vibrations B) Forced vibrations C) Resonant vibrations D) None of them 3. Sound wave cannot get ________. A) Reflected B) Refracted C) Diffracted D) Polarised 4. Echo is caused due to ________ of sound. A) Interference B) Diffraction C) Reflection D) Refraction 5. Perfect absorber has absorption coefficient of ________. A) 0 B) 1 C) Maximum D) Infinity 6. Standard reverberation time is given by ________. A) Sabine’s formula B) Newton’s formula C) Kepler’s formula D) None of these. 7. Which type of waves does not require matter to carry energy? A) Mechanical waves B) Sound waves C) Light waves D) Ultrasonic waves. 8. In __________ waves, matter in the medium moves back and forth at right angles to the direction the wave travels. A) Transverse B) Longitudinal C) Mechanical D) Sound 9. __________ is the distance from the top of one crest of a transverse wave to the top of the next crest in that wave. A) Wavelength B) Amplitude C) Frequency D) Wave velocity 10. The velocity of sound waves in vacuum is ______. A) 220 m/s B) 332 m/s C) 0 D) 360 m/s 11. Which of the following is not the application of ultrasonic? A) Drilling B) Welding C) Sonar D) Radar 12. Wave is a form of disturbance. (True / False) 13. In SHM, acceleration is directly proportional to displacement. (True / False) 14. The vibrations in which amplitude of vibrations remains constant are called damped vibration. (True / False) 15. The minimum distance of an obstacle for echo to be heard is 16.6 m. (True / False). 16. Sound waves cannot travel in outer space because these are mechanical waves. (True / False). Short answer type questions: 1. Define Wave motion. 2. What are types of wave motion? 3. Differentiate between transverse and longitudinal waves. 4. Define amplitude and wavelength of a wave. 5. Give relation between time period and frequency of a wave. 6. Define Simple Harmonic Motion. 7. What is a cantilever? 8. Define acoustics of buildings. 9. What is Sabine’s formula? 10. Define Ultrasonic waves. 11. Establish the relation between velocity, frequency and wavelength? 12. Give full form of SONAR. 13. Name different types of vibrations. 14. What are resonant vibrations? 15. What are damped and undamped vibrations? Long answer questions: 1) What is wave motion? Explain transverse and longitudinal wave motion with examples. 2) Define the terms; wave velocity, frequency and wave length. Drive the relationship between them. 3) Describe Simple Harmonic Motion. Give its characteristics. 4) What is a cantilever? Write the formula for its time period. 5) What are acoustics and acoustics of buildings? 6) Explain the terms: reverberation, reverberation time and echo. 7) What is coefficient of absorption of sound? Give its units. 8) List various methods to control reverberation time. 9) Explain free, forced and resonant vibrations with examples. 10) What is ultrasonic? Explain their engineering applications. Answer to multiple choice questions: 1. B 5. B 9. A 13. True 2. A 6. A 10. C 14. False 3. D 7. C 11. D 15. True 4. C 8. A 12. True 16. True Chapter 8 OPTICS Learning Objectives: After studying this chapter the student should be able to; - understand light properties, reflection and refraction of light, lens parameters, lens formula and power of a lens. - Explain total internal reflection, conditions for TIR and its applications. - describe microscope, telescope and their uses. Introduction Optics is the branch of physics which deals with the study of behavior and properties of light. Light is an electromagnetic wave having transverse nature. Although light has dual nature; particle as well as wave, classical approach considers only wave nature. The wave nature is further simplified in geometric optics, where light is treated as a ray which travels in straight line. Ray optics model includes wave effects like diffraction, interference etc. Quantum optics deals with application of light considered as particles (called photons) to the optical systems. The phenomena of photoelectric effect, X-rays and lasers are explained in the quantum optics (particle nature of light). Ray Optics (Geometric optics) Geometrical optics describes the propagation of light in terms of rays. The assumptions of geometrical optics are: - Light travels in straight-line paths. - It bends, or split into part, at the interface between two different media. - It follows curved paths in a medium where refractive index changes. - It may be reflected, absorbed or transmitted. 8.1 REFLECTION AND REFRACTION OF LIGHT Reflection of Light Reflection is the bouncing back of light at an interface between two different media. Glassy surfaces such as mirrors exhibit specular reflection. This allows for production of reflected images that can be associated with real or virtual location in space. Figure 8.1 depicts the phenomenon of reflection from a glass-air interface. PO is the light ray incident on a glass mirror at an angle $\theta_i$ (angle of incident) and OQ is the light ray reflected from the surface at an angle $\theta_r$ (angle of reflection). Laws of reflection: 1) The incident and reflected ray and the normal, all lie in same plane, and 2) The angle between the incident ray and the normal is the same as that between the reflected ray and the normal i.e. \[ \theta_i = \theta_r \] Refraction of light When a light ray passes from one transparent medium to another, it gets deviated from its original path while crossing the interface of two media. The phenomena of bending of light rays from their original path while passing from one medium to another is called refraction. - When light travels from a rarer medium to denser medium, it bends towards the normal. - When light travels from a denser medium to rarer medium, it bends away from the normal. It happens when light travels through medium that has a changing index of refraction. Refraction occurs due to change in speed of light as it enters a different media. Figure 8.2 describe the occurrence of refraction at an interface. Laws of refraction: 1) The incident ray, the refracted ray and the normal all lie in the same plane. 2) The ratio of sine of incidence angle ($ \theta_1 $) to the sine of refracted angle ($ \theta_2 $) is a constant for that pair of media and is equal to the refractive index of that media. This is also known as Snell’s law \[ \mu_2 = \frac{\sin \theta_1}{\sin \theta_2} = \frac{\sin i}{\sin r} \] Where ‘i’ is the angle of incidence and ‘r’ is the angle of refraction and $ \mu_2 $ is the refractive index of medium 2 w.r.t. medium 1. If medium 1 is vacuum then, \[ \mu = \frac{\sin \theta_1}{\sin \theta_2} \] When light travels from air (vacuum) to a medium then refractive index of the medium can be written as \[ \mu = \frac{c}{v} \] where c is the velocity of light in air (vacuum) and v is the velocity of light in the medium. For example, the refractive index of water is 1.333, meaning that light travels 1.333 times slower in the water than in vacuum. Thus, the refractive index of a material is a dimensionless number that describes how light propagates through that medium. The Snell’s law is used to find the deflection of light rays when they pass through different media. It is used to produce dispersion spectra through a prism since light ray having different frequencies have slightly different refractive index in most materials. The refractive index of some material varies with position and time. In such medium, light travels in curved path rather than straight lines. This is responsible for mirage effect observed on hot day due to different refractive index of air that causes light to bend, creating specular reflections in distance (as if water on the surface of a pool). The material having varying refractive index is useful in modern photocopy and scanning technologies. Lens and Lens Formula Lens is an optical device based on phenomenon of refraction. A lens is a transparent medium bounded by two refracting surfaces. It can produce two types of rays - converging and diverging rays. Convex lens is converging while concave lens is diverging. Terms related in study of lenses: 1. Centre of curvature: The center of curvature of a lens is the centre of sphere which forms a part of the spherical surface of the lens. 2. Radius of curvature: The radius of the sphere of the spherical surface of lens is called radius of curvature. It is the distance of the vertex of the lens from the center of curvature. 3. Principal axis: The principal axis of a lens is an imaginary line that is perpendicular to the vertical axis of the lens. Principal focus of the lens lies on this axis. All rays parallel to the principal axis that are incident on the lens, would either converge (if lens is converging) to, or diverge (if the lens is diverging) from, the principal focus. 4. Optical centre: Optical centre is the centre of the lens lying on the principal axis. If a light ray passes through optical centre, it goes undeviated. 5. Principal focus: When the parallel rays are incident on a lens, they either converge at a point or appear to diverge from a point on the principal axis, that point is called principal focus. 6. Focal length (f): The distance of principal focus from the optical centre is called focal length. In other words, focal length is equal to the image distance when the object is at infinity. 7. Image: If two or more rays passing from a point gets refracted through a lens and converges or appears to diverge to a point then that point is called the image of first point. The image can be real or virtual. In real image, rays actually meet at the second point, while in virtual image; the rays appear to diverge from the second point. Lens formula The focal length (f) of a convex lens is related to object distance (u) and image distance (v) as \[ \frac{1}{f} = \frac{1}{v} - \frac{1}{u} \] ⇒ This is called lens formula. The linear magnification of a lens is given by; $ m = \frac{v}{u} $ and holds for both convex and concave lenses and for real as well as virtual images. Power of lens Power of a lens is defined as the reciprocal of the focal length measured in metres. The unit of power of lens is $ m^{-1} $ which is called dioptre indicated by symbol ‘D’. In other words, one dioptre is the power of a lens of one metre focal length. \[ P = \frac{1}{f} \] (f is taken in meters) The power of a convex lens is positive and that of concave lens is negative. If two lenses are combined (placed in contact), the focal length of the combination is given by \[ \frac{1}{F} = \frac{1}{f_1} + \frac{1}{f_2} \] Thus the power of combination becomes sum of power of individual lenses i.e. \[ P = P_1 + P_2 \] ### 8.2 TOTAL INTERNAL REFLECTION (TIR) When light is reflected into a denser medium from an interface of the denser and a rarer medium, and there is no refracted light, the phenomenon is known as total internal reflection. There are two essential conditions for TIR: 1. The light should travel from a denser medium to a rarer medium. 2. The angle of incidence in the denser medium should be greater than the critical angle. The largest possible angle of incidence at the interface which results in a refracted ray is called the critical angle. At the critical angle of incidence, the refracted ray travels along the boundary between the two media i.e. the angle of refraction becomes $ 90^\circ $. For angle of incidence greater than critical angle light is totally reflected as shown in Fig. 8.3. The critical angle for a material depends upon the refractive index. Higher the refractive index, the lower the critical angle. It can be calculated using the following formula: ![Fig. 8.3 Total internal reflection](image-url) \[ \sin \theta_c = \frac{1}{\mu} \] where $ \theta_c $ is the critical angle and $ \mu $ is the refractive index. Applications of TIR 1. TIR is the basic principle of optical fibers which are used as transmission media in sending telecommunication signals and images in endoscopes. 2. Automotive rain sensors work on the principle of TIR, which control automatic windscreen wipers. 3. Prisms in binoculars also form erect images based on total internal reflection. 4. Some multi-touch screens also use TIR to pick up multiple targets. 5. Optical fingerprinting devices used to record fingerprints without the use of ink are also based on TIR. 6. The bright shining of diamonds is also a result of total internal reflection. ### 8.3 OPTICAL INSTRUMENTS An optical instrument is a device which is used to view the objects. The eye is basic and essential optical system. In addition to it, other instruments are devised to increase the range a human’s viewing ability. The optical instruments are an aid to the eye. They consist of an arrangement of lenses, prisms or mirrors which enables to see better than what we can see with the naked eye. These can be of two types: 1. When the real image is formed on screen as in case of photographic camera, overhead projector etc. 2. When a virtual image is formed and can be seen directly with the eye as in telescopes, microscopes, binoculars etc. In the present scope, we will study about two optical instruments; microscopes and telescopes. a) Microscope: A microscope is an optical instrument which enables us to see magnified image of objects that are too small to be seen by the naked eye. A microscopic object is invisible to the eye unless aided by a microscope. Fig. 8.4 shows the view of a microscope. There are two types of microscope: 1. Simple microscope. It is also known as magnifying glass. It is made of only one convex lens and the object is so adjusted before the focal point that the image is formed at least distance of distinct vision. 2. Compound microscope. The magnification produced by a simple microscope is small and is only governed by the focal length of lens. To produce large magnification, a compound microscope is used in which magnification is obtained in two stages by the use of two convex lenses. b) Telescope: A telescope is an optical instrument which is used to see distant objects clearly. There are three types of telescopes: 1. Astronomical (to see astronomical objects): It is used to see heavenly objects like stars and planets. The image formed in an astronomical telescope is inverted. 2. Terrestrial (To see objects on earth): Astronomical telescope forms an inverted image which is not suitable to see the terrestrial objects like buildings, trees etc. For seeing the distant objects lying on earth, the final image should be erect. A terrestrial telescope (Fig. 8.5) forms an erect image and makes use of three convex lenses. 3. Galilean (modification of terrestrial telescope): It is a modified version of terrestrial telescope which also forms erect image but with the use of only two lenses. ![Fig. 8.5 A Telescope](image) ### 8.4 USES OF MICROSCOPE AND TELESCOPE a) Uses of Microscope 1. Biological scientists use microscope to see microorganisms and their behavior. 2. Doctors use microscope to see and examine blood cells and bacteria. 3. Forensic science experts use microscope to analyze the evidences of crimes. 4. Jewelers and watch makers use it to see the details of parts they are working with. 5. Environmentalist uses it to test the soil and water samples for presence of pollutants. 6. Geologist uses it to test the composition of different types of rocks. 7. These are used in various experiments in schools and colleges. b) Uses of Telescope 1. Astronomical objects are seen by using telescope by astronomers. 2. They found use in terrestrial applications also. They are used in laboratories to perform different experiments and finding values of different quantities. 3. Spectrometry uses telescopes to find wavelength of light and spectral lines etc. 4. It is used in spy glasses and long focus camera lenses. Solved Numericals Numerical 1. A lens is having power of +4D. What is its focal length? Solution: Given, Power (P) = +4D We know that $ P = \frac{1}{f} $ Therefore, $ 4 = \frac{1}{f} $ or $ f = \frac{1}{4} $ m = 0.25 m = 25 cm Thus, focal length of lens is 25 cm. Numerical 2. An object is kept at distance of 30 cm from a convex lens of focal length 0.2 m. Find the position of the image formed. Solution: Given, distance of object, $ u = -30 \text{ cm} = -0.3 \text{ m} $, and $ f = 0.2 \text{ m} $ The lens formula is $ \frac{1}{f} = \frac{1}{v} - \frac{1}{u} $ or \[ \frac{1}{v} = \frac{1}{f} + \frac{1}{u} = \frac{1}{0.2} + \frac{1}{(-0.3)} = 5 - 3.33 = 1.67 \] \[ v = \frac{1}{1.67} = 0.598 = 0.6 \text{ m} = 60 \text{ cm} \] Numerical 3. A light wave has wavelength of 600 nm in vacuum. What is the wavelength of the light as it travels through water (index of refraction = 1.33)? Solution: Given, wavelength ($ \lambda $) = 600 nm = $ 600 \times 10^{-9} \text{ m} $ $(1 \text{ nm} = 10^{-9} \text{ m})$. The wavelength of light that travels through a medium of refractive index $ n $ changes by expression \[ \lambda_n = \frac{\lambda}{n} = \frac{600 \times 10^{-9}}{1.33} = 451 \times 10^{-9} \text{ m} = 451 \text{ nm} \] EXERCISES Multiple Choice Questions: 1. The speed of light in vacuum is ________. A) $3 \times 10^8$ m/s B) $3 \times 10^{10}$ m/s C) $3 \times 10^8$ cm/s D) $3 \times 10^{10}$ mm/s 2. Spectrum is formed due to ________ of light. A) Reflection B) Refraction C) Diffraction D) Dispersion 3. A ________ lens is thick at centre and thin at ends. A) Concave B) Convex C) Plano-concave D) Plano-convex 4. A transparent medium bound by two curved surfaces is called ________. A) Mirror B) Prism C) Lens D) Binocular 5. Light travels in ________. A) Straight line B) Circular path C) Harmonic path D) Curved path 6. A lens is an optical device based on ________. A) Reflection B) Total internal reflection C) Diffraction D) Refraction 7. Changing path of light while entering second medium is called ________. A) Diffraction B) Reflection C) Refraction D) polarization 8. Power of a lens is measured in ________. A) Metre B) Watt C) Dioptre D) Volt 9. Power of a lens is always __________. A) Inverse of focal length B) Equal to focal length C) Double the focal length D) Not related to focal length 10. Simple microscope uses __________. A) One concave lens B) One convex lens C) Two concave lens D) Two convex lens 11. Simple microscope is also known as Magnifying glass (True/ False). 12. Telescope that uses three lenses is called Terrestrial telescope. (True / False) 13. An instrument that forms image on screen is called Camera. (True / False) 14. Refractive index of a medium is constant. (True / False) 15. Two lenses are used in a simple microscope. (True / False) Short answer questions: 1. What are laws of reflection? 2. State laws of refraction. 3. What is Total Internal Reflection (TIR)? 4. What is critical angle? 5. Define principal focus of a lens. 6. What is lens formula? 7. What is power of a lens? 8. Give the relation between focal length and power of a lens. 9. What is a microscope? 10. What is a telescope? Long answer questions: 1. Explain phenomenon of reflection of light and laws governing it. 2. Explain with diagram the refraction of light. 3. What is refractive index? How it is related to Snell’s law. 4. Describe total internal reflection. Give two applications of TIR. 5. What is critical angle? Explain conditions necessary for TIR. 6. What is a microscope? Give its types and uses. 7. What is a telescope? Give various uses of telescope. Answers to multiple choice questions: 1. A 2. D 3. B 4. C 5. A 6. D 7. C 8. C 9. A 10. B 11. True 12. True 13. False 14. True 15. False Chapter 9 ELECTROSTATICS Learning Objectives: After studying this chapter, the student should be able to; - Understand fundamental of charges at rest, properties of point charges; - Explain conservation and quantization of charges; - Relate the properties leading charge storage capacity of the electronic devices using static charges. The branch of physics which deals with the study of charges at rest is called electrostatics. 9.1. ELECTRIC CHARGE Electric Charge: It is the physical property of matter that causes it to experience force when placed in an electromagnetic field. There are two types of charges. (1) Positive charge: e.g. Proton, Alpha particle (2) Negative charge: e.g. Electron, etc. Charge on electron is smallest unit of charge. \[ \text{Charge on Electron} = -1.6 \times 10^{-19} \text{ C} \] \[ \text{Charge on Proton} = +1.6 \times 10^{-19} \text{ C} \] SI unit of charge is coulomb (C). Like charges repel each other and unlike charges attract each other. i.e. \[ \begin{align} +ve & \quad +ve & \quad \text{Repel} \\ -ve & \quad -ve & \quad \text{Repel} \\ +ve & \quad -ve & \quad \text{Attract} \\ -ve & \quad +ve & \quad \text{Attract} \end{align} \] Conservation of Charge Charge conservation is the principle that total electric charge in an isolated system never changes. It always remains constant. This also means that no net charge can be created or destroyed. When an atom is ionized, equal amounts of positive and negative charges are produced. Hence the algebraic sum of charges before and after remains the same. Quantization of Charges Charge quantization is the principle that the charge of any object is an integer multiple of the elementary charge (e). Thus, an object's charge can be exactly 0 e, or exactly 1 e, −1 e, 2 e, etc., 9.2. COULOMB LAW OF ELECTROSTATICS It states that force of interaction between two point charges is (i) Directly proportional to magnitude of charges and (ii) Inversely proportional to the square of the distance between them. Let $ F $ is force between two charges $ q_1 $ and $ q_2 $. Then \[ F \propto q_1 q_2 \] \[ F \propto \frac{1}{r^2} \] \[ \Rightarrow F \propto \frac{q_1 q_2}{r^2} \quad \text{...........(1)} \] \[ F = K \frac{q_1 q_2}{r^2} \quad \text{...........(2)} \] where $ K $ is constant of proportionality and its value is given as \[ K = \frac{1}{4\pi \varepsilon_0} = 9 \times 10^9 \text{ Nm}^2/\text{C}^2 \text{(in SI units system)} \] Now from equation (2) \[ F = \frac{q_1 q_2}{4\pi \varepsilon_0 r^2} \quad \text{............(3)} \] Here $ \varepsilon_0 $ is electrical permittivity of vacuum. Its value is $ 8.854 \times 10^{-12} \text{ N}^{-1}\text{m}^2\text{C}^2 $. Let $ q_1 = q_2 = q $ $ r = 1 \text{ m} $ then from equation (3) $ F = 9 \times 10^9 \text{ N} $ Thus one coulomb is that much charge which produces a force of $ 9 \times 10^9 \text{ N} $ at a unit charge placed at a distance of 1 m. Smaller units of charge: milli Coulomb (mC) = $ 10^{-3} \text{ C} $. micro Coulomb ($\mu$C) = $ 10^{-6} \text{ C} $. ### 9.3. ELECTRIC FIELD It is the area around the charge in which force of attraction or repulsion can be experienced by another charge. Electric field intensity at point is defined as the force acting on a unit positive charge at that point. \[ \vec{E} = \frac{\vec{F}}{q_0} \] - A unit positive charge is also called as test charge The value of $ q_0 $ should be very small. Its SI unit is N/C (Newton per Coulomb). Electric Lines of Force: An electric line of force is an imaginary continuous line or curve drawn in an electric field such that tangent to it at any point gives the direction of electric force at that point (Fig. 9.1). Properties of electric lines of force - Lines of force originate from a positive charge and terminate to a negative charge. - The tangent to the line of force indicates the direction of the electric field and electric force. - Electric lines of force are always normal to the surface of charged body. - Electric lines of force contract longitudinally and expand laterally. - Two electric lines of force cannot intersect each other. - Two electric lines of force proceeding in the same direction repel each other. - Two electric lines of force proceeding in the opposite direction attract each other. There are no lines of force inside the conductor 9.4. ELECTRIC FLUX It is the measure of distribution of electric field through a given surface. Electric flux is defined as total number of electric lines of force passing per unit area normal to the surface. It is denoted by $\psi$ (psi). Consider small elementary area $d\vec{S}$ on a closed surface $S$. Electric field $\vec{E}$ exit in the space. If $\theta$ is the angle between $\vec{E}$ and area vector $d\vec{S}$, then $$\psi = \oint_S \vec{E} \cdot d\vec{S}$$ is called electric flux. GAUSS’S LAW It states that net electric flux of an electric field over a closed surface is equal to the net charge enclosed by the surface divided by $\varepsilon_0$, i.e. $$\psi = \oint_S \vec{E} \cdot d\vec{S}$$ $$\psi = \oint_S E dS \cos \theta = \frac{q}{\varepsilon_0}$$ Proof: Consider a closed surface $S$ having a charge $q$ placed at a point $O$ inside a closed surface as shown in Fig. 9.2. Take a point $P$ on the surface and consider a small area $dS$ around $P$. Then Electric field at $ P $ is \[ E = \frac{q}{4\pi \varepsilon_0 r^2} \quad \ldots \ldots \ldots (1) \] Now electric flux \[ \psi = \oint_S E dS \cos \theta \] Putting value of $ E $ we get \[ \psi = \oint_S \frac{q}{4\pi \varepsilon_0 r^2} dS \cos \theta \] \[ \psi = \frac{q}{4\pi \varepsilon_0} \oint_S \frac{dS \cos \theta}{r^2} \] \[ \psi = \frac{q}{4\pi \varepsilon_0} \oint_S d\omega \] \[ \psi = \frac{q}{4\pi \varepsilon_0} . 4\pi \] \[ \psi = \frac{q}{\varepsilon_0} \] Hence, $ \psi = \oint_S E dS \cos \theta = \frac{q}{\varepsilon_0} $ Applications of Gauss’s Law: Electric field due to a point charge: Consider a point charge $ q $. We want to find electric field at point $ P $ at a distance of $ r $ from it. Construct a spherical surface of radius $ r $. This is called as Gaussian surface. Consider small area $ dS $ on the surface. Let $ \theta $ is angle between $ \vec{E} $ and Area vector as shown in Fig. 9.3. Now flux \[ \psi = \oint_S E dS \cos \theta = \frac{q}{\varepsilon_0} \quad (\because \theta = 0) \] \[ E \oint_S dS = \frac{q}{\varepsilon_0} \] \[ \Rightarrow E. 4\pi r^2 = \frac{q}{\varepsilon_0} \quad (\because \text{Area of Sphere } = 4\pi r^2) \] \[ \Rightarrow \left[ E = \frac{q}{4\pi \varepsilon_0 r^2} \right] \] Thus the electric intensity decreases with increase in distance. 9.5. CAPACITOR It is an electronic component that stores electric charge. Capacitance The ability of a system to store an electric charge. As potential is proportional to charge \[ V \propto q \] or \[ q \propto V \] \[ q = CV \] \[ C = \frac{q}{V} \] Unit of capacitance: Farad (F), microfarad Grouping of Capacitors Series Grouping: A number of capacitors are said be connected in series if -ve plate of one capacitor is connected to the +ve plate of other capacitor and so on. In this grouping, current is same on each capacitor. Consider 3 capacitors of capacitances $ C_1, C_2, C_3 $ in series. Let $ V $ is total applied voltage. $ V_1, V_2, V_3 \rightarrow $ voltage drops across $ C_1, C_2, C_3 $ as shown in fig. 9.4. ![Figure 9.4](image) Then $ V = V_1 + V_2 + V_3 $ ----------------- (1) Now $ C = \frac{q}{V} \Rightarrow V = \frac{q}{C} $ So, $ V_1 = \frac{q}{C_1}, V_2 = \frac{q}{C_2}, V_3 = \frac{q}{C_3} $ Putting in Equation (1) \[ \frac{q}{C} = \frac{q}{C_1} + \frac{q}{C_2} + \frac{q}{C_3} \] \[ \frac{q}{C} = q \left( \frac{1}{C_1} + \frac{1}{C_2} + \frac{1}{C_3} \right) \] \[ \frac{1}{C} = \frac{1}{C_1} + \frac{1}{C_2} + \frac{1}{C_3} \] So the total capacitance decreases in series grouping. The reciprocal of the equivalent capacitance of two capacitors connected in series is the sum of the reciprocals of the individual capacitances. Parallel Grouping: A number of capacitors are said to be connected in parallel if $+ve$ plate of each capacitor is connected to the $+ve$ terminal of battery and $-ve$ plate of each capacitor is connected to the $-ve$ terminal of battery. In this grouping voltage across each capacitor is same. Consider 3 capacitors of capacitances $C_1, C_2, C_3$ connected in parallel let $V$ is applied voltage. $q_1, q_2, q_3 \rightarrow$ charges on capacitors $C_1, C_2, C_3$ as shown in fig. 9.5 ![Figure 9.5](image) So \[ q = q_1 + q_2 + q_3 \] (1) Now \[ C = \frac{q}{V} \quad \text{or} \quad q = CV \] \[ \therefore \quad q_1 = C_1 V, \quad q_2 = C_2 V, \quad q_3 = C_3 V \] Put in equation (1) \[ CV = C_1 V + C_2 V + C_3 V \] \[ CV = (C_1 + C_2 + C_3) V \] \[ C = C_1 + C_2 + C_3 \] So the total capacitance increases in parallel grouping. The equivalent capacitance of capacitors connected in parallel is sum of the individual capacitance. Solved Numericals Example 1. Calculate the coulomb force between two protons separated by a distance of $1.6 \times 10^{-15}$ m. Solution: Given, 2 protons; Charge on Proton= $1.6 \times 10^{-19}$ C \[ q_1 = q_2 = 1.6 \times 10^{-19} \text{C} \] Distance, $ r = 1.6 \times 10^{-15} \text{m} $ Also $ \frac{1}{4\pi \varepsilon_0} = 9 \times 10^9 \text{ Nm}^2/\text{C}^2 $ Now $ F = \frac{1}{4\pi \varepsilon_0} \frac{q_1 q_2}{r^2} $ \[ F = \frac{9 \times 10^9 \times 1.6 \times 10^{-19} \times 1.6 \times 10^{-19}}{(1.6 \times 10^{-15})^2} \] \[ F = 90 \text{ N} \] Example 2. Calculate the force between an alpha particle and a proton separated by distance of $5.12 \times 10^{-15}$ m. Solution: Given, $ q_1 = $ Charge on alpha particle= $2 \times 1.6 \times 10^{-19}$ C \[ q_2 = \] Charge on proton= $1.6 \times 10^{-19}$ C distance, $ r = 5.12 \times 10^{-15} \text{ m} $ \[ \frac{1}{4\pi \varepsilon_0} = 9 \times 10^9 \text{ Nm}^2/\text{C}^2 \] Now \[ F = \frac{1}{4\pi \varepsilon_0} \frac{q_1 q_2}{r^2} \] \[ F = \frac{9 \times 10^9 \times 3.2 \times 10^{-19} \times 1.6 \times 10^{-19}}{(5.12 \times 10^{-15})^2} \] \[ F = 17.58 \text{ N} \] Example 3. Three Capacitors of capacitances 3$ \mu \text{F} $, 2$ \mu \text{F} $ and 4$ \mu \text{F} $ are connected with each other. Calculate total capacitance (a) In Series grouping (b) Parallel grouping. Solution: Given, \[ C_1 = 3 \mu \text{F}, \quad C_2 = 2 \mu \text{F} \quad \text{and} \quad C_3 = 9 \mu \text{F} \] In Series grouping \[ \frac{1}{C_{\text{tot}}} = \frac{1}{C_1} + \frac{1}{C_2} + \frac{1}{C_3} \] \[ \frac{1}{C_{\text{tot}}} = \frac{1}{3} + \frac{1}{2} + \frac{1}{9} \] \[ = \frac{17}{18} \mu F \] \[ \therefore \quad C_{\text{tot}} = \frac{18}{17} = 1.06 \mu F \] In Parallel grouping \[ C_{\text{tot}} = C_1 + C_2 + C_3 \] \[ C_{\text{tot}} = 3 + 2 + 9 \] \[ C_{\text{tot}} = 14 \mu F \] Example 4. Three capacitors 1F, 2F, and 3F are joined in series first and then in parallel. Calculate the ratio of equivalent capacitance in two cases. Solution: Given, \[ C_1 = 1 \text{ F}, \quad C_2 = 2 \text{ F}, \quad C_3 = 3 \text{ F} \] In series grouping \[ \frac{1}{C_s} = \frac{1}{C_1} + \frac{1}{C_2} + \frac{1}{C_3} \] \[ \frac{1}{C_s} = \frac{1}{1} + \frac{1}{2} + \frac{1}{3} \] \[ \frac{1}{C_s} = \frac{11}{6} \] \[ \therefore \quad C = \frac{6}{11} \text{ F} \] In Parallel grouping \[ C_p = C_1 + C_2 + C_3 \] \[ C_p = 1 + 2 + 3 \] \[ C_p = 6 \text{ F} \] \[ \therefore \quad \text{Ratio} \quad \frac{C_p}{C_s} = \frac{6}{\frac{6}{11}} \] or $ \frac{C_p}{C_s} = 11 $ EXERCISES Multiple Choice questions 1) Coulomb’s law is only true for point charges whose sizes are A. Medium B. very large C. very small D. none of the above 2) As per Coulomb’s law, force of attraction or repulsion between two point charges is directly proportional to A. sum of the magnitude of charges B. square of the distance between them C. product of the magnitude of charges D. cube of the distance 3) If $F$ is force acting on test charge $q_0$, electric field intensity $E$ would be given by A. $E = F - q_0$ B. $E = F/q_0$ C. $E = F + q_0$ D. $E = q_0/F$ 4) In combination of capacitors in series, capacitors are connected A. Parallel B. side by side C. up and down D. none of the above 5) Coulomb’s force between 2 point charges $10\mu C$ and $5\mu C$ placed at a distance of 150cm is A. 0.2 N B. 0.5 N C. 2 N D. 10 N 6) A device which stores charge is called A. Resistor B. Inductor C. Capacitor D. transistor 7) If medium between two charges is air, then value of constant $k$ in SI units will be A. $5 \times 10^9 \text{Nm}^2\text{C}^{-2}$ B. $7 \times 10^9 \text{Nm}^2\text{C}^{-2}$ C. $8 \times 10^9 \text{Nm}^2\text{C}^{-2}$ D. $9 \times 10^9 \text{Nm}^2\text{C}^{-2}$ 8) 1 micro farad (1$\mu F$) is equal to A. $1 \times 10^{-9} \text{F}$ B. $1 \times 10^{-12} \text{F}$ C. $1 \times 10^{-6} \text{F}$ D. $1 \times 10^{-10} \text{F}$ 9) In equation $Q=CV$, $C$ is constant of proportionality called capacitor’s A. Power B. Capacitance C. Heat D. Electric intensity 10) The force between two charges is 120 N. If the distances between the charges is doubled, the force will be A. 60 N B. 30 N C. 40 N D. 15 N 11) SI unit of charge is A. Coulomb B. Volt C. Newton D. Joule 12) The law governing force between electric charges is A. Gauss Law B. Coulomb’s law C. Biot- Savrot Law D. Ampere’s Law 13) Farad is the unit of A. Capacitance B. Electric Potential C. Force D. Torque 14) Three capacitors of 2μF are joined in parallel; their resultant capacitance is A. 6μF B. 10nF C. 6nF D. 1.5 μF 15) Unit of Electric intensity is A. N/Coulomb B. Joule C. Newton D. Coulomb 16) Two capacitors of 2 farad are joined in series their resultant is A. 1 F B. 4 F C. 3 F D. 0.5 F Short Answer Questions 1. Define Electric Field 2. What are Electric Lines of force? 3. Define the term Capacitance. 4. What is Electric flux? 5. Define Capacitor 6. What do you mean by Electric Potential? 7. Define Electric Intensity. 8. State Coulomb’s Law 9. Derive expression for electric intensity at a point due to point charge. 10. Explain properties of electric lines of force. 11. Calculate total capacitance in series combination. 12. Calculate total capacitance in parallel combination 13. Explain Gauss's law 14. Define Electric Charge and its types. Long Answer Type Question 1. Calculate total capacitance when capacitors are connected in series and parallel grouping. 2. State and prove Gauss Law. 3. Using Gauss Theorem find electric field due to a point charge. 4. Derive Coulomb’s Law. 5. Derive Coulomb’s law from Gauss’ law. 6. Use Gauss theorem to derive an expression for the electric field at a point due to a thin infinitely long straight line of charge of uniform charge density? 7. Derive an expression for the electric field at a point due to uniformly charged spherical shell using Gauss’ law. Answers to Multiple Choice Questions \| \| \| \| \| \| \|---\|---\|---\|---\|---\| \| 1) \| C \| 2) \| C \| 3) \| B \| 4) \| B \| \| 5) \| A \| 6) \| C \| 7) \| D \| 8) \| C \| \| 9) \| B \| 10) \| C \| 11) \| A \| 12) \| B \| \| 13) \| A \| 14) \| A \| 15) \| A \| 16) \| A \| Chapter 10 CURRENT AND ELECTRICITY Learning Objectives: After studying this chapter, the learner should be able to; - describe electric current and types of current; AC and DC. - define resistance, combination of resistances; series and parallel. - state Ohm’s law, Kirchhoff’s law and their applications. 10.1 ELECTRIC CURRENT AND ITS UNITS In a conductor, there are many free electrons. These electrons are in random motion but there is no net motion along the conductor. But if the two ends of a conductor are at different potentials, the charge will start flowing from one end of the conductor to the other end. Therefore, the free electrons (charge) which were moving randomly will now move towards the positive terminal of the battery and constitute a current. Hence a potential difference is always needed to make charge move from one end of the conductor to the other end of the conductor. In a conductor, the motion of the free electrons gives rise to the electric current as shown in Fig. 10.1. ![Figure 10.1](image) Electric current passing through a conductor is the rate of flow of charge passing through it. If a charge of q units passes through any cross section of the conductor in t seconds, the current flowing through the wire (I) is given by the formula \[ I = \frac{\text{Charge}}{\text{time}} = \frac{q}{t} \] where $ I = $ the electric current $ q = $ charge $ t = $ time taken Unit: Ampere (A) In the relation \[ I = \frac{q}{t} \] If the charge is measured in coulombs and time is measured in seconds, then the unit of current will be ampere. Where 1 ampere (A) = \[ \frac{1 \text{ coulomb}}{1 \text{ sec}} \] The direction of current is the direction of flow of positive charge i.e. opposite to the direction of flow of electron. One Ampere: The current flowing through the conductor is said to be of one ampere if one coulomb of charge flows through the conductor in one second. Potential Difference (V) It is the difference in electric potential between two points in an electric circuit, the work that has to be done in transferring unit positive charge from one point to other. Unit: Volts (V) One Volt: It is defined as energy consumption of one joule per electric charge of one coulomb. \[ 1V = \frac{1\text{Joule}}{1\text{Coulomb}} \] One volt is equal to current of 1 amp times resistance of 1 ohm. Direct Current Direct current in an electric wire is that which flows in only one direction. It is the unidirectional flow of current. The electric current flowing through a semi-conductor diode is an example of direct current. Direct current (DC) is produced by sources such as batteries, fuel cells and solar cells and cannot travel over long distances since it has more loss of energy. The frequency of DC is zero and it has a single polarity. In direct current the electron flow from negative end of the battery to the positive end of the battery. Symbol of DC voltage source It can be shown by Fig. 10.2. ![Figure 10.2](image-url) DC form is used in low voltage apparatus like charging batteries, cell phones, automotive apparatus, aircraft apparatus and other low voltage low current apparatus. AC (Alternating current) As shown in Fig. 10.3, AC is current that reverses the direction periodically and also has a magnitude that varies continuously with time. AC is used in our homes. Power stations generate ac because it is easy to low and raise the voltage with the help of transformers. In North America the frequency of AC is 60 Hz and in India it is 50 Hz. The AC in our home is sinusoidal in nature. ![Sine Wave](image) Figure 10.3 The radio frequency current in antennas and transmission lines are the examples of AC. Symbol of AC It is produced by an alternator and has more power and can be easily transferred from one place to another. 10.2 OHM’S LAW According to Ohm’s law “The current flowing through a conductor is always directly proportional to the potential difference between the two ends if the physical condition (temperature, pressure etc.) of the conductor remains the same”. If I is the current passing through a conductor and V is the potential difference between the ends of the conductor then \[ V \propto I \] \[ V = R I \] \[ \frac{V}{I} = R \] Therefore, \[ R = \frac{V}{I} = \frac{\text{Potential Difference}}{\text{Electric Current}} \] where R is a constant and is called electric resistance. The value of R depends upon nature, dimension and temperature of the conductor. \[ V = I R \] Therefore \[ I = \frac{V}{R} \] If a graph is drawn between current (I) and the potential difference (V) it will be a straight line for a conductor (Fig. 10.4). Figure 10.4 ### 10.3 RESISTANCE (R) The opposition to the flow of electric current in an electric circuit is called resistance. Therefore, it is the measure of the difficulty to pass an electric current through the circuit. \[ R = \frac{V}{I} = \frac{\text{Potential difference}}{\text{Electric current}} \] If $ V $ is measured in volts and $ I $ is measured in amperes then the resistance $ R $ is measured in ohms. Symbol: \[ \Omega \] Unit: Ohms ($ \Omega $) One Ohm: \[ 1 \text{ ohm} = \frac{1 \text{ Volt}}{1 \text{ Ampere}} \] Therefore, one ohm is the resistance of a conductor in which a current of one ampere flows through it when the potential difference of one volt is maintained between its two ends. Specific Resistance (Definition and Units) The resistance of a conductor depends on following factors; (i) The resistance of a given conductor is directly proportional to its length i.e. \[ R \propto l \] ............ (1) (ii) The resistance of a given conductor is inversely proportional to its area of cross-section. \[ R \propto \frac{1}{A} \] ............ (2) By combining equation (1) and (2), we get \[ R \propto \frac{l}{A} \] or \[ R = \rho \frac{l}{A} \] where $ \rho $ (rho) is a constant and known as specific resistance or resistivity of the material. The resistivity of a material does not depend on its length or thickness. It depends on the nature of the material. If $ r = 1 \text{ m} $ and $ A = 1 \text{ m}^2 $ then from above equation \[ \rho = R \] Thus resistivity of the material is the resistance of a conductor having unit length and unit area of cross-section. Units: Ohm-m ($ \Omega \text{m} $) Conductivity It is the degree to which an object conducts electricity. This is the reciprocal of the resistivity. \[ \sigma = \frac{1}{\rho} \] Where, $ \sigma $ is the conductivity and $ \rho $ is the resistivity of the conductor. Unit: Siemens per meter or mho per meter Conductance (G) It is the reciprocal of the resistance and it is a measure of ease with which the current flows through a substance. \[ G = \frac{1}{R} \] where $ G = \text{Conductance} $ $ R = \text{Resistance} $ Unit: mho ### 10.4 COMBINATION OF RESISTANCES 1. Series combination The resistance are said to be connected in series if the same current passes through all the resistances and the potential difference is different across each resistance. Let three resistances $ R_1, R_2, R_3 $ be connected in series as shown in the Fig. 10.5 Let \[ V = \text{Voltage applied across the series combination} \] \[ I = \text{Current passing through the circuit} \] Clearly current $ I $ is same throughout the circuit. Let $ V_1, V_2, V_3 $ be the potential difference across $ R_1, R_2, R_3 $ respectively. Then, according to Ohm’s law \[ V = I R \] where $ R $ is the total resistance in series. Now \[ V = V_1 + V_2 + V_3 \] \hspace{1cm} (1) Then by Ohm’s law \[ V_1 = I R_1 \] \[ V_2 = I R_2 \] \[ V_3 = I R_3 \] Putting the values of $ V_1, V_2 $ and $ V_3 $ in equation (1) we get \[ IR = I R_1 + I R_2 + I R_3 \] \[ IR = I (R_1 + R_2 + R_3) \] \[ R = (R_1 + R_2 + R_3) \] Thus the combined resistances when they are connected in series is the sum total of the individual resistances. 2. Parallel Combination The resistances are said to be connected in parallel if the potential difference across each resistance is the same but the current passing through each resistance is different. Let there be three resistances $ R_1, R_2, R_3 $ connected in parallel as shown in Fig. 10.6. One end of each resistance is connected to point A and the other end of each resistance is connected to the point B. Let \[ V = \text{Potential Difference applied across A and B} \] Clearly, potential difference $ V $ is same across each resistance. Let $ I = \text{total current flowing in the circuit.} $ $ R = \text{total resistance of the circuit} $ Let $ I_1, I_2, I_3 $ be the current passing through the resistances $ R_1, R_2, R_3 $ respectively. From Ohm’s law applied to the whole circuit \[ I_1 = \frac{V}{R_1} \] \[ I_2 = \frac{V}{R_2} \] \[ I_3 = \frac{V}{R_3} \] Now we have, \[ I = I_1 + I_2 + I_3 \quad \text{(2)} \] Putting the values of $ I, I_1, I_2, I_3 $ in the equation (2) \[ \frac{V}{R} = \frac{V}{R_1} + \frac{V}{R_2} + \frac{V}{R_3} \] \[ V \frac{1}{R} = V \left( \frac{1}{R_1} + \frac{1}{R_2} + \frac{1}{R_3} \right) \] Or \[ \frac{1}{R} = \frac{1}{R_1} + \frac{1}{R_2} + \frac{1}{R_3} \] Thus we can say that if the resistances are connected in parallel, then the reciprocal of the equivalent resistance is equal to the sum of reciprocals of individual resistances in the circuit. ### 10.5 HEATING EFFECT OF ELECTRIC CURRENT When an electric current is passed through a conductor, the conductor becomes hot after some time and produces heat. This happens due to the conversion of some electric energy passing through the conductor into heat energy. This effect of electric current is called heating effect of current. The heating effect of current was studied experimentally by Joule in 1941. After doing this experiments, Joule came to the conclusion that the heat produced in a conductor is directly proportional to the product of square of current ($I^2$), resistance of the conductor (R) and the time (t) for which current is passed. Thus, $$H = I^2Rt$$ Derivation of Formula To calculate the heat produced in a conductor, consider current $I$ is flowing through a conductor of resistance $R$ for time $t$. Also consider that the potential difference applied across its two ends is $V$. Now, total amount of work done in moving a charge $q$ from point A to point B is given by: $$W = q \times V$$ (1) Now, we know that charge = current x time or $q = I \times t$ and $V = I \times R$ (Ohm’s law) Putting the values of $q$ and $V$ in equation (1), we get $$W = (I \times t) \times (I \times R)$$ or $W = I^2Rt$ Now, assuming that all the work done is converted into heat energy we can replace symbol of ‘work done’ with that of ‘heat produced’. So, $$H = I^2Rt$$ Applications of Heating Effect of Current The heating effect of current is used in various electrical heating appliances such as electric bulb, electric iron, room heaters, geysers, electric fuse etc. 10.6 ELECTRIC POWER Electric power is the rate, per unit time, at which electric energy is transferred by an electric circuit. Let $P =$ Electric power $P = W/t$ $P = VI$ Where, $V$ is the applied voltage and $I$ is the current flowing through the circuit. SI unit of power is Volt (V). Now $P = VI$ If, $V = 1$ Volt (1 V) and $I = 1$ Ampere (1 A), then, $P = 1$ Watt Thus, power is said to be 1 watt, if a potential difference of 1 volt causes 1 ampere of current to flow through the circuit. Bigger units of electric power are Kilo Watt (KW) and Mega Watt (MW) 10.7 KIRCHHOFF’S LAWS These two rules are commonly known as: Kirchhoff’s circuit laws with one of Kirchhoff’s laws dealing with the current flowing around a closed circuit, Kirchhoff’s Current law (KCL) while the other law deals with the voltage sources present in a closed circuit, Kirchhoff’s Voltage law, (KVL). (i) Kirchhoff’s First Law (Kirchhoff’s Current Law) KCL The law states that “The algebraic sum of all the currents meeting at any junction point in an electric circuit is zero” \[ \Sigma I = 0 \] Let us suppose the currents $ I_1, I_2, I_3 $ entering the junction are all positives in value and the two currents $ I_4, I_5 $ are leaving the junction are negative in values (Fig. 10.7), then according to KCL \[ I_1 + I_2 + I_3 - I_4 - I_5 = 0 \\ I_1 + I_2 + I_3 = I_4 + I_5 \\ \text{Sum of incoming currents} = \text{sum of outgoing currents} \] Figure 10.7 (ii) Kirchhoff’s Second Law (Kirchhoff’s Voltage Law) KVL The law states that “In any closed loop of a circuit, the algebraic sum of products of the resistances and currents plus the algebraic sum of all the e.m.f. in that circuit is zero”. In any closed circuit; $ \Sigma E + \Sigma IR = 0 $ Here we use two sign conventions (Fig. 10.8). 1. If we go from negative terminal of the battery to the positive terminal then there is rise in potential and it is considered positive. And if we go from positive terminal to negative terminal, there is fall of potential and it is considered as negative. 2. If we go with the current, voltage drop is negative and if we go against the current, the voltage drop is positive. In the closed loop ABCD using KVL we get \[ - E_2 - IR_1 - IR_2 + E_1 = 0 \] Solved Numericals Example 1. An emf source of 6V is connected to a resistive lamp and a current of 2 amperes flows. What is the resistance of lamp? Solution. Given, $ V = 6 \text{ V} $ and $ I = 2 \text{ A} $ From Ohm’s law, we know, $ V = I R $ or $ R = \frac{V}{I} $ \[ R = \frac{6}{2} = 3 \Omega \] Example 2. An electric fan has a resistance of 100 ohms. It is plugged into potential difference of 220 V. How much current passes through the fan? Solution. Given, $ R = 100 \text{ ohms} $ and $ V = 220 \text{ V} $ We know, $ I = \frac{V}{R} = \frac{220}{100} $ Therefore $ I = 2.2 \text{ A} $ Example 3. Calculate the total resistance if three resistances of 1 ohm, 2 ohm and 3 ohm are connected in series. Solution. Given resistances, $ R_1 = 1 \text{ ohm} $, $ R_2 = 2 \text{ ohm} $, $ R_3 = 3 \text{ ohm} $ We know that in series combination; $ R = R_1 + R_2 + R_3 $ Therefore $ R = 1 + 2 + 3 = 6 \text{ ohm} $ Example 4. Calculate the total resistance if three resistances of 4 ohm, 1 ohm and 6 ohm are connected in parallel. Solution. Given, $ R_1 = 4 \text{ ohm} $, $ R_2 = 1 \text{ ohm} $, $ R_3 = 6 \text{ ohm} $ Form formula we know in parallel combination \[ \frac{1}{R} = \frac{1}{R_1} + \frac{1}{R_2} + \frac{1}{R_3} \] Hence $ \frac{1}{R} = \frac{1}{4} + \frac{1}{1} + \frac{1}{6} = \frac{3 + 12 + 2}{12} = \frac{17}{12} $ Therefore, Total resistance, $ R = \frac{12}{17} \text{ ohm} $ EXERCISE Multiple Choice Questions 1) The resistance of the wire varies inversely as: a) Area of cross section b) Resistivity c) Length d) Temperature 2) The curve representing Ohm’s Law is a A. Linear B. Cosine Function C. Hyperbola D. Parabola 3) Resistance is a measure of a material’s opposition to A. Voltage B. Current C. Electric Force D. Movement of protons 4) Give the name of materials which contain lots of free electrons A. Insulators B. Conductors C. Semi-conductors D. None of the above 5) Wire wound variable resistance is known as A. Capacitor B. Resistor C. Diode D. Rheostat 6) Specific resistance of a wire can be measured by formula A. R/L B. RA/L C. RL/A D. A/RL 7) Sum of all potential changes in a closed circuit is zero, stated law is called A. Kirchhoff’s first rule B. Kirchhoff’s second rule C. Kirchhoff’s third rule D. Kirchhoff’s fourth rule 8) Ohmic devices are devices that consequently A. Obey Ohm’s law B. Obey Kirchhoff’s law C. Violate Ohm’s law D. Obey law of resistances. 9) Product of voltage and current is known as A. Work done B. Power C. Drift velocity D. E.M.F. 10) Current of 0.75 A, when a battery of 1.5 V is connected to wire of 5 m having cross sectional area $2.5 \times 10^{-7}$ m$^2$, will have resistivity A. $1 \times 10^{-7}$ B. $1.1 \times 10^{-7}$ C. $2 \times 10^{-7}$ D. $2.1 \times 10^{-7}$ 11) SI unit of electric potential is A. Ampere B. Volt C. Joule D. Coulomb 12) SI unit of resistance is A. Ohm B. Henry C. Farad D. Newton 13) Conductance is reciprocal of A. Resistance B. Current C. Voltage D. Length 14) SI unit of specific resistance is A. Ohm B. Ohm metre C. Square of Ohm metre D. Farad Short answer question 1. What is Electric current? 2. Define Resistance. 3. Define Specific resistance. 4. What is Conductance? 5. Explain Alternating current and Direct current. 6. Calculate the total resistance when resistances are connected in series. 7. Calculate the total resistance when resistances are connected in parallel. 8. Explain ohm’s law. 9. Write short note on electric power. 10. Explain Kirchhoff laws. 11. If a wire is stretched to double of its length. What will be the new resistivity? Long Answer type questions 1. Calculate the total resistance when resistances are connected in series and parallel. 2. Explain heating effect of current. Derive the formula for it and what are its applications? 3. a) Three resistors 1 Ω, 2 Ω and 3 Ω are combined in series. What is the total resistance of the combination? b) If the combination is connected to a battery of emf 12 V and negligible internal resistance, obtain the potential drop across each resistor. 4. Differentiate between AC and DC. 5. Explain Kirchhoff’s law of current (KCL) and Kirchhoff’s law of voltage (KVL). 6. If the resistance of a circuit is 12Ω and the current of 4 A passes through it calculate the potential difference. [Ans 48 V] 7. Electric fan takes a current of 0.5 amp when operated on a 200 V supply. Find the resistance. [Ans 440 ohms] 8. Calculate the total resistance when three resistances of 4 ohm, 8 ohm and 12 ohm are connected in series. [ Ans 24 ohm ] 9. Calculate the total resistance when resistances of 2 ohm and 2 ohm are connected in parallel. [ Ans 1 ohm ] 10. Calculate the power generated in a current of 2 A passes through a conductor having a potential difference of 220 V. [ Ans 440 W ] Answers to multiple choice questions \| \| \| \| \| \| \|---\|---\|---\|---\|---\| \| 1) \| A \| 2) \| A \| 3) \| B \| 4) \| B \| \| 5) \| D \| 6) \| B \| 7) \| B \| 8) \| A \| \| 9) \| B \| 10) \| A \| Chapter 11 ELECTROMAGNETISM Learning Objectives: After studying this chapter, students will be able to: - understand the magnetic field associated with flow of current and related parameters - classify materials on basis of magnetic properties - describe magnetic flux and magnetic lines of force 11.1 ELECTROMAGNETISM Electromagnetism or magnetism in general is the study of production of magnetic field when current is passed through a conductor. Various terms associated with magnetism are; Magnetization (I) It represents the extent to which a material is magnetized when placed in a magnetic field. It is given by magnetic moment per unit volume of material. \[ I = \frac{M}{V} \] where, $ M $ is magnetic moment and $ V $ is volume of the material. Unit: Ampere/meter Magnetic Intensity (H): It is the capability of magnetic field to magnetize a magnetic material. Magnetic Permeability ($ \mu $): It is a property of material and defined as the degree to which magnetic lines of force can penetrate the medium. Magnetic susceptibility ($ \chi $): It is a property which determines how easily a specimen can be magnetised. It is given by ratio of magnetization and magnetic intensity. \[ \chi = \frac{I}{H} \] Types of Magnetic Materials: On the basis of behaviour of magnetic material in magnetic field, the materials are divided into three categories: 1. Diamagnetic materials: The materials when placed in magnetic field, acquire magnetism opposite to the direction of magnetic field. The magnetic dipoles in these substances tend to align opposite to the applied field and tends to repel the external field around it. - Diamagnetic substances have tendency to move from stronger to the weaker magnetic field. - When rod of diamagnetic material is placed in magnetic field, it aligns perpendicular to the magnetic field. - Permeability of diamagnetic material is < 1. Examples: gold, water, mercury, graphite, lead etc 2. Paramagnetic materials: Paramagnetic substances are those which get weakly magnetized when placed in an external magnetic field. These materials show weak attraction in magnetic field. The magnetic dipoles in the magnetic materials tend to align along the applied magnetic field. Such materials show weak feeble magnetization and the magnetization disappears as soon as the external field is removed. - Permeability of paramagnetic material is > 1. - The magnetization (I) of such materials dependent on the external magnetic field (B) and temperature (T) as: \[ I = C \frac{B}{T} \] Where $C$ is the Curie constant. Examples: sodium, platinum, liquid oxygen, salts of iron and nickel. Ferromagnetic materials: Ferromagnetic substances are those which get strongly magnetized when placed in an external magnetic field. They exhibit the strongest attraction in magnetic field. Magnetic dipoles in these materials are arranged into domains. ![Figure 11.1](image) These domains are usually randomly oriented as shown in Fig. 11.1 (a) and net magnetism is zero in the absence of magnetic field. When an external field is applied, the domains reorient themselves to reinforce the external field as shown in Fig. 11.1 (b) and produce a strong internal magnetic field that is along the external field. These materials show magnetism on removal of magnetic field. Examples are iron, cobalt, nickel, neodymium and their alloys. These are usually highly ferromagnetic and are used to make permanent magnets. 11.2 MAGNETIC FIELD The space around a magnetic material or a moving electric charge within which the force of magnetism can be experienced. Unit: Tesla (Wb/m²) ![Magnetic field lines of a bar magnet](image1.png) ![Magnetic field lines between unlike poles](image2.png) ![Magnetic field lines between like poles](image3.png) (a) (b) (c) Figure 11.2 Magnetic lines of force: Curved lines used to represent a magnetic field, drawn such that the number of lines relates to the magnetic field's strength at a given point (Fig. 11.2). Properties of magnetic lines of force (i) The magnetic field lines of a magnet form continuous closed loops. (ii) The tangent to the field line at a given point represents the direction of the net magnetic field $ B $ at that point. (iii) Larger the number of field lines crossing per unit area, the stronger is the magnitude of the magnetic field $ B $. (iv) Their density decreases with increasing distance from the poles. (v) The magnetic field lines do not intersect with each other. (vi) They flow from the South Pole to the North Pole within a material and North Pole to South Pole in air. Magnetic flux: The total number of magnetic field lines crossing through given surface area $ S $ held perpendicular to direction of magnetic field $ B $. \[ \phi = B S \cos \theta \] Unit: The SI unit of magnetic flux is the weber (Wb) Magnetic Intensity: It is the amount of magnetic flux in a unit area perpendicular to the direction of magnetic flow. ### 11.3 ELECTROMAGNETIC INDUCTION The induction of an electromotive force by the motion of a conductor across a magnetic field or by a change in magnetic flux in a magnetic field is called electromagnetic induction. It is used in electrical motor, generator etc. to generate electricity. EXERCISES Multiple choice questions 1) The direction of a magnetic field within a magnet is A. Front to back B. north to south C. south to north D. west to south 2) When the speed at which a conductor is moved through a magnetic field is increased, the induced voltage A. Increases B. decreases C. reaches zero D. remains constant 3) An electromagnetic field exists only when there is A. Current B. voltage C. increasing current D. decreasing current 4) When the north poles of two bar magnets are brought close together, there will be A. No force B. Downward force C. Force of attraction D. Force of repulsion 5) E.M.F can be induced in a circuit by A. changing magnetic flux density B. changing area of circuit C. changing the angle D. all of above 6) Total number of magnetic field lines passing through an area is called A. magnetic flux density B. magnetic flux C. e.m.f D. voltage 7) Basic source of magnetism ____________. A. Charged particles alone B. Movement of charged particles C. Magnetic dipoles D. Magnetic domains 8) Example for para-magnetic materials A. super conductors B. alkali metals C. transition metals D. Ferrites 9) Example for ferro-magnetic materials A. super conductors B. alkali metals C. transition metals D. Ferrites Short Answer type question 1. Define magnetic flux and write its unit. 2. Define electromagnetic induction with example 3. Define magnetic field. 4. What is unit of magnetic field? 5. What is magnetic susceptibility? 6. Write applications of EMI. 7. Define magnetic field intensity. 8. What is the relation between Magnetization and Magnetic field? Long Answer Questions 1. What are magnetic lines of force? Write their properties. 2. Explain type of magnetic materials. 3. Explain ferromagnetic materials with their magnetic domains theory. 4. Explain difference between electric field and magnetic field. 5. Differentiate between paramagnetic and ferromagnetic materials with examples. 6. What is electromagnetic induction? Give its application along with its working. Answers to multiple choice questions 1) C 2) D 3) C 4) D 5) D 6) B 7) B 8) A 9) C Chapter 12 SEMICONDUCTOR PHYSICS Learning Objectives: After studying this chapter, students should be able to; - Understand concept of energy levels and energy bands in solids, - describe semiconductor materials, their types and doping, - explain semiconductor junctions, junction diodes, and transistors, 12.1 ENERGY LEVEL AND ENERGY BANDS Energy Levels: In an atom, electrons cannot revolve in any direction, but are confined to well defined energy states. These states are called energy levels. There are three types of energy levels: 1. Ground level: This refers to the lowest energy state in the system ($E_1$). Thus the completely de-excited atoms would occupy this level. \[ E_1 \] 2. Excited level: any level above the ground state is excited state ($E_2$). The atom can stay in excited state only for $10^{-8}$ s. After this time the atom will lose its energy in the form of radiation and come back to ground state. 3. Metastable level: This level lies in between the excited and ground levels ($E_3$). Its lifetime is 100 times more than excited state. Energy Bands: When two atoms are brought closer to form a solid, the energy levels get modified due to mutual interactions. Each energy level split into two levels, one having energy higher than the original level and another having lower energy. Now when a large number of atoms (n) come closer to each other, each energy level splits into a large number of levels. As a result a large number of discrete but closely spaced energy levels are formed. These are called Energy Bands. The inner shells however remain unaffected by neighbouring atoms. Because they are shielded by the outer electrons of their own atoms. The highest energy band occupied by the valence electrons is called the valence band. Above this band there lies an empty band called the conduction band. These bands are separated by an energy gap known as Forbidden Gap ($E_g$) as shown in Fig. 12.1. ### 12.2 TYPES OF MATERIALS On the basis of the forbidden gap ($E_g$), the material can be divided into following categories (Fig. 12.2). Insulators: These are poor conductors of electricity. Forbidden gap for these materials is $E_g = 5 - 6$ eV. The energy gap between valence band and conduction band is very large. Hence valence electrons will not be freed and no current will flow. Examples are paper, wood, plastics. Conductors: Metals or good conductors are those substances which can conduct heat and electricity through them easily as there are many free electrons. In case of conductors $E_g = 0$, i.e. valence band and the conduction band overlap each other. Examples are Copper, aluminium, gold etc. Semiconductors: The conductivity of a semiconductor lies between that of conductors and insulators. In case of semiconductors, $E_g$ is of the order of 1 - 2 eV. At absolute zero temperature, the conduction band is totally empty and there is no flow of current. So these materials act as insulators at room temperature. But at the higher temperature, some valence electrons acquire sufficient energy to go in the conduction band. So at higher temperatures these materials start working as conductors. Even a small electric field can cause a flow of current in such materials. Examples are Silicon (Si), Germanium (Ge) etc. ![Diagram showing Insulator, Semiconductor, and Conductor](image) Figure 12.2 ### 12.3 INTRINSIC AND EXTRINSIC SEMICONDUCTORS Intrinsic Semiconductors: A semiconductor, which is quite pure and completely free from any impurity, is called an intrinsic semiconductor. E.g. Silicon (Si) and Germanium (Ge). They have four valence electrons. Each of the four electrons form covalent bond with neighboring four atoms. By forming such covalent bonds, there is no free electron at absolute zero temperature. At room temperature some electrons break away from the covalent bond and enter into the conduction band. Each electron leaves behind a vacancy known as hole. Hence in pure semiconductors both electrons and holes constitute current and the numbers of these two types of charge carriers are equal i.e. $n_e = n_h$ Figure 12.3 Extrinsic Semiconductors A doped semiconductor is called an extrinsic semiconductor. The addition of a desirable impurity to a semiconductor is called doping and the impurity atoms added are called dopants. n-Type Semiconductor: When a small amount of pentavalent impurity (e.g. Phosphorous, Arsenic etc.) is added to an intrinsic semiconductor (Si or Ge), it provides a large number of free electrons. The semiconductor is then, called n-type semiconductor. Because impurity atom has five valence electrons, four of these will form covalent bonds, but one excess electron will be left free. Hence the current carriers are electrons. Therefore majority carriers are negatively charge electrons while the holes are minority carriers. In an n-type semiconductor, number of electrons is much larger than the number of holes, i.e. $ n_e \gg n_h $ ![n-type and p-type semiconductors](image) Figure 12.4 p-Type Semiconductor: When a small amount of trivalent impurity (e.g. Boron, Aluminum etc.) is added to intrinsic semiconductor, it creates a large number of holes in valence band. The semiconductor is called a p-type semiconductor. When a trivalent impurity is added to semiconductor, its three valence electrons form covalent bonds with three neighbouring atoms, while the fourth bond has a deficiency of electron. Thus there is a vacancy, which acts as a hole that tends to accept electrons. The number of holes is greater than the number of electrons, i.e. $ n_h \gg n_e $ Hence, in p-type semiconductors, holes are the majority carriers and electrons are the minority carriers. p-n Junction Diode A single crystal of silicon or germanium that has been doped in such a way that half of it is a p-type and the other half an n-type semiconductor is known as a p-n junction diode. The junction is called p-n junction as shown in Fig.12.5. ![p-n junction diode](image) Figure 12.5 Characteristics of p-n Junction Diode The graph showing the variation of the current flowing through the junction, when the voltage is applied across the junction diode in forward biased and reverse biased, is known as characteristic curve of a p-n junction diode. Forward bias characteristic: The p-n junction diode is said to be forward biased if the positive terminal of battery is connected to the p-type and the negative terminal to the n-type of semiconductor as shown in Fig. 12.6. ![Figure 12.6](image) Let $V$ is the voltage applied. This pushes the majority carriers, the holes in the p-type and electrons in the n-type towards the p-n junction. If $V > V_B$, then the majority carriers from both sides are able to diffuse across the junction and a current is set up in the circuit. This process decreases the thickness of the depletion layers. The diode offers a low resistance to the flow of current. A minimum amount of voltage required so that a current starts flowing is known as the knee voltage. The current starts following at point A (knee voltage). Reverse bias characteristic: The p-n junction diode is said to be reverse biased if the external source is connected to the p-type and the positive terminal to the n-type of semiconductor as shown in Fig. 12.8. The external voltage pulls the majority carriers holes in the p-type crystal and the electrons in the n-type crystal away from the junction. This increases the width of depletion layer. The diode offers very high resistance and no current is set up across the Junction due to majority carriers. However a small current may be there across the junction due to minority carriers. It is called leakage current ($I_s$). 12.4 DIODE AS A RECTIFIER The rectifier is an electronic device used to convert alternating current (AC) into direct current (DC). Half wave rectifier: Half wave rectifier converts AC into DC for only half of the input cycle. The circuit diagram for half wave rectifier using the p-n diode is as shown. During the first half cycle of AC the diode operates under a forward bias and current flows through the load $R_L$. During the other half, the diode becomes reverse bias and no current flows through the load $R_L$. Thus we get a rectified, unidirectional current across $R_L$ and only half of the AC signal wave is rectified. The half wave rectifier gives output only for half cycle, hence power loss is high. Full wave rectifier: Full wave rectifier converts AC into DC for complete cycle of input wave. The circuit diagram for full wave rectifier is shown. The center tap transformer is used. Two diodes are connected across the secondary of the transformer, the middle point of which is tapped at T. During the first half of the AC cycle, one end of the secondary say A becomes positive and B becomes negative. Diode $D_1$ is forward biased and diode $D_2$ is reverse bias. Thus a current flows through the diode $D_1$. ![Figure 12.10](image) During the other half of AC cycle, end B becomes positive and the end A negative and the current flows through the diode $D_2$. Thus during both halves, the current through the load $R_L$ is in the same direction and full wave rectification of AC is achieved. ### 12.5 SEMICONDUCTOR TRANSISTOR The transistor is composed of three semiconductor elements. The three elements are combined in such a way that if n-type semiconductor is sandwiched between two p-type semiconductors. This is known as p-n-p transistor. So basically transistor is combination of two pn-junctions joined back to back (Fig. 12.11). ![Figure 12.11](image) If p-type semiconductor is sandwiched between two n-type semiconductors then this is known as n-p-n transistor. In the circuit symbols of a transistor, only emitter has an arrow to indicate that it is the supplier electrode. It also indicates the direction of flow of current. - The three elements of the transistor are: emitter (E), collector (C) and base (B). • The emitter supplies the majority carriers for transistor current flow. The collector collects current and the base controls the passage of electrons from the emitter to collector. • The doping level in the emitter is more than in the collector. • The base is thin and lightly doped. • Collector is moderately doped. • Area of emitter is moderate, base is minimum and collector is maximum. • In normal operation of a transistor, the emitter-base junction is always forward-biased whereas the collector-base junction is reverse-biased. Multiple Choice Questions 1) What kind of a device is a diode? A. Bilateral B. Linear C. Nonlinear D. Bipolar 2) How is nonconducting diode biased? A. Forward B. Inverse C. Poorly D. Reverse 3) When the diode current is large, the bias is A. Forward B. Inverse C. Poor D. Reverse 4) The knee voltage of a diode is approximately equal to A. Applied voltage B. Barrier potential C. Breakdown voltage D. Forward voltage 5) When a half wave rectified voltage across the load resistor, load current flows for what part of cycle? A. 0° B. 90° C. 180° D. 360° 6) When a full wave rectified voltage across the load resistor, load current flows for what part of cycle? A. 0° B. 90° C. 180° D. 360° 7) A transistor has how many pn junctions? A. 1 B. 2 C. 3 D. 4 8) In an npn transistor, the majority carriers in the emitter are A. Free electrons B. Holes C. Neither D. Both 9) The emitter diode is usually A. Forward biased B. Reversed biased C. Nonconducting D. Operating in breakdown region 10) The base of an npn transistor is thin and A. Heavily doped B. Lightly doped C. Metallic D. Doped by a pentavalent material 11) In a pnp transistor, the major carriers in the emitter are A. Free electrons B. Holes C. Neither D. Both Short answer Questions 1. What do you mean by energy level? 2. Define energy band. 3. What do you mean by forbidden gap? 4. What is conduction and valance band in material? 5. What is unit used for measuring Forbidden gap? 6. What is forbidden gap for Si, Ge? 7. Explain type of material on the basis of Energy band. 8. Differentiate between a conductor and an insulator. 9. Define Semiconductor with example 10. Define Doping. 11. What are Dopants? 12. What are p- type semiconductors? 13. What are n- type semiconductors? 14. What is intrinsic semiconductor? 15. What is extrinsic semiconductor? 16. What is p-n junction diode? 17. What is rectifier? 18. Define transistor. 19. What is n-p-n transistor? Draw symbol. 20. What is p-n-p transistor? Draw symbol. Long answer Questions 1. Distinguish between conductors and semiconductors. 2. What is meant by energy band? How is it formed? 3. What does doping mean? How do we obtain the p and n type semiconductor? 4. What is the difference between intrinsic and extrinsic semiconductors? 5. What do you understand by forward bias and reverse bias in the operation of a p-n junction diode? 6. What is a transistor? Distinguish between p-n-p and n-p-n transistors. 7. Draw symbols for p-n-p and n-p-n transistors. 8. Write examples of trivalent and pentavalent impurities used as dopant. 9. What is the difference between p-type and n-type semiconductors? 10. Define conductor, insulator and semiconductor with example. 11. Explain half wave rectifier. 12. Explain in brief about PNP and NPN transistor 13. What is rectifier? Explain full wave rectifier with a circuit diagram. 14. What is p-n junction diode? Draw and explain its characteristics. Answers to multiple choice questions \| \| \| \| \| \|---\|---\|---\|---\| \| 1) \| C \| 2) \| D \| \| 3) \| A \| 4) \| B \| \| 5) \| C \| 6) \| D \| \| 7) \| B \| 8) \| A \| \| 9) \| A \| 10) \| B \| \| 11) \| B \| Chapter 13 MODERN PHYSICS Learning objectives: After studying this chapter, the student should be able to; - understand concepts of Laser, emission processes and lasing conditions; - list laser beam characteristics and engineering applications. - describe Optical Fibre, its structure, working principle and applications. - acquire some knowledge about Nanotechnology and its long term applications. 13.1 LASER LASER is an acronym for Light Amplification by Stimulated Emission of Radiation. It is a beam of light which is coherent, monochromatic, highly directional and very intense. Energy Level: In an atom, the electrons are confined to well defined energy states. These states are called as energy level (Fig. 13.1). There are three types of energy levels: 1. Ground level: This refers to the lowest energy state in the system ($E_1$). The completely de-excited atoms would occupy this level. \[ \text{Excited State} \] \[ \text{Metastable State} \] \[ \text{Ground State} \] Figure 13.1 Energy levels 2. Excited level: Any level above the ground state is excited state ($E_2$). The atom can stay in the excited state only for a very short time varying from $10^{-8}$ to $10^{-10}$ seconds. After this time the atom will lose its energy in the form of radiations and come back to the ground state. 3. Metastable level: This level lies in between the excited and ground levels ($E_3$). Its lifetime is 100 times more than the excited state and the atom can stay in this state for a longer time. The Emission Process When a material is energized by some radiations, the atoms of the material get excited to the higher state from ground state. These excited atoms may lose energy and come back to ground state. The energy loss may be in the form of heat, light or X-rays etc. This process may take place in two ways: I. Spontaneous Emission: Spontaneous emission is the process of light emission in which the atoms in excited state ($E_1$) come back to ground state ($E_0$) after $10^{-8}$ seconds, without any external radiation (see Fig. 13.2). The atoms in excited state, release radiation of energy $\hbar \nu = E_1 - E_0$ in the form of photons. These photons are emitted in random directions. ![Figure 13.2 Spontaneous emission process](image) II. Stimulated Emission: If an excited atom is irradiated with a photon having energy $\hbar \nu = E_1 - E_0$ before spontaneous emission process, then the excited atom will lose the energy in the form of two photons as shown in Fig. 13.3. This process occurs in such a way that the incident photon and the emitted photon are found to be moving with the same momentum and phase. This kind of emission is called stimulated emission. ![Figure 13.3 Stimulated emission process](image) Population Inversion: In a material, when the number of atoms in the excited state ($N_2$) becomes more than the number of atoms in the ground state ($N_1$), this condition is known as Population Inversion. This condition is must for stimulated emission. Characteristics of Laser Laser light has four unique characteristics that differentiate it from ordinary light: a) Coherence The photons emitted from ordinary light sources have different phases and hence non-coherent. While in Laser all the emitted photons have the same phase or constant phase. difference. Thus the laser light is highly coherent in nature. Because of this coherence, a large amount of power can be concentrated in a narrow space. b) Monochromatic In laser, all the photons emitted have the same frequency, or wavelength. Hence, the laser light has single wavelength or color. Therefore, laser light covers a very narrow range of frequencies or wavelengths. Hence the light emitted by a laser is highly monochromatic. c) Directionality In ordinary light sources (lamp, torch), photons will travel in random direction. Therefore, these light sources emit light in all directions. But, in laser, all photons will travel in same direction. Therefore, laser emits light only in one direction. This is called directionality of laser light. As a result, a laser beam can travel to long distances without spreading. If an ordinary light travels a distance of 2 km, it spreads to about 2 km in diameter. On the other hand, if a laser light travels a distance of 2 km, it spreads by less than 2 cm. d) High Intensity In laser, the light spreads in small region of space and in a small wavelength range. Hence, laser light has greater intensity when compared to the ordinary light. Even a 1 milliwatt laser would appear many thousand times more intense than 100 Watt ordinary lamp. Applications of Lasers: - Laser welding: Lasers can be used for spot welding, seam welding, inert gas laser welding and welding of non-metals. - Laser cutting: Metals can be cut with output power of at least 100 W to 500 W. Wide range of materials can be cut e.g. paper, cloth, plywood, glass, ceramics, sheet metal like steel, titanium, aluminium etc. - Laser drilling: Lasers are used for fine drilling - Lasers are used for accurate measurement of the order of 0.1 m to the extent of distant object. - Lasers are used to produce thermonuclear fusion. - These are used to study the chemical process, nature of chemical bonds, structure of molecule and scattering. - Long distance communication by using optical fibre and laser is very efficient. - In medicine, lasers are used to study many biological samples, treatment of lever and to remove tumors. - Laser is used for printing. Laser printers are very fast and efficient. The quality is very high. - In computers, we use laser disc. In CD writer, a tiny laser beam burns spot on the compact disc. 13.2 OPTICAL FIBRE An optical fibre consists of a very thin core made of glass or silica having a radius of the order of micrometers ($10^{-6}$ m). The core is covered by a thin layer of cladding material of lower refractive index. Such optical fibres can transmit a light beam from one end to the other without significant energy loss. These are generally made from transparent materials such as glass (silica) or glass like polymers. The branch of physics dealing with the propagation of light through optical fibres is known as fibreoptics. Principle: It is based on the phenomenon of total internal reflections at the glass or silica boundary. The light will reach at other end even if the fibre is bend or twisted. If ray of light travelling from a denser medium into a rarer medium, and the angle of incidence is greater than the critical angle, the ray is totally reflected back into the same media. This phenomenon is called as total internal reflection. ![Figure 13.4 Schematic of optical fibre](image) Fibre Types On the basis of mode of propagation the fibre can be classified as: Monomode fibre: It has a very narrow core. Multimode fibre: It has a core of relatively large diameter such as 50-200 µm as shown in Fig.13.5 (b). As the name suggests the multimode fibre contain many hundreds of modes of propagation simultaneously. The signals do not intermix with each other. This is most commonly used optical fibre. Numerical Aperture (NA): It is the light collecting ability of an optical fiber. It depends on difference in refractive index of core and cladding. Generally, value of NA ranges from 0.1 to 0.5 for most of the commonly used optical fibres. Applications of Optical Fibres: With the help of light pipes made up of flexible optical fibres, it is possible to examine the inaccessible parts of equipment or of the human body. For example in endoscopy, a patient's stomach can be viewed by inserting one end of a light pipe into the stomach through mouth. Optical fibres are also used for transmitting and receiving electrical signals that are converted to light by transducers. These are used as transmission medium to transmit communication signals at high data rates over long distances. For example, more than 100000 telephone signals at data rate of Gigabits/sec can be simultaneously transmitted through a typical single pair of optical fibre. Optical fibres are also being extensively used for cable TV networks and local area networks (LAN) in premises. The quality of the signals transmitted with optical fibres is much better than other conventional methods. 13.3 NANOTECHNOLOGY It is the branch of technology that deals with use of nanomaterials with dimensions less than 100 nanometres, especially the manipulation of individual atoms and molecules. Nanomaterials: These are materials with any dimension in the nanoscale (1 nm to 100 nm). These materials are very reactive and exhibit unique physical, chemical and biological properties due to high surface-to-volume ratio. Example: Carbon nanotube, nanoparticle, quantum dots, nanoplymers, nanoshell, nanopores, nanorod, nanowires, nanopowder, fullerene, etc. Applications of Nanotechnology Nanomaterials are of interest because of their unique optical, magnetic, electrical, and other properties. These emergent properties have the potential for great impacts in electronics, medicine, and other fields. - Medicine: Nanotechnology based drugs are being used to treat dangerous diseases like cancers and prevent health issues more effectively, as customized nanoparticles can deliver drugs directly to diseased cells in the body. New nanoparticles based chemotherapy drugs that can be delivered directly to cancer cells for better treatment are under development. - Electronics: Electronic devices made with nano-fabrication techniques help in reducing weight and power consumption. This also improves display screens on electronic devices and increasing the density of memory chips. Nanotechnology can help to reduce the size of transistors and other components used in integrated circuits. • Food Industry: Developing new nanomaterials will not only make a difference in the taste of food, but also in improving the food production, nutrient value and preservation. • Fuel Cells: Nanotechnology is being used to reduce the cost of catalysts, used in fuel cells to produce hydrogen ions from fuels such as methanol. Nanomaterials are also being developed to improve the efficiency of membranes used in fuel cells. • Solar Cells: Nanotechnology based solar cells can be manufactured at significantly lower cost with better efficiency as compared to conventional solar cells. • Space: Advancements in development of nano-composites make lightweight spacecrafts. Carbon nanotubes based cables have been proposed for the space elevators. • Fuels: Nanotechnology can be used for production of fuels from low grade raw materials which are economical and also increase the efficiency of engines. • Catalyst: Nanoparticles have a greater surface area to interact with the reacting chemicals than catalysts made up of larger particles. This allows more chemicals to interact with the catalyst simultaneously and hence makes the catalyst more effective. • Chemical Sensors: Nanotechnology based sensors can detect very small amounts of chemical vapors. Various types of nanostructures such as carbon nanotubes, graphene, zinc oxide nanowires can be used as detecting elements in nanotechnology-based sensors. • Fabric: Making composite fabric with nano-sized particles or fibres allows improvement of fabric properties without a significant increase in weight, thickness, or stiffness. • Environment: Nanotechnology is being used in cleaning water and existing pollution, improving manufacturing methods to reduce the generation of new pollution, and making alternative energy sources more cost effective. * * * * * * * EXERCISE Multiple Choice Questions 1) Which is correct regarding laser? A. Laser is an intense light. B. Laser is monochromatic. C. Laser is coherent. D. All of the above. 2) If we can alter the distribution of atoms so that more atoms are in higher energy levels than lower energy levels. This is called ....... A. Energy inversion. B. Population inversion. C. Molecular inversion. D. Atomic Inversion. 3) In laser, the light amplification is achieved due to A. Stimulated emission. B. Spontaneous emission. C. Stimulated absorption. D. Spontaneous absorption. 4) Light emitted due to spontaneous emission is - - - - - - . A. Incoherent. B. Polychromatic. C. Less directional. D. All the above. 5) Multimode step index fibre has : A. Large core diameter and large numerical aperture. B. Large core diameter and small numerical aperture. C. Small core diameter and large numerical aperture. D. Small core diameter and small numerical aperture. 6) A multimode step index fibre has a core diameter of range ..... A. 50-200 µm B. 100-300 nm C. 200-500 µm D. 200-500 nm 7) The fibres mostly not used nowadays for optical fibre communication system are: A. Single mode fibres. B. Multimode fibres. C. Plastic fibers. D. Multimode graded index fibres. 8) If angle of incidence is larger than critical angle .................. occurs. A. Total internal reflection. B. Reflection. C. Diffraction. D. Refraction. 9) The size range of nanoparticles is between ........... nm. A. 100-1000 B. 0.1-10 C. 1-100 10) Which of the following is the application of nanotechnology to food science and technology? A. Seed germination. B. Food safety and preservation. C. Product development. D. All of the above. Short answer Questions 1. Define energy level. 2. Give full form of LASER. 3. What is principle of Laser? 4. What is meant by population inversion? 5. What is the working principle of optical fibre? 6. Name the type of optical fibres. 7. What are nanomaterials? Give an example. 8. What is size range of nanomaterial? Long answer Questions 1. Explain the characteristics of laser. Also differentiate between laser beam and ordinary light beam. 2. Describe the two processes in which emission takes place. Also distinguish between two emission processes. 3. What is the primary requirement to produce laser beam? What are the main properties of laser beam? Write at least five applications of laser light. 4. Distinguish between monomode fibre and multimode fibre. Write some uses of optical fibres. 5. What is nanotechnology? Give and explain at least five applications of nanotechnology. Answers to multiple choice questions \| \| \| \|---\|---\| \| 1) \| D \| \| 2) \| B \| \| 3) \| A \| \| 4) \| D \| \| 5) \| A \| \| 6) \| A \| \| 7) \| A \| \| 8) \| A \| \| 9) \| C \| \| 10) \| D \|
Investigating the effect of N-doping on carbon quantum dots structure, optical properties and metal ion screening Kiem Giap Nguyen\textsuperscript{2}, Ioan-Alexandru Baragau\textsuperscript{1,3}, Radka Gromicova\textsuperscript{2}, Adela Nicolae\textsuperscript{v}\textsuperscript{3}, Stuart A. J. Thomson\textsuperscript{4}, Alistair Rennie\textsuperscript{4}, Nicholas P. Power\textsuperscript{2}, Muhammad Tariq Sajjad\textsuperscript{1,5,6} & Suela Kellici\textsuperscript{1,7,8} Carbon quantum dots (CQDs) derived from biomass, a suggested green approach for nanomaterial synthesis, often possess poor optical properties and have low photoluminescence quantum yield (PLQY). This study employed an environmentally friendly, cost-effective, continuous hydrothermal flow synthesis (CHFS) process to synthesise efficient nitrogen-doped carbon quantum dots (N-CQDs) from biomass precursors (glucose in the presence of ammonia). The concentrations of ammonia, as nitrogen dopant precursor, were varied to optimise the optical properties of CQDs. Optimised N-CQDs showed significant enhancement in fluorescence emission properties with a PLQY of 9.6% compared to pure glucose derived-CQDs (g-CQDs) without nitrogen doping which have PLQY of less than 1%. With stability over a pH range of pH 2 to pH 11, the N-CQDs showed excellent sensitivity as a nano-sensor for the highly toxic highly-pollutant chromium (VI), where efficient photoluminescence (PL) quenching was observed. The optimised nitrogen-doping process demonstrated effective and efficient tuning of the overall electronic structure of the N-CQDs resulting in enhanced optical properties and performance as a nano-sensor. The demand for high-performance carbon quantum dots (CQDs) with a range of applications, including sensing has been steadily increasing. However, the synthesis of CQDs continues to face challenges including high costs, lengthy multistep processes, and the use of hazardous substances\textsuperscript{1–3}. Recently, biomass-derived CQDs have attracted considerable attention, and are considered as an optimal and green approach to prepare efficient CQDs. Biomass and biomass waste (agriculture product, agricultural residue, municipal solid waste etc.) are abundant, high in carbon content (45–55%), and are an environmentally friendly renewable resource\textsuperscript{4}. Therefore, the utilisation of biomass as carbon resources for nanomaterial synthesis is an eco-friendly process and expected to reduce the total synthetic cost\textsuperscript{5}. Although a broad range of biomass materials have been employed in producing CQDs, generally, these synthetic routes faced problems associated with poor control of the CQDs particle size, quality, and homogeneity of the product\textsuperscript{6}. In addition, the CQDs synthesised from biomass or biomass waste, commonly possess poor optical properties and a low PLQY. The doping of heteroatom such as (N, P, S) is one of the most common methods to improve the optical properties of biomass-derived CQDs\textsuperscript{6–8}. However, the questions related to the origin of the optical improvement with optimised dosing of these heteroatoms still need to be answered. Furthermore, in most conventional methodologies, these doping processes result in a longer synthesis time and higher energy consumption\textsuperscript{9}. In this work, the continuous hydrothermal flow synthesis (CHFS) which is primarily water-based was employed; thus, it is considered the greenest and most promising synthesis method for making CQDs. Notably, the CHFS allows designing or tailoring of the nanoparticles for specific functions based on the nucleation and surface functional processes. The comparison between CHFS and the traditional hydrothermal process revealed that the CHFS consumed less energy and time, while producing a highly homogenous quality product\textsuperscript{10}. Moreover, the continuous hydrothermal process can be employed in multi-purposes such as controlling the nucleation to... control the particle size and the addition of surfactant coating or dopant without further post-treatments\textsuperscript{19}. In this paper, we report the use of CHFS process, to successfully synthesise N-doped carbon quantum dots (N-CQDs) from glucose which is an abundant, readily available, cost-effective biomass carbon source, and ammonia is used as a nitrogen dopant. Synthesised N-CQDs with different concentrations of ammonia were used to explore the effect of the concentration of nitrogen dopant on the optical characteristics of CQDs. A range of characterisation techniques were employed to investigate the origin of the optical enhancement. The performance of the N-CQDs as chemical nanosensor was tested. Currently clean water resources are foremost among global challenges facing society today. A significant proportion of the world’s wastewater containing heavy metals as pollutants is disposed untreated in to the environment\textsuperscript{1}. Therefore, the application of the prepared N-CQDs as chemical sensor to detect chromium (VI) which is carcinogenic, hemotoxic, and genotoxic; the main source being industrial waste water, would be timely. Experimental work Chemicals. Glucose, ammonia (32%), potassium chromate, and potassium dichromate were purchased from Fisher Scientific. The solutions of metal ions used for the sensing application experiments were prepared using nitrate (Ag$^+$, Ce$^{4+}$, Co$^{2+}$, Cr$^{3+}$, Ni$^{2+}$, Fe$^{3+}$), sulphate (Cu$^{2+}$ and Fe$^{2+}$), chloride (K$^+$, Na$^+$, Mg$^{2+}$) and sodium (CrO$_4$$^{2-}$, Cr$_2$O$_7$$^{2-}$, NO$_3^-$, CH$_3$COO$^-$, HCOO$^-$, SO$_4^{2-}$, F$^-$, Cl$^-$, Br$^-$, I$^-$). These chemicals were purchased from Sigma-Aldrich and were used as received. 15 MΩ deionized H$_2$O (ELGA Purelab) was used for all the experiments. Equipment. UV–Vis spectrophotometry: Shimadzu UV-1800 was used to perform the absorption measurements ($\lambda = 200$ to 800 nm) using a quartz cuvette (10 mm). Photoluminescence (PL) spectroscopy: The steady-state fluorescence spectra of NCQDs were measured with Shimadzu RF-6000 spectrofluorophotometer. High-resolution transmission electron microscopy (HRTEM): NCQDs were diluted in isopropanol and applied onto a carbon holey mesh grid (Agar) and allowed to air dry. The samples were then imaged using JEM 2100 (Joel, Japan) at an acceleration voltage of 200 kV and at a range of magnifications between 15 and 500 K. Representatives NCQDs samples (g-CQDs, N-0.25, N-1, N-5 and N-10) were imaged and analysed. Fourier-transform infrared (FTIR) spectra was recorded using an IR Affinity-1S Fourier transform infrared spectrometer (Shimadzu). Raman spectra of the prepared N-CQDs was measured with a Horiba LabRAM HR Evolution spectrometer with radiation at 633 nm. An Edinburgh Instruments FLS1000 photoluminescence spectrometer was used to measure the PL lifetime and the PLQY of the samples. The lifetime was measured using a 375 nm pulsed laser, and the data was fitted with 3-exponentials after reconvolution with instrument response function. The absolute quantum yield (QY$_{\text{abs}}$) of the samples were investigated by using integrating sphere accessory with a standard method. Then, the true fluorescence quantum yield (QY$_{\text{true}}$) is calculated by using the Eq. (1) where $a$ is the fraction of the re-absorbed area. \[ QY_{\text{true}} = \frac{QY_{\text{abs}}}{1 - a + a \cdot \frac{QY_{\text{abs}}}{100}} \] (1) X-ray photoelectron spectroscopy (XPS): an AXIS Ultra DLD (Kratos Surface Analysis) setup equipped with a 180° hemispherical analyser, using Al K$_{\alpha1}$ (1486.74 eV) radiation produced by a mono-chromized X-ray source at operating power of 300 W (15 kV × 20 mA), with spot size of 0.7 mm was used to record the XPS spectra. The partial charge compensation was achieved by using a flood gun operating at 1.52 A filament current, 2.73 V charge balance, and 1.02 V filament bias. The vacuum in the analysis chamber was at least $1 \times 10^{-9}$ mbar. Synthetic methodology. Continuous hydrothermal flow synthesis (CHFS) was employed to synthesize N-CQDs (Supplementary Fig. 1). The process consists of three feedstock streams; (i) glucose (with a concentration of 70 mg mL$^{-1}$) which was used as carbon source, (ii) ammonia with varied concentrations from 0.25 M up to 10.0 M was used as an N-dopant, and (iii) supercritical water which is the key parameter of this reaction. Firstly, the deionized water (with the flow rate 20 ml·min$^{-1}$) was heated up to 450 °C, and the pressure was kept at 24.8 MPa by using a back-pressure regulator (BPR); during the experiment this condition is previously reported by our group as the optimal condition for the CQD synthesis (g-CQDs)\textsuperscript{19}. The reaction was initiated by injecting the two precursors into the engineered mixer labelled as the “Reactor” (Fig. S1). Here, the precursors were mixed with supercritical water, and the nano dots were produced (in fraction of seconds). The residence time ($\sim 1.8$ s) of the reaction was controlled by the flow rate of the precursors; both glucose and ammonia were pumped at the same time into the reactor with 5 mL min$^{-1}$ flow rate. The reaction mixture travelled through a cooler to the BPR, and was collected for further treatments. The obtained solutions from the CHFS reaction mixtures were filtered using a 0.2 µm alumina membrane; subsequently, the solutions were continuously dialysed using a 30 kDa membrane in a tangential filtration unit. The cleaned solutions were freeze-dried, and the obtained average yield was 10.68 mg mL$^{-1}$. The CQDs samples synthesised from [glucose] = 70 mg mL$^{-1}$ and ammonia with varied concentrations (0.25 M, 0.5 M, 0.75 M, 1.0 M, 2.5 M, 5.0 M, 7.5 M and 10.0 M), were denoted as N-0.25, N-0.5, N-0.75, N-1, N-2.5, N-5, N-7.5, and N-10, respectively; g-CQDs was synthesised from the same source (glucose) but without nitrogen doping. The fluorescent photographs of the samples are shown in Fig. S2. pH stability testing. The solutions with pH ranging from 1 to 13 were prepared using varying concentrations of NaOH (initial concentration 1.0 M) and HCl (1.0 M) solutions which were then diluted to the required pH. A dilute solution of N-CQDs (optical density, OD = 0.1) in deionised water was prepared. Following that, 100 μL of this diluted N-CQDs solution was added to a 3000 μL of each solution prepared at the desired pH level (range 1–13). A pH meter was used to measure the corresponding pH values. The fluorescence spectra of these solutions were recorded using a Shimadzu RF-6000 Spectro fluorophotometer. Chromium (VI) ion-sensing experiments. The detection of Cr (VI) ion experiment was conducted with various metal ions (as reported above), each prepared with a concentration of 50 ppm. In a typical experiment, 100 μL N-CQDs (0.1 OD) was added to the 3.0 mL aqueous metal ion solution. The fluorescence spectrum of mixture solutions was measured using a Shimadzu RF-6000 Spectro fluorophotometers. The fluorescence lifetime was investigated to achieve a deeper understanding of the quenching mechanism using an Edinburgh Instruments FLS1000 spectrophotometer. Limits of detection (LOD) and limits of quantification (LOQ). The sensitivity of the N-CQDs sensor for Cr (VI) was investigated by evaluating their LOD and LOQ. For that, Cr (VI) ion solutions with various concentrations of 300 ppm, 200 ppm, 100 ppm, 50 ppm, 30 ppm, 10 ppm, 5 ppm, 2 ppm, 1 ppm and 0.5 ppm were first prepared. Then, 100 μL of N-CQDs were added to 3.0 mL of the prepared Cr (VI) ion solutions. The fluorescence spectra were recorded to estimate the LOD and LOQ by using Stem-Volmer graphs, $ \text{LOD} = \frac{3\sigma}{K_{sv}} $, $ \text{LOQ} = 10\sigma/K_{sv} $, where $ K_{sv} $ is the slope of the graph, and $ \sigma $ is the error of the intercept. Results and discussion HRTEM images of N-CQDs (representative N-0.25 sample) show that the as-synthesized N-CQDs are spherical (Fig. 1a,c) with particle size ranging from 1.78 to 6.50 nm. The Gaussian distribution (Fig. 1b) of a sample of 150 particles shows the mean particle size of 4.60 ± 0.87 nm. In addition, the N-CQDs possess a crystalline structure as indicated by graphite lattice d-spacing of 0.22 nm (Fig. 1d). Similar features were also observed for the other samples g-CQDs, N-1, N-5 and N-10 analysed via TEM (Fig. S3). To determine the nature of the functionalisation, the synthesised N-CQDs were investigated using the Fourier transform infrared (FTIR) spectroscopy. The samples were classified into two groups: (i) N-CQDs with a lower concentration of ammonia (from N-0.25 to N-1) and (ii) with a higher concentration of ammonia (from N-2.5 to N-10). The FTIR spectra (Fig. 2) showed that all N-CQDs have hydrophilic groups on their surface such as O–H (hydroxyl) corresponding to the peak at 3389 cm$^{-1}$ and N–H (3263 cm$^{-1}$), thus confirming their good solubility in the water. In addition, vibrations of C–H (2950 cm$^{-1}$), C=O (1581 cm$^{-1}$), C–N (1435 cm$^{-1}$) and C–O (1080 cm$^{-1}$) bonds were also observed in each sample$^{13–15}$. The comparison of the FTIR spectra (Fig. S4) of the samples showed that increasing N-doping (ammonia concentration, from N-0.25 to N-1) displayed a diminishing stretch in vibration for C–O bond at 1080 cm$^{-1}$. While the group of samples with a higher concentration of ammonia (N-2.5 to N-10) showed a sharp vibration of C–N bond at 1435 cm$^{-1}$. To achieve a deeper understanding of the surface characterisation of the N-CQDs and also to investigate the chemical composition of N-CQDs, X-ray photoelectron spectroscopy (XPS) was employed. The resultant XPS spectra shown in Fig. 3 were deconvoluted using Voigt functions (Lorentzian and Gaussian widths) with a distinct inelastic background for each component$^{16}$. A minimum number of components is used to obtain a convenient fit. The binding energy scale was calibrated to the C 1s standard value of 284.6 eV. The atomic composition has been determined by using the integral areas provided by the deconvolution procedure normalized at the atomic sensitivity factor (Table S1). The XPS spectrum of the N-CQDs displays three typical peaks C1s (285.0 eV), N1s (399.7 eV) and O1s (531.0 eV). The C1s spectrum was deconvoluted into four peaks, which correspond to carbon in form of C=C/C–C bonds ($ \sim 284.4 \text{ eV} $), C–O/C–N ($ \sim 285.8 \text{ eV} $), C=O ($ \sim 287.3 \text{ eV} $) and O–C=O/H ($ \sim 288.4 \text{ eV} $)$^{17}$. Whilst, the N1s band showed three peaks after deconvolution which are 398.8 eV, 399.6 eV and 400.8 eV, representing pyridinic N, N–H and amide C–N, respectively$^{18}$. The content of each nitrogen doping species (pyridinic, pyrrolic and graphitic) are identified and quantified from the XPS spectra of NCQDs with the purpose of understanding their influence over the optical and chemical properties (Table S2). As commonly reported, the fluorescent property of CQDs can be enhanced by using nitrogen-doping. However, only the nitrogen bonded to carbon can improve the emission$^{19}$. Also, a larger ratio of N/C was observed for N-CQDs samples synthesised with a higher concentration of ammonia (Table S1). The O1s region contains three peaks at 530.9 eV, 532.2 eV and 533.3 eV for C–OH/C–O–C, C=O, H–O–H, respectively$^{20}$. In addition, the oxygen content is also a key parameter in the N-CQDs emission as it can maintain the balance between sp$^2$ and sp$^3$ carbon atoms$^{21}$. Therefore, Raman spectroscopy was employed to investigate the disorder in the carbon bonding arrangement of N-CQDs. The Raman spectra (Fig. S5) of the N-CQDs exhibited typical graphitic features consisting of the D mode (at 1368 cm$^{-1}$) related to symmetry transformation by the defects, and the G band (at 1586 cm$^{-1}$), which is assigned to the graphitic core sp$^2$ (graphite-like) bonds. This is not surprising as the HRTEM images of N-CQDs showed a typical lattice spacing of graphite (see Fig. 1d). When comparing the Raman spectra between N-CQDs, at first glance, those spectra look similar, a common ratio I$_D$/I$_G$ of 0.95 revealed a balance between the sp$^2$ and sp$^3$ bonds in the N-CQDs structure. This is different from g-CQDs where an I$_D$/I$_G$ ratio of 0.83 was observed and assigned to the carbon core (sp$^3$ bonds)$^{22}$. This is probably attributed to the changes introduced by the nitrogen doping resulting in the transformation of C–C (sp$^2$ bonds) into the sp$^3$ bonding between N, O and C. Optical properties of N-CQDs. The absorption spectra of the as-prepared N-CQDs measured using UV–Vis spectrophotometry are shown in Fig. 4. The N-CQDs samples have a strong peak around 265 nm and a shoulder around 295 nm (Fig. 4a). The 265 nm absorption peak is characteristics of $ \pi-\pi^* $ transitions of the Figure 3. Representative XPS spectra of N-CQDs showing the lowest (N-0.25) and highest (N-10) nitrogen doped samples. The spectra display three typical peaks C1s (285.0 eV), N1s (399.0 eV), and O1s (531.0 eV). The deconvoluted N1s band showed three peaks representing pyridinic N, N–H and amide C–N. Graphitic core (C=C or C–C) of sp² domains present in the sp³ environment, and the 295 nm is attributed to n–π* (C=O) transitions and C=N/C–N bonds\textsuperscript{24,25}. For comparison, the absorption spectrum of CQDs without nitrogen doping was also measured. It is noted that the absorption peaks related to N-CQDs are red-shifted compared to g-CQDs (synthesized from the same source glucose but without nitrogen doping), Fig. 4b. These transitions, are observed at 225 nm = π–π* (graphitic core), and 280 nm = n–π* transitions (C=O)\textsuperscript{26}. Therefore, the absorption peak observed at 295 nm in the case of the N-CQDs is due to the formation of the C–N/C–N bonds related to the doping effect caused by the presence of graphitic nitrogen\textsuperscript{24,27}. The photoluminescence (PL) spectra of as-prepared N-CQDs were measured using a range of different excitation wavelengths as shown in Fig. 5. The PL emission of each sample clearly showed the excitation-dependent PL which is beneficial for a variety of applications such as biosensors, bio-images, or LED devices\textsuperscript{26,27}. The PL emission peaks shifted when different excitation wavelengths were applied, and each sample exhibited an optimal excitation wavelength. Overall, the PL study revealed interesting optical properties of the N-CQDs. Firstly, the PL results are consistent with previous reports where the excitation dependent emission phenomenon... of CQDs was observed\textsuperscript{38}. Secondly, the maximum excitation wavelengths varied from 360 to 320 nm with the concentration of ammonia. However, the mechanisms behind the excitation dependent properties of CQDs is not clear. One of the most comprehensive and broadly accepted mechanism in interpreting the excitation-dependent PL of the CQDs is the quantum confinement effect also known as the size effect\textsuperscript{17,21,28,39}. In general, the CQDs possess broad particle size distributions which leads to a range of different energy gaps and is the reason for the variation of emission wavelengths\textsuperscript{30,40}. But herein, HRTEM image data analyses confirmed that the increased amount of nitrogen doping did not contribute to an increase in the particle size for the as prepared samples. Therefore, the observed red-shift character can be ascribed to the radiative recombination of e–h pairs hosted in the sp\textsuperscript{2} clusters\textsuperscript{41}. Aside from the quantum confinement effect, surface states theory is rather broadly adopted to interpret the excitation-dependent PL behaviour of CQDs\textsuperscript{42,43,44}. UV–Vis absorbance showed that the peak of the N-CQDs at 265 nm is related to the π–π* transition, which suggests the existence of a large number of π-electrons. The surface electronic states can conjugate these π-electrons as a result of the surface oxidation which result in the modification of the electronic structure of the N-CQDs\textsuperscript{45,46}. To interpret the mechanism of this effect, the PL lifetime and PLQY of N-CQDs were measured. The obtained results (Table 1) showed an increase in both PL lifetime and PLQY upon nitrogen doping and the highest values of lifetime and PLQY were obtained for [N] ≥ 7.5 M. The obtained PLQY value of 9.6%± 0.9 for N-10 is an significant improvement compared to g-CQDs which showed PLQY of < 1%\textsuperscript{40}. These results are comparable to the literature (shown in Table S3), where CQDs and N-CQDs were synthesised via different methodologies. The radiative rate ($k_r$) and non-radiative rate ($k_{nr}$) were calculated by using the Eq. (2) and (3)\textsuperscript{37}. $$k_r = \frac{\Phi}{\tau_{1/e}}$$ (2) $$\Phi = \frac{k_r}{k_r + k_{nr}}$$ (3) where Φ is PLQY of N-CQD and $\tau_{1/e}$ corresponds to the lifetime when fluorescence drops $1/e$ of its initial value. Table 1 and Fig. 6 shows that when a higher concentration of ammonia was used, the non-radiative rates significantly reduced. This is due to surface coating activities of the nitrogen functional group which led to enhanced PLQY\textsuperscript{38}. In addition, the lower non-radiative constant suggested that N-CQDs possess an efficient recombination process which led to an observation of nanosecond scale PL lifetime. These recombination processes suggested strong coupling of excited core states with the surface state. Thus confirming that the π-electron systems affect the surface electronic state leading to the modification of the overall electronic structure of N-CQDs. Stability of CQDs for a broad pH range is essential for sensing applications. Therefore, PL of the N-CQDs in pH solution was measured to establish the relationship between the pH level and the emission intensity. N-CQDs showed fluorescence stability in a broad pH range from 2 to 11. For example, the fluorescence intensity of sample N-0.25 (Fig. 7a,b) was dramatically reduced by ~60% at pH 1, ~35% at pH 12 and ~40% at pH 13; and there were slight decreases at pH 11 (~12%). The diminishing fluorescent intensity behaviour of N-CQDs in strongly acidic and alkali media, noticeable also for samples with high content of nitrogen (for example, sample N-10, Fig. 7c,d). This can be related to protonation/deprotonation of the surface functional groups which causes surface charge disruption\textsuperscript{43}. Whilst Figure 5. Photoluminescence spectra of CQD with and without nitrogen doping measured using excitation wavelengths in the range of 300 to 500 nm, (a) g-CQDs (without nitrogen doping); (b) N-0.25; (c) N-2.5, (d) N-10. \| Sample \| PLQY (%) \| Average lifetime (ns) \| $\tau_{1/e}$ (ns) \| Radiative $k_r$ (s$^{-1}$) \| Non-radiative $k_{nr}$ (s$^{-1}$) \| \|--------\|----------\|-----------------------\|------------------\|---------------------------\|-------------------------------\| \| g-CQDs \| 0.7 ± 0.07 \| 4.7 ± 0.5 \| 2.59 \| $2.7 \times 10^5$ \| $3.8 \times 10^4$ \| \| N-0.25 \| 6.4 ± 0.6 \| 4.8 ± 0.5 \| 2.59 \| $2.5 \times 10^5$ \| $3.6 \times 10^4$ \| \| N-0.5 \| 6.6 ± 0.7 \| 5.4 ± 0.5 \| 2.98 \| $2.2 \times 10^5$ \| $3.1 \times 10^4$ \| \| N-0.75 \| 6.6 ± 0.7 \| 5.7 ± 0.6 \| 3.03 \| $2.2 \times 10^5$ \| $3.1 \times 10^4$ \| \| N-1 \| 6.4 ± 0.6 \| 6.3 ± 0.6 \| 3.27 \| $2.0 \times 10^5$ \| $2.9 \times 10^4$ \| \| N-2.5 \| 6.7 ± 0.7 \| 6.6 ± 0.7 \| 3.52 \| $1.9 \times 10^5$ \| $2.6 \times 10^4$ \| \| N-5 \| 7.4 ± 0.7 \| 6.7 ± 0.7 \| 3.81 \| $1.9 \times 10^5$ \| $2.4 \times 10^4$ \| \| N-7.5 \| 9.3 ± 0.9 \| 6.7 ± 0.7 \| 3.81 \| $2.4 \times 10^5$ \| $2.4 \times 10^4$ \| \| N-10 \| 9.6 ± 0.9 \| 6.5 ± 0.7 \| 4.69 \| $2.0 \times 10^5$ \| $1.9 \times 10^4$ \| Table 1. The photoluminescence quantum yield (PLQY), average lifetime, 1/e lifetime, radiative ($k_r$) and non-radiative ($k_{nr}$) rates of N-CQDs. H-bonding is eliminated by deprotonation in basic conditions which can cause irregular energy levels resulting in the reduction of the N-CQDs fluorescence\textsuperscript{40}. In addition, H\textsuperscript{+} can introduce surface defects on CQDs by breaking the passivated OH shell resulting in PL decreasing and a redshifted spectrum\textsuperscript{41}. Indeed, as shown in Fig. 7c, a 20 nm red shift was also noted for the N-CQD in the strong acidic condition (pH 1). We have previously assigned this to the prominent emissions deriving from the graphitic core\textsuperscript{39}. Chromium (VI) ion-sensing. The N-CQDs were investigated for ion-sensing applications for a series of cations and anions (Fig. 8 and Fig. S6) including chromium (VI) ion (CrO\textsubscript{4}\textsuperscript{2-}/Cr\textsubscript{2}O\textsubscript{7}\textsuperscript{2-}) which is a major anthropogenic pollutant in industrial wastewater and soils\textsuperscript{42}. The obtained results indicated that N-CQDs are highly sensitive and showed high selectivity towards hexavalent chromium in comparison to a series of other cations and anions. To identify the sensitivity, limits of detection (LOD) and limits of quantification (LOQ) of N-CQDs were determined by measuring the fluorescent emission quenching as a function of Cr (VI) concentration (Fig. 9a). The reduction in emission intensity with the increase in concentrations of chromium was observed (Fig. 9b) i.e. there is a correlation between them. This correlation was fitted with a linear equation $y = mx + c$, where slope $m$ gives the value of quenching constant $K_q$, and $c$ is the intercept. The LOD and LOQ were determined using the following equations: LOD = 3σ/K_q, LOQ = 10σ/K_q, respectively, where σ is the standard deviation of the intercept. The obtained Slope and intercept gave for N-CQDs in Fig. 9b a linear fit with $m = 0.0238x - 0.025$ ($R^2 = 0.9996$) which gave a quenching constant value of $K_q = 0.0238$ and intercept of 0.026. The LOD of 0.955 ppm and LOQ of 3.185 ppm were obtained with a standard error of the intercept of 0.0076. The calculated LOD and LOQ for all the samples are shown in Fig. 10. Our results showed a significant improvement compared to previously reported research\textsuperscript{43} where LOD of 3.62 ppm and LOQ of 11.6 ppm) were reported for g-CQDs. In addition, the obtained results are also comparable to other reported literature (Table S4). To understand the quenching mechanism, the change in PL lifetime of N-CQDs in various ion solutions were studied. The mechanism for this fluorescence quenching behaviour in the presence of Cr (VI) can be assigned to Inner Filter Effect (IFE) which is a physical phenomenon that occurs in a sensing system when the absorption spectrum of the absorber has an overlap with that of excitation and/or emission of the fluorescence leading to the reduced fluorescent emission intensity\textsuperscript{44}. The IFE quenching is not related to the radiative and non-radiative transitions in the CQD, thus the intrinsic fluorescence emission is not changed in the presence of the quencher molecule\textsuperscript{42}. As illustrated in Fig. 10a, the N-CQDs excitation and emission bands ($\lambda_{ex} = 340$ nm and $\lambda_{em} = 420$ nm) overlapped with the chromate (CrO\textsubscript{4}\textsuperscript{2-}) anions absorption bands at 372 nm. Moreover, CrO\textsubscript{4}\textsuperscript{2-} shows a second absorption band at 274 nm that also overlaps with the N-CQDs most intense absorption band at 265 nm. Further, the fluorescence lifetime of N-CQDs did not change with the addition of Cr (VI) (Fig. S7 and Table S5) which provides an independent proof the IFE is the mechanism for the fluorescence quenching phenomenon. There is a downward trend of N-CQDs in terms of both LOD and LOQ values (Fig. 10b). The LOD decreased from 14.9 ppm for sample N-0.25 to 0.955 ppm for sample N-10, while the LOQ improved from 16.3 ppm to 3.18 ppm. These results indicated that nitrogen doping enhanced the fluorescent properties of CQDs resulting in higher PLQY which then leads to the improvement in LOD and LOQ and consequently the sensing performances. Figure 7. pH effect on the emission intensity of N-CQDs. Representative samples selected to show the highest and lowest [N] doping levels: (a,b) N-0.25, (c,d) N-10. Figure 8. Selectivity of the N-CQDs based chemo-sensor. Figure 9. The effect of concentration in the PL intensity of N-10: (a) Stern–Volmer graphs as a function of $(\log(F_0/F))$ versus Cr (VI) concentration (b). Figure 10. (a) Spectral overlap of the normalized UV–Vis absorption bands for the Cr (VI) ions (dash black) and the synthesised N-CQDs (green line), and the excitation spectrum $(\lambda_{em} = 420 \text{ nm})$ (red line) and emission spectrum $(\lambda_{exi} = 340 \text{ nm})$ (blue line) of the N-CQDs. (b) LOD and LOQ of N-CQDs. Conclusions In conclusion, efficient N-CDQs were synthesised using biomass precursors (glucose) and ammonia via the CHFS process. The synthesized N-CQDs possess excellent optical properties with a PLOY of ~ 10% and showed excellent pH stability (for pH 2 to 11). The synthesized N-CQDs were tested as a chemical sensor for Cr (VI) ion and the LOD value of 0.95 ppm and LOQ value of 3.18 nm were obtained. 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Investigation into the fluorescence quenching behaviors and applications of carbon dots. Nanoscale 6(9), 4676–4682 (2014). Acknowledgements SK, MTS, KGN and IAB would like to acknowledge LSBU for all the financial support provided in the completion of this research work. IAB and AN would like to acknowledge funding through the Core Program 21N/2019 and the Project ELL_17/2020 (granted by the Institute of Atomic Physics) of the National Institute of Materials Physics. Author contributions K.N.G. carried out the experimental work; I.B.: Raman analysis; A.N.: XPS analysis; N.P.P.: facilitated access to TEM facilities, R.G.: TEM characterisation; S.T., A.R. and M.T.S. supported with TRPL analysis; S.K.: principal investigator; K.N.G, M.T.S. and S.K. wrote the paper. All authors reviewed the manuscript. Competing interests The authors declare no competing interests. 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The smashing repudiation of McGovernism (for no one claims to see any great love for Richard Nixon) by the American people is both the symbol and the living embodiment of the death of the 1960's. More specifically, of the final passing from the scene of the second half of the 1960's, the era of the New Left. In a heady rush of excitement during those wild few years, the New Left swiftly escalated their tactics and their goals, from protest to demonstration to civil disobedience to outright violence. The brief frenzy of violence reached its culmination in the "whiff of grape" at Kent State in 1970; that show of firmness was enough to demoralize and destroy the New Left and to end the flurry of violence. The only thing left was to "work within the system," and the result was the McGovernite movement: now that movement has been smashed to smithereens, and there is nothing now for the Left but to shut up and fade away. Those were indeed wild and wooly years; but in retrospect we can see far better than at the time that the whole movement was a flash-in-the-pan, a sudden explosion of radicalism that was destined to disappear as quickly as it arose. The outburst to be sure was breathtakingly swift; never before in America had the political, social, and cultural changes — "revolutionary" changes in the broadest sense — been so swift and so seemingly irresistible. It is easy to see now, however, that the changes in attitude and ideology were cosmetic, not simply a youth, but to students and young faculty in elite Ivy League colleges, people who were well situated by virtue of wealth and articulateness to make far more noise than their numbers or their genuine influence ever deserved. An important recent study by the Hudson Institute only serves to confirm other evidence of how deep conservative sentiment balk of the middle and working classes — including the youth — have continued to be throughout all the hullabaloo. (Frank E. Armbruster, The Forgotten Americans: A Survey of Values, Beliefs, and Concerns of the Majority, New Rochelle, N.Y.: Arlington House, 1972, $9.95, 454 pp.) The academic year 1969-70 (it is fitting to trace this campus-based "movement" in terms of academic years) was the frenzied culmination before the dissolution of the New Left. That was the year when the SDS was captured by the Weathermen, who proceeded to "go underground" after the brutal police repression of the "free speech" take. It was the year of the last giant, violent demonstration in Washington, the year when the Berrigans and their allies talked wildly of "kidnapping Kissinger"; the year that ended when the shock of Kent State brought the movement out of its relatively safe but looney revolutionary posture into the harsh light of reality. It was the year when the libertarians lost their perspective and got caught up in the frenzy: from street fighting to drug parties to portentous mutterings about the imminent launching of "urban guerrilla warfare." In retrospect, too, it is obvious that many of us caught up in the excitement of the moment, far too often saw the libertarian and anti-statist elements of the New Left and underweighted the statism and the dangers of the ongoing "revolution." Of course, that error in perspective was aided by what used to be called a "cultural lag" — by failing to assess the swift changes that always occur in a revolutionary situation, and which virtually eliminated the libertarian elements in the New Left after a couple of years in the mid-1960's. It also seems clear that, while its narrow base of support made the passing of the New Left inevitable, the swiftness of its demise may be credited to the brilliant strategic policies of the Nixon administration and its allies in authority throughout the country. The crucial element here was a policy of firmness; a policy of going in and furthering the seemingly irreversible "revolution." The firmness was demonstrated in numerous ways. There was the whiff of grape at Kent State, there were the mass arrests at the Washington traffic-tieup demonstration, and to a lesser extent, the prosecution of such leading figures in the movement as the Berrigans and the Chicago conspiracy trial. A determined policy of not giving an inch to New Communists, e.g., mobilizing the general public hostility to compulsory bussing, not only defused the black "revolution" but has ended all traces of urban Negro rioting for several years now. In its policy of firmness and determination, the Nixon administration must surely be given its due credit. The same goes to the brutal clubbing of demonstrators at the Chicago Democratic convention of 1968. This massive reaction, which surprised many of us at the time but really should not have, was an almost universal condemnation and hostility toward the demonstrators for their provocations, rather than against the police who did the clubbing. That reaction clearly told the incoming administration that the public would not tolerate a policy of firm suppression of the "revolution". And it is certainly instructive to note how little resistance the boastful revolutionaries put up to even the minimal force used by the administration. Joined together with the firmness of the government was the resistance of the college administrators. Led by S. I. Hayakawa, the administrators found, once again, that a policy of determined resistance to the student rebels was enough to make the rebellion wither away with remarkable speed. In addition to the stick, the carrot. For the Nixon administration again saw, with strategic brilliance, that along with a policy of due firmness and resistance, it must also defuse the major grievances of at least the broad base of followers of the revolution. The major grievances were two: the anti-war movement and the draft and the lottery. There was surely no single act that defused the revolution more swiftly than the adoption of the lottery draft. Combined with a steady reduction of draft calls, the lottery quickly ended what had seemed to be, but obviously was not, a precipitated oppression of the slaves of the draft, and as a consequence the student rebellion itself. Furthermore, the continuing policy of "Vietnamization," while hardly satisfying the true-blue opponents of the war, was enough to defuse the issue, not only for the bulk of the American people but also for most of the campus rebels. For the crucial point was that American troops in Vietnam, and therefore American casualties were steadily and steadily reduced by American withdrawal. It is evident, too, that those few young men who were drafted would at least not be sent to the hell of Vietnam. The fact that countless Vietnamese continued to be slaughtered was to become only a remote and abstract concern even for (Continued On Page 2) Beyond The Sixties — (Continued From Page 1) the erstwhile rebels. The carrot and the stick had done its work with consummate artistry. There was another important stick, too, that played a large role in evicting the New Left and the abettive rebellion. That was the recession of 1969-70, and particularly the academic recession for college graduates that hit the following year. Suddenly, a sellers' market for college graduates, the era of the '60's when every graduate could write his own ticket for jobs, was succeeded by a very tight "seller's market", with better prospects for careers than ever before. If the Nixon administration had planned it that way, nothing could be better calculated to end the posturing, the "greening", the phony dropping-out among the youth, than a sharp dose of economic reality in the form of recession and unemployment. It was back to reality, back to studying, to careers, etc. for our former rebels. Suddenly the system reasserted, not merely "trapping" and the use of the campus as a base for furthering the "revolution", but course content to prepare them for jobs and careers. The "educational revolution" proved to be as much a flash in the pan as the rest of the hoopla. What then remains of the New Left, of the heady years of the late sixties? Not very much. There seem to be only three things, none of which can give any comfort to rational libertarians: women's lib, hallucinogenic drugs, and rock. Rock, I am informed, has receded considerably from the noisy cacophony of the "acid rock" of a few years ago; it is now only a little more softened, but there has been around a welcome "nostalgia craze" for the Old Country of the 1950's. And the old "rock-and-roll" of the fifties, while hardly any great shakes as music, was, in its happy innocence, far more the tailend of the great Old Culture popular music of the twenties, than it was the prefiguration of the irrational "hard rock" of the sixties. In the monstrously irrational culture of hallucinogenic drugs, marijuana unfortunately remains, but at least there has been a visible recession in the use of LSD and the other powerful "hard drugs", presumably reflecting a drawing back from their ugly Social Darwinist consequences. Women's lib is still with us, but it is unclear at this point what lasting impact it will have. Beyond a welcome drive for abortion-freedom and beyond a drop in population growth, it seems likely now that the most that will happen will be a greater stimulus for women to fulfill themselves in careers. The man-hating crazies of the sixties and the vanguard of women's lib seem destined to disappear as simply a media stunt. After all, how many more times can the public bear to watch the Robin Morgans and the Kate Millets, or even the Gloria Steinems, cavort on television? Overall, the rational libertarian can take good cheer from Herman Kahn's shrewd prediction of the cultural trends of the 1970's: "Remember 67 per cent of America is quite square and getting square." I call this the counter-reformation, the counter-counter-culture. It's the biggest thing going in America today and it will either dominate or heavily influence the next decade or two. (Herman Kahn, "The Squaring of America," Intellectual Digest, Sept. 1972, p.18.) Surely, the negative repudiation of the McGovernite movement is a firm indication that Kahn's prognosis is correct. For one of the elements in that repudiation was Middle America's accurate perception of the McGovernite movement — as exhibited, for example, at the Democratic convention — as the embodiment of the "counter-culture." In smashing McGovernism, Middle America eagerly seized the opportunity to deal a gut blow to the counter-culture, to destroy the drug-taking kids smoking drugs, hippies, dirt, rock, open sexual perversion and promiscuity, rejection of the work ethic, and living parasitically off welfare or parental subsidy. Add to this an upper-class embracing poverty as a virtue, and sneering at Middle America's concern about crime in the streets from safe neighborhoods in the suburbs. If, indeed, the seventies loom as a return to the "squaring of America", then what does this imply as the proper strategy for the new and growing libertarian movement? Clearly, it implies that strategy and attitude principle meet: that we embrace of the best things of the counter-culture while too many libertarians admired in the heady days of the sixties. That we return home, home to our "bourgeois" rational roots, home to the old values which Middle America has miraculously preserved throughout the years when the upper classes and the intellectuals betrayed them. Home to becoming the vanguard of the vast bulk of Middle America, a people whose instincts are sound but who lack the consistent articulation of that philosophy — rational libertarianism — which provides the solution for their irritations and resentments as well as the correct path for achieving their goals of peace and freedom and secure prosperity. Concretely, what do I mean by a Middle American orientation? What sort of specific work can be done? The sort of thing I mean can be seen by briefly examining four alternative organizations, two scholarly and two activist. In the world of scholarship, the Institute for Humane Studies of Menlo Park, California has done yeoman work over the years in gathering Fellows, in publishing books and pamphlets, and in sponsoring conferences at home and abroad upon such vital matters as property rights and human nature and ethics. There is also the Center for Independent Education of Wichita, Kansas, which has published a number of works in support of private and full-cost education as contrasted to public schools, and has sponsored a conference on compulsory education, critically examining its legal, historical, economic, and philosophical aspects. On the activist front, there are several notable organizations each headed by young libertarians. One is the National Taxpayers Union headed by Jim Davidson, who has done yeoman work almost singlehanded, in Washington lobbying against taxation and government spending, tipping the balance against the SSI and helping to defeat the disastrous Family Assistance Plan. Davidson was also partially responsible for inducing the Republican platform of 1972 to call for the legalization of gold. Eugene Fitzgerald, former high Pentagon official, head of the NTU, and chief expositor of the Lockheed scandal, has recently published a book (The High Priests of Waste, Norton), which expands his revelations of waste in government spending. The other activist organization is the National Committee to Legalize Gold, headed by two youthful New Orleans libertarians, James U. Blanchard III and Evan R. Soulié, Jr. With high professionalism and enthusiastic organization, the NCLG distributes a regular bulletin on gold, and has held a series of press conferences throughout the country calling for the nationalization of gold, and defeating the Treasury Department by holding aloft an illegal bar of gold. While conceding that gold legalization as the first step, the NCLG happens makes clear that its ultimate objective is abolition of the Federal Reserve System and the substitution of the gold standard for government fiat paper. Both the NTU and the NCLG are admirable models of what an activist libertarian organization, oriented to the concerns of Middle America, can accomplish. Meanwhile, it's a comfort to know that we'll still have Dick Nixon to kick around — for Four More Years. From The Old Curmudgeon Watergate, Schmaatergate. Frankly, I've gotten awfully tired of the endless griping about Watergate. Even National Review has expressed its deep concern about the goings-on. All around me I hear left-liberals complaining about the "moral apathy" of the American public on this issue. It is an "apathy" which I confess I share. The public reaction is: "well, that's politics"; politics always consists of dirty tricks by one party or the other. Yes, of course it does. Only those who are blind with little sense of history can claim otherwise. Have we all forgotten the previous election in which the Democrat prankster Dick Tuck played numerous practical jokes and dirty tricks on the Republicans? Where were the left-liberal moralists then? If you think they were right, then enjoy the spectacle of good old Dick Tuck making fools of himself and his political allies. You can't hide the shoe on the other foot, you fellows! With all the real problems in the world, can we really get so upset about the fumbling capers of the USC clique? Australopithecus, Where Art Thou? Australopithecus has been highly touted by the evolutionists as the "missing link", as our ancestor who wandered the earth approximately 2.5 million years ago. But now all he has been knocked into a cocked hat by the finding of a skull by Richard Leakey, about 2.6 million years old, that is closer to modern man than Australopithecus. So now what? It's back to the drawing board, evolutionists! "The object of the state is always the same: to limit the individual, to tame him, to subordinate him, to subjugate him." —Max Stirner The Senate Rated One of the pleasant pastimes of ideological groups is rating Senators from their own point of view. Not to be outdone, the Lib. Forum has taken the rated votes compiled by The New Republic, American Conservative Union (published in Human Events), and the National Taxpayers Union (published in Dollars and Sense) and combined them to rate Senators on libertarian vs. statist votes on various issues. The numerical ratings after the names of the Senators are the plus-libertarian votes, followed by the statist votes (e.g., 20-22 means 20 libertarian votes and 22 statist votes.) We have also grouped the members of the outgoing Senate into six categories: Very Good, Good, Moderate, Bad, Very Bad, and Excruciatingly Bad (a Senator rated an Excellent.) We realize that the quantitative vote falls to weigh qualitative matters on the issues, but we feel that enough votes have been recorded to give a pretty good idea of the Senator's ideological drift. Very Good: H. Byrd (Ind., Va.) 33-12 Roth (Rep., Del.) 32-13 Good: Ervin (D., N.C.) 25-18 Proxmire (D., Wisc.) 27-18 Fannin (R., Ariz.) 26-19 Dominick (R., Col.) 24-17 Curtis (R., Neb.) 26-19 Buckley (R., N.Y.) 26-19 Brock (R., Tenn.) 25-15 Hansen (R., Wyo.) 22-16 Jordan (R., Id.) 24-19 Moderate: Allen (D., Ala.) 22-21 Fullbright (D., Ark.) 20-20 Chiles (D., Fla.) 22-19 Talmadge (D., Ga.) 20-23 Church (D., Id.) 18-22 Stennis (D., Miss.) 21-24 Pastor (D., Ariz.) 24-20 Spong (D., Va.) 24-20 Goldwater (R., Ariz.) 20-16 Weicker (R., Conn.) 19-23 Gurney (R., Fla.) 18-25 Griffin (R., Mich.) 21-21 Hruska (R., Neb.) 21-24 Cotton (R., N.H.) 22-23 Hatfield (R., Ore.) 21-17 Bennett (R., Ut.) 21-17 Thurmond (R., S.C.) 20-23 Bad: Jordan (D., N.C.) 14-22 Bentsen (D., Tex.) 17-26 Stevenson (D., Ill.) 18-27 R. Byrd (D., W.Va.) 17-26 Hartke (D., Ind.) 15-23 Eastland (D., Miss.) 15-22 Symington (D., Mo.) 18-27 Burdick (D., N.D.) 19-26 Pell (D., R.I.) 17-25 McClellan (D., Calif.) 13-21 Dole (R., Kan.) 18-26 Cook (R., Ky.) 19-25 Young (R., N.D.) 18-27 Saxbe (R., Ohio) 16-23 Taft (R., Ohio) 17-26 Bellmon (R., Okla.) 16-23 Tower (R., Tex.) 18-25 Very Bad: McGee (D., Wyo.) 9-25 Spencer (D., Ala.) 11-31 Gravel (D., Alaska) 11-27 McClellan (D., Ark.) 11-22 Cranston (D., Calif.) 18-31 Tunnell (D., Calif.) 13-31 Rubicoff (D., Conn.) 10-32 Bayh (D., Ind.) 13-30 Hughes (D., Io.) 15-28 Long (D., La.) 13-31 Muskie (D., Me.) 15-27 Hart (D., Mich.) 11-33 Kennedy (D., Mass.) 16-28 Humphrey (D., Minn.) 7-36 Randolph (D., W. Va.) 14-29 Nelson (D., Neb.) 14-29 Anderson (D., N.M.) 11-27 Hollings (D., S.C.) 15-29 Montoya (D., N.M.) 14-29 Moss (D., Utah) 10-31 Harris (D., Vt.) 15-26 Magnuson (D., Wash.) 13-32 Bible (D., Nev.) 13-31 Cannon (D., Nev.) 12-31 Mondale (D., Minn.) 15-28 Edelton (D., Mo.) 14-29 Manford (D., Mont.) 12-27 Metcalf (D., Mont.) 7-27 Allott (R., Col.) 14-26 Boogs (R., Del.) 14-31 Fong (R., Hawaii) 15-29 Parr (R., Ill.) 15-27 Miller (R., Io.) 14-29 Pearson (R., Kan.) 12-32 Cooper (R., Ky.) 16-29 Smith (R., Md.) 15-29 Beall (Rd., Md.) 14-30 Mathias (R., Md.) 12-30 Brooke (R., Mass.) 10-33 Case (R., N. H.) 12-32 Javits (R., N.Y.) 15-29 Packwood (R., Ore.) 16-27 Schweiker (R., Pa.) 16-29 Scott (R., Pa.) 11-33 Baker (R., Tenn.) 13-29 Aiken (R., Vt.) 17-27 Excruciatingly Bad: Inouye (D., Haw.) 7-34 McIntyre (D., N.H.) 7-33 Williams (D., N.J.) 9-34 Jackson (D., Wash.) 6-36 Stevens (R., Alaska) 8-34 Stafford (R., Vt.) 6-32 The Strip Miner As Hero By Walter Block There are basically two methods of mining coal: strip mining and deep mining. In deep mining, when the coal is found at great depth, an intricate set of tunnels, shafts, braces must be set deep in the earth at great cost. Apart from this, deep mining has the disadvantage of causing black lung disease, the dread miner's disease caused by breathing in coal particles in deep and enclosed places. Deep mining must also bear the onus of numerous mine entrapments that occur with deathly regularity when hundreds of miners at a time can be trapped far below the surface of the earth due to a cave-in, escaping gas, an explosion, or water seepage. In strip mining, as the name implies, the earth is stripped, layer by layer, until one can see clearly underneath. Strip mining is thus very easily utilized for storms of coal which are close to the earth's surface, and in cases where the surrounding earth is not strong enough to support the braces necessary for deep mining. Although especially well suited for mining coal that lies close to the surface, strip mining has proven feasible at up to moderate depths. In contrast therefore with deep mining at some depth, strip mining is free of dangers of cave-ins, or black lung disease, and is very much cheaper than deep mining. This makes available to the poor a source of cheap energy, which in many cases may well mean the difference between life and death. In spite of these advantages, strip mining has been widely condemned by practically all sources of "informed, liberal, and progressive" opinion. The supposed explanation for this otherwise inexplicable state of affairs centers around two criticisms of strip mining: it causes pollution, and it is a despoiler of the natural beauty of the landscape. But as can be seen from even cursory consideration of the facts, these criticisms of strip mining would justify sending an expedition to the extreme antipathy shown to the strip miners. The vilification and abuse heaped upon the strip miners by the liberals cannot be reconciled with their humanistic principles, which hold human life to be of great value. And life is on the side of the strip miners. For there is no black lung disease on the surface of the earth where strip mining takes place; there is no danger of cave-ins and entrapment many miles beneath the surface of the earth for the strip miner. So even on the assumption that the two arguments of despoiling beauty and causing pollution held against the strip miner are correct, it is hard to see how supposedly humanistic people can favor deep mining over strip mining. It is even more puzzling when we reflect on the fact that the two (Continued On Page 4) Grouped by parties, we have Republicans: Very Good — 1, Good — 7, Moderate — 9, Bad — 7, Very Bad — 18, Excruciatingly Bad — 2. If we lump the Goods and Bads together, we get: Republicans: Goodish — 8; Moderate — 9; Baddish — 27. The Democrats fare considerably worse by libertarian standards, though obviously each party deserves homonyms. Very Good — 1, Good — 2, Moderate — 9, Bad — 10, Very Bad — 28, Excruciatingly Bad — 4. Lumping together: Goodish — 3; Moderate — 9; Baddish — 42. The two best Senators are Roth of Delaware, who is nobly following in the footsteps of his predecessor, John J. Williams, and Byrd of Virginia, following in the footsteps of his memory-matched father. The absolutely worst Senator in a bad lot is none other than the man the Lib. Forum has already called 'Mr. Slate', Scoop Jackson of Washington. We can now analyze the fortunes of the incumbent Senators on the basis of our ratings. Of the 10 "Good" Senators, 9 (including Stevens) were re-elected, and I (Jordan, Id.) was defeated, and was succeeded by a similarly-inclined conservative, McClure. Make it 3 victories and 0 defeats for the Goods. Of the 3 Moderates, 3 won (Griffin, Thurmond, Hatfield), and I lost (Spong). Of the Bad Guys, 3 won (Eastland, Pell Tower) and none lost. Of 16 Very Bad Guys running for re-election, 10 won (Pearson, Baker, Case, Brooke, Mondale, Metcalf, Percy, Sparkman, McClellan, Randolph), but no fewer than 6 bit the dust (Miller, Smith, Boogs, Allott, Harris). These unfortunate in turn gave way to the 10 Very Bad Guys, and Anderson, whose surrogate, to the Republican, Domenech. On the other hand, 2 Excruciatingly Bad Guys won (Stevens, McIntyre) and none lost. If we lump the Goods and the Moderates together, we get a record of 5 won and 1 lost; if we lump all the Baddies together, we get 15 won and 6 lost. Dare we then say that in this election, when everything below the Presidential level was ideologically mixed, that the American public was partially hitting out at the worst enemies of liberty? The Strip Miner As Hero — (Continued From Page 3) criticisms are by no means correct. First consider pollution. Although it is indubitably true that pollution results from the activity of strip miners, this is hardly a necessary concomitant of strip mining. Rather, it is the result of a failure of the courts of this land to apply the laws of trespass to the strip miner. If the law against trespass were vigorously enforced, there would be no court-recognized strip mining and pollution at all. What is presently done during the mining of coal in the strip mining method is to take the large amounts of earth that must be peeled away in order to expose the coal, and to pile it up into huge mounds. Now, these mounds are usually piled up near streams of water and substantial amounts of earth are washed by the rains, causing the stream to become polluted. The same thing happens when the strip mining is done on the many lakes and other waterways the stream feeds into. Also, the de-nuded land serves as a source of mud slides, with no grass to hold the water. But there is no reason for this! If the strip miners were made to bear the full costs of their activity, and if the people whose downstream properties have been damaged had the right to obtain preventive injunctions to stop this practice if they were not being so compensated for the damages by the strip miners, then the practice would cease. Strip mining would no longer be linked with pollution. It is most important to see that the present link between pollution and strip mining is not causal, but is rather the result of the courts not applying the basic law of trespass against the strip miners. Imagine if you will, any other industry that was allowed to violate the law in this manner, such as the oil tanker industry. Now, there is no necessary connection between the oil tanker industry and pollution, but oil spills were allowed, so there would be a connection between the tanker industry and pollution, at least in the minds of the public, and so it is with the coal mining industry, and with strip mining in particular. There is nothing about the strip mining method of coal mining that is inherently pollutant causing. It is only because the laws of trespass have not been rigidly applied to strip mining that the link between striping and pollution exists. Let those laws be fully enforced, and this whole argument against strip mining would disappear. What of the other argument against the strip miner: that striping spoils the natural beauty of the landscape? The first thing to realize is that what is considered beauty, there must be objective standards which ought to be agreed upon by other people. What is beauty to one person is ugliness to another; what is ugliness to one person can be beauty to another. It is true that what strip mining does is to remove the vegetation, grass and trees from the landscape. It can turn a lush, fertile landscape into a wasteland. But some people like the desolation and emphasize the desolation, seeing points desert in Arizona, the salt flats of Utah and the Grand Canyon of Colorado are considered by many people to be places whose beauty is without equal. While hardly an expert on the esthetics of the scene, it seems to me at least that one of the consequences of natural beauty is contrast. The mountains, right next to the ocean, along the California coast, or the skyscrapers rising thousands part of Central Park in New York City, as well as the small bits of desolation provided by strip miners among the lush greenery of the Appalachians all add benefit from stark contrast and are immeasurably beautified thereby. So, the grounds of destroying the beauty of the landscape by strip mining seem to me can unambiguously and objectively fault the strip miners. If anything, according to at least some tastes, the strip miners beautifies the landscape. Apart from that, however, this seems to be the wrong way to deal with the objection. For the real question is not whether or not strip mining adds to or detracts from beauty but rather, which people shall be allowed to make the choices of the disposal of land which can affect its beauty? If we take the view of those who object to strip mining as destroying natural beauty, and would forbid him if they had the power, we become enmeshed in unavoidable paradoxes. If the lovers of nature can prevent the strip miner from changing it (perhaps improving it, in his own mind) of then a Pandora's box will be opened. For on the same logical basis, we can prevent the farmer from planting a new crop, or planting a tree, we can prevent the builder from erecting buildings or bridges, factories, hospitals, etc. And by extending this principle of forbidding everything we decide is ugly, various groups in the population are sure to begin to forbid long hair, dungarees, rock music, beads, pot smoking, or, alternatively crew cuts, suits, classical music, ballet, and symphony. Some people argue that striping is unnatural. These liberals would be the first to object if homosexuality or miscegenation were objected to on these grounds. They would point to all the discoveries in medicine which are certainly "unnatural", namely man-made. But when it comes to strip mining, all logic flies out the window. To say that a thing either is or is not natural has no value or of moral or ethical consequence to its intrinsic worth. To argue that the destruction caused by strip mining is ugly because it is unnatural or because it perverts nature is to completely ignore the "artificial" contributions to beauty made by such men as Rembrandt or Mozart. Whither the Democracy? Where do the Democrats go from here? If they wish to remain a viable national party, with a good shot at the Presidency, their primary task faces them clearly and squarely: the purging from the party of the McGovernite delinquents. The McGovernites must be bludgeoned into their controlling positions in the party structure, and the Democrats must insure against a repeat of the disastrous 1972 convention by getting rid of the McGovernite "reform" rules which imposed the quota system on the delegates. The fight will not be an easy one, since the McGovernites, as ideological fanatics, are determined to hold on at any cost. Already, they are trying to cover themselves by jetsetting the person of McGovern, and claiming that the landslide defeat was merely a problem of his personal "image". The first step in the required purge is to depose La Westwood from the chairmanship of the National Committee, or to get rid of the person whom the Republican newsletter Monday has pungently referred to as "the Democrat National Committee chairhing." The ouster of La Westwood is Consideration No. 1 in the taking back of the Democrat Party from its usurpers. A second task, which will prove more difficult, is to keep the chairmanship out of the hands of someone like the Kennedy stalking-horse Larry O'Brien, whose pro-McGovern rulings at the convention irrevocably compromised his supposedly neutral position in the party. In the longer run, it is clear to everyone that there is only one man who can unite all factions of the Democrats under his own charismatic, left-liberal leadership, obviating Teddy Kennedy's problem for all sane and sober Americans: How can we win from general Camelot again? How can we nip the Kennedy Dynasty in the bud? How can we keep the choice in '76 from narrowing down to Teddy vs. Agnew? Or Teddy vs. Percy? Isn't it about time for a full-scale investigation of the unclarified anomalies of the Chappaquiddick affair? Is Teddy resumes the eternal bellyaching about Watergate, how about a counter-play on Chappaquiddick? Recommended Reading Revisionism A great book bonanza is now available from Ralph Myles Publisher (Box 1533, Colorado Springs, Colorado 80901). Myles, headed by the eminent revisionist and anarchist historian Dr. James J. Martin, has recently reprinted several classic revisionist works, in hard cover and for the first time in paperback. These are: Harry Elmer Barnes, In Quest of Truth and Justice. 441 pp. Cloth $9.00; paper $2.95 This is a fascinating and detailed account of Harry Barnes' struggle on behalf of World War I Revisionism, including the text of his debates with detractors and anti-revisionists, and the great "smearing" attack on historians and scientists who served as propagandists during the war, by Barnes' student C. Hartley Grattan. Includes a new introduction by the late William L. Neumann. First published in 1928. Michael H. Cochran, Germany Not Guilty in 1914. 265 pp. Cloth $9.95; paper $2.95 This is a remarkable, unique, and tragically neglected work, first published by Dr. Cochran under Harry Elmer Barnes' aegis in 1931. It is a thoroughgoing, detailed, point-by-point and devastating critique of the outstanding anti-revisionist history of the origins of World War I, Berndotte E. Schmitt's The Coming of the War. It is a tragic commentary on the historical profession that the Schmitt book continued to win high honors among historians while Cochran's refutation was completely forgotten. With a new introduction by Professor Henry M. Adams. Arthur A. Ekirch, Jr., The Civilian and the Military: A History of the American Anti-Militarist Tradition. 360 pp. Paper $3.00 Originally published in 1956, this book is the finest history ever written of militarism and its opposition in America. By our leading individualist historian. Again, largely neglected since publication, it is all the more welcome in this paperback edition. With a new introduction by Professor Ekirch. Rothbardiana Rothbardiana continues to progress on various fronts. Rothbard has a review article in The Antitrust Bulletin (Summer, 1972) of Rothbard's tribute to his work in celebrating the socialist Adolph Lowe. R. R. Palmer, ed., Economic Means and Social Ends. Rothbard discusses Lowe's attempt to replace economics by technology and values imposed by an elite, methodology, the entire problem of "prediction" in science and in the world, and the problem of value in economics. We infiltrate The Nation, with Jerry Tuccille's excellent review of Rothbard's new edition of America's Great Depression! (The Nation, October 16). We understand that there was quite an ideological tussle within the Nation's board of editors before they would print Tuccille's review. The Weekend edition of The Chicago Daily News (Oct. 28-29) has an article by Dan Miller, "Business Not 'Wild About Peace'", about prospects for a truce and to a peace settlement should the Vietnam War soon be over. It includes a long paragraph of quotes from Murray Rothbard, including his gloomy prediction that the government, instead of cutting taxes, will undoubtedly shift any cut in war spending to other forms of domestic boondoggles. The article also includes excerpts quotes from Northwestern Univ. economic historian Jonathan Hughes, who denounces the effects of government deficits, high taxes, and domestic boondoggles in raising standards and inflation. "The people," he concludes, Professor Hughes, "are already taxed out of their wits." The solution "is for the economy to go back to producing things people want to buy voluntarily. The only way that can be done is with a massive federal tax cut. The government must allow the people to decide how they want to spend their money." Hear, hear! Revisionism from the Centre — (Continued From Page 6) This emphasis on information and practicality served to minimize any distinction between the expert and the reformer, and to enlist both in the service of the state. However, the most substantial contributions to the revisionist case to derive from non-radical sources have come from two other, more prominent, historians: Robert H. Wiebe and Samuel P. Hays. Robert Wiebe's Businessmen and Reform: A Study of the Progressive Movement (Columbia Books, Chicago, 1963; originally published, 1962) obviously bears immediate comparison to Kolko's The Triumph of Conservatism, but it is only right to say that the latter work is far superior. Both in the arrangement of his material and the depth of his research Wiebe falls far short of Kolko's achievement. He also reveals, in a manner of speaking, a more elementary form of liberal historiographical "hangover". However, this is by no means to denigrate Wiebe's work. Businessmen and Reform is marked by a striking realism in its approach to the issues of government regulation, constantly focusing on the hard actuality of economic conflict stirred up by "liberals" in contrast to the liberal ideology, a monopoly of profit and property malevolent business community, dogmatically opposed to "government regulation for the public good". Wiebe analyzes the vitally important clash of interests within the ranks of business, making it clear that this economic conflict lay at the root of the demand for government control. Although Kolko's discussion of business was major source of conflict the railroads, and trust, banking, etc., is more detailed and comprehensive. Wiebe's account is far from being worthless or illuminating. In his discussion of the triangular conflict between the ambitious city bankers and the small country bankers in the Midwest, and the national Eastern financial houses, should especially be read in conjunction with Kolko. Overall, then, Wiebe clearly establishes the validity of his fundamental conclusions: "... both the idea and impetus for reform," he states, "came from prospering businessmen on the make, men like Edward Bacon, Herbert Miles, and George Perkins... the business community was the most important single group or set of factors — in the development of economic regulation". Samuel P. Hays is probably known to a segment of Libertarians for his work, Conservation and the Gospel of Efficiency: The Progressive Conservation Movement, 1890-1920 (Harvard University Press, 1959) in which a number of anti-market myths are dispelled. Specifically, he shows that the range wars of the 1890's were due to the fact that property rights could not be acquired, and that the lumber corporations were not universally engaged in short sighted resource exploitation. However, the importance of this does not rest merely on these two limited points. For, in fact, the analysis of the political aspects of Progressive reform Hays attacks the core of liberal mythology. "The conservation movement", he writes, "did not involve a reaction against large-scale corporate business, but, in fact, shared its view in a mutual revulsion against unrestrained competition and unregulated economic development. Both groups, i.e., corporate leaders and Progressive reformers, placed a premium on large-scale capital organization, technology, and industry-wide co-operation and planning to abolish the uncertainties and waste of competitive resource use." This point Hays drives home throughout the book, the central theme being that the same came from the large corporations themselves, united with Progressives in general by a shared elitist and technocratic social ethos. The precise implications of his research, however, are outlined in the essay "The Mythology Of Conservation" (in H. Jarrett, ed. Perspectives on Conservation, Johns Hopkins Press, Baltimore, 1968). "For all can resist the temptation", Hays declares, "to use history to formulate an ideology which will support their own aspirations, rather than look squarely at the hard facts of the past." And the liberal historians, he makes clear, are the most guilty of succumbing to this temptation. Their devotion to the concept of "public interest" — a concept born of their own life has blinded them to the nature of such control in practice. As Hays makes very clear in the context of his research on Conservation, "Public control is not an end in itself; it is only a means to an end. Conservation means much more than simply public action; and we should be more concerned with the history of objectives rather than with techniques. In fact, by dwelling on the struggle for public action historians have obscured the much more basic problem of the fate of conservation objectives". The identification of state intervention as inherently in the "public interest", to be no more questioned than Motherhood or Democracy, distorts historical reality. Holding such concepts the measure of all virtue, it is clear why no examination of the real motives of their proponents — or even of who those proponents actually were — could emerge from liberal historiography. In Hays' own words: "The widespread use of the concept of the public interest often obscures the importance of political struggle, and substitutes rhetoric for reality. It permits bitter political contests to be far beneath the calm surface of agreed-on language and technical jargon. The great danger of the 'public interest' is that it can lull one into complacency by persuading him to accept a mythological instead of a substantive analysis of both historical and contemporary 'conservation issues'. Professor Hays, moreover, has not merely restricted himself to demolishing this one sphere of liberal mythology. In his essay "The Politics of Reform in Municipal Government in the Progressive Era" (Pacific Northwest Quarterly, October 1964, and reprinted in A. B. Calhoun, ed., American Urban History, Oxford University Press, N.Y., 1969), Hays has performed an analysis as astute and important as Weinstein's work in this field. Once more he demolishes the facade of liberal historiography: "Because the goals of reform were good its causes were obvious; rather than being the product of particular people and particular situations in particular situations they were deeply imbedded in the universal impulses and truths of 'progress'. Consequently, historians have rarely tried to determine precisely who the municipal reformers were or what they did, but instead have relied on reform ideology as an accurate description of reform practice". Liberal historians have thus seen the urban political struggle of the Progressive Era as a conflict between public employees over "good government" against the corrupt alliance of machine politics and the "special interests" of business. In the modified versions of Mowry, Chandler, and Hofstadter, the role of the middle-class is stressed, but although this interpretation apparently gives us a slightly more scientific approach, it is equally defective in fact, in logic, and depth of research, and is still subject to the same ideological self-delusion. From his definitive analysis of this topic Hays draws from a wide range of research — from the results of his own efforts, from work that has appeared recently, and from work that (Continued On Page 8) Revisionism from the Centre (Continued From Page 7) has been available for decades (such as the studies of city-manager governments undertaken in the 1930's under Leonard White's direction.) The source of Progressive municipal reform, Hays conclusively demonstrates, lay in the upper-classes. The financing of New York's Bureau of Municipal Research, for example, came largely from Carnegie and Rockefeller. The same pattern of corporate financial support for urban organizations is the same in every case. Urban Progressivism derived essentially from the new upper class of corporate leaders and the younger and more advanced members of the professions, individuals who sought to apply 'expertise' and 'managerial control' to public affairs. A clear examination of Progressivism also reveals that its principal objective was the expansion of local government to the extent that it gave representation and effective control to the lower and middle classes, rather than to the more suitable elements — themselves! The essence of Progressive municipal reform lay not in such measures as direct primary, the initiative, the referendum, and the so often emphasized by liberal historians, for these were in fact often irrelevant and ineffective in practice and utilized more for tactical and propagandistic ends. Rather, it constituted the centralization of the system of representation, the shift from ward-to-city-wide election of councils and school boards and the establishment of the commission and city-manager forms of government. Such centralization destroyed the extensive base of representation and allowed the upper-classes to dominate government. It is no wonder then, that, as the studies carried out under Leonard White's direction revealed, the lower and middle classes overwhelmingly opposed the Progressive reforms they confronted. Hays concludes strongly, including even an unsurprisingly clear: "The movement for reform in municipal government, therefore, constituted an attempt by upper-class advanced professional, and large business groups to take formal political power from the previously dominant lower-and-middle-class elements so that they might advance their own conceptions of desirable public policy." Hays has thus performed a brilliant analysis of two major aspects of Progressivism and has enunciated clearly the reasons that most liberal historians have been unable either to discover historical actuality or even recognize such actuality when it faces them. The analytical presentation, however, has also attempted to further to integrate revisionist perspectives into a general theory of historical causation. His essay "The Social Analysis of American Political History, 1880-1920" (Political Science Quarterly, September, 1965) is thus valuable as a description of this theory as well as for the wealth of bibliographic information it contains. It is unfortunate that the theoretical framework of history must fall to be aware and to utilize). In fact, the essay is one of the most complete and devastating attacks ever made on liberal historiography. Hays surveys an extensive range of (principally) recent research on a plethora of socio-political topics; all of which, he demonstrates, fail to conform to liberal mythology and, indeed, evidence and interpretation will go unrecognized as long as this mythology predominates. Thus, in Hays' summary: "The liberal framework, more concerned with the formal and the episodic, has become increasingly restrictive rather than conducive to further social analysis. It has prevented historians giving full attention to the political role of working people, the influence of ethnocultural factors in politics, the changing characteristics of elites, the role of the business community in reshaping the patterns of urban life, a system of social organization, the source of bureaucratic power, the conflict between local and cosmopolitan cultures, the growth of bureaucracy and administration, the growth of education as a process of cultural transmission and social mobility, the development of ideology and its relationship to practice, and the examination of inter-regional economic relationships." Most importantly, it has obscured significant shifts in the horizon and techniques of decision-making in a more highly industrialized society." And this slashing indictment, it should be emphasized, is thoroughly documented on every point raised. Also of note in this essay, in relation to Stuart Morris' study of the Progressive ethos cited earlier, is Hays' own account of the ideological factors that made possible the cooperation of the business elite, the professionals, bankers, and the intelligentsia: "This new (i.e., corporate) elite", he writes, "was highly attractive to patricians and intellectuals. While many in both groups had rejected the materialism and brashness of the new industrial elite, they found in the technocraticward rationality and systematization an acceptable outlet for their talents. And these talents were recoupled to the very business community which earlier they had abhorred." Thus the Libertarian may be well pleased that there has developed a parallel stream of revisionist historical analysis alongside that from the 'New Left', one from, so to speak, the 'centre'. Yet this 'centrist' revisionism does contain implicit dangers. It appears to be merely Hays' generalization of "social analysis" that is offered as an alternative to the "liberal framework". Specifically, this danger lies in economic cum-technological determinism. Thus, the growth of political centralization and the nature of "Progressive" political movements are explained by Hays as a result of "the systematic and organic processes inherent in industrialism — the dynamic force in social change in modern life." Political movements in modern industrial society can be distinguished in terms of the role which they played in this evolving structure." (Emphasis mine.) Centralization and the "Progressive" reforms are seen as the "technological" and "theoretical" (modern industrial ones) require", and the "persistent upward flow of the location of decision-making", as the natural consequence of the "evolution from smaller to larger and larger systems". Of course, there are elements of truth in the view that changing economic structures do involve changing social structures. Yet it is also equally clear that the deterministic approach in Hays thought obscures socio-political alternatives that may have existed. From the point of view of the Libertarian, it is apparent that vital questions of the nature and legitimacy of property rights and of market conditions are overlooked or held in no account at all. Hays' own analysis would equally well serve the same function as that presently done by the liberal framework as an historical consecration, a justification for the status quo and for that "persistent upward flow of the location of decision making". This tendency is equally apparent in Wiebe's Businessmen and Reform in his statement that "there is little in the record that "with so few signs of dramatic upheaval at the beginning of the 1900's (!) and elite would take pride in the record of America's durable business leadership". Revisionism from the centre, therefore, can easily become absorbed once more into the "American Celebration". The Libertarian Forum BOX 341 MADISON SQUARE STATION NEW YORK, NEW YORK 10010 First Class Published Every Month. Subscription Rate: $8.00 Per Year
Cattle and Fish on the Henry's Fork William S. Platts, Fred J. Wagstaff, and Ed Chaney The history of the Henry's Fork of the Snake River recalls the cultures of the Shoshone and Nez Perce Indian Tribes, the exploits of trapper/explorers Henry, Russell, Colter, Syeth, and DeSmet, and during the past century, the intensive use of the area by domestic livestock. The Indians were attracted to the river because of the area's abundant terrestrial wildlife, including a variety of large ungulates. The non-Indian explorers were drawn to the Henry's Fork by beaver; the livestock operators by abundant, highly nutritious forage. These early resource users could not have envisioned that one day people from all over the world would seasonally migrate to the area in pursuit of yet another resource, the large rainbow trout that have made the Henry's Fork world famous. The 4,000-square mile Henry's Fork watershed in eastern Idaho borders the west side of Yellowstone National Park (Fig. 1). The river drains one of the world's largest volcanic calderas (what's left of a volcano after it ceases to explode and drain), which is over 25 miles in diameter. Mountains formed by the caldera walls surround the Henry's Fork. The geomorphic form of the caldera, high precipitation—45 inches per year—mainly as snow, and porous volcanic geology create countless springs that constantly feed the Henry's Fork River. Big Springs alone delivers about a half million gallons a day to the river. These springs keep much of the river from freezing, thus providing good winter conditions for fish and wildlife, including the threatened trumpeter swan. Bison, antelope, moose, elk, and deer grazed the Henry's Fork watershed for thousands of years. Bison were present in much smaller numbers than on the short grass prairies to the east and disappeared from the area soon after the advent of the horse; the last free-roaming bison in the area reportedly was killed about 1835. Cattle and sheep have grazed the Henry's Fork watershed for the past century. As was typical of livestock grazing practices over other areas of the West, the Henry's Fork watershed was overgrazed from the turn of the century to the 1960's. During the grazing heyday more than 3 million sheep and cattle grazed the watershed (Brooks 1986). Federal agencies were planning to increase to 4 million grazing animals when information showed that a reduction was in order instead. Today, livestock numbers have been drastically reduced, but some grazing problems still remain. In the 1890's, the Island Park Land and Cattle Company blocked out an area on both sides of a 6-mile reach of the Henry's Fork. This was the choicest area for production of both cattle and fish. This pastoral scene, filled with cattle against the backdrop of the volcanic caldera, formed breathtakingly beautiful vistas. This land was eventually purchased by the Harrimans, owners of the Union Pacific Railroad, and came to be known in international trout fishing circles as the Railroad Ranch. In the 1960's, the Harrimans began transferring this land to the state of Idaho for public use in perpetuity. The deeds had strong, permanent covenants to protect the environment and its wildlife. The Railroad Ranch is --- Fig. 1. Location of the Henry's Fork, Harriman State Park, and Harriman East. now split into the 11,700-acre Harriman State Park under control of the State of Idaho, and the adjacent 1,000-acre Harriman East property managed by the Idaho Foundation for Parks and Lands. Together the properties continue to support a productive cattle operation. This requires domestic livestock management strategies responsive to the needs of large wild ungulates and a diverse mix of small mammals, birds, trout, and humans. The 6 miles of the Henry's Fork River flowing through Harriman State Park and Harriman East support one of the most productive wild trout populations found anywhere in the Nation. June stonefly hatches and July mayfly hatches trigger fishing frenzies. An international coterie of anglers converge to ply the river with meticulously tied artificial flies, including favorites such as the Red Quill, Green Drake, and Pale Morning Dunn. According to a recent University of Idaho study (Sorg et al. 1985) the river generates an estimated 76,000 fishing trips yearly and contributes about $3 million annually to the local economy. On a typical trip an angler catches 6 trout with a large proportion over 16 inches long. Fish of 2 to 8 pounds are not uncommon. Other fishers also depend on the productivity of the river and associated habitats. These include the bald eagle, osprey, kingfisher, blue heron, mink, and otter. The area provides summer habitat for sandhill cranes and year-round habitat for trumpeter swans. Covenants set by the Harrimans prohibit fishing until the waterfowl nesting season has run most of its course, coinciding with critical periods of the trumpeter swans' life cycle. Because of Henry's Fork's outstanding recreation values, it has been considered for classification as a National Wild and Scenic River. A group of anglers and other conservation-minded citizens formed the Henry's Fork Foundation in 1984 to protect the river and associated resources. The foundation became quite concerned about the effects of cattle grazing on the 1,000-acre Harriman East property. In response, the Idaho Foundation for Parks and Lands brought in experts to identify problems to evaluate grazing practices and to recommend solutions. The two foundations then became the catalyst for bringing together the Idaho Fish and Game Department, Idaho Parks and Recreation Department, USDA Forest Service, recreationists, and Idaho State University in a coordinated approach to problem solving. Livestock use was drastically reduced when the Idaho Foundation for Parks and Lands took over ownership and management of the Harriman East property in 1977. Nonetheless, the season-long (June 15 to October 15) continuous grazing strategy still resulted in poor animal distribution, uneven forage use, and improper timing of forage use. This combination of factors was also causing damage to the Henry's Fork riparian zone. To address this problem, in 1986 the grazing strategy was changed to a stuttered deferred rotation with selected rest (Kothmann 1974). In this strategy the deferred pasture is entered late 2 years in a row and selected rest is gained by the addition of another pasture. The original single pasture that made up the allotment was divided by fences into four pastures. Two pastures were for deferred rotation grazing to support the main herd, a third pasture to carry the nonbreeding heifers. A fourth pasture—a narrow set-back pasture$^1$ that included the river—allows a prescription of rest and grazing to protect and rehabilitate Henry's Fork streambanks. This set-back pasture is being rested until stream-riparian improvement objectives are met (probably a minimum of 3 to 5 years). This pasture will then be grazed under specialized prescriptions. A combination of environmental, social, and economic criteria determined the type, design, and application of fencing employed to control livestock within the stream corridor. One of the principal criteria, of course, was cost, both in terms of the actual cost of fencing materials and the perceived cost of the forage forgone within the exclosure. Environmental constraints included long reaches of saturated streambanks (swamp) and patches of open water to be crossed, which virtually precluded traditional fence construction (Fig. 2). Other considerations included the presence of elk and moose—a potential source of maintenance problems—the need to lay the fence down in winter to avoid conflict with snowmobilers, and finally, the need to minimize visual obtrusiveness in a park area dedicated to protecting the aesthetic experience of fishing one of the world's most famous trout streams. The so-called New Zealand-type, high tensile smooth wire electric fencing technology was employed in the Henry's Fork riparian management project (Fig. 3). It employs smooth, high tensile wire, typically 12.5 gauge, and electrical "barbs." Because it relies on pain avoidance, rather than structural strength, to repel animals, and because it is a suspension fence, the wire is tied off only at ends and plays freely past line posts, the amount and size of line posts are minimized. The fence tends to be far more resilient than barbed and net wire to impact by livestock, wind-fallen trees, snow loads, etc., thereby reducing maintenance. High tensile smooth wire electric fences typically cost less than half as much installed as comparable traditional barbed wire fences. In addition, once perimeter fences are in and electrified, inexpensive cross fences—typically 1 to 2 wires with steel or fiberglass line posts on 60- to 80-foot centers—can be added to dramatically improve livestock distribution and forage use. The heart of high tensile smooth wire electric fencing systems is the high-energy output fence energizer. The technology is produced worldwide and ranges from microchargers that produce 6,000 volts for 5 weeks from 2 D cell flashlight batteries, to large, suitcase-sized plug-in models that will energize more than 100 miles of 12.5 gauge wire. The Henry's Fork stream-riparian project fence line was established in a spirit of compromise with traditional livestock use of the area and the cooperative livestock permittee who has understandable concerns about loss of forage. The result was a narrow set-back pasture, much of which traverses swampland unsuitable for any kind of fence. Approximately 6 miles of fence was built with unskilled volunteer labor under skilled supervision. Maximum participation, not efficiency was the goal. The cost of the materials and supervision was subsidized by the sup- --- $^1$A pasture that is larger than a corridor but does not meet the requirements for a riparian pasture; an area set back on both sides of the stream to form a separate pasture. plier (Chinook Northwest, Inc. of Eagle, Idaho$^2$) as part of the company's nonprofit program to promote improved riparian management. For perspective, it would have cost an estimated $2,700 per mile in labor and equipment and $1,860 per mile in materials for a total of $36,500 for a contractor to build a traditional 5-strand barbed wire, lay down riparian fence on the same fence line because of the swampy, open-water conditions. The weight of a nonsuspension fence would have had the tendency to pull line posts over or into saturated soils, necessitating extraordinary preventative measures and drastically increasing construction costs. In addition, the structural mass of traditional nonelectric lay down fence designs would have presented unacceptable aesthetic impacts. Environmental Changes On the Harriman East section of the Henry's Fork, 8 study areas were established covering 2.5 miles of stream. One pair of study sites was established within each quarter section. At 20-ft intervals, 31 transects were established in each site to record streambank and riparian conditions (Platts et al. 1983 and 1987). The information in Table 1, although preliminary at this time and only representing 2 data points, suggests the Henry's Fork has good rehabilitative potential (Fig. 4, 5). Table 1. Average streambank and riparian environmental conditions for 1985 (grazed) and 1986 (rested) for 8 study sites on the Henry's Fork. Confidence Intervals (CI) in parentheses. \| Variable \| Grazed 1985 (CI) \| Rested 1986 (CI) \| \|-----------------------------------------------\|------------------\|------------------\| \| Streambank alteration (percent) \| 63 (58-67) \| 0 (0) \| \| Streambank angle (degrees) \| 161 (151-172) \| 149 (136-163) \| \| Streambank undercut (inches) \| 0.03 (0.-0.1) \| 0.04 (0.0-0.1) \| \| Shoreline water depth (feet) \| 0.0 (0-0) \| 0.0 (0-0) \| \| Vegetative habitat type (units) \| 6 (5-7) \| 9 (7-11) \| \| Streambank stability (percent) \| 20 (9-31) \| 37 (21-53) \| \| Streamside vegetative cover (units) \| 1.3 (1.0-1.6) \| 1.6 (1.3-1.8) \| \| Streamside vegetative overhang (inches) \| 0.0 (0-0) \| 0.0 (0-0) \| \| Vegetation use (percent) \| 75 (66-85) \| 8$^i$ (0-20) \| $^i$Mainly by geese or loss from past overgrazing. Most environmental conditions improved. Some existing morphological conditions such as streambank undercut, shore line water depth, and streamside vegetative cover show that streambanks were not in synchronization with the water column. During low summer and winter flows the banks are too far removed from the water column for the rearing of younger fish. Only time will tell if the Henry's Fork is capable of building the desired streambank form and location and if cattle were the principal or contributing cause of the present situation. Initial stream- $^2$The use of trade or firm names in this publication is for reader information and does not imply endorsement by the U.S. Department of Agriculture of any product or service. History of the Cattle Industry in British Columbia Judy Steves and Alastair McLean Foreword Alastair McLean, retired range scientist for the Agriculture Canada Range Research Section in Kamloops, is the Kamloops Chapter host for the 1989 SRM summer meeting and tour. Alastair has been recording the history of range management and the cattle industry in British Columbia. Following is a compilation from his publications on this subject. Gold The British Columbia (B.C.) Cattle Industry basically started with the 1858 "Cariboo Gold Rush" in central B.C. Previous settlements in the area had been discouraged by the Hudson's Bay Company, which held an exclusive licence over B.C. to trade with the native Indians. This trading license expired the same year as the gold strike, opening the province for settlement. Drovers herded cattle into the Region to provide meat for the multitudes of gold seekers. From 1859 to 1870, about 22,000 head of cattle were driven from Oregon Territory to Osoyoos in southern B.C. and 450 miles north to Barkerville (50 miles east of Quesnel). Settlement The early settlement patterns in the interior of B.C. were determined by the fur trading and gold rush trails. Most ranches were established by adventuresome European immigrants. Settlement centres developed at watering sites and good pasturage along the Brigade Trail, Cariboo Road and other trails in the early 1860's. Examples of these towns are Lilloet, Cache Creek, Clinton and 100 Mile House. Kamloops was not settled until the late 1860's since it was off the main route to the Cariboo gold fields. By the early to mid 1880's, most of the main ranches had become established in the six rangeland areas of B.C.: the Okanagan, Similkameen, Nicola, Thompson, Lower Cariboo and Chilcotin regions. Cattle Drives By the late 1860's the cattle market provided by the gold rush had almost dried up. Ranch managers had to find beef markets outside the B.C. interior—primarily Vancouver and Victoria. Cattle trails generally followed those established by the fur traders along water courses through the main valleys. Most cattle drives ended on the Fraser River at Yale or Hope where cattle were shipped to the coast by river boats. When the Canadian Pacific Railway was completed in the late 1880's, the drive routes ended at shipping points, such as Kamloops. Many of these trails still form part of B.C.'s main highway network. An example is the Coquihalla Freeway, a
Eberhardt, Nelson resign Two ASU administrators have resigned their positions, effective next month. Dr. Duane O. Eberhardt, head of the Business Administration department since 1978, has resigned his position to return to full-time teaching this fall. Dr. Jack Nelson, associate dean of Student Life for seven years, has resigned to take the post of director of Auxiliary Services at Stephen F. Austin University in Nacogdoches. Eberhardt was scheduled to head a new department in the fall — Business Analysis and Information — created by a split of the existing BA department into two departments planned for S. Dr. Fred C. Homayer, professor of Computer Science, has been named new department head. Eberhardt cited personal reasons for his resignation, effective Aug. 31. "I don't care to talk about my reasons (for resigning)," he said. "I just wanted to return to full-time teaching," Eberhardt added, emphasizing that his decision was not due to the administration's move to split the BA department. Nelson said he decided to accept the position at SFA because, "It will be an opportunity for me to be responsible for some additional and different responsibilities and provide an opportunity for me to advance professionally." He added that SFA is close to most of his family's relatives in East Texas and the area in which he grew up. As director of Auxiliary Services at SFA, Nelson will be responsible for the student union building, all university food services, the bookstore, vending machines and the Post Office. He said his new post will involve more administrative work than his present position with ASU. "I have tremendously enjoyed my association with the administration (of ASU) and I have especially enjoyed working with students and student groups," said Nelson of his years at Angelo State, "and I am looking forward to continued cooperation with them." Nelson said the growth of ASU's Preview program, a summer orientation program for incoming freshman, was the accomplishment he was most proud of at ASU. He initiated the use of student counselors for the program. Dean of Student Life Paul K. Horne said the university will begin advertising for a replacement for Nelson immediately. Gotcha covered! Oiler quarterback Gifford Nielsen (14) looks down field for a receiver despite a challenge by linebacker Ted Washington (59) during workouts at ASU. Nielsen took the Oiler field general position after the surprise retirement of Kenny Stabler. Photo by Arthur Spragg Student Assembly completes apartment guide By TOM WADDELL Staff Writer The Angelo State University Student Assembly has many items on its agenda for the fall semester, with one project already completed. The completed project, begun by ASUSA President 1980-81 President George C. Scott, is an apartment guide. A limited amount of guides were released Saturday for Preview ASU since on-campus housing may be scarce and some freshmen will have to find off-campus housing. "The guides will be available at the information desk (in the University Center)," ASUSA President Terri Hess said. She added that 150 guides have been printed. Approximately 15-20 apartment complexes are listed in the book. Under each apartment's name is information about rent, lease length, type of air conditioning, availability of laundry facilities, dishwashers, swimming pools, carpets or garages and cable television. Also included is the number of people allowed in each apartment. Topping the agenda for fall is filling positions in ASUSA. Hess said there is one opening for representatives in Electorate B, which includes Elementary Education, Guidance, Home Economics, Physical Education and School Administration and Supervision. Two openings are also available in Electorate D, Undeclared majors. Persons interested in applying for positions in either electorate should go to the ASUSA office in the UC and fill out an application for the opening. "If no one from these electorates applies, the position is open to people from any electorate," Hess said. ASUSA members will go over the applications at the beginning of the fall semester and decide who is best qualified for the opening. Also ASUSA is speculating about a new voting procedure, although nothing is permanent at this point, Hess said. "Right now, when students are voting only their social security number is written down. If a student comes back three days later to another person (at the voting tables), it would be difficult for that person to check through all the social security numbers to see they are not in order," Hess said, adding that it then becomes easier for a person to vote more than once. If the new procedure is approved and implemented, there will be a computer printout of student names in alphabetical order. When a student shows his ID card at the voting table, his name is marked off the list. "Hopefully, we can have this done in time for Homecoming," Hess added. In addition to these projects, the student government is trying to bring about a graduation exercise in December and an outside graduation in the spring and summer in the Multi-Sports Complex. "We talked to Bob Holcomb (vice president of Academic Affairs) about December graduation, and he says he will write a letter to December graduates this fall and ask them if they would be interested in this at all and if a good number are interested, the university might try it on a trial basis," Hess said. Concerning outside graduation, Hess said Holcomb explained that resign seeping through the bleachers could damage clothes and the university cannot repaint the seats until the resin seepage has stopped. "I don't foresee it (outside graduation) this summer, but it might be possible next May," Hess said. AFL-CIO affiliate possible on campus By WAYNE LACOSSE Staff Writer Some ASU professors are trying to form a local chapter of the Texas United Faculty (TUF), a college teachers' labor union affiliated with AFL-CIO. Dr. Kenneth L. Stewart, assistant professor of Sociology, estimated about 10 TUF members are presently teaching at ASU and that "we seek to organize the 'academic segment' to other teachers' organizations, like the Texas Association of College Teachers (TACT). TUF works together with all other teachers' organizations in the legislative process." Dr. David H. Loyd, Jr., professor of Physics and TUF member, explained that TUF is "just in the thinking stage" as a working organization at ASU. He said any real effort to form a local guild will wait until the fall semester. All ASU professors are state employees, forbidden by Texas law to go on strike or engage in collective bargaining. Because these unions are not designated as unions more as a lobbying organization in the Texas state legislature than a typical trade union. Some professors who have joined TUF believe TACT is largely ineffective in fighting for faculty benefits, but they have supported recent TACT membership drives. "With TACT memberships, Stewart said, "Two voices expressing your interests in the legislature may be better than one voice." Stewart also said there is a possibility that TUF, with its AFL-CIO backing, would have the resources available to lobby more effectively in the state legislature. TUF's objectives include salary increases tied to the cost of living and gaining passage of a collective bargaining law for all public employees in Texas. One benefit of TUF membership is professional liability insurance, which is similar to malpractice insurance for doctors and lawyers. Faculty members at ASU are paying $8 monthly dues to the organization, but are holding no local meetings and have no leader or spokesman. Stewart said, "What we have is a very ambiguous situation — what it may or may not develop into is anyone's guess." Change effective immediately Zip plus four adds 60 codes to ASU By JACQUELINE TOLLER Editor Zip plus four, the current ZIP code with an additional four digits, goes into operation this week as businesses, governmental agencies and lock box holders are notified of their additional numbers. Lock box holders will be notified beginning in February, 1982. Zip plus four is written with a hyphen between the regular ZIP code and the four additional digits. The additional digits identify a specific sector of a particular delivery zone, such as a group of blocks or streets. The last two digits divide these sectors into segments, such as one side of a block or both sides of a street. LaNell Spears, ASU's chief postal clerk, recently attended a convention in San Angelo concerning Zip plus four and the new processing equipment that will sort mail using the resources available to lobby more effectively in the state legislature. TUF's objectives include salary increases tied to the cost of living and gaining passage of a collective bargaining law for all public employees in Texas. One benefit of TUF membership is professional liability insurance, which is similar to malpractice insurance for doctors and lawyers. Faculty members at ASU are paying $8 monthly dues to the organization, but are holding no local meetings and have no leader or spokesman. Stewart said, "What we have is a very ambiguous situation — what it may or may not develop into is anyone's guess." ASU Briefs Friday last day to drop with W Tomorrow is the last day to drop a course with a W; after tomorrow, a "W" will be recorded as an F. The last day to drop a course is Aug. 12. Packets for the fall semester may be picked up in the Registrar's Office approximately Aug. 21. Ram Page gets national honor The Ram Page has received an "All Americans" honor rating for the past spring semester from the Associated Collegiate Press. Criticized by the National Critical Service at the University of Minnesota, the newspaper received four marks of distinction for coverage and content, writing and editing, design and opinion content. Editorial staff members include Chris Geisel, editor, and Jacqueline Toller, Tom Lisa Carrico, Maria Alvarez, Mike Lee, Pat Dawson, Philip Speck and Gloria Caldwell. Dr. Mary Sparks, Journalism department head, served as newspaper adviser. Fraternities return to open rush After a sharp decline in the number of pledges for two semesters, closed rush, ASU fraternities will return to open rush for the fall semester. With closed rush, only male students with an invitation, which they receive by attending a reception at the beginning of the semester may go to rush parties. Under open rush, any male student may go to rush parties. Campus fraternities decided to reinstate open rush because the average number of pledges a semester dropped from about 15 to 20 students per fraternity under open rush to about half that number under closed rush. Interfraternity Council President Mike O'Brien said. O'Brien said closed rush didn't give fraternities the chance to meet as many male students. Rick Whaley, president of Lambda Chi Alpha, said fraternities tried closed rush to save money and keep the "professional rushie" out, but decided the amount of money saved didn't make up for the decline in the number of pledges. EDITORIAL Our View Let Haitians remain We have always boasted of America as the land of opportunity and the home of the free — so how can we consider turning away the Haitian refugees? Over 4,000 Haitian refugees requesting political asylum in the U.S. became the focus of national media attention when they began to arrive from many from a camp in Florida to sites across the country. The government also began exclusion and deportation hearings. Big Spring's minimum security prison is the safe home for 90-100 refugees. But several citizens are upset at the thought of the foreigners in their town. The city council voted 3-2 to protest the arrival of the Haitians. The Haitians are legal aliens. But they fled Haiti, a dictatorship, without their government's approval. A spokesman for the refugees called deportation "a 'death sentence' for the Haitians." The U.S. government has denied all asylum appeals by the Haitians. Federal Judge James Lawrence King of Florida temporarily blocked the deportations. "This case involves thousands of black Haitian nationals, the brutality of their government and the prejudice of ours," he wrote in his decision. His ruling was based on founding American ideals — including the belief that a democracy is a better form of government than a dictatorship. The government's attempts to deport the Haitians are inconsistent with other policies regarding aliens — such as the Supreme Court decision that children of illegal aliens must be educated free in public schools (which suggests that the illegal aliens will be allowed to remain in the country) and the acceptance of thousands of Cubans forcibly deported from their own country because they are classified as "undesirables" (criminal, antisocial and mentally impaired). The Haitians are legal aliens who have fled from a repressive government to find opportunities in the "home of the free." They deserve a chance. ASUSA has momentum to pass needed changes Finally. With several proposals of actions for students, it appears the ASUSA Student Assembly has momentum again this year. First, the apartment guide is something that has been needed for a long time. The project was initiated last year and it is now a reality. Students need this guide. The last apartment guide was years ago and the city's been down since then because the student housing situation has been acute, especially for students looking for apartments. With the guide, it looks as though this problem can be eliminated somewhat. Also, ASUSA can get the new voting procedure initiated, student elections will become much more accurate than in the past. Since students will now be marked off the voting list by name, rather than writing down Social Security numbers, the voting tallies should be more accurate and double or triple voting should be stopped. Finally, outside graduation is something many students have been wanting for a long time. Although outside graduation might detract from the formality of the occasion, there is definitely more room in the Multi-Sports Complex for family and guests than in the gym. In all, we are pleased with the actions ASUSA is taking and we sincerely hope the assembly doesn't lose the momentum it has gathered. Vanderventer needs maintenance Editor: We pay $448 a month to live on campus in the Vanderventer Apartments. In the last two weeks, the air conditioner has broken down twice, the refrigerator has broken down twice and the second floor is broken down. It took the women four days to try to get someone to look at it and when they came over they were very rude and left a big mess both times not to mention the $60 worth of groceries that got ruined. Also, our plumbing recently stopped up and water was flowing out of the shower and into the floor. The commode was also filled up with water. None of these problems are due to any abuse on our part. The quality of these housing facilities are very poor for $448 a month. We could get for that amount of money, an apartment with many things Vanderventer doesn't have, such as a TV, dishwasher and a double sink in the kitchen. What we also wouldn't have are all the problems we have now. Lisa Conaway and Lorraine Fritz Freshman Nursing major Letters to the Editor Moral Majority 'immoral' Editor: As a citizen of America, enjoying the freedoms of speech, press and thought, I do not feel an organization as the Moral Majority should have invested power to dictate what freedoms citizens should be denied, based on biased perceptions. Many citizens, in fact few, view programs in the same light; an alternative would be to turn off an "offensive" program. Some have complained with the Moral Majority, boycotting certain programs; what would advertisers do if consumers boycott their products? What would happen for their non-supporting programs of consumers? If reality can not be handled by the Moral Majority, perhaps the organization is simply afraid of handicaps, fears actions of other men as a result of a faulty judgement on their part. The Moral Majority has received access to the press, television and other communication avenues through the freedom preserving processes. Why should they be the last? Jacalyn M. Dean Senior Psychology major ENTERTAINMENT Comedy thriller 'Sleuth' coming to ASU theater By DANE LEWALLEN Staff Writer The summer ASU dinner theater production entitled "Sleuth" is scheduled to run Aug. 6-11 in the modular theater located in the Education-Fine Arts building. The evening begins with a dinner buffet served at 7 p.m., entertainment for the audience, show follows at 8 p.m., and dessert is offered during intermission. Described as a comedy thriller, Anthony Shaffer's modern play, "Sleuth," is set in the English country manor of Andrew Wyke. The plot evolves around a novelist and his friend. "The two men are avid game players, but this time they're playing a deadly game," Bill Watts, Drama instructor and director of "Sleuth," said. The play, Watts added, is full of twists and surprises that promise to be "a lot of fun for the audience." Watts said, "About seven years ago, 'Sleuth' opened on Broadway, and ran for five years. Laurence Olivier and Michael Caine starred in the movie of the same name." The all-male cast includes ASU students Mike Riley, Hal Coon, Eric Henry, Kenneth A. Fletcher and David King. Actors are not paid nor do they receive grades for their performance; the back-stage crew is paid for its services. Approximately 90 hours of rehearsal and 90 hours of sound and light preparation have gone into the production. Watts estimated about 100 people will attend each night will attend the dinner theater, and most of the tickets received will be payment for meals, royalties and props. The evening is informal, casual and no reservations, and box office at 942-2000, from 5 p.m. weekdays. Ticket prices are $6 for ASU students and faculty, $8 for ID cards, $10 for subscribers and $10 for general admission. Tickets must be picked up before 5 p.m. on the day before the show, and the reservation line is automatically canceled. The box office is located in the theater lobby of the Education-Fine Arts building. Derek's 'Tarzan' not a '10'; 'Wolfen' gets howling review Bo Derek may be a lot of things, but an actress she ain't. She hinted at it in "'9," She convinced a lot of people in "A Change of Seasons." She leaves no doubt about it all in "Tarzan, the Ape Man." From the title shot, when the film announces that it's a "Svengali Production," followed by the MGM lion being out on the Tarzan yell, it's clear that the movie's in trouble. The really sad part about "Tarzan" is that it could have been a good film. Under John Derek's direction, the film is nicely paced and beautifully shot. The cuts and fades are expertly done, exemplifying Derek's photography skill. The most refreshing thing about Derek's direction, however, is that there is no from violence at all. The acting, for the most part is negligible...the one exception being Richard Harris' portrayal of Jane's father. Harris is terrific in the movie, when he's in it. Unfortunately, that's not often enough. Miles O'Keefe makes a good Tarzan in the sense that he looks like the Tarzan on the Ballantine paperback book covers. However, the only lines he has consist of muttering Johnny Weismuller's ape call. The script is totally slanted toward Jane (it was originally titled "Me, Jane"), leaving huge gaping holes in the plot and making no attempt to explain them. The most nagging question is how did an Orangutan get to Africa? But the most damage to "Tarzan" is done by Jane. Bo Derek is evidently a graduate of the Clint Eastwood School of Acting in that no matter what emotion she tries to show — fear, hate, love, happiness, sadness, etc. — the expression never changes. The Dereks fought several legal battles, both against MGM and Edgar Rice Burroughs' estate, to bring "Tarzan, the Ape Man" to the screen. They shouldn't have bothered. "Holmes, the Ape Man," now showing at the Southwest Cinema, is rated "R." Hollywood has gone to the dogs — well, wolves actually. The latest big, bad wolf feature is Orion Pictures' "Wolfen," a tense, gripping film based on Whitney Strieber's best-selling novel, a pack of hybrid wolves that live in rural New York. The wolfen gain unwanted attention when they "execute" a financier whose land development plans threaten their treasured South Bronx (New Jersey). Outraged by the death of this influential police department top brass call in Detective Dewey Wilson (Albert Finney) to solve the bizarre and brutal murders. Finney, in one of his better performances, gives the character of Wilson a depth unlike most movie detectives. Finney's Wilson is a world-weary, slightly neurotic cross between Sam Spade and Dirty Harry. The supporting cast is made up mainly of unknowns, with Gregory Hines (Josephus in "The Color Purple") and Gregory Peck (in "Brooks'" "History of the World Part I") doing a job as the medical examiner assigned to the killings and Diane Venora shining through as a tough, smart and tragic victim. But the real stars of the show are the wolves themselves — intelligent, vicious, seemingly invincible creatures who can "leave a cloud pasture and disappear and reappear by yesterday's moon." Actually, the only two drawbacks in "Wolfen" are its often overly excessive violence and the confrontation in which the wolfen are seen for the first time. Through the use of this special effects, the wolfen only as shadows or through a "wolf eye view" — a spectacular visual effect used to great advantage in the studio trickery in a previous Orson has dubbed "Alienization." When the wolfen are actually shown they look...well, wolves. Not half as frightening as advertised. "Wolfen," currently showing at the Sunset Theater, is rated "R" and is definitely not for kids. Name game taken seriously at graduation By DONNA HUERTA Staff Writer ASU students with unusual or hard-to-pronounce names (like Hermengildo, Araujo and Niedzwiecki) can rest assured their names will come out of the speakers correctly on graduation day — thanks to Dr. Neil Devereaux. Devereaux, associate professor of Spanish, has read the names at all ASU graduations for the past three years. "I did it once, it was a situation of 'You done good, kid' so I was given the privilege of doing it all the time," Devereaux said. Devereaux said he "very definitely" takes correct pronunciation of the names seriously. "With a name like Devereaux, I can empathize with them. I get some weird pronunciations of my name and as a result I'm very touchy about my name," he said. "I immediately eliminate certain names that are no problem at all and I put a mark by certain names that I'm not sure how that person would pronounce his or her name," he explained. Devereaux said he gets his colleagues in the Modern Languages department for their opinions on the pronunciation of names he is unfamiliar with. "As a last resort, if indeed the phonetic transcription is really difficult to pronounce and I don't equate the pronunciation of that to anything that I've ever heard before or to anything that sounds familiar to me, if I'm running around the room and there's just one more graduation, I actually go to the person and ask them, 'How do you pronounce your name?'" Devereaux said. Devereaux said the most embarrassing moment he has experienced in his job was when he was working to pronounce students' names correctly, he read "Bachelor of Science in Nursing." "I have had compliments, and quite a few especially Chicano students who will come up and say, 'That was the first time in four years that my name has been pronounced correctly,'" Devereaux said. He explained that people with hard-to-pronounce names usually get called by nicknames at school, which can cause problems as far as identification is concerned. "For example, when little Juanito Ramires comes into the first grade or into kindergarten and his teacher is some blue-eyed, blonde-haired young woman who has her real teaching job and has no real linguistics background as far as bilingual pronunciation, he is no longer Juanito Ramires, but Johnny Ramirez," Devereaux said. Devereaux learned Spanish when he served as a missionary for the Mormon Church in Mexico when he was 19. During his stay in Mexico, he decided to study linguistics and Spanish. Romancing makes male students basket cases Rampoon By PHILIP SPECK Staff Writer Sometimes I wonder if it's really worth it. There are times, albeit few and far between, when I question the hassles involved with the Great American Pastime—dating. To help illustrate the point, let's look at the average problems entailed in the average first date: First off, there's the initial obstacle of asking a girl if she'd like to go out. It's a traumatic experience in the primary cause of stress and mental disorders in the male population because the male person knows the female person an do one of two things: say "yes" or laugh in his face. It's rough on a face when it's laughed in. To make the matter and tear on his face, the male person works so hard to be attractive, debonair, witty and charming — and usually winds up acting like a total schmendrick. His knees wobble, his jowls sweat, his tongue swells to eight times its normal size and his capacity of speaking coherent English goes down the tubes. But let us assume that the female person takes pity on the male person and agrees to go out with him. This comes the first dreadful choice — where to eat? If time and money are of no consequence, chances are our couple will journey to a "fancy" restaurant. A "fancy" restaurant is any establishment which a) has real tables rather than sticky, plastic booths; b) does not have the menu hanging behind the cash register; c) does not force its employees to wear uniforms; paper hats; d) does not have its employees scream a number out and expect the customer to get his own food; and e) demands a tip for the waiter, the cook, the door person and janitorial via his odd-maid Aunt Agnes. A "fancy" restaurant is elegant, impressive and very, very expensive. If time and money are short, or if either of our couple's stomachs are in revolt against indigestion, they may go to a (shudder) "fast food" joint. The first thing to assault the customer at a "fast food" joint is the asinine sign: "No Shoes, No Shirt, No Service." Nowhere in that mindless missive does it mention pants. The horror of the "fast food" joint is its staff. The person who takes the orders is generally a third grade drop-out and the cooks look like refugees from a Cheech and Chong convention. Anyway, after "dining" on bland, tasteless food that will plague them for the rest of their natural lives, our couple is off to the movies. New problem — what to see? In September-November or February-May, there's nothing new, but in December or June-August, all the movies come in at once, making it nearly impossible to choose which one to see first. Also, it's too late for the theaters. The movies never start when they say they will. If a person arrives at the movies five minutes early, it will start ten minutes late and if a person arrives three minutes late, the movie has already been going for thirty minutes. Sigh. Anyway, after paying $3.50 each for tickets (sure, there's a dollar less, but everybody and his dog goes then and there are never any seats left), our couple must face the (gasp, whine) concession line where the sadistic white-folk sell greasy, pop-popped kernels of corn saturated with melted mountain fat that they try to pass off as butter; pruney, puny hot dogs so disgusting that not even a Third World refugee would touch them; soft drinks that are 40 percent sugar and five percent flavoring; and the crumpled left over from the premier of "Gone With The Wind." Now, seated and raring to go, our couple must watch the commercials. Not just coming attractions, but local merchant propaganda as well. The most despicable of these abominations is the spot where two Bic lighters discuss whether or not to flick each other. These commercials are followed by a sign proclaiming "Feature Presentation." Lies, all lies. There are always two or three more previews after this. Now, with the movie over, comes the last (and most important) choice: a) go to one of the local clubs and spend more money; b) invite the female person out to the lake to watch the airport landing lights; or c) take her home. Usually, it's choice A, followed closely by choice C. So, after dropping the female person off at her house or whatever, the male person returns sadly home — burping up an undercooked taco burger, picking popcorn from between his teeth and wondering what might have happened had the female person shown an affinity toward landing lights. It's almost enough to make a guy join the Monk of the Month Club. I tell you, if it weren't for the girls it wouldn't be worth it at all. Proposal not useful A proposal before Congress to make English the official language of the United States is a meaningless gesture and the government should instead concentrate on teaching the language to non-English speaking citizens, said an ASU Modern Languages instructor. Pedro Escamilla, Spanish instructor, said a bilingual education program will continue to make English the official language than proclamations. "The comprehensive role of English proclaims it to be the official language of this country in a more convincing manner than any amendment ever could," he explained. "The fact that a language is proclaimed official doesn't make it any more accessible to the citizens of the nation with which it is identified. That accessibility is to a great degree the obligation of the public school system," he added. Senator S.I. Hayakawa of California proposed the bill in Congress. Escamilla said Hayakawa can proclaim the officialdom of English but he is "blue in the face," but if the public schools continue to educate the non-English speaking child in English without showing him how to succeed in the language, he will drown. One need look no further than the dropout rate for Mexicanos to see how regularly these drownings occur," Escamilla charged. Escamilla charged that the schools' failure to make English accessible to all citizens has "prooked the demand for bilingual education." Angelo club goes topless By DANE LEWALLEN Staff Writer San Angelo is ready for topless dancers. Dr. says Gary O'Bryan, owner and manager of Candlelight Lounge and O'Bryan's. "It's time for the city to open up. People I've talked to care, wait until I hire the topless girls," O'Bryan said. O'Bryan said he believes that with a university and all the new clubs opening in town, it's a matter of time before competition will be beginning to heat up and there will be looking for entertainment. "Everyone wants something new. I'm sure the topless dancing girls will improve business 100 percent," O'Bryan added. O'Bryan, who has been in the bar business for 20 years and was previously owner of The Elephant and Borrowed Money, said he got the idea of having topless girls at his club after visiting other topless clubs in the state. Currently, San Antonio, Austin, Midland and Odessa have topless dancing night acts successful. O'Bryan said he has been interviewing and hiring applicants for about a week. So far, he has hired a 16-year-old woman and out-of-town girls. "I advertise for topless dancers in out of town newspapers. I prefer to get out-of-towners. I don't want the hassle of mad boyfriends or hometown girls," O'Bryan added. He said applicants must be 19 to 25 years old. They also must provide their own costumes when they are out. The routine consists of a dance routine the applicant has created. The dancer's salary is $5 per hour plus tips. Other dancing girls in Texas is making from $500 to $800 per week, including tips, said O'Bryan. "When the women are not dancing, they will wear jackets and serve cocktails. The Alcohol Commission requires everyone to wear at least a G-string and panties while they dance." He added that the commission closed down the Cheyenne Social Club twice this year because their topless girls were out of bounds of men and shortchanging guys when they paid for their drinks." If the Alcohol Commission closes a club down three times in one year, the club's license is revoked. O'Bryan added that the Liquor Board will probably be keeping a close eye on him. "I think I'll have better luck with my club because I'm established already. I'm not scared the Liquor Board will take my license away," O'Bryan said. "If I stay in business six months, I guarantee another topless club will open up," he said. The former Central High School graduate and ASU student concluded, "I'm adventurous, I'll try anything once." Kennard defies odds, earns Oilers' starting nod Former ASU free agent expecting best year By MIKE LEE Sports Editor Ken Kennard has beat the odds — again. He's a member of the very small and elite group of rookie free agents who survive the NFL's Football League training camps and make team rosters. You might say Kennard, a middle guard for the Houston Oilers, is one in 10,000 or one of perhaps 250 to make the free agent. Both of those are estimates of a rookie free agent's chances in the NFL and both show the magnitude of Kennard's accomplishment. "The odds are really against you," Kennard, a former Angelo State University star, said after a recent practice at the Oilers' training camp. "I beat the odds. I did something I wasn't supposed to do. I proved a lot of people wrong and I'm very proud of that." "I came in weighing 225 my first year (1977) and everybody said I was too small and too skinny to play pro football," added Kennard, who now stands 6-2 and weighs 245. He said attitude, determination and character were the big keys to his making the Oilers' roster as a free agent. But Kennard didn't just make the Oilers' roster — he has seen action in every game (62 regular season and seven playoff games) in which he has suited up. And last season he earned a starting position at middle guard. Since the third game of the season, "KK" started every Oiler game and he is slated to be the starter once again this year. "You have to prepare differently when you're a free agent. I know I have to do a great job because the other 10 (defensive starters) are depending on me. "Last year was a good learning experience so far and I'm looking for better things this year. "I started working out in late February and early March. I was on a weight program to help maintain my weight and strength. I worked harder off-season than ever before." And since the season gets underway, what will Kennard have to do to be considered a starter? "I have to satisfy myself. I don't look at statistics. Everything is satisfactory if we have a good defensive line (guys on the field) and as long as I'm contributing." However, the four-year veteran isn't home free as the starter at middle guard. He'll have to beat out two other men — Skaugstad, a second-round draft choice last year, if he is 100 percent healthy, and possibly to come out of his hip after a recurring knee injury, but Oiler coaches thought enough of him that they didn't draft another middle guard prospect this year. "You never know," Kennard said. "I don't think your job is ever secure. There are new rookies coming in bringing competition every year. I do feel a bit more relaxed about it this off-season." While at ASU, Kennard was selected first team NAIA All-American and honorable mention Associated Press Little All-American in 1976. He also won first team All-Lone Star Conference honors in both 1975 and '76. When he made the Oilers' final roster in 1977, it marked the first time a former ASU football player had made an NFL roster. ASU RAMS IN PRO TRAINING CAMPS: All four former ASU Ram football players who were trying to make the Oilers' roster as free agents have been cut from the club. Oiler Safety, a 6-3, 200-pound offensive guard from Monahans, failed his physical and never got to practice with the Oilers. Defensive end Dave Kinnon from Hondo was among the drafted by the team on June 20 and offensive tackle Ben Barley from Brookshire was released the next day. Defensive end Randy Ramey from San Marcos wide receiver Paul Miller, who was released last Friday. Missing in NFL camps, kicker Joe Calderon has apparently been released by the Buffalo Bills, but safety Darnell White was still on the roster at the Cincinnati Bengals' camp at press time Tuesday night. Ram recruits, schedule The Rams are scheduled to play 26 regular season games this season, including three back-to-back games with NCAA Division I schools. ASU will play the NCAA teams — West Texas State on Dec. 19, Texas A&M on Dec. 26, 29 and Southern Methodist University on Jan. 2 — all on the road. The season officially gets underway Nov. 1 at home against Wayland Baptist, but the Rams will travel to Monterrey, Mex. for the George W. Bush Tournament Nov. 18-28. International games do not count on the regular-season record. Lone Star Conference play begins Jan. 9 with the Rams hosting Sam Houston State and concluding with the conference tournament Feb. 20-22 in Huntsville. ASU Ram basketball coach Ed Messbarger has signed three transfers and three incoming freshmen to letters of intent to play for the Rams in the 1981-82 season. The transfers are: Roland Corra, a 6-7 forward from Pineville Junior College; Marcos Flores, a 6-6 forward from Harris County Junior College; and Steve Russell, a 6-5 forward from Shaw (North Carolina) University. "Core has got the ability to move in and stay in the paint," Messbarger commented. "He's a good shooter and jumper; he's a finesse-type player. The high school recruits are 6-1 guard Mike Jones from Fort Mill, S.C.; 6-3 guard Dirk Busk from Brownfield; and 6-3 guard Jay Don Powell from Henrietta (Texas). ASU 1981-82 Men's Basketball Schedule \| November \| December \| \|----------------\|--------------\| \| 26-28 Governor's Invitational \| Monterey Park \| \| 30 Wayland Baptist \| San Angelo \| \| 11-13 Hardin-Simmons \| Abilene \| \| 3 Southwestern Univ. \| San Angelo \| \| 5-7 Midwestern State Univ. \| Abilene \| \| 9-11 Western Kentucky Univ. \| San Angelo \| \| 11-12 Houston State Classic \| San Angelo \| \| 17-19 Hardin-Simmons \| Abilene \| \| 29 Texas A & M \| El Paso \| ASU 1981-82 Women's Basketball Schedule \| November \| December \| \|----------------\|--------------\| \| 1 St. Mary's Univ. \| San Antonio \| \| 3 Hardin-Simmons \| Abilene \| \| 5 Howard Payne \| San Angelo (7:30) \| \| 7 SMU \| Abilene \| \| 9 Wichita Falls \| San Angelo \| \| 11 Sam Houston \| Abilene \| \| 13 Stephen Austin \| San Angelo \| \| 14 Southwestern Univ. \| Abilene \| \| 16-18 Hardin-Simmons \| Abilene \| \| 18 Texas A&I \| Abilene \| \| 20-22 Hardin-Simmons \| Abilene \| \| 22 East Texas State \| Abilene \| \| 24-26 Hardin-Simmons \| Abilene \| \| 29 Howard Payne \| San Angelo \| \| 30 Midwestern State Univ. \| Abilene \| Davis releases '81-82 basketball schedule ASU Women's Athletic Director Jane Davis has announced a 20-game, four tournament basketball schedule for the 1981-82 RamBelles, who will be under new head coach Jim Hansen. Hansen comes to ASU from Wisconsin-LaCrosse where she coached her team to the AIAW Division III National Championship last year with a 25-4 record. The RamBelles open the 1981-82 season at home Nov. 12 against Hardin-Simmons University and ASU will host the ASU-Nathan's Jewellers Tournament Jan. 28-30. ASU's Leverett returns from US Olympic clinic By HOWARD WEATHERSBY Staff Writer In a week-long clinic for future Olympic decathlon hopefuls, Angelo State track star Neville Leverett saw how he stacked up against 10 other young athletes from across the nation. Leverett was one of 11 athletes invited to participate in a clinic at the United States Olympic Committee National Development Camp in Colorado Springs, Colo. last month. Leverett was accompanied by ASU track coach David Noble. Requirements for the camp were: (1) score at least 7,200 points in a decathlon in the last two years, (2) have less than two years experience in the decathlon and (3) be less than 22 years of age. Leverett said he could jump over six feet in the shot put and probably about 20 feet in the discus. He added he would like to gain weight through weight training in the near future. He would give him the strength for the throwing events. Noble said the testing at the camp probably would not intimidate him. He said he had read about some of the methods used for measuring strength and gauging potential, but enjoyed the first-hand experience. One test Noble commented on is the jump reach test. This test is standard in the decathlon world and is widely used as an indicator of explosive strength and conditioning. Leverett said he was one of the athletes on the test, yet he set seven foot-high jumps. Noble said all the athletes who attended are Olympic hopefuls, but goal for most of them is the Olympics rather than the 1984 Games.
1.0 GENERAL FORECAST Uganda experiences two major rainfall seasons of March-April-May (MAM) and September-October-November-December (SOND). However, areas of Northern and some parts of Eastern Uganda experience substantial rainfall during the season of June-July-August (JJA). Over all, during SOND 2022 season, there is a high likelihood of near normal (average) to below normal (suppressed) rainfall over most parts of Uganda, as much as September and October are expected to experience near normal (average) with a tendency to above normal (enhanced) rainfall. Figure 1: Spatial distribution of seasonal rainfall outlook for SOND 2022 2.0 Detailed Forecast The major physical conditions that are likely to influence the weather conditions over Uganda and the rest of the countries in the Greater Horn of African region for the forecast period of September to December 2022 include: - Current La Niña conditions which are predicted to continue over the SOND forecast period suggesting decreased SOND rainfall over the region. - The current negative phase of the Indian Ocean Dipole (IOD) is expected to remain negative through the forecast period resulting into suppressed rainfall over our region. - Influence of regional circulation patterns, topographical features and large inland water bodies. Based on the above factors as well as scientific tools for climate analysis, Uganda National Meteorological Authority (UNMA) has come up with a detailed seasonal outlook as given below: - The months of September and October are expected to be wetter than November and December as indicated in figures 2a, 2b, 2c and 2d below: - 2. a. Rainfall Forecast for September 2022 2. b. Rainfall Forecast for October 2022 2.c. Rainfall Forecast for November 2022 The breakdown of the above forecast is given as follows: 2.1 Lake Victoria basin and central region 2.1.1 Western parts of Central (Nakasongola, Luwero, Kyankwanzi, Nakaseke, Kiboga, Mubende, Kassanda, Sembabule, Lwengo, Lyantonde and Rakai) districts. Most parts of this region are currently experiencing occasional isolated thundershowers signifying the onset of the seasonal rainfall. Wet conditions are expected to prevail during September reaching the peak around late-September to early October. The cessation of rains is expected around early-mid November 2022. Overall, near normal (average) tending to below normal (suppressed) rainfall conditions are expected to prevail over this region during the forecast period. 2.1.2 Eastern parts of Central (Mukono, Buikwe, Kayunga, Buvuma) districts. This region is currently experiencing occasional outbreak of showers and thunderstorms. Steady rains are expected to get established around early September reaching peak levels around late September. Cessation of the seasonal rains is expected around early to mid-November. Overall, near normal (average) with tendency to below normal rainfall conditions are expected to prevail over this region. 2.1.3 Central and Western Lake Victoria Basin (Kalangala, Kampala, Wakiso, Masaka, Kyotera, Mpigi, Butambala, Kalungu, Bukomansimbi, Gomba, and Mityana) districts This area has been experiencing wide-spread showers and thunderstorms since mid-August signaling the onset of the seasonal rainfall. Wet conditions are expected to prevail in most parts of the region reaching the peak in late September to early October. The cessation is expected around the mid to end of November. Overall, near normal (average) with tendency to below normal rainfall is expected to prevail over this region. 2.1.4 Eastern Lake Victoria Basin (Jinja, Bugiri, Busia, Mayuge, Namayingo and Tororo) districts. This region is currently experiencing showers and thunderstorms indicating the onset of the seasonal rainfall. The peak of the season is expected around late-September to early-October. The cessation is likely to occur around mid to late November. Overall, near normal (average) rainfall is expected to prevail over this region. 2.2 Western region 2.2.1 South Western Highlands (Kabale, Kisoro, Rukungiri, Kanungu, Rukiga, Rubanda, Bushenyi, Rubirizi, Mitooma, Buhweju, Sheema, Rwampara) districts Lately, this region has been receiving moderate rainfall signifying the onset of the season. These wet conditions are expected to continue in September reaching the peak around early October to mid-October. Cessation of the seasonal rains is expected around early to mid-November. Overall, near normal (average) to above normal (enhanced) rainfall is expected over this region. 2.2.2 South Western Lowlands (Ntungamo, Isingiro, Mbarara, Ibanda, Kiruhura and Kazo) districts The region has been experiencing isolated showers and thunderstorms, signifying the onset of the season. Wetter conditions are expected to get established around mid-late September. Cessation of the seasonal rains is expected around early to mid-November. Overall, near normal (average) to below normal (suppressed) rainfall is expected over this region. 2.2.2 Rwenzori sub region (Kasese, Bundibugyo, Ntoroko, Kabarole and Bunyangabu) districts The current rains that are being experienced over this region indicate onset of the seasonal rainfall. Peak rains are expected around early to mid-October. The cessation of the seasonal rains is expected around mid to late-November. Overall, near normal (average) with slight tendency to above normal rainfall conditions are likely to prevail over this region. 2.2.2 Central parts of Western (Masindi, Buliisa, Hoima, Kikuube, Kakumiro Kyenjojo, Kyegegwaa, Kamwenge, Kitagwenda, Kagadi and Kibaale) districts The current rains that are being experienced over this region indicate onset of the seasonal rainfall. Peak rains are expected around early to mid-October. The cessation of the seasonal rains is expected around mid to late-November. Overall, near normal (average) with slight tendency to above normal rainfall conditions are likely to prevail over this region. 2.3 Eastern region 2.3.1 South Eastern (Kamuli, Iganga, Bugweri, Luuka, Namutumba, Buyende, Kaliro, and Butaleja) districts The current rainfall being experienced over this region is expected to continue, reaching the peak around late September to early October. The cessation of the seasonal rains is expected around late October to early November. Overall, near normal (average) rainfall conditions are expected to prevail over the region. 2.3.2 Eastern parts of Kyoga (Pallisa, Butebo, Budaka, Kibuku, Bukedea, Kumi, Kalaki, Kaberamaido, Serere and Soroti) districts. The current rainfall being experienced over this region is expected to continue, reaching the peak around late September to early October. The cessation of the seasonal rains is expected around late October to early November. Overall, near normal (average) with a tendency to above normal (enhanced) rainfall conditions are expected to prevail over the region. 2.3.3 Mount Elgon region (Mbale, Sironko, Manafwa, Bududa, Bulambuli, Namisidwa, Kapchorwa, Kween and Bukwo) districts The current rainfall being experienced over this region is expected to continue, reaching the peak around late September to early October. The cessation of the seasonal rains is expected around late October to early November. Overall, near normal (average) with a tendency to above normal (above average) rainfall conditions are expected to prevail over the region. 2.3.3 North Eastern (Amuria, Kapelebyong, Katakwi, Moroto, Kotido, Nakapiripirit, Nabilatuk, Abim, Napak, Amudat, Karenga and Kaabong) districts This region is currently experiencing moderate rainfall which is expected to continue until the end of September. Thereafter, cessation of the seasonal rains is expected around mid to Late-October. Overall, near normal (average) to below normal (suppressed) rainfall conditions are expected to prevail over the region. 2.4 Northern region 2.4.1 West Nile (Zombo, Nebbi, Pakwach Madi-Okollo, Arua, Koboko, Terego, Maracha, Moyo, Yumbe, Obongi, and Adjumani) districts The current rains being received in the region is expected to continue reaching peak level around late September to early October. The cessation of the seasonal rains is expected around late October to early November. Overall, near normal (average) with a tendency to above normal (enhanced) rainfall conditions are expected to prevail over the region. 2.4.2 Eastern Parts of Northern (Lira, Alebtong, Amolatar, Kitgum, Lamwo, Agago, Otuoke, Pader, Kole and Dokolo) districts The current rains being received in the region is expected to continue reaching peak level around late September to early October. The cessation of the seasonal rains is expected around late October to early November. Overall, near normal (average) with a tendency to above normal (enhanced) rainfall conditions are expected to prevail over the region. ### 2.4.3 Central Parts of Northern (Gulu, Omoro, Apac, Kwania, Nwoya, Amuru, Oyam and Kiryandongo) districts The current rains being received in the region is expected to continue reaching peak level around late September to early October. The cessation of the seasonal rains is expected around late October to early November. Overall, near normal (average) with a tendency to above normal (enhanced) rainfall conditions are expected to prevail over the region. ### 3.0 POTENTIAL ADVISORIES TO DIFFERENT SECTORS #### 3.1 AGRICULTURE AND FOOD SECURITY SECTOR ##### 3.1.2 Areas expected to receive Near Normal to Above Normal Rainfall a) Crops sub-sector i) Potential negative impact - Increased incidences of crop pests and diseases. - Destruction of crops in areas prone to flooding, waterlogging, hail storms and landslides - Increased soil erosion in highland districts as result of flash floods and landslides. - A high likelihood of waterlogging/Flooding and Leaching of soil nutrients. ii) Potential positive impact - A boost in crop production leading to optimum crop yield. iii) Crop Advisories - In areas prone to water logging, plant crops like rice, yam, sugarcane. - Early stocking and delivery of farm inputs by partners prior to the onset of seasonal rains. - Timely planting at the onset of rainfall (start planting by early September) - Apply fertilizers in split for proper crop nutrient utilization especially nitrogenous fertilizers. - Plant improved high yielding varieties e.g. Longe series, NABE series and quick maturing varieties. - Apply good agronomical practices (GAPs) like timely weeding, spacing of crops, thinning, timely harvesting. - Soil and water conservation practices e.g. contour bands, grass bands, trenches, water harvesting techniques. • Crop monitoring and surveillance for pests and diseases and report new epidemics to nearest extension officer. • Timely control of pests and diseases like the bacterial and fungal diseases (application of rightful pesticides). 3.1.3 Areas expected to receive Near Normal tending to below Normal Rainfall i) Potential Negative Impact • Incidences of pests and diseases may occur e.g. termites, maize stalk borers. ii) Potential Positive Impact • A likelihood of optimum crop yields iii) Crop Advisories • Community should practice mulching of gardens using dry grass and leaves to conserve the soil moisture. • Farmers should plant short maturing crops like leafy vegetables to counter the impacts of deficit in seasonal rains • Communities are advised to carryout water harvesting and proper water usage. • Farming communities should supplement crop production by carrying out irrigation towards the cessation of the seasonal rains. • Farmers should plant cover crops to conserve moisture and nutrients like mucuna and lablab. • Farmers should practice soil and water conservation practices e.g. Permanent planting basins, contour bands, grass bands, trenches, water harvesting. 3.2 FISHERIES SUB-SECTOR 3.2.1 Areas expected to receive Near Normal to Above Normal Rainfall i) Potential Negative Impact • Increased likelihood of siltation of fish ponds. • High cost associated with fish ponds management i.e. feeding. • Destruction of life cycles of fish as a result of pond flooding. • Fish intoxication of pods (eutrophication) • Poor quality of fish products. ii) Potential Positive Impact • Increased water flow into the ponds • Increased natural food in the lakes • Increased production/recruitment of fish in lakes and rivers iii) Advisories • Protect wetlands for seasonal migratory fish as their breeding places e.g. African catfish, lung fish, • Improve drainage of ponds • Raise pond banks by adding more soils • Clear water ways around the fish farms to avoid silting • Stock fish in ponds due to availability of water • Prepare drying racks/raised platforms for fish drying. 3.2.2 Areas expected to receive below Normal Rainfall i) Potential Negative Impact • Slightly lower catches of fish ii) Potential Positive Impact • Reduced water accidents • Reduced postharvest losses of fish iii) Advisories • Harvest water into reservoirs for future use • Manage/clear water ways leading to the ponds • Monitor the water quality in ponds • Construct drying racks for some fish species e.g. silver fish (mukene) • Provide right fish feed rations for rapid growth • Protect Fish breeding areas 3.3 LIVESTOCK SUB-SECTOR 3.3.1 Areas expected to receive Near Normal to Above Normal Rainfall i) Potential Negative Impact • Increased disease incidences and vectors • Death of animals in flooded areas • Poisoning due to contamination of water • Damage of pastures which are less resistant to floods. • Poor preservation of animal feeds such as pastures ii) Potential Positive Impact • Adequate water • Adequate pasture for water tolerant plants iii) Advisories • Monitoring and surveillance of vectors and disease epidemics • Disease control such as vaccination and treat animals including timely deworming of animals • Control of vectors such as ticks • Move the animals to less flooded areas • Restock the farms with animals • Proper disposal of dead animals to minimize contamination and disease spread • Water harvesting and construction of water dams • Provide animals with safe/clean water-treatment of water on the farm • Provide animals with adequate quality feeds and water to increase production • Plant and preserve pastures (hay and silage making) • Proper storage of animal feeds under dry conditions. • Construct quality/stable animal structures with waterproof roofs and non-slippery ground. 3.3.2 Areas expected to receive Near Normal to Below Normal Rainfall i) Potential Negative Impact • Incidences of diseases and vectors ii) Potential Positive Impact • Adequate water and animal feed • Conducive weather conditions for pasture and forage growth • Conducive environment for breeding and increased production • Vaccinate and treat animals including timely deworming of animals • Control of vectors • Harvest water for animals • Monitoring and carry out continuous disease surveillance and report any epidemics • Provide animals with adequate quality feeds and water to increase the production • Plant early maturing pastures • Preserve pastures (hay and silage making) • Proper storage of animal feeds under dry conditions to avoid aflatoxins 3.4 APICULTURE/BEE KEEPING SUB-SECTOR 3.4.1 Areas expected to receive Near Normal to Above Normal Rainfall i) Potential Negative Impact • Destruction of flowers and bee hive may result in low honey production • Destruction / loss of beehives ii) Potential Positive Impact • Adequate water iii) Advisories • Abundance of flowering plants required by bees • Plant more flowering crops around the apiaries to reduce swarming • Proper maintenance of apiary farm i.e. slashing the bushes • Provide shades to beehives against the weather 3.4.2 Areas expected to receive Near Normal to Below Normal Rainfall i) Potential Negative Impact • Low flowering of plants due to deficit of rainfall and dry spell events. • Low / limited water for honey production ii) Potential Positive Impact • Increased honey production and other bee products • Increased bees population due to low impacts of heavy rains on bee hives. iii) Advisory • Plant more flowering crops around the apiary • Provide shades to beehives against the weather • Set more beehives for increased production • Plan for water sources near beehives settings 3.5 DISASTER RISK REDUCTION (DRR) SECTOR 3.5.1 For areas expected to receive Near Normal to Above Normal Rainfall during this season i) Expected Impacts: • Heavy down pours that may cause flooding during the peak of the rainfall season are expected • Water logging in prone areas such as low-lying areas • Mud slides and landslides in Elgon, Kigezi Highland and Rwenzori sub regions are expected. • R. Onyama near Elegu boarder post may burst its bank. • Lightning strikes are expected. • Heavy storms that may cause buildings and sanitary facilities to collapse particularly to those constructed in wetland areas expected. ii) Advisory: • Installation of lightening arresters in areas prone to lightening. • Communities are advised to plant trees to reduce run off speed of the water • Communities in low lying areas/flood prone areas to relocate to safe areas • Opening of drainage channels • The DDMC of Amuru DLG to closely monitor R. Onyama near Elegu boarder post. • Mobilize communities to support dissemination of the warning information • Prepositioning Emergency shelter stocks for schools that may be affected • Media – advising on dissemination of the seasonal forecasts • Municipal authorities should intensify on proper solid waste management to reduce on the risk of urban flooding • Communities are advised not to take shelter under tall structures when it’s raining against lightning strikes. • Conserve water for domestic use and production • Strengthening of Early Warning systems and early actions • Activation of District Contingency Plants (DCPs) • Prepare disaster structures on drills to enhance their capacities to respond to the emergencies • Maintenance of Covid 19 SOPs • Engage communities to design early actions to address the identified impacts. 3.6 WATER AND ENERGY SECTOR 3.6.1 Near normal to above Normal i) Implications (Positive) - Expect increased availability of water for use (power generation, domestic use, industries, etc) ii) Advisories - Take advantage of the available water to increase hydro-electricity power production, - Encourage water harvesting through: construction of valley dam and underground tanks, use of rain harvesting tanks. iii) Implications (Negative) - Expect ground water contamination from surface runoff leading to disease transmission such cholera, diarrhea and dysentery - High chances of increased surface and groundwater levels, leading more water in the riverines and flash floods in flood prone regions and bursting of river banks eg Nyamwamba in Rwenzori and Manafwa, Namatala in Elgon. - Increased sediment loading into the water bodies and water storage facilities such as valley dams/tanks, reservoirs, ponds and other water passages. iv) Advisories - Encourage communities to boil water before drinking to kill most of the germs - Plan for treatment kits in case of diseases outbreaks, - NWSC should check their distribution systems for leakages to minimise water contamination, - Proper waste management to minimise its inflow into water channels - Awareness- creation on proper sanitation - Encourage installation of lightening conductors to minimise the lightning incidents and accidents, - Communities should avoid flood plains, riverbanks, lake shores and wetlands, - Unblock drainage channels most especially in the urban centers, - Use sandbags to stabilize the river and reservoir banks, - De-silting of the water storage facilities, - Encourage planting of trees and grass (elephant) to reduce erosion, - Stabilize riverbanks using gabions in areas where planting grass is not possible, - Embrace catchment management mechanisms, - Continuous monitoring of water level and weather patterns 3.6.2 Near Normal – Below normal i) Implications - Reduction in water supply, - Drop in water levels for both surface and groundwater, - Drying of water sources such boreholes, shallow wells, springs and seasonal wetlands, - Expect reduced/no inflow into the water storage facilities such as valley dams/tanks, ponds, ii) Advisories - Encourage communities to conserve water during the period when there is rain, - Carryout water rationing especially in areas to experience water shortage, - Rehabilitation of all monitoring stations that were damaged in the previous seasons, - Review permitted allocation for water users, and review the water release policy for Lake Victoria, - Discourage settlement in dry flood plains, rivers banks and lake shores, - De-silt the water facilities, - Embrace catchment management mechanisms, - Continuous monitoring of water level and weather. 3.7 HEALTH SECTORS ADVISORIES 3.7.1 Near Normal – above normal i) Impacts: Recently flooding around mount Elgon- Kapchorwa, Bulambuli, Namisindwa, Sironko and Manafwa most affected areas as Mbale City and Teso region expected to continue. ii) Advisories: With high expectation of increased malaria transmission and water borne diseases like cholera and dysentery in the areas, surveillance and Preparedness for possible epidemics of the above-mentioned diseases to be enhanced 3.7.2 Near normal – Below normal i) Impacts Recently there was an outbreak yellow fever in Masaka District (1 case in Kabasese parish in Bukakata subcounty). The place is bushy with a lot of mosquito breeding. ii) Advisories: - Epidemic Task forces at Central level and district levels should be activated - The ongoing antimalarial and Malaria Rapid Diagnostic Kit-tests (MRDTs) redistribution calls for more anti-malarial stocks. - Long Lasting Insecticide Treated Mosquito Nets (LLINs) to be distributed in upsurge districts and areas with expectation of flooded • All health facilities conducting Antenatal Care (ANC) to be stocked with LLNs for Routine distribution • Routine sensitisation against yellow fever to continue • Enhanced surveillance and preparedness 3.7 Works and infrastructure sector 3.7.1 Near Normal to Above Normal i) Impacts • We anticipate Water logging on streets due to heavy rains that may be experienced according to the forecast. • We expect increased water sedimentation rate in drainage systems due to increased water flow. • Structural damage on both roads, bridges, buildings and other structures is expected to occur due to thunderstorms and strong winds affiliated to the high intensities of rainfall that may be experienced. • There is an expectancy of losing lives and property due to anticipated high intensities of rainfall. • Due to the high rainfall intensities, it is likely that reduced visibility for transport on land, over water and in air will be a challenge. ii) Advisories • Desilt drainage systems to avoid water logging • Road constructors and builders should take pre-caution when constructing especially during the month of September that is; Re-plan their projects or request for extensions basing on the weather and climate updates from UNMA. • Marine transporters and all other lake and river users should take precautions and take safety measures while on the lakes and should always use the advisories given by UNMA on a daily basis • People travelling to hilly and mountainous areas should take precautions because of poor visibility, flash floods, slippery of roads, and landslides during rainfall hours. • Urban Authorities and Engineers association of Uganda should ensure compliance and safety regulations to ensure that there is low vulnerability to death during the forecast period. • Local Government Officials (LGs) and Urban authorities should ensure that roads and bridges in wetlands are highly maintained • Road users should avoid moving through water logged areas and make use of alternative routes that are not flood and landslide prone areas. 4.0 IMPLICATIONS OF CURRENT RAINFALL FORECAST The near normal average) to below normal (below average) rainfall predicted for September to December (SOND) 2022 rainfall season over most parts of the country is expected to be characterised by dry spells. This implies that there are high chances for socio-economic activities to continue normally in areas where near normal (average/adequate) rainfall is expected while in areas of rainfall deficiency (those areas with below normal/average rainfall) the activities are likely to be stressed. The level of stress is expected to increase with increasing rainfall deficiency. 5.0. CONCLUSION Uganda National Meteorological Authority (UNMA) will continue to monitor the evolution of relevant weather systems particularly the state of the Sea Surface Temperatures (SSTs) and Indian Ocean Dipole, and issue appropriate updates and warnings to the users regularly. Users of this rainfall outlook are, therefore, urged to make good use of daily, ten day and monthly updates that are issued regularly by UNMA through some FM radios, UBC and UNMA website www.unma.go.ug David W. Elweru Ag. EXECUTIVE DIRECTOR APENDIX Explanatory Notes to Terminologies Above Normal: This is when the total rainfall is above 125% of the Long Term Mean (Thirty-year average rainfall). Impact on socio-economic activities is mostly boosted especially in the modest degrees of above average. Near Normal: This is when the total rainfall is in the range of 75% to 125% of the Long Term Mean (Thirty-year average rainfall). This range of rainfall is expected to adequately support the normal socio-economic activities for the various areas. Below Normal: This is when the total rainfall is below 75% of the Long Term Mean (Thirty-year average rainfall). Under this range there are high chances for socio-economic activities being stressed, the level of stress increasing with increasing rainfall deficiency.
Letter from the Secretary of the Interior, transmitting report of Commissioner of Indian Affairs relative to the amount appropriated March 3, 1883, for Cherokee Nation, and legislation to protect the rights of adopted citizens of said nation Follow this and additional works at: https://digitalcommons.law.ou.edu/indianserialset Part of the Indigenous, Indian, and Aboriginal Law Commons Recommended Citation S. Exec. Doc. No. 86, 48th Cong., 1st Sess. (1884) This Senate Executive Document is brought to you for free and open access by University of Oklahoma College of Law Digital Commons. It has been accepted for inclusion in American Indian and Alaskan Native Documents in the Congressional Serial Set: 1817-1899 by an authorized administrator of University of Oklahoma College of Law Digital Commons. For more information, please contact firstname.lastname@example.org. LETTER FROM THE SECRETARY OF THE INTERIOR, TRANSMITTING Report of Commissioner of Indian Affairs relative to the amount appropriated March 3, 1883, for Cherokee Nation; and legislation to protect the rights of adopted citizens of said nation. February, 4, 1884.—Referred to the Committee on Indian Affairs and ordered to be printed. DEPARTMENT OF THE INTERIOR, Washington, February 1, 1884. Sir: I have the honor to submit herewith copy of a report of 26th ultimo, from the Commissioner of Indian Affairs, with accompanying papers noted therein, in relation to the action of the Cherokee national authorities in the distribution of the sum of $300,000, which was appropriated in the sundry civil act of March 3, 1883 (22 Stat., 624), to be paid into the treasury of the Cherokee Nation out of the funds due under appraisement for Cherokee lands west of the Arkansas River. This question involves that of the status of the Delaware and Shawnee tribes of Indians and others who have become incorporated with the Cherokees by approved agreements under the provisions of Article 15 of the treaty of July 19, 1866 (14 Stat., 803, 804), and by other treaty stipulations and laws of the nation regarding citizenship, and the Commissioner recommends that such action may be taken by Congress as will protect the rights of those who are citizens of the said nation as well by adoption as by blood. The matter is respectfully presented for the information and the consideration and action of the Congress. Very respectfully, M. L. JOSLYN, Acting Secretary. The President of the Senate pro tempore. DEPARTMENT OF THE INTERIOR, Office of Indian Affairs, Washington, January 26, 1884. Sir: By the sundry civil appropriation act, approved March 3, 1883 (22 Stat., p. 624), the sum of $300,000 was appropriated to be paid into the treasury of the Cherokee Nation, out of the funds due under appraisement for Cherokee lands west of the Arkansas River, to be expended as the acts of the Cherokee legislature directed. For the disbursement of this appropriation the Cherokee National Council passed an act entitled "An act providing for the payment of the balance due on lands west of 95°, per capita," in language as follows: Be it enacted by the National Council, That when the additional amount appropriated by the act of Congress, of March 3, 1882, shall have been received by the treasurer of the Cherokee Nation, the principal chief shall cause the same to be paid out, per capita, to the citizens of the Cherokee Nation by blood. Be it further enacted, That for the purpose of carrying out the provisions of this act, the principal chief shall, at his earliest convenience, appoint two competent persons in each district to make correct census rolls of the persons entitled, and turn over the same, certified by him, to the treasurer of the Cherokee Nation, who shall file the same in his office. Be it further enacted, That the persons appointed by the principal chief to take the census, shall each be entitled to three dollars per day while in actual service. Be it further enacted, That as soon as advised by the proper authority that the funds are ready, it shall be the duty of the treasurer to make requisition for the same, and on receiving said funds, it shall be his duty to pay the same out, per capita, to citizens of the Cherokee Nation by blood, according to the census rolls. In making said payment the treasurer is hereby directed to pay the funds, in person, to all adult persons entitled to the same, and to parents, guardians, and heads of families, representing minors and disabled persons, and to no other person or persons whosoever. It shall be the duty of the treasurer to keep a receipt-roll of the payments made and to whom, and which shall be reported to the National Council next following said payment. Be it further enacted, That the sum of $3,000, or so much thereof as may be necessary to defray the expense of taking the census and preparing the rolls, is hereby appropriated out of any funds to be received for this purpose. Be it further enacted, That the treasurer shall make the payments at Tahlequah, Vinita, Fort Gibson and Webber's Falls. Tahlequah, May 15, 1883. ROACH YOUNG, President of Senate. C. H. TAYLOR, Clerk of Senate. Concurred in by Council with the following amendment: Insert "Cherokee" between "by" and "blood." JOHN SEVIER, Speaker of Council. W. S. CORDREY, Clerk of Council. This bill was returned to the National Council by the principal chief, Hon. D. W. Bushyhead, with his objections in an able veto message on the 18th of May, 1883, in which he states: To the payment of the money, per capita, I do not object; but to the part of the bill which confines that payment to a certain class of citizens, exclusive of other classes I do object, as calculated to defeat the object of the bill, because contrary to our constitution and our treaties. The part of the bill I refer to is the part confining the payment to Cherokee citizens by right of Cherokee blood. After admitting certain statements as true and undeniable, certain other facts must be held to be equally true and indisputable. Then calling the attention of the National Council to the fact that the Cherokees by blood, who were once the sole owners, were competent and qualified to share their common interest with whoever they might choose, and, after pointing out the manner of so doing, Chief Bushyhead invited their attention to the constitution of 1839, when the nation was composed of the children of men and women of Cherokee blood, in other words, "native Cherokees," and to the treaty of 1866, when other classes of persons were vested with all the rights of "native Cherokees" upon specified conditions, viz., colored citizens and Delaware and Shawnee citizens under the ninth and fifteenth articles of said treaty, and further attention was called to the fifth article of the constitution (page 31, compiled laws), which specified who should be taken and declared to be citizens of the Cherokee Nation, and concluded as follows, viz: If the lands of the nation were and are the common property of citizens, then no citizen can be deprived of his or her right and interest in the property without doing an injustice, and without a violation of the constitution, which all were equally bound to observe and defend. While the lands remain common property, all citizens have an equal right to the use of it. When any of the land is sold under provisions of treaty, all citizens have an equal right to the proceeds of their joint property whether divided per capita or invested. In the reconsideration of the vetoed bill nine senators voted to pay the money, as indicated in the bill, and three voted in favor of the chief's objection, making the constitutional number required of two-thirds in favor of the original bill, which was concurred in, also, by the Council by a two-thirds vote, as required by the constitution, thereby becoming a law on the 19th of May, 1883. By the terms of an agreement made April 8, 1867, and approved by the President April 11, 1867, between the Cherokees and the Delawares, as provided in the fifteenth article of the treaty of 1866, it was decreed that— On the fulfillment by the Delawares of the foregoing stipulations all the members of the tribe registered as above provided shall become members of the Cherokee Nation, with the same rights and immunities, and the same participation (and no other) in the national funds as native Cherokees, save as hereinbefore provided. And the children hereafter born of such Delawares so incorporated into the Cherokee Nation shall in all respects be regarded as native Cherokees. By the agreement made June 7, 1869, and approved by the President June 9, 1869, between the Cherokees and Shawnees, as provided in the fifteenth article of the Cherokee treaty of 1866, it was stipulated, among other things: That said Shawnees shall be incorporated into and ever after remain a part of the Cherokee Nation on equal terms in every respect, and with all the privileges and immunities of native citizens of said Cherokee Nation: Provided, That all of said Shawnees who shall elect to avail themselves of the provisions of this agreement, shall register their names and permanently locate in the Cherokee country as herein provided, within two years from the date hereof, otherwise they shall forfeit all rights under this agreement. The records of this office show who, among the Delawares and Shawnees, registered as required by said agreement. The Shawnees incorporated in the Cherokee Nation, by proper petition, memorialized the Cherokee National Council at its late session that, as the act of May, 1883, drew a line of distinction between the citizens of the Cherokee Nation, which was in violation of their treaty stipulations and of the constitution of the Cherokee Nation, the amendments to which were approved at a general convention of the people of the nation, held at Tablequah on the 28th day of November, 1866, and in violation, too, of the agreement made with the Shawnees on the 7th of June, 1869, the said council would take such action in the premises as would effectually prevent in the future the making of any law drawing such lines of distinction between citizens of the Cherokee Nation, and make such reparation to the Shawnee citizens as should be deemed prudent and best, thereby defining the status of the Shawnee citizens in the Cherokee Nation. This memorial was submitted to the National Council by Chief Bushyhead on the 20th November, 1883. The Senate passed a resolution to refer the subject to a joint committee, but it was rejected by the council. It was again called up in the Senate and referred to the Committee on Federal Relations. The committee made the investigation and reported favorably thereon, and submitted the draft of a bill, No. 38, defining the status of adopted citizens. This bill, when it came up in the Senate for final action, was rejected by a vote of 6 to 12. So anxious, however, was Chief Bushyhead to have justice and equity meted out, that he again presented the matter to the Senate, and it was referred to the same committee (Federal Relations), but, in view of the former decisive vote of the Senate, no action was taken thereon by that committee. Now I am in receipt, through a communication of January 9, 1884, from Agent John Q. Tufts, of a similar petition from the Shawnee Indians incorporated into the Cherokee Nation, to the Secretary of the Interior, setting forth the action of the Cherokee Council in the distribution of the aforesaid $300,000, and asking to have their status in the nation definitely settled. Agent Tufts reports that these memorialists have been paid their portion at each Cherokee per capita payment, as the agreement aforesaid calls for, until the last, which by the act of the Cherokee Council passed May, 1883, was paid to Cherokees "by blood only." He asks: Whether the Department will permit the Cherokees to violate their agreement made with the Shawnees, Delawares, and Freedmen, or not? If the Department takes no action in the matter, other violations of the agreement will surely follow, until these people will compelled to remove from the Cherokee Nation. I respectfully recommend that prompt action be taken by the Department. The twentieth section of the third article of the constitution of the Cherokees (Compilation of Laws, p. 16, edition of 1881) places the sole power of deciding on the construction of all treaty stipulations with the National Council, and notwithstanding the language of the treaty, the constitution and the agreement is so plain and direct that but one construction can be placed thereon as to the claim of these Shawnee memorialists to all the rights of full Cherokee citizens; yet, the National Council for the past two sessions has by its action determinedly shown that it will not regard the plainest provisions of their treaty, constitution, or Shawnee agreement, nor accord to the freedmen, Shawnees, and Delawares who have been incorporated into the nation all the rights to which they are so manifestly entitled, even after its own Senate Committee on Federal Relations had unmistakably declared, in its report on bill No. 38 defining the status of adopted citizens, in favor of according full citizenship to said parties. I therefore recommend that Congress be asked, in all subsequent appropriations that may be made to the Cherokees as a nation, to define, in language not to be misunderstood, who comprise the Cherokee Nation, by inserting after the words "Cherokee Nation" the words, viz, Cherokees, Delawares, Shawnees, all colored persons and their descendants mentioned in the ninth article of the treaty of 1866, and all other persons legally incorporated therein by reason of intermarriage, adoption, or treaty provision." I submit herewith a copy of this report, and two copies of the following papers, viz: The Cherokee treaty, July 19, 1866. The Delaware agreement of April 8, 1867. The Shawnee agreement of June 7, 1869. The Cherokee act of May 19, 1883. The veto message of Chief Bushyhead, May 18, 1883. The Shawnee memorial to Cherokees, November 12, 1883. The message of Chief Bushyhead, November 20, 1883, submitting Shawnee memorial. The report of Senate Committee on Federal Relations. The vote on Senate bill No. 38, in the Senate, defining the status of adopted citizens. The Shawnee memorial to the Secretary of the Interior, December 29, 1883. The letter of January 9, 1884, of Agent Tufts, transmitting memorial. Very respectfully, your obedient servant, H. PRICE, Commissioner. The Hon. Secretary of the Interior. Andrew Johnson, President of the United States of America, to all and singular to whom these presents shall come, greeting: Whereas a treaty was made at the city of Washington, in the District of Columbia, on the nineteenth day of July, in the year of our Lord one thousand eight hundred and sixty-six, by and between Dennis N. Cooley, Elijah Sells, Commissioners on the part of the United States, and Smith Christie, White Catcher, James McDaniel, S.A. Benge, Daniel H. Ross, and J. B. Jones, delegates of the Cherokee Nation, appointed by resolution of the National Council, on the part of said Cherokee Nation, which treaty is in the words and figures following, to wit: Articles of agreement and convention at the city of Washington on the nineteenth day of July, in the year of our Lord one thousand eight hundred and sixty-six, between the United States, represented by Dennis N. Cooley, Commissioner of Indian Affairs, [and] Elijah Sells, superintendent of Indian Affairs for the southern superintendency, and the Cherokee Nation of Indians, represented by its delegates, James McDaniel, Smith Christie, White Catcher, S. H. Benge, J. B. Jones, and Daniel H. Ross—John Ross, principal chief of the Cherokees, being too unwell to join in these negotiations. Preamble Whereas existing treaties between the United States and the Cherokee Nation are deemed to be insufficient, the said contracting parties agree as follows, viz: Article 1. The pretended treaty made with the so-called Confederate States by the Cherokee Nation on the seventh day of October, 1861, and repudiated by the National Council of the Cherokee Nation on the 18th day of February, 1863, is hereby declared to be void. Article 2. Amnesty is hereby declared by the United States and the Cherokee Nation for all crimes and misdemeanors committed by one Cherokee on the person or property of another Cherokee, or of a citizen of the United States, prior to the 4th day of July, 1866; and no right of action arising out of wrongs committed in aid or in the suppression of the rebellion shall be prosecuted or maintained in the courts of the United States or in the courts of the Cherokee Nation. Article 3. The confiscation laws of the Cherokee Nation shall be repealed, and the same, and all sales of farms, and improvements on real estate, made or pretended to be made in pursuance thereof, are hereby agreed and declared to be null and void, and the former owners of such property so sold, their heirs or assigns, shall have the right peaceably to reoccupy their homes, and the purchasers under the confiscation laws, or his heirs or assigns, shall be required by the treasurer of the Cherokee Nation, from the national funds, the money paid for said property, and the cost of permanent improvements on such real estate, made thereon since the confiscation sale; the cost of such improvements to be fixed by a commission, to be composed of one person designated by the Secretary of the Interior and one by the principal chief of the nation, which two may appoint a third in cases of disagreement, which cost so fixed shall be refunded to the national treasurer by the returning Cherokees within three years from the ratification hereof. Article 4. All the Cherokees and freed persons who were formerly slaves to any Cherokee, and all free negroes not having been such slaves, who resided in the Cherokee Nation prior to June 1st, 1861, who may within two years elect not to reside northeast of the Arkansas River and southeast of Grand River, shall have the right to settle in and occupy the Canadian district southwest of the Arkansas River, and also all that tract of country lying northwest of Grand River, and bounded on the southeast by Grand River and west by the Creek reservation to the northeast corner thereof; from thence west on the north line of the Creek reservation to the ninety-sixth degree of west longitude, and thence north on said line of longitude, so as to form a line parallel to Grand River will include a quantity of land equal to 160 acres for each person who may so elect to reside in the territory above described in this article: Provided, That that part of said district north of the Arkansas River shall not be set apart until it shall be found that the Canadian district is not sufficiently large to allow one hundred and sixty acres to each person desiring to obtain settlement under the provisions of this article. Article 5. The inhabitants electing to reside in the district described in the preceding article shall have the right to elect all their local officers and judges, and the number of delegates to which by their numbers they may be entitled in any general council to be established in the Indian Territory, according to the provisions of the treaty, as stated in article 12; and to control all their local affairs, and to establish all necessary police regulations and rules for the administration of justice in said district, not inconsistent with the constitution of the Cherokee Nation or the laws of the United States: Provided, The Cherokees residing in said district shall enjoy all the rights and privileges of other Cherokees who may elect to settle in said district as hereinbefore provided, and shall hold the same rights and privileges and be subject to the same liabilities as those who elect to settle in said district under the provisions of this treaty: Provided also, That if any such police regulations or rules be adopted which, in the opinion of the President, bear oppressively upon any citizen of the nation, he may suspend the same. And all rules or regulations in said district, or in any other district of the nation, discriminating against the citizens of other districts, are prohibited, and shall be void. Article 6. The inhabitants of the said district hereinbefore described shall be entitled to representation according to numbers in the National Council, and all laws of the Cherokee Nation shall be uniform throughout said nation. And should any such law, either in its provisions or in the manner of its enforcement, in the opinion of the President of the United States, operate unjustly or injuriously in said district, he is hereby authorized and empowered to correct such evil, and to adopt the means necessary to secure the impartial administration of justice, as well as a fair and equitable application and expenditure of the national funds as between the people of this and of every other district in said nation. Article 7. The United States court to be created in the Indian Territory; and until such court is created therein, the United States district court, the nearest to the Cherokee Nation, shall have exclusive original jurisdiction of all causes, civil and criminal, wherein an inhabitant of the district hereinbefore described shall be a party, and where an inhabitant outside of said district, in the Cherokee Nation, shall be the other party, as plaintiff or defendant in a civil cause, or shall be defendant or prosecutor in a criminal case, and all process issued in said district by any officer of the Cherokee Nation, to be executed on an inhabitant residing outside of said district, and all process issued by any officer of the Cherokee Nation outside of said district, to be executed on an inhabitant residing in said district, shall be to all intents and purposes null and void, unless endorsed by the district judge for the district where such process is to be served, and said person, so arrested, shall be held in custody by the officer so arresting him, until he shall be delivered over to the United States marshal, or consent to be tried in the Cherokee court: Provided, That any or all the provisions of this treaty which, under any dispensation in rights and privileges, are the effect of any district and the citizens of the rest of the nation, shall be abrogated whenever the President shall have ascertained, by an election duly ordered by him, that a majority of the voters of such district desire them to be abrogated, and he shall have declared such abrogation: And provided further, That no law or regulation, to be hereafter enacted within said Cherokee Nation or any district thereof, prescribing a penalty for its violation, shall take effect or be enforced until after 90 days from the date of its promulgation, either by publication in one or more newspapers of general circulation in said Cherokee Nation, or by posting up copies thereof in the Cherokee and English languages in each district where the same is to take effect, at the usual place of holding district courts. Article 8. No license to trade in goods, wares, or merchandise merchandise shall be granted by the United States to trade in the Cherokee Nation, unless approved by the Cherokee National Council, except in the Canadian district, and such other district north of Arkansas River and west of Grand River occupied by the so-called Southern Cherokees, as provided in article 4 of this treaty. Article 9. The Cherokee Nation having, voluntarily, in February, 1863, by an act of their National Council, forever abolished slavery, hereby covenant and agree that never hereafter shall either slavery or involuntary servitude exist in their nation otherwise than in the punishment of crime, and if the party shall have been duly convicted, in accordance with laws applicable to all the members of said tribe alike. They further agree that all freedmen who have been liberated by voluntary act of their former owners or by law, as well as all free colored persons who were in the country at the commencement of the rebellion, and are now residents therein, or who may return within six months, and their descendants, shall have all the rights of native Cherokees: Provided, That owners of slaves so emancipated in the Cherokee Nation, shall never receive any compensation or pay for the slaves so emancipated. Article 10. Every Cherokee and freed person resident in the Cherokee Nation shall have the right to sell any products of his farm, including his or her live stock, or any merchandise or manufactured products, and to ship and drive the same to market without restraint, paying any tax thereon which is now or may be levied by the United States on the quantity sold outside of the Indian Territory. Article 11. The Cherokee Nation hereby grant a right of way not exceeding two hundred feet wide, except at stations, switches, water stations, or crossing of rivers, where more may be indispensable to the full enjoyment of the franchise herein granted, and then only two hundred additional feet shall be taken, and only for such length as may be absolutely necessary, through all their lands, to any company or corporation which shall be duly authorized by Congress to construct a railroad from any point north to any point south, and from any point east to any point west of, and which passes through, the Cherokee Nation. Said company or corporations, and their employés and laborers, while constructing and repairing the same, and in operating said road or roads, including all necessary agents on the line, at stations, switches, water tanks, and all others necessary to the successful operation of a railroad, shall be protected in the discharge of their duties, and at all times subject to the Indian intercourse laws, now or which may hereafter be enacted or be in force in the Cherokee Nation. The Cherokees agree that a general council, consisting of delegates elected by each nation or tribe lawfully residing within the Indian Territory, may be annually convened in said Territory, which council shall be organized in such manner and possess such powers as hereinafter prescribed. First. After the ratification of this treaty, and as soon as may be deemed practicable by the Secretary of the Interior, and prior to the first session of said council, a census or enumeration of each tribe lawfully resident in said Territory shall be taken under the direction of the Commissioner of Indian Affairs, who for that purpose is hereby authorized to designate and appoint competent persons whose compensation shall be fixed by the Secretary of the Interior, and paid by the United States. Second. The first general council shall consist of one member from each tribe, and an additional member for each one thousand Indians, or each fraction of a thousand greater than five hundred, being members of any tribe lawfully resident in said Territory, and shall be selected by said tribes respectively, who may assent to the establishment of said general council; and if none should be thus formally selected by any nation or tribe assenting, the said nation or tribe shall be represented in said general council by the chief or chiefs and headmen of said tribes to be taken in the order of their rank as recognized in tribal usage, in the same number and proportion as above indicated. After the said census shall have been taken and completed, the superintendent of Indian affairs shall publish and declare to each tribe assenting to the establishment of such council the number of members of such council to which they shall be entitled under the provisions of this article, and the persons entitled to represent said tribes shall meet at such time and place as he shall approve; but thereafter the time and place of the sessions of said council shall be determined by its action: And provided, That no session in any one year shall exceed the term of thirty days: And provided, That special sessions of said council may be called by the Secretary of the Interior whenever in his judgment the interest of such tribes shall require such special session. Third. Said general council shall have power to legislate upon matters pertaining to the intercourse and relations of the Indian tribes and nations and colonies of freedmen resident in said Territory; the arrest and extradition of criminals and offenders escaping from one tribe to another, or into any community of freedmen; the administration of justice between members of different tribes of said Territory and persons other than Indians and members of said tribes or nations; and the common defence and safety of the inhabitants of said Territory. All laws enacted by said council shall take effect at such time as may therein be provided, unless suspended by direction of the President of the United States. No law shall be enacted inconsistent with the Constitution of the United States, or laws of Congress, or existing treaty stipulations with the United States. Nor shall said council legislate upon matters other than those above indicated: Provided, however, That the legislative power of such general council may be enlarged by the consent of the National Council of each nation or tribe assenting to its establishment, with the approval of the President of the United States. Fourth. Said council shall be presided over by such person as may be designated by the Secretary of the Interior. Fifth. The council shall elect a secretary, whose duty it shall be to keep an accurate record of all the proceedings of said council, and who shall transmit a true copy of all such proceedings, duly certified by the presiding officer of such council, to the Secretary of the Interior, and to each tribe or nation represented in said council, immediately after the sessions of said council shall terminate. He shall be paid out of the Treasury of the United States an annual salary of five hundred dollars. Sixth. The members of said council shall be paid by the United States the sum of four dollars per diem during the term actually in attendance on the sessions of said council, and at the rate of four dollars for every twenty miles necessarily travelled by them in going from and returning to their homes, respectively, from said council, to be certified by the secretary and president of the said council. Article 13. The Cherokees also agree that a court or courts may be established by the United States in said Territory, with such jurisdiction and organized in such manner as may be prescribed by law: Provided, That the judicial tribunals of the nation shall be allowed to retain exclusive jurisdiction in all civil and criminal cases arising within their country in which members of the nation, by nativity or adoption, shall be the only parties, or where the cause of action shall arise in the Cherokee Nation, except as otherwise provided in this treaty. ARTICLE 14. The right to the use and occupancy of a quantity of land not exceeding one hundred and sixty acres, to be selected according to legal subdivisions in one body, and to include their improvements, and not including the improvements of any member of the Cherokee Nation, is hereby granted to every society or denomination which has erected, or which with the consent of the National Council may hereafter erect, buildings within the Cherokee country for missionary or educational purposes. But no land thus granted, nor buildings which have been or may be erected thereon, shall ever be sold or [otherwise] disposed of except with the consent and approval of the Cherokee National Council and of the Secretary of the Interior. And whenever any such lands or buildings shall be sold or disposed of, the proceeds thereof shall be applied by said society or societies for like purposes within said nation, subject to the approval of the Secretary of the Interior. ARTICLE 15. The United States may settle any civilized Indians, friendly with the Cherokees and adjacent tribes, within the Cherokee country, on unoccupied lands east of the 96°, on such terms as may be agreed upon by any such tribe and the Cherokees, subject to the approval of the President of the United States, which shall be consistent with the following provisions, viz: Should any such tribe or band of Indians settling in said country abandon their tribal organization, there being first paid into the Cherokee national fund a sum of money which shall sustain the same proportion to the then existing national fund that the number of Indians sustain to the whole number of Cherokees then residing in the Cherokee country, they shall be incorporated into and even after remain a part of the Cherokee Nation, on equal terms in every respect with native citizens. And should any such tribe thus settling in said country, decide to preserve their tribal organization, and to maintain their tribal laws, customs, and usages, not inconsistent with the constitution and laws of the Cherokee Nation, they shall have a district of country set off for their use by metes and bounds equal to 160 acres, if they should so decide, for each man, woman, and child of said tribe, and shall pay for the same into the national fund such price as may be agreed on by them and the Cherokee Nation, subject to the approval of the President of the United States, and in cases of disagreement the price to be fixed by the President. And the said tribe thus settled shall also pay into the national fund a sum of money, to be agreed on by the respective parties, not greater in proportion to the whole existing national fund and the probable proceeds of the lands herein ceded or authorized to be ceded or sold than their numbers bear to the whole number of Cherokees then residing in said country, and thence afterwards they shall enjoy all the rights of native Cherokees. But no Indians who have no tribal organizations, or who shall determine to abandon their tribal organizations, shall be permitted to settle east of the 96° of longitude without the consent of the Cherokee National Council, or of a delegation duly appointed by it, having first obtained. And no Indians who have and determine to preserve their tribal organization, shall be permitted to settle, as herein provided, east of the 96° of longitude without such consent being first obtained, unless the President of the United States, after a full hearing of the objections offered by said council or delegation to such settlement, shall determine that the objections are insufficient, in which case he may authorize the settlement of such tribe east of the 96° of longitude. ARTICLE 16. The United States may settle friendly Indians in any part of the Cherokee country west of 96°, to be taken in a compact form in quantity not exceeding 160 acres for each member of each of said tribes thus to be settled; the boundaries of each of said districts to be distinctly marked, and the land conveyed in fee simple to each of said tribes to be held in common or by their members in severalty as the United States may decide. Said lands thus disposed of to be paid for to the Cherokee Nation at such price as may be agreed on between the said parties in interest, subject to the approval of the President; and if they should not agree, then the price to be fixed by the President. The Cherokee Nation will retain the right of possession of and jurisdiction over all of said country west of 96° of longitude until thus sold and occupied, after which their jurisdiction and right of possession to terminate forever as to each of said districts thus sold and occupied. ARTICLE 17. The Cherokee Nation hereby cedes, in trust to the United States, the tract of land in the State of Kansas which was sold to the Cherokees by the United States, under the provisions of the 2d article of the treaty of 1835; and also that strip of the land ceded to the nation by the 4th article of said treaty which is included in the State of Kansas, and the Cherokee consent that said lands may be included in the limits and jurisdiction of the said State. The lands herein ceded shall be surveyed as the public lands of the United States are surveyed, under the direction of the Commissioner of the General Land Office, and shall be appraised by two disinterested persons, one to be designated by the Cherokee National Council and one by the Secretary of the Interior, and, in case of disagreement, by a third person, to be mutually selected by the aforesaid appraisers. The appraisement to be not less than average of one dollar and a quarter per acre, exclusive of improvements. And the Secretary of the Interior shall from time to time, as such surveys and appraisements are approved by him, after due advertisement for sealed bids, sell such lands to the highest bidders for cash in parcels not exceeding one hundred and sixty acres, and at not less than the appraised value: Provided, That whenever there are improvements of the value of $50 made on the lands not being mineral, and owned and personally occupied by any person for agricultural purposes at the date of the signing hereof, such person so owning, and in person residing on such improvements, shall, after due proof, made under such regulations as the Secretary of the Interior may prescribe, be entitled to buy, at the appraised value, the smallest quantity of lands of legal subdivision which will include his improvements, not exceeding the aggregate one hundred and sixty acres; the expenses of survey and appraisement to be paid by the Secretary out of the proceeds of sale of said land: Provided, That nothing in this article shall prevent the Secretary of the Interior from selling the whole of said neutral lands in a body to any responsible party, for cash, for a sum not less than eight hundred thousand dollars. Article 18. That any lands owned by the Cherokees in the State of Arkansas and in States east of the Mississippi may be sold by the Cherokee Nation in such manner as their National Council may prescribe, all such sales being first approved by the Secretary of the Interior. Article 19. All Cherokees being heads of families residing at the date of the ratification of this treaty on any of the lands herein ceded, or authorized to be sold, and desiring to remove to the reserved country, shall be paid by the purchasers of said lands the value of such improvements, to be ascertained and appraised by the commissioners who appraise the lands, subject to the approval of the Secretary of the Interior; and if he shall elect to remain on the land now occupied by him, shall be entitled to receive a patent from the United States in fee simple for 320 acres of land to include his improvements, and thereupon he and his family shall cease to be members of the nation. Article 20. Whenever the Cherokee National Council shall request it, the Secretary of the Interior shall cause the country reserved for the Cherokees to be surveyed and allotted among them, at the expense of the United States. Article 21. It being difficult to learn the precise boundary line between the Cherokee country and the States of Arkansas, Missouri, and Kansas, it is agreed that the United States shall, at its own expense, cause the same to be run as far west as the Arkansas, and marked by permanent and conspicuous monuments, by two commissioners, one of whom shall be designated by the Cherokee National Council. Article 22. The Cherokee National Council, or any duly appointed delegation thereof, shall have the privilege to appoint an agent to examine the accounts of the nation with the Government of the United States at such time as they may see proper, and to continue or discharge such agent, and to appoint another, as may be thought best by such council or delegation; and such agent shall have free access to all accounts and books in the Executive Departments, relating to the business of said Cherokee Nation, and an opportunity to examine the same in the presence of the officer having such books and papers in charge. Article 23. All funds now due the nation, or that may hereafter accrue from the sale of their lands by the United States as hereinbefore provided for, shall be invested in United States registered stocks at their current value; and the interest on all said funds shall be paid to the authority of the order of the Cherokee Nation, and shall be applied to the following purposes, to wit: Thirty-five per cent. shall be applied for the support of the common schools of the nation and educational purposes; fifteen per cent. for the orphan fund, and fifty per cent. for general purposes, including reasonable salaries of district officers; and the Secretary of the Interior, with the approval of the President of the United States, may pay out of the funds due the nation, on the order of the National Council or a delegation duly authorized by it, such amount as he may deem necessary to meet outstanding obligations of the Cherokee Nation, caused by the suspension of the payment of their annuities, not to exceed the sum of one hundred and fifty thousand dollars. Article 24. As a slight testimony for the useful and arduous services of the Rev. Evan Jones, for forty years a missionary in the Cherokee Nation, now a cripple, old and poor, it is agreed that the sum of three thousand dollars be paid to him, under the direction of the Secretary of the Interior, out of any Cherokee fund in or to come into his hands not otherwise appropriated. Article 25. A large number of the Cherokees who served in the Army of the United States having died, leaving no heirs entitled to receive bounties and arrears of pay on account of such service, it is agreed that all bounties and arrears for service in the regiments of Indian United States volunteers which shall remain unclaimed by any person legally entitled to receive the same for two years from the ratification of this treaty, shall be paid as the National Council may direct, to be applied to the foundation and support of an asylum for the education of orphan children, which asylum shall be under the control of the National Council, or of such benevolent society as said Council may designate, subject to the approval of the Secretary of the Interior. Article 26. The United States guarantee to the people of the Cherokee Nation the quiet and peaceable possession of their country and protection against domestic feuds and insurrections and against hostilities of other tribes. They shall also be protected against interruptions or intrusion from all unauthorized citizens of the United States who may attempt to settle on their lands or reside in their Territory. In case of hostilities among the Indian tribes, the United States agree that the party or parties commencing the same shall, so far as practicable, make reparation for the damages done. Article 27. The United States shall have the right to establish one or more military posts or stations in the Cherokee Nation, as may be deemed necessary for the proper protection of the citizens of the United States lawfully residing therein and the Cherokees and other citizens of the Indian country. But no sutler or other person connected therewith, either in or out of the military organization, shall be permitted to introduce any spirituous, vinous, or malt liquors into the Cherokee Nation, except the medicinal drugs they may provide, and by them only for strictly medical purposes; and all persons not in the military service of the United States, not citizens of the Cherokee Nation, are to be prohibited from coming into the Cherokee Nation, or remaining in the same, except as herein otherwise provided; and it is the duty of the United States Indian agent for the Cherokees to have such persons, not lawfully residing or sojourning therein, removed from the nation, as they now are, or hereafter may be, required by the Indian intercourse laws of the United States. Article 28. The United States hereby agree to pay for provisions and clothing furnished the army under Appotholehala in the winter of 1861 and 1862, not to exceed the sum of ten thousand dollars, the accounts to be ascertained and settled by the Secretary of the Interior. The sum of ten thousand [dollars,] or so much thereof as may be necessary to pay the expenses of the delegates and representatives of the Cherokees invited by the Government to visit Washington for the purpose of making this treaty, shall be paid by the United States on the ratification of this treaty. Article 30. The United States agree to pay to the proper claimants all losses of property by missionaries or missionary societies, resulting from their being ordered or driven from the country by United States agents, and from their property being taken and occupied or destroyed by United States troops, not exceeding in the aggregate twenty thousand dollars, to be ascertained by the Secretary of the Interior. Article 31. All provisions of treaties, heretofore ratified and in force, and not inconsistent with the provisions of this treaty, are hereby reaffirmed and declared to be in full force; and nothing herein shall be construed as an acknowledgment by the United States, or as a relinquishment by the Cherokee Nation of any claims or demands under the guarantees of former treaties, except as herein expressly provided. In testimony whereof the commissioners on the part of the United States, and the said delegation on the part of the Cherokee Nation, have hereunto set their hands and seals, at the city of Washington, this ninth [nineteenth] day of July, A. D. one thousand eight hundred and sixty-six. D. N. COOLEY, Com'r Ind. Affairs. ELIJAH SELLS, Com'r Indian Ind. Affs. SMITH CHRISTIE, WHITE CATCHER, JAMES Mc DANIEL, S. H. BENGE, DANL. H. ROSS, J. B. JONES, Delegates of the Cherokee Nation, appointed by Resolution of the National Council. In presence of— W. H. WATSON. J. W. WRIGHT. Signatures witnessed by the following-named persons, the following interlineations being made before signing: On page 1st the word "the" interlined, on page 11 the word "the" struck out, and to said page 11 a sheet attached requiring publication of laws; and on page 34th the word "ceded" struck out and the words "neutral lands" inserted. Page 47½ added relating to expenses of treaty. THOMAS EWING, JR. WM. A. PHILLIPS. J. W. WRIGHT. And whereas the said treaty having been submitted to the Senate of the United States for its constitutional action thereon, the Senate did, on the twenty-seventh day of July, one thousand eight hundred and sixty-six, advise and consent to the ratification of the same, with amendments, by a resolution in the words and figures following, to wit: IN EXECUTIVE SESSION, SENATE OF THE UNITED STATES, July 27, 1866. Resolved (two-thirds of the Senators present concurring), That the Senate advise and consent to the ratification of the articles of agreement and convention made at the city of Washington on the nineteenth day of July, in the year of our Lord one thousand eight hundred and sixty-six, between the United States and the Cherokee Nation of Indians, with the following AMENDMENTS: 1st. Insert at the end of article two the following: But the Cherokee Nation stipulate and agree to deliver up to the United States, or their duly authorized agent, any or all public property, particularly ordnance, ordnance stores, arms of all kinds and quartermasters' stores in their possession or control, which belonged to the United States or the so-called Confederate States, without any reservation. 2nd. Strike out the last proviso in article 17, and insert in lieu thereof the following: Provided, That nothing in this article shall prevent the Secretary of the Interior from selling the whole of said lands not occupied by actual settlers at the date of the ratification of this treaty, not exceeding 160 acres, to each person entitled to pre-emption under the pre-emption laws of the United States in a body, to any responsible party, for cash, for a sum not less than one dollar per acre. 3d. Insert at the end of article 29 the following: And the Secretary of the Interior shall also be authorized to pay the reasonable cost and expenses of the delegates of the Southern Cherokees. The moneys to be paid under this article shall be paid out of the proceeds of the sales of the national lands in Kansas. Attest: J. W. FORNEY, Secretary. And whereas the foregoing amendments having been fully explained and interpreted to the aforementioned delegates of the Cherokee Nation, they did, on the thirty-first day of July, one thousand eight hundred and sixty-six, give, on behalf of said nation, their free and voluntary assent to said amendments, in the words and figures following, to wit: Whereas the Senate of the United States did, on the 27th day of July, 1866, advise and consent to the ratification of the articles of agreement and convention made at the city of Washington on the nineteenth day of July, in the year of our Lord one thousand eight hundred and sixty-six, between the United States and the Cherokee Nation of Indians, with the following AMENDMENTS, TO WIT: 1st. Insert at the end of article 2 the following: But the Cherokee Nation stipulate and agree to deliver up to the United States, or their duly authorized agent, any or all public property, particularly ordnance, ordnance stores, arms of all kinds and quartermasters' stores in their possession or control, which belonged to the United States or the so-called Confederate States, without any reservation. 2nd. Strike out the last proviso in article 17, and insert in lieu thereof the following: Provided, That nothing in this article shall prevent the Secretary of the Interior from selling the whole of said lands not occupied by actual settlers at the date of the ratification of this treaty, not exceeding 160 acres, to each person entitled to pre-emption under the pre-emption laws of the United States, in a body, to any responsible party, for cash, for a sum not less than one dollar per acre. 3d. Insert at the end of article 29 the following: And the Secretary of the Interior shall also be authorized to pay the reasonable costs and expenses of the delegates of the Southern Cherokees. The moneys to be paid under this article shall be paid out of the proceeds of the sales of the national lands in Kansas. Now, therefore, we, the delegates on the part of the Cherokee Nation, do hereby assent and agree to the said amendments above written, the same having been explained to us and being fully understood by us. Witness our hands and seals this 31st day of July, A.D. 1866, at Washington, D.C. SMITH CHRISTIE. [SEAL.] WHITE CATCHER. [SEAL.] JAMES Mc DANIEL. [SEAL.] S. H. BENGEL. [SEAL.] DANL. H. ROSS. [SEAL.] J. B. JONES. [SEAL.] In presence of— D. N. COOLEY, Com'r Ind. Affairs. J. HARLAN, U. S. Ind. Agent. CHARLES M. MIX. J. W. WRIGHT. W. R. IRWIN. Now, therefore, be it known that I, Andrew Johnson, President of the United States of America, do, in pursuance of the advice and consent of the Senate, as expressed in its resolution of the twenty-seventh of July, one thousand eight hundred and sixty-six, accept, ratify, and confirm the said treaty with the amendments as aforesaid. In testimony whereof I have signed my name hereto, and have caused the seal of the United States to be affixed. Done at the city of Washington this eleventh day of August, in the year of our Lord one thousand eight hundred and sixty-six, and of the Independence of the United States of America the ninety-first. [SEAL.] By the President: HENRY STANBERY, Acting Secretary of State. Articles of agreement made this 8th day of April, A. D. 1867, between the Cherokee Nation, represented by William P. Ross, principal chief, Riley Keyes, and Jesse Bushyhead, delegates duly authorized, parties of the first part, and the Delaware tribe of Indians, represented by John Connor, principal chief; Charles Journeycake, assistant chief; Isaac Journeycake, and John Sarcoxie, delegates for and on behalf of said Delaware tribe, duly authorized, witnesseseth: Whereas by the fifteenth article of a certain treaty between the United States and the Cherokee Nation, ratified August 11, 1866, certain terms were provided, under which friendly Indians might be settled upon the lands in the Cherokee Country east of the line of 96° west longitude, the price to be paid for such lands to be agreed on by the Indians to be thus located and the Cherokee Nation, subject to the approval of the President of the United States; and whereas by a treaty between the United States and the Delaware tribe of Indians, ratified August 10, 1866, the removal of the said Delawares to the Indian Country south of Kansas was provided for; and, in the fourth article whereof, an agreement was made by the United States to sell to the Delawares a tract of land, being part of a tract, the cession of which by the Cherokees to the United States was then contemplated; and whereas no such cession of land from the Cherokee to the United States has yet been made, therefore, terms were provided, as hereinbefore mentioned, under which friendly Indians might be settled upon their lands; and whereas, a full and free conference has been had between the representatives of the Cherokees and the Delawares, in view of the treaties herein referred to, looking to a location of the Delawares upon the Cherokee lands, and their consolidation with said Cherokee Nation: Now, therefore, it is agreed between the parties hereto, subject to the approval of the President of the United States, as follows: The Cherokees, parties of the first part, for and in consideration of certain payments to be made for and to meet certain conditions hereinafter mentioned, agree to sell to the Delawares, for their occupancy, a quantity of land east of the line of the 96° west longitude, in the aggregate equal to one hundred and sixty acres for each individual of the Delaware tribe, who has been enrolled upon a certain register made February 18, 1867, by the Delaware agent, and on file in the Office of Indian Affairs, being the list of Delawares who elect to remove to the "Indian Country," to which list may be added, only with the consent of the Delaware council, the names of such other Delawares as may, within one month after the signing of this agreement, desire to be added thereto, and the selections of the lands to be purchased by the Delawares may be made by said Delawares either near the Cherokee country or beyond said line of 96° not already selected and in possession of other parties, and in case the Cherokee lands shall hereafter be allotted among the members of said nation, it is agreed that the aggregate amount of land herein provided for the Delawares, to include their improvements according to the legal subdivisions when surveys are made (that is to say, one hundred and sixty acres for each individual), shall be guaranteed to each Delaware incorporated by these articles into the Cherokee Nation, nor shall the continued ownership and occupancy of said land by any Delaware so registered be interfered with in any manner whatever without his consent, but shall be subject to the same conditions and restrictions as are by the laws of the Cherokee Nation imposed upon native citizens thereof. Provided that nothing herein shall confer the right to alienate, convey, or dispose of any such lands, except in accordance with the constitution and laws of said Cherokee Nation. And the said Delaware, parties of the second part, agree that there shall be paid to the said Cherokees from the Delaware funds now held or hereafter received by the United States, a sum of money equal to one dollar per acre for the whole amount of one hundred and sixty acres of land for every individual Delaware who has already been registered upon the aforesaid list, made February 18, 1867, with the additions thereto hereafter provided for. And the Secretary of the Interior is authorized and requested to sell any United States stocks belonging to the Delawares to procure funds necessary to pay for said lands; but in case he shall not feel authorized, under existing treaties, to sell such bonds belonging to the Delawares, it is agreed that he may transfer such United States bonds to the Cherokee Nation, at their market value, at the date of such transfer. And the said Delawares further agree, that there shall be paid from their funds now or hereafter to come into possession of the United States, a sum of money which shall sustain the same proportion to the existing Cherokee national fund, that the number of Delawares registered as above mentioned and removing to the Indian country sustains to the whole number of Cherokees residing in the Cherokee Nation. And for the purpose of ascertaining such relative numbers, the registers of the Delawares herein referred to, with such additions as may be made within one month from the signing of this agreement, shall be the basis of calculation as to the Delawares, and an accurate census of the Cherokees residing in the Cherokee Nation shall be taken under the laws of that nation within four months, and properly certified copies thereof filed in the Office of Indian Affairs, which shall be the basis of calculation as to the Cherokees. And that there may be no doubt hereafter as to the amount to be contributed to the Cherokee national fund by the Delawares, it is hereby agreed by the parties hereto that the whole amount of the invested funds of the Cherokees, after deducting all just claims thereon, is $678,000. And the Delawares further agree, that in calculating the total amount of said national fund there shall be added to the said sum of $678,000 the sum of $1,000,000, being the estimated value of the Cherokee neutral lands in Kansas, thus making the whole Cherokee national fund $1,678,000; and this last-mentioned sum shall be taken as the basis for calculating the amount which the Delawares are to pay into the common fund. Provided, that as the $678,000 of funds now on hand belonging to the Cherokees is chiefly composed of stocks of different values, the Secretary of the Interior may transfer from the Delawares to the Cherokees a proper proportion of the stocks now owned by the Delawares of like grade and value, which transfer shall be in part of the pro rata contribution herein provided for by the Delawares to the funds of the Cherokee Nation; but the balance of the pro rata contribution by the Delawares to said fund shall be in cash and United States bonds, at their market value. All cash and all proceeds of stocks, whenever the same may fall due or be sold, received by the Cherokees from the Delawares under the agreement, shall be invested and applied in accordance with the 23d article of the treaty with the Cherokees of August 11, 1865. On the fulfillment by the Delawares of the foregoing stipulations, all the members of the tribe registered as above provided, shall become members of the Cherokee Nation, with the same rights and immunities, and the same participation (and no other) in the national funds, as native Cherokees, save as hereinbefore provided. And the children hereafter born of such Delawares so incorporated into the Cherokee Nation, shall in all respects be regarded as native Cherokees. WILL P. ROSS, Principal Chief. RILEY KEYES, Cherokee Delegation. JOHN + CONNOR, mark. JOHN + SARCOXIE, mark. Delaware Delegation. Executed and delivered in our possession by the above-named delegates of the Cherokee and Delaware Nations, at the City of Washington, in the District of Columbia, the day and year first above written. John G. Pratt, W. A. Phillips, Edward S. Menageth. DEPARTMENT OF THE INTERIOR, April 11, 1867. The within agreement between the Cherokee and Delaware tribes of Indians, concluded on the 8th instant, and providing for uniting the two tribes as contemplated by the Cherokee treaty of July 19, 1866, is respectfully submitted to the President, with the recommendation that it be approved. O. H. BROWNING, Secretary. Approved April 11, 1867. ANDREW JOHNSON. Agreement between Shawnees and Cherokees, concluded June 7, 1869, approved by the President June 9, 1869. Articles of agreement, made and entered into at Washington, D. C., this seventh day of June, A. D. 1869, by and between H. D. Reese and William P. Adair, duly authorized delegates representing the Cherokee Nation of Indians, having been duly appointed by the National Council of said Cherokees, parties of the first part, and Graham Rogers and Charles Tucker, duly authorized delegates representing the Shawnee tribe of Indians, parties of the second part, witnesseth: Whereas it is provided by the fifteenth article of the treaty between the United States and the Cherokee Indians, concluded July 19th, 1866, that the United States may settle any civilized Indians friendly with the Cherokees and adjacent tribes, within the Cherokee country, on unoccupied lands east of 96°; on such terms as may be agreed upon by any such tribe and the Cherokees, subject to the approval of the President of the United States, which shall be consistent with certain provisions specified in said article; and Whereas the Shawnee tribe of Indians are civilized and friendly with the Cherokees and adjacent tribes, and desire to settle within the Cherokee country on unoccupied lands east of 96°; It is therefore agreed, by the parties hereto, that such settlement may be made upon the following terms and conditions, viz: That the sum of five thousand dollars belonging to the Shawnee tribe of Indians, and arising under the provisions of treaties between the United States and said Shawnee Indians, as follows, viz: For permanent annuity for educational purposes, per fourth article treaty, third August, 1795, and third article treaty, tenth of May, 1834, one thousand dollars; For interest at five per centum, on sixty thousand dollars, for educational purposes, per third article treaty, 10th May, 1834, two thousand dollars; For permanent annuity, in specie, for educational purposes, per fourth article treaty, 29th September, 1817, and third article, 10th May, 1834, two thousand dollars; Shall be paid annually to Cherokee Nation of said Indians, and that the annuities and interest, as recited, and the investment or investments upon which the same are based, shall hereafter become and remain the annuities and interest and investment or investments of the Cherokee Nation of Indians the same as they have been the annuities and interest and investments or investments of the Shawnee tribe of Indians. And that the sum of fifty thousand dollars shall be paid to the said Cherokees, as soon as the same shall be received by the United States, for the said Shawnees, from the sale of the lands in the State of Kansas known as the Absentee Shawnee lands, in accordance with the resolution of Congress, approved April 7th, 1869, entitled "A resolution for the relief of settlers upon the Absentee Shawnee lands in Kansas," and the provisions of the treaty between the United States and the Shawnee Indians, concluded May 10th, 1854; and also that the said Shawnees shall abandon their tribal organization. And it is further agreed, by the parties hereto, that in consideration of said payments and acts agreed upon, as hereinbefore stated, that the said Cherokees will receive the said Shawnees—referring to those now in Kansas, and also to such as properly belong to said tribe who may be at present elsewhere, and including those known as the Absentee Shawnees now residing in Indian Territory—into the country of the said Cherokees, upon unoccupied lands east of 96°; and that the said Shawnees shall be incorporated into and ever after remain a part of the Cherokee Nation, on equal terms in every respect, and with all the privileges and immunities of native citizens of said Cherokee Nation: Provided, That all of said Shawnees who shall elect to avail themselves of the provisions of this agreement shall register their names, and permanently locate in the Cherokee country as herein provided within two years from the date hereof, otherwise they shall forfeit all rights under this agreement. In testimony whereof the parties hereto have hereunto subscribed their names and affixed their seals on the day and year first above written. H. W. REESER, [SEAL.] WM. H. DAIR, [SEAL.] Delegates representing the Cherokee Nation of Indians. GRAHAM ROGERS, [SEAL.] CHARLES TUCKER, [SEAL.] Delegates representing the Shawnee tribe of Indians. Attest: R. W. IRWIN, H. E. MCKEE, A. N. BLACKBIDGE, JAS. B. ABBOTT. DEPARTMENT OF INTERIOR, June 9th, 1869. The within agreement between the Cherokee and Shawnee tribes of Indians, concluded on the 7th inst., and providing for uniting the two tribes as contemplated by the Cherokee treaty of July 19th, 1866, is respectfully submitted to the President with the recommendation that it be approved. J. D. COX, Secretary. Approved June 9th, 1869. U. S. GRANT. AN ACT providing for the payment of the balance due on lands west of 96°. per capita. Be it enacted by the National Council, That when the additional amount appropriated by act of Congress of March 2nd, 1853, shall have been received by the treasurer of the Cherokee Nation, the principal chief shall cause the same to be paid out, per capita, to the citizens of the Cherokee Nation by blood. Be it further enacted, That for the purpose of carrying out the provisions of this act, the principal chief shall, at his earliest convenience, appoint two competent persons in each district to make correct census rolls of the persons entitled, and turn over the same, certified by him, to the treasurer of the Cherokee Nation, who shall file the same in his office. Be it further enacted, That the persons appointed by the principal chief to take the census shall each be entitled to three dollars per day while in actual service. Be it further enacted, That, as soon as advised by the proper authority that the funds are ready, it shall be the duty of the treasurer to make requisition for the same, and on receiving said funds, it shall be his duty to pay out the same, per capita, to citizens of the Cherokee Nation by blood, according to the census rolls. In making said payment, the treasurer is hereby directed to pay the funds, in person, to all adult persons entitled to the same, and to parents, guardians, and heads of families, representing minors and disabled persons, or to any other person or persons whomever. It shall be the duty of the treasurer to keep a receipt-roll of the payments made, and to whom, and which shall be reported to the National Council next following said payment. Be it further enacted, That the sum of three thousand dollars, or so much thereof as may be necessary to defray the expense of taking the census and preparing the rolls, is hereby appropriated, out of any funds to be received, for this purpose. Be it further enacted, That the treasurer shall make the payments at Tahlequah, Vinita, Fort Gibson, and Webber's Falls. TAHLEQUAH, May 13, 1853. ROACH YOUNG, President of Senate. C. H. TAYLOR, Clerk of Senate. Concurred in by council with the following amendment: Insert "Cherokee" between "by" and "blood." JOHN SEVIER, Speaker of Council. W. S. CORBREY, Clerk of Council. This bill being returned by the principal chief with his objections, the senate proceeded to reconsider the same, and upon being put to a vote, nine senators voted to pay it as it stands, and three voted in favor of the chief's objections, making the constitutional number requiring two-thirds in favor of the original bill. May 18, 1883. ROACH YOUNG, President of Senate. C. H. TAYLOR, Clerk of Senate. Concurred in by the council with two-thirds vote, according to the constitution. May 19, 1883. JOHN SEVIER, Speaker of Council. W. S. CORDREY, Clerk of Council. Feto message. EXECUTIVE DEPARTMENT, CHEROKEE NATION, INDIAN TERRITORY, TAHELEQUAH. May 18, 1883. To the Honorable the Senate in extra session convened: GENTLEMEN: I herewith respectfully return the bill entitled "An act providing for the payment of the balance due on the lands west of 96°, per capita," which originated in your body, for the following reasons: To the payment of the money per capita I do not object, but to the part of the bill which confines that payment to a certain class of citizens exclusive of other classes I do object, as calculated to defeat the object of the bill, because contrary to our constitution and our treaties. The part of the bill I refer to is the part confining the payment to Cherokee citizens by right of Cherokee blood. 1st. It may be said that the payment per capita in 1831-'32 was made to this class entirely on the ground that they alone had a right to that money; this is true. It may also be said that the lands of the Cherokee Nation west, including those now considered, were conveyed to the Cherokee Nation, at that time composed wholly of Cherokees by blood; that also is true. It may also be said that no deed of conveyance has since been made to other classes of citizens, and that the colored citizens and adopted whites have paid nothing for their interest in these lands; that also cannot be disputed. Lastly, it may be said that the Shawnee and Delaware citizens of this nation, whatever their rights may be to an interest in our lands east of 96°, have paid nothing for an equal interest with native Cherokees to the lands west of the Arkansas River, than is here payable. But, senators, it is just as true and indisputable that the Cherokees by blood who were once the sole owners of the eastern country and this, were competent and qualified to share their common interest with whoever they might choose. There are two methods of disposing of the national right to this country. One is a sale of lands by national authority alone. The other is by incorporating outsiders, and investing them with the rights and privileges of the native Cherokees without qualification. In either case the common property interest of other citizens is decreased just in proportion to the amount of land sold or the shares parted with. What I now affirm is that the Cherokee Nation of Indians had the right of every party-holder to either sell their common property to, or share it with, others, if they saw fit, for large or little consideration, by agreement, contract, or treaty, by their own motion and will. The question is now whether the native Cherokees have done this as respects the colored and other classes of citizens of this nation. Let me remark that it is neither my right, duty, interest, or desire to reduce in the least interest of any portion of our people, whether old settlers, emigrant Cherokees, or any other class, but any portion of the people having an existing interest can, if they so choose, part with or share it with others not before enrolled. The whole nation can do the same, and the national interest in lands, money, and rights. The question is, has the nation done so? If it has, the responsibility of the act is not mine or yours. But the responsibility will be great and ours alone if, after the nation has made a solemn covenant and done a solemn act involving its good faith, the representatives of the nation shall expose it to the charge of repudiation and bad faith. I know that you will agree with me that where so much of our future as a nation depends on the good faith of the United States Government, it is of the utmost importance that the nation sustains its own good character for square dealing. 2d. I refer you to the second clause of the constitution of 1839, page 13 Compiled Laws, to show who were then alone entitled to citizenship and ownership of the nation. They were specified as the children of men and women of Cherokee blood, in other words "native Cherokees." The National Council could not take away or reduce any of their rights and privileges as exclusive citizens, but they themselves could do so by treaty or by amendment to the constitution. 3d. The "patent" was made to the "Cherokee Nation" in 1838, and the Cherokee Nation was then composed of citizens by right of blood, and so continued to be until the exigencies of the late war arose; when, in 1866, it became necessary to make a new treaty with the United States Government. By this treaty made by us with this nation, other classes of persons were provided to be vested with all the rights of "native Cherokees" upon specified conditions. These conditions have been fulfilled as regards the acknowledged colored citizens of this nation and the so-called Delaware and Shawnee citizens. I refer you to article 9th of said treaty in regard to colored citizens, and article 15th, first clause, as regards Indians provided to be settled east of 96°. The language is, that shall have all the rights of native Cherokees "and" they shall be "naturalized citizens," and ever after remain a part of the Cherokee Nation on equal terms in every respect with native Cherokees. 4th. I now refer you to that part of the constitution which makes acknowledged treaties, the supreme law, and authorizes the National Council solely to construe treaty stipulations. On page 83, Compiled Laws, you will find the names of the president of the then national committee, the speaker of council and principal chief, signed to the construction of the treaty of 1843 by the National Council, and the construction of the several parts of said treaty was formally by special convention of the people as permanent amendments to our constitution. Of these amendments, section 31, Compiled Laws, adds to "native-born Cherokees" who had alone composed the nation before that time three other classes of persons, making them all citizens of the nation alike, colored, liberated persons of specified classes, whites, by adoption, and Indians, by adoption. Of these the colored class and Indians settled east of 96° have all the rights of native Cherokees by operation of the nation's treaty. Other Indians by adoption and whites legally adopted are joined with the others named and made citizens by the constitution. What then are the rights of Cherokee citizenship? I refer you to section 2, article 1, of the constitution. The lands of the nation are the common property of the nation. Who composed the nation? What other answer is possible to the question except the citizens of a nation compose the nation. The lands of this nation, therefore, being the common property of the nation, are the common property of whomever are made citizens by the constitution. 5th. Section 1 of the amendment to article 1 of the constitution (page 29, Compiled Laws) defines and describes what and where the lands are which the 2d section of same article makes the common property of citizens. These lands are those described by the treaty of 1833, between the United States and the Western Cherokees, which include the lands in question west of Arkansas, subject only to the modifications of the treaty of 1866. At that time there was no modification of the nation's title by the settlement or "friendly policy," and the whole described boundaries of the nation was the "common property of the nation." 6th. If the lands of the nation were and are the common property of citizens, then no citizen can be deprived of his or her right and interest in the property without doing an injustice, and without a violation of the constitution which we are equally bound to observe and defend. While the lands remain common property, all citizens have an equal right to the use of it. When any of the land is sold under provisions of treaty, the citizens have an equal right to the proceeds of their joint property whether divided per capita or not. Senators, such is the treaty and such is the constitution. I have referred you to them, and stated their evident meaning in the premises "to the best of my ability," as is my duty. To the classes of citizens this bill would exclude attach "all the rights and privileges of citizenship according to the constitution." To three of these classes attach also the rights of "native Cherokees," according to treaty. It may be said by some that the act of Congress making the appropriation authorizes the council to expend the expenditure of the money as the council shall deem proper. But the council will certainly not see proper to give to one citizen anything that belongs to another, contrary to the constitution, and the obligation of the council not to pass the law. I refer to section 14, page 15, Compiled Laws of the Cherokee Nation. Consistent with your primary obligations to observe treaty and defend the constitution, you are authorized to direct how this money shall be expended—not otherwise. It would be but mockery, if not worse, for any one to contend that Congress would or could absolve the officers of this government from their duties and their trust. Such a principle would be fatal to our government if once adopted in practice. For the above reasons, I respectfully return the bill in question for your reconsideration. Very respectfully, D. W. BUSHYHEAD, Principal Chief. UNITED STATES INDIAN SERVICE, UNION AGENCY, Muskogee, January 9, 1884. SIR: I have the honor to transmit herewith petition of the Shawnee Indians who were, by agreement approved by the President of the United States January 9, 1869, made full citizens of the Cherokee Nation and "incorporated into and ever after remained a part of the Cherokee Nation, on equal terms in every respect, with all the privileges and immunities of native citizens of said Cherokee Nation." The Shawnees have been paid their portion at each Cherokee per capita payment, as the agreement calls for, until the last, which by act of Cherokee council in May, 1883, was paid to Cherokees by blood only. The only question involved is whether the Department will permit the Cherokees to violate that agreement made with the Shawnees, Delawares, and Freedmen or not. If the Department takes no action in the matter, other violations of the agreement will surely follow, until these people will be compelled to remove from the Cherokee Nation. I respectfully recommend that prompt action be taken by the Department. Very respectfully, your obedient servant, JNO. Q. TUFTS, United States Indian Agent. Hon. H. Price, Commissioner of Indian Affairs, Washington, D. C. [Enclosure.] WASHINGTON, D. C., December 29, 1883. To the Hon. Secretary of the Interior: Respected and Honored Sir: We, the undersigned memorialists of the Shawnees, late of Kansas, now citizens of the Cherokee Nation by virtue of an article of agreement made, concluded, and entered into by and between the Cherokee Nation and the Shawnee tribe of Indians, by their respective delegates, in the city of Washington, D. C., June 7, 1869, and approved by the then President of the United States June 9, 1869, pursuant to the act accepted by the Cherokee Nation, the treaty being between the United States and the Cherokee Nation. The fifteenth article of the treaty of July 19, 1866, provides "That the United States may settle any civilized Indians, friendly with the Cherokees and adjacent tribes within the Cherokee country, on unoccupied lands east of 96°, on such terms as may be agreed upon by any such tribe and the Cherokees, subject to the approval of the President of the United States, with all the rights of native Cherokees, and they shall be incorporated into and ever after remain a part of the Cherokee Nation, on equal terms in every respect with native Cherokees." The article of agreement above referred to provides: "And it is further agreed by the parties hereto that the said payment and all other agreements hereinbefore stated as hereinbefore stated that the said Cherokees will receive the said Shawnees into the country of the said Cherokees upon unoccupied lands east of 96°, and that the said Shawnees shall be incorporated into and ever after remain a part of the Cherokee Nation, on equal terms in every respect, and with all the privileges and immunities of native citizens of said Cherokee Nation." All nations accept acknowledged treaties the supreme law, so does the constitution of the Cherokee Nation. (See section 20, article 3, of the constitution, page 16, Compiled Laws of the Cherokee Nation.) "All acknowledged treaties shall be the supreme law of the nation." Section 5, page 31, Compiled Laws, declares "All native-born Cherokees, all Indians and whites legally members of this nation by adoption, and all freedmen * * * who reside within the limits of the Cherokee Nation, shall be taken and deemed as citizens of the Cherokee Nation." By the said fifth article above, three classes of citizens are added to the former citizens composing the nation, without any distinction whatever between them. Article 1, section 1, page 29, Compiled Laws: "The boundary of the Cherokee Nation shall be that described by the treaty of 1833 between the United States and the Western Cherokees." Article 1, section 2, page 29, Compiled Laws: "The lands of the Cherokee Nation shall remain common property until the National Council shall request the survey and allotment of the same." The specified conditions of the treaties herein referred to, and the constitution of the Cherokee Nation, have been fulfilled by the Shawnees; therefore the Shawnees are citizens of the Cherokee Nation, and entitled to an equal interest in and to the lands, and an equal interest in and to the funds accruing from the sale of any or all of said lands, otherwise acquired, from the said lands belonging to said Cherokee Nation. Notwithstanding the treaty and constitutional stipulations, the National Council in extra session convened passed an act in May, 1883, excluding the Shawnees from participating in the pro rata payment last summer, 1883, although they were enrolled and drew their pro rata share of the payments made in 1875 and 1880. It is not the few dollars we did not get we care so much for, but our status in the said Cherokee Nation is what most concerns us. Having drawn a line of distinction once, if permitted, will they not again? Thus complicating matters and causing a feeling of distrust, dissatisfaction, and discouragement to arise and spread among the people, lessening their respect for law, destroying their confidence in the certainty of the administration of justice, and cause them to lose all respect for the law-making power of the country. Where, when, and how will the matter end if permitted to pass unnoticed? We memorialized the National Council at the last session for such reparation to be made the Shawnees as they, in their wisdom, might deem prudent and best; thereby defining the status of the Shawnees. The memorial is herewith submitted to your honor, marked A. The matter was brought before the Senate by the Principal Chief, Hon. D. W. Bushyhead, in a special message accompanying our memorial, of date November 20, 1883, herewith submitted marked B; the Senate passed a resolution to refer the matter to a joint committee composed of members of both the Senate and Council. The resolution was sent to the lower house, or Council, for its concurrence, but was rejected. It was again called up in the Senate and referred to the Committee on Foreign Relations. The committee reported favorably. (See their report herewith submitted, marked C.) Senate bill 34, entitled "An act defining the status of adopted citizens," was drafted, put upon its passage, but was rejected in the Senate, six members voting in the affirmative and twelve voting in the negative. (See certified copy of the vote on Senate bill No. 34, herewith D., herewith submitted.) Principal Chief Hon. D. W. Bushyhead, by special message, presented the matter to the Senate again. It was referred to the Committee on Foreign Relations a second time. There was no further action taken in the premises, as we were informed by one of the committee. There being too large a majority opposed to the measure, they did not deem it advisable to report a second time. We were not surprised or disappointed in the result. We have been advised to appeal to the courts of the nation for redress. The cause would be plead by Cherokee attorneys, adjudged by Cherokee judges. Would they not sustain and confirm the action of the National Council? We were advised to apply to the Council, which we did, but did not accomplish anything. Article 3, section 20, page 16, Compiled Law, the constitution reads: " * * * And the National Council shall have sole power of deciding on the construction of treaty stipulations." The fifteenth article of the treaty of July 19, 1866, provides that friendly Indians complying with the provisions of said treaty "Shall be incorporated into and ever after remain a part of the Cherokee Nation, on equal terms in every respect with native Cherokees." What is the meaning of the said fifteenth article? Is it that when so disposed they must divide with the Shawnees, as they did in 1875 and 1880, and then exclude them at their will and pleasure, as they did in 1883? Is that being "on equal terms in every respect with native Cherokees"? Does the above quotation from their constitution authorize "the National Council" to change the plain, simple meaning of the fifteenth article of the treaty of 19th of July, 1866? or to change the word "shall" therein into the word may? We affirm no other construction can be put upon the words therein used, other than what they expressly mean in common usage, and by them is and was meant just what they declare, as therein used. It may be claimed that we have no rights outside of that part of the Nation east of 96°. There is nothing expressed or implied in the treaty of 1866, or in our article of agreement, that we have no rights outside of that part of the Nation east of 96°. But being "incorporated into and remaining" a part of the Cherokee "Nation, on equal terms in every respect with native Cherokees," must and does mean we are on equal footing with native Cherokees, whether "by Cherokee blood" or otherwise, in all things pertaining to or belonging to the said Cherokee Nation. As helpless and dependent children look up to and depend upon a kind indulgent father for advice, assistance, and protection, we look to and appeal to you, our Great Father, at Washington, to vindicate our rights in and to the Cherokee Nation. By giving attention at your earliest convenience to the matter, and giving us your opinion thereon, you will place us under lasting obligations, and confer a great favor on your humble wards. For your success and welfare your memorialists will ever pray. Vinita, Cherokee Nation, Ind. Ter., December 29, 1883. Most respectfully, yours, Charles Tuckey. Henry F. A. Rogers. Charles Bluejacket. Thomas Dougherty. C. C. Ironside. Stephen Bluejacket. William Barbee. Thomas White. Cyrus C. Cornatzer. I. White, his + mark. James Parrish, his + mark. David Blackfeather, his + mark. George Dick, his + mark. William Harvey. W. Dougherty, his + mark. I. Blackfeather, his + mark. Jake Longail, his + mark. S. M. Cornatzer. Frank Dushane, his + mark. Robert Harvey, his + mark. S. A. Bluejacket. W. G. Williams. Henry Keyer, his + mark. Henry Bluejacket, his + mark. John Harvey, his + mark. Thomas Bluejacket. John Blackfeather, his + mark. Obadiah Tiblow, his + mark. Jonathan Gore. Odon Parrish, his + mark. Isaac Greenfeather, his + mark. [Enclosure.] To the honorable the Senate and Council of the Cherokee Nation in regular session convened: GENTLEMEN: We, the undersigned memorialists, most respectfully represent to your honorable bodies that the late National Council, by passing an act drawing a line of distinction between the citizens of the Cherokee Nation, violated both the treaty stipulations and the constitution of the Cherokee Nation. The fifteenth article of the treaty of July 19, 1866, between the United States and the Cherokee Nation, provides: "That the United States may settle any civilized Indians friendly with the Cherokees and adjacent tribes within the Cherokee country, upon unoccupied lands east of 96°, on such terms as may be agreed upon with any such tribe, and the Cherokees, subject to the approval of the President of the United States, with all the rights of native Cherokees, and they shall be incorporated into and ever after remain a part of the Cherokee Nation on equal terms in every respect with native Cherokees." We respectfully refer you to the article of agreement between the Cherokees and Shawnees concluded June 7, 1869, approved by the President June 9, 1869, pages 345, 346, 347, and 348, Compiled Laws: "And it is further agreed by the parties hereto unto that in consideration of the said payment and acts agreed upon as herein stated, the said Cherokees will receive the said Shawnees into the country of the Cherokees, upon unoccupied land east of 96°, and that the said Shawnees shall be incorporated into and ever after remain a part of the Cherokee Nation, on equal terms in every respect and with all the privileges and immunities of native citizens of the Cherokee Nation * * ." All nations accept acknowledged treaties the supreme law, and so does the constitution of the Cherokee Nation. (See constitution, page 16, Compiled Laws.) "All acknowledged treaties shall be the supreme law of the land * ." The exigencies of the late war made it necessary for the Cherokees to make a new treaty with the United States; in said treaty "certain things were agreed to * * involving changes in the constitution of the Cherokee Nation * * ." The National Council adopted certain amendments to the constitution * * and submitted the same to a general convention of the people * * * Tablequah, on 26th day of November, A. D. 1866. (See Principal Chief's proclamation * * , page 28 (if numbered), Compiled Laws.) Page 33, Compiled Laws: "The names of the President of the Senate, the Speaker of the Council, and the Principal Chief" are signed to the amendments. Page 34, Compiled Laws: A "Chief Justice of the Supreme Court was chosen president of the general convention * * a secretary and chairman * * ." The proceedings ratifying the said amendments were signed by the president and secretary. Same page, compiled laws: The Principal Chief issued his "proclamation, declaring said amendments to be a part of the constitution of the Cherokee Nation, December 7, 1866." The constitution accepts "acknowledged treaties * * and is the legitimate offspring of treaty stipulations existing between the United States and the Cherokees. Who are citizens of the Cherokee Nation? Section 5, page 31: "All native-born Cherokees, all Indians and whites legally members of this nation by adoption, and all freedmen * * * who reside within the limits of the Cherokee Nation, shall be taken and deemed to be citizens of the Cherokee Nation. (Compiled Laws.) By this article of the constitution three classes of persons are added to the former citizens composing the nation, without any distinction whatever between them. Article 1, section 1, page 29, Compiled Laws: "The boundary of the Cherokee Nation shall be that described by the treaty of 1833 between the United States and the Western Cherokees * * ." Article 1, section 2, Compiled Laws: "The lands of the Cherokee Nation shall be common property." Please notice the last words, particularly their meaning. Common: Belonging to many equally. Belonging to the public, having no separate owner, serving for the use of all. A body of land which is not appropriated to an individual, but belongs to many. In law an open ground, or that soil the use of which belongs equally to the inhabitants of a country. To have a joint right with others in a common ground. Property: The thing owned, that which a person or persons have a legal title to. (Webster.) Therefore all citizens of the Cherokee Nation are equally entitled to lands of the Cherokee Nation, and equally entitled to the proceeds of said lands, from sales of or otherwise accrued, without any distinction whatever. The Shawnees have been "incorporated into (united in the same political body of) the Cherokee Nation (a body of people united under the same government), with all the privileges and immunities of 'native' (original, not required, pertaining to the place of birth, synonymous with Cherokee by blood) citizens." Residents of a country who have the right of exercising the elective franchise "of the Cherokee Nation." The Shawnees have exercised the elective franchise not only without opposition, but by solicitation of "Cherokee citizens by blood." They have been summoned for and served as jurors and witnesses in the courts of the Cherokee Nation. Two Shawnees have been elected to the National Council of the Cherokee Nation. Section 4, Constitution, page 31, Compiled Laws reads: "No person shall be entitled to a seat in the National Council but a male citizen of the Cherokee Nation. * *" All Shawnees legally residing within the limits of the Cherokee Nation, having fulfilled the specified conditions of existing treaty stipulations and the constitution, are citizens of the Cherokee Nation, equally entitled to the lands, and equally entitled to the proceeds arising from the sale of any or all of said lands or otherwise accrued therefrom. The specified conditions of said treaties herein referred to and the constitutions have been fulfilled by the Shawnees. Therefore, the Shawnees are citizens of the Cherokee Nation, and entitled to an equal interest in and to the lands of said nation, an equal interest in and to the funds arising from the sale of any or all of said lands belonging to said Cherokee Nation or otherwise accrued. The spirit and letter of the treaties and constitution are violated by such a law as is herein complained of. Such acts complicate matters and cause a feeling of distrust to arise and spring among the people, lessening their respect for law, decreasing their confidence in the certainty of the administration of justice, and to lose all respect for the highest power—the law-making power of the nation. Therefore, we most respectfully pray your honorable bodies to give the matter your attention at an early day, and that you take such action in the premises as to effectually prevent in the future the making of any law drawing a line of distinction between citizens of the Cherokee Nation, and make such reparation to the Shawnee citizens as you may deem in your wisdom prudent and best, thereby defining the status of the Shawnees in the future. Gentlemen, the foregoing is written and submitted to your honors in the spirit of true friendship and good will, and we hope it will be received and acted upon in the same kind spirit. Vinita, Cherokee Nation, November 12, 1883. Most respectfully yours, S. M. Cornatzer. Joseph White, jr., his x mark. Joseph White. William Greenfeather, his x' mark. Hiram Johnson. James Perry, his x mark. Thomas White. Charles Blackfeather, his x mark. William Dougherty, his x mark. William Dougherty, his x mark. James Bigknife, his x mark. Samuel Breed, his x mark. Richard Francis. Obadiah Tibbey. Jake White. Charles Tucker. Amos Dick. H. F. A. Rogers. John Harvey, his x mark. C. C. Ironside. George Carter, his x mark. C. Bluejacket. John Fox, his x mark. Jonathan Blackfeather, his x mark. James Flint, his x mark. A. J. Chouteau. Joseph Flint, his x mark. J. L. Tucker. David Blackfeather, his x mark. C. C. Cornatzer. L. L. Cornatzer. R. Ironside. Simpson Rogers. S. A. Bluejacket. Samuel L. Cornatzer. Thomas Bluejacket. B. C. Chouteau. Stephen Bluejacket. J. M. Tucker. Willis Bluejacket. W. G. Williams. [Enclosure B.] EXECUTIVE DEPARTMENT, CHEROKEE NATION, INDIAN TERRITORY, Talequah, November 20, 1883. To the Honorable The National Council in regular session: GENTLEMEN: According to request of a deputation of Shawnee citizens of this nation, I herewith transmit to your honorable bodies the inclosed memorial asking a formal definition of the status of such citizens, in view of the constitution of the nation and treaties, as to their right to the lands and the proceeds thereof. Their application is founded upon the action of the National Council last May excluding them from a share in funds arising from the disposal of Cherokee lands west of the Arkansas River, and the answer will apply to all of the said lands and their value, as also to the status of the applicants in each case. The subject is one of the greatest importance in every light, and is fully set forth by the petitioners, on their side, in their memorial. I therefore submit it without further remarks for such action thereon as your honorable bodies shall deem to be required by the circumstances of the case. Very respectfully, D. W. BUSHYHEAD, Principal Chief. [Enclosure C.] To the Honorable the National Council: GENTLEMEN: Your committee to whom was referred the chief's message transmitting memorials of the Shawnee and colored citizens of the nation asking for a definition of their status in view of the constitution and treaties as to their rights to their lands and the proceeds thereof, respectively, beg leave to report, that having given the question due deliberation and, under the circumstances and conditions due, we have the honor to report: It is true that the "patent" was made to the Cherokees by right of blood, and so continued to be vested until the exigencies of the late war arose, when, in 1866, it became necessary to make a new treaty with the Government. By this treaty other classes of persons were provided to be vested with all the rights of native Cherokees, upon specified conditions. These conditions have been fulfilled as regards the acknowledged colored Delaware and Shawnee citizens. Article 9 of the treaty of 1866 provides in manner in which these colored shall obtain rights, while the first clause of article 15 of same treaty provides, as regards Indians to be settled east of the 36th meridian. The language is, they shall have all the rights of native Cherokees and be incorporated into, and ever after remain a part of, the Cherokee Nation, on equal terms in every respect with native Cherokees. The constitution makes acknowledged treaties the supreme law, and authorizes the National Council to construe treaty stipulations. Section 5, page 31, Compiled Laws, adds to the five-fold Cherokee "who had always composed the nation before the ratification of the several parts of the treaty by the people, in conjunction, permanent amendments to our constitution, three other classes of persons, making thus all citizens of the nation alike, colored, whites by adoption, and Indians by adoption. Section 2, article 1, of the constitution, makes the lands of the nation common property, while section 1 of the amendment to article 1 of the constitution defines what and where the lands are. These lands are those described by the treaty of 1833, which include the lands west of the Arkansas River, subject only to the modifications of the treaty of 1866. We are therefore of the opinion that if the lands of (the) nation were and are the common property of citizens, then no citizen, whom by the operation of the treaties and constitution are made citizens, can be legally deprived of his or her right and interest without doing an injustice and a violation of the constitution which we are bound to observe and defend. While the lands remain common property all classes of citizens, as defined by the constitution, have an equal right in it, and when any of the lands are sold, under provision of treaty, all citizens have an equal right to the proceeds whether divided per capita or invested. In consideration, therefore, of the views as in the above and foregoing report, we have the honor to submit the accompanying bill. C. V. ROGERS, H. T. LANDRUM, E. E. STARR, Committee. I hereby certify that the foregoing two and a half pages is the original report as made by the Committee on Foreign Relations. JOHN S. DREW, Clerk of the Senate. [Inclosure D.] SENATE BILL 38. AN ACT defining the status of adopted citizens. VOTE. Affirmative. S. H. Benge. C. O. Frye. H. T. Landrum. C. V. Rogers. E. E. Starr. Jno. Scrimsher. Negative. Ned Acorn. Lacie Hawkins. C. J. Harris. Adam Lacie. Johnson Robbins. Joe M. Starr. Sam White. Frog Skin Killer. A. L. Woodall. W. C. Woodall. Roach Young. Jesse Sanders. I hereby certify that the above is a true record of the vote on Senate bill 38 entitled as above. JOHN S. DREW, Clerk of the Senate.
Faster indicators of chikungunya incidence using Google searches Sam Miller\textsuperscript{1,2}, Tobias Preis\textsuperscript{1,2}, Giovanni Mizzi\textsuperscript{1}, Leonardo Soares Bastos\textsuperscript{3}, Marcelo Ferreira da Costa Gomes\textsuperscript{4,5}, Flávio Codeço Coelho\textsuperscript{3,4,}, Claudia Torres Codeço\textsuperscript{3}, Helen Susannah Moat\textsuperscript{1,2,} \textsuperscript{1} Data Science Lab, Behavioural Science, Warwick Business School, University of Warwick, Coventry, United Kingdom, \textsuperscript{2} The Alan Turing Institute, London, United Kingdom, \textsuperscript{3} Programa de Computação Científica, Fundação Oswaldo Cruz, Rio de Janeiro, Brazil, \textsuperscript{4} Escola de Matemática Aplicada, Fundação Getúlio Vargas, Rio de Janeiro, Brazil, \textsuperscript{5} Institute of Global Health, University of Geneva, Geneva, Switzerland firstname.lastname@example.org (SM); email@example.com (HSM) Abstract Chikungunya, a mosquito-borne disease, is a growing threat in Brazil, where over 640,000 cases have been reported since 2017. However, there are often long delays between diagnoses of chikungunya cases and their entry in the national monitoring system, leaving policymakers without the up-to-date case count statistics they need. In contrast, weekly data on Google searches for chikungunya is available with no delay. Here, we analyse whether Google search data can help improve rapid estimates of chikungunya case counts in Rio de Janeiro, Brazil. We build on a Bayesian approach suitable for data that is subject to long and varied delays, and find that including Google search data reduces both model error and uncertainty. These improvements are largest during epidemics, which are particularly important periods for policymakers. Including Google search data in chikungunya surveillance systems may therefore help policymakers respond to future epidemics more quickly. Author summary To respond quickly to disease outbreaks, policymakers need rapid data on the number of new infections. However, for many diseases, such data is very delayed, due to the administrative work required to record each case in a disease surveillance system. This is a problem for data on chikungunya, a mosquito-borne disease which is a growing threat in Brazil. In Rio de Janeiro, delays in chikungunya cases being recorded average four weeks. These delays are sometimes longer and sometimes shorter. In stark contrast to chikungunya data, data on what people are searching for on Google is available almost immediately. People suffering from chikungunya might search on Google for information about the disease. Here, we investigate whether rapidly available Google data can help generate quick estimates of the number of chikungunya cases in Rio de Janeiro in the previous week. Our model uses a Bayesian methodology to help account for the varying delays in the chikungunya data. We show that including Google search data in the model reduces both the error and uncertainty of the chikungunya case count estimates, in particular... T.P. and H.S.M. are also grateful for support provided by The Alan Turing Institute (https://www.turing.ac.uk/) under the EPSRC (https://epsrc.ukri.org/) grant EP/N510129/1 (awards TU/B/000006 and TU/B/000008), and the Office for National Statistics Data Science Campus (https://datasciencecampus.ons.gov.uk/). L.S.B. acknowledges support from FAPERJ (http://www.faperj.br/) grant E-26/201.277/2021 and CNPq (https://www.gov.br/cnpq/) grant 310530/2021-0. C.T.C. acknowledges support from CNPq (https://www.gov.br/cnpq/) grant 305553/2014-3, Fiocruz edital INOVA Produtos 2019 (https://portal.fiocruz.br/programa-inova-fiocruz/) grant 6681340495 as well as InfoDengue support from the SVS/Brazilian Ministry of Health (https://www.gov.br/saude/gt-br/composicao/svs). The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. Competing interests: The authors have declared that no competing interests exist. Introduction Chikungunya, a mosquito-borne viral disease or arbovirosis, is a growing global public health challenge. In Brazil, there have been over 640,000 reported cases since 2017, with 100,000 to 250,000 cases per year [1]. Nearly a quarter of these cases have been recorded in the state of Rio de Janeiro [1]. In the city of Rio de Janeiro, it is estimated that 18% of the population have already been exposed to the chikungunya virus [2]. By conservative estimates, acute infections lead to chronic health complications in around 25% of cases, such as paralysis and long-term debilitating syndromes [3–6]. Fatality rates may also be higher than previously recognised, due to challenges in determining the cause of death [5]. Chikungunya incidence is highly seasonal, with one epidemic per year during the warmer months when mosquitoes are more active. Epidemics in Ceará, Brazil, have caused major disruptions to their healthcare system [7], and the economic costs from treatment and workplace absence are often catastrophic for the low-income households affected by chikungunya [8]. Disease statistics are prone to delays, as there is often a lag between a patient seeking treatment, being diagnosed, and the case being recorded in disease surveillance databases [9]. In Rio de Janeiro, for chikungunya cases, this delay averages around four weeks, with data arriving gradually and inconsistently. Faster surveillance is therefore strongly desirable, with the goal of allowing public health policymakers to respond more quickly to epidemics [10], facilitating better targeting of mosquito control activities and greater awareness in the general population of the need to take precautions. More up-to-date data would also provide doctors with valuable information when patients present with symptoms that are common across multiple diseases. More broadly, the consequences of failing to respond at sufficient speed to the spread of disease have been emphatically underlined by the Covid-19 crisis [11, 12]. In the absence of faster protocols for recording cases of disease, another option is to augment the available case count data by combining it with other readily available data sources. Online data is a useful source of information for improving the quality and timing of disease surveillance. People experiencing symptoms of a disease may not only consult a medical professional for help, but may also search for information on Google, potentially before seeking professional assistance. In contrast to official case counts, weekly data on Google searches is reliably available with no delay. Previous studies have shown a relationship between internet search data and case counts for diseases such as the flu [13, 14] and dengue [15–17]. Here, we investigate whether Google search data can help generate faster estimates of chikungunya case counts in Brazil. Estimating the value of statistics before they are officially released is known as “nowcasting”, a term first used to describe real-time estimation of delayed macroeconomic statistics [18]. Nowcasting is strongly related to forecasting: where forecasting seeks to predict the future, nowcasting seeks to “predict the present” [19]. A promising sign that internet search data may help nowcast chikungunya can be found in one study that reports a positive correlation between Google search activity and chikungunya incidence in the Amazon [20]. The question is whether this is a sufficiently strong and consistent relationship to reduce the error and uncertainty of chikungunya nowcasts, in comparison to a model that uses historic chikungunya case data alone. To investigate this question, we build on a Bayesian approach specifically designed for now-casting where case data is subject to long and varied delays [17, 21]. Better chikungunya nowcasts could help public health authorities respond more quickly to future epidemics, therefore mitigating their damage [22]. Materials and methods Ethics statement We use two main data sources in our analyses. The first is anonymised chikungunya case data from Brazil’s disease monitoring system, henceforth referred to as SINAN (Sistema de Informação de Agravos de Notificação) [23]. The second is aggregate Google search data from the Google Trends API. Informed consent for secondary analysis of this data for research purposes was not obtained as part of the data generation process for either the chikungunya case data or Google search data. However, all data is anonymous, analysed at low geographic granularity (city-level for the case data and state-level for the search data) and either provided as an aggregate weekly measure (in the case of the search data) or aggregated to weekly level for analysis (in the case of the chikungunya case count data). Approval for secondary analysis of this anonymous data was obtained from the University of Warwick’s Humanities and Social Sciences Research Ethics Committee (HSSREC application reference 42/19–20). Materials We obtain anonymised chikungunya case data for the city of Rio de Janeiro through the Info-Dengue project [9]. Our case data begins on 3 January 2016, shortly after the start of the first chikungunya epidemic in Rio de Janeiro, and ends on 5 January 2020. The raw data is case-level: for each case, we have access to a notification date and an entry date. The notification date is the date on which a doctor first diagnoses a chikungunya case. The entry date is the date that a suspected chikungunya case is entered into the surveillance system. Case confirmation is usually based on symptoms alone, as only 10% of cases are confirmed by laboratories. If a laboratory finds that a chikungunya case is falsely diagnosed, it is retroactively removed from the system. Table 1 shows that case entry usually occurs well after notification; only 50% of notified cases are entered into the system within 2 weeks of notification. There are also some very long \| Mean percentage of cases entered after \| Number of weeks \| 1 week \| 2 weeks \| 4 weeks \| 8 weeks \| \|--------------------------------------\|-----------------\|--------\|---------\|---------\|---------\| \| All periods \| 208 \| 26% \| 50% \| 74% \| 87% \| \| Epidemics \| 121 \| 26% \| 51% \| 76% \| 90% \| \| Non-epidemics \| 87 \| 26% \| 48% \| 72% \| 84% \| \| 2016 \| 52 \| 31% \| 51% \| 68% \| 82% \| \| 2017 \| 52 \| 27% \| 49% \| 76% \| 88% \| \| 2018 \| 52 \| 24% \| 49% \| 78% \| 91% \| \| 2019 \| 52 \| 23% \| 49% \| 76% \| 89% \| https://doi.org/10.1371/journal.pntd.0010441.t001 delays in the data, such that 26% of notified cases are still not entered after 4 weeks, and 13% of notified cases are still not entered after 8 weeks. We verify whether the delays are similar when only considering epidemic periods, as defined by the Moving Epidemic Method (MEM) [24]. The MEM analyses the frequency of cases across the sample to set a weekly case threshold, above which the week would be defined as an epidemic period. For our data, the epidemic threshold identified by the MEM is 104 cases. The second row of Table 1 shows that delays during epidemic periods are similar to delays when considering all of the data. However, Table 1 also reveals that 58% of weeks in this dataset fall in an epidemic. For this reason, we further examine the pattern of delays in different years, to help us understand whether delays are impacted by the size of the epidemic. We find little difference between the delays witnessed in individual years and those in the sample as a whole, regardless of the size or presence of an epidemic in each of the years. This suggests that any differences in the performance of the model in these different time periods are unlikely to be due to differences in the structure of the delays. To illustrate the length and inconsistency in reporting delays, Fig 1 shows a snapshot of data availability for the week commencing 26 May 2019. There were 2,895 diagnosed cases during the week, but these cases were entered into the system only gradually over the following weeks, with around 25% of cases still not entered after two months. At the end of the example week, the data on previous weeks was similarly incomplete, with completeness generally being worse for more recent weeks. The fact that the case count data remains incomplete for several weeks poses a challenge for building an appropriate nowcasting model. Specifically, if we wish to estimate the total cases $X_t$ at the end of week $t$, the lagged variable $X_{t-1}$ will not be very informative, as this count will be artificially low due to incompleteness. It would be possible to mitigate this incompleteness by working with monthly data instead of weekly data. For example, if we wished to estimate the total cases $X_m$ at the end of month $m$, the lagged variable $X_{m-1}$ would reflect cases from over a month ago. Table 1 shows that the level of incompleteness would be much less for a variable lagged by a month, $X_{m-1}$, than it would be for a variable lagged by a week, $X_{t-1}$. However, delivering monthly estimates would leave policymakers working with infrequent updates on a disease situation which typically develops at much greater tempo. To enable us to deliver weekly nowcasting estimates despite the case count data remaining incomplete for such lengthy periods, our time series modelling must therefore go beyond an approach that expects lagged data to be complete, in contrast to nowcasting approaches that have worked well in other areas of disease surveillance and beyond [14, 19, 25]. We return to this point in the Methods section. Our second dataset reflects Google search behaviour, and is available at weekly resolution with no delay from the Google Trends API. We obtain weekly data on Google searches between January 2016 and January 2020. To retrieve data on searches related to chikungunya, we use Wikidata [26] to identify the Freebase topic ID for chikungunya (/m/01__7l), in line with an approach taken in previous work on dengue [17]. Limitations on the spatial granularity of data available from the Google Trends API mean that we need to retrieve data for the whole state of Rio de Janeiro, rather than just for the city. A key question for these analyses is therefore whether state-level search data will prove informative for city-level chikungunya case counts. Fig 2 provides early evidence that, despite this limitation, spikes in Google searches for chikungunya may provide a rapid indicator of higher case counts. There is visually a strong correlation, with the peaks in Google searches occurring on or before the epidemic peaks in 2016, 2018 and 2019. The magnitude of spikes in Google searches are also visually a good fit for the magnitude of epidemics, with the biggest spikes in searches occurring during the 2016 and 2019 epidemics. Fig 1. Chikungunya case data availability for an example week. Data on previous chikungunya cases arrives gradually and inconsistently. We illustrate this problem using the week commencing 26 May 2019, the peak of the 2019 epidemic in Rio de Janeiro. The black series show the true number of cases in each of the previous weeks. The red series show how many of these cases had been entered into the surveillance system by the end of the week. A) Only 20% of the 2,895 cases for the week commencing 26 May 2019 had been entered by the end of the week. B) The data is still very incomplete 8 weeks later, with only 74% of cases from the week commencing 26 May 2019 having been entered. C) The data is still not complete even after 16 weeks, with only 93% of cases from the week commencing 26 May 2019 having been entered. Data completeness is generally worse for more... recent weeks, but this is not a consistent relationship. For example, by 15 September 2019, 79% of the cases in the week commencing 18 August 2019 had been entered, but only 58% of cases had been entered for the week commencing 11 August 2019, despite this being a week earlier. https://doi.org/10.1371/journal.pntd.0010441.g001 Weekly Google search data is reliably available in real-time: at the end of any given week, we have a complete record of search behaviour for that week. This provides a stark contrast to the official chikungunya case data that is available at the end of any given week, where we lack complete data on both the week that has just passed and previous weeks. Therefore, we hypothesise that Google search data may help us nowcast chikungunya case counts. Methods Our objective is to estimate the current weekly case count $X_t$, using only data available by the end of week $t$. This is the challenge faced by health professionals in a surveillance setting. We compare the performance of three models. We first consider the performance of a statistical nowcasting model designed to estimate chikungunya incidence based on historic chikungunya data alone, whilst accounting for the incompleteness of recent data (the baseline nowcasting model). This baseline model is currently implemented in the InfoDengue system. We then investigate whether this baseline nowcasting model can be improved by additionally considering Google search data (the nowcasting model using Google searches). Finally, to provide real-world context for the performance of these statistical models, we consider a model that aims to capture the heuristic approach used by policymakers to mitigate against incompleteness of recent data, whereby data from the most recent weeks is simply disregarded (the heuristic model). Baseline nowcasting model. To generate baseline nowcasts of chikungunya in Rio de Janeiro, we employ a nowcasting model developed for case count data that arrives gradually and inconsistently [21]. For each week, this model aims to estimate the number of cases that will be entered into the system with a given number of weeks delay, using data available in week $t$. Table 2 provides a stylised example of the data availability problem the model aims to address. To estimate total cases $X_t$ in week $t$, we must therefore estimate how many cases will be entered with a delay of $d$ weeks ($x_{t,d}$), where $$X_t = \sum_{d=0}^{D} x_{t,d}$$ For efficiency, in fitting the model we discard all cases for which case entry was delayed for over 26 weeks. We then set the maximum delay $D$ to the number of weeks delay required to include 95% of the remaining cases in training, or 8 weeks if this is greater. Following Bastos et al. [21], we assume $x_{t,d}$ has a negative binomial distribution: $$x_{t,d} \sim NB(\lambda_{t,d}, \phi)$$ We estimate the mean of this distribution, $\lambda_{t,d}$, with the following specification: $$\log (\lambda_{t,d}) = \alpha + \beta_t + \gamma_d$$ where - $\alpha$ is a time-invariant constant. - $\beta_t$ is a first order random walk (rw1) random effect $\beta_t \sim N(\beta_{t-1}, \sigma^2_\beta)$ capturing serial correlation in case counts. If we observe larger case counts in the previous week, we estimate a higher case count for the current week. Fig 2. Comparing chikungunya case counts and Google searches over time. A) Time series of chikungunya cases per week in Rio de Janeiro, from 2016 to 2020. The grey series shows the number of cases diagnosed in each week (the notified cases). The red series shows the number of cases diagnosed in a given week that have been entered into the disease surveillance system by the end of that week. Entered cases are an inconsistent fraction of notified cases, and this issue is most severe during the large epidemics in 2016 and 2019. This makes estimating current chikungunya case counts from the official data alone particularly challenging. B) Time series of weekly Google searches for chikungunya-related terms, which are available in real-time. Visually, there is a strong correlation with the case count time series, with Google searches peaking during the large epidemics in 2016 and 2019. The size of the peaks in Google searches also seems to match the size of the epidemics, with the biggest peaks during the 2016 and 2019 epidemics. Google search data may therefore provide a rapid indicator of chikungunya case counts. https://doi.org/10.1371/journal.pntd.0010441.g002 Table 2. Stylised example of chikungunya case count data availability for a given week. This matrix provides a stylised example of the chikungunya case count data available when nowcasting cases for a given week. In this example, we hold data from week 1 onwards and forecast current week 7. For each cell in the matrix, we assume that the maximum delay in reporting into the surveillance system is five weeks. Each row represents a previous week’s reported cases, and the column represents the entry delay ($d$) in weeks. For example, we can see that there were initially 15 cases entered into the system in week 2, 8 further cases after a delay of 1 week, 10 cases after a delay of 2 weeks, and so on. Case data is incomplete, not only for week 7 but also weeks 3 through 6. The incompleteness is usually worse the closer the week to the current period, so there is a running “triangle” of unknown case counts and associated delays to be estimated for previous weeks. Estimating each cell in the last row of this triangle yields a nowcast of the total case count for week 7. The method introduced by Bastos et al. [21] provides an approach for generating these estimates. \| Week ($t$) \| Delay in weeks ($d$) \| 0 \| 1 \| 2 \| 3 \| 4 \| 5 \| Total \| \|------------\|----------------------\|---\|---\|---\|---\|---\|---\|-------\| \| 1 \| \| 10\| 12\| 6 \| 4 \| 1 \| 1 \| 34 \| \| 2 \| \| 15\| 8 \| 10\| 2 \| 4 \| 1 \| 40 \| \| 3 \| \| 19\| 9 \| 13\| 5 \| 2 \| ? \| ? \| \| 4 \| \| 19\| 9 \| 13\| 5 \| ? \| ? \| ? \| \| 5 \| \| 17\| 25\| 11\| ? \| ? \| ? \| ? \| \| 6 \| \| 26\| 20\| ? \| ? \| ? \| ? \| ? \| \| 7 \| \| 39\| ? \| ? \| ? \| ? \| ? \| ? \| https://doi.org/10.1371/journal.pntd.0010441.t002 - $\gamma_d$ is an rw1 random effect $\gamma_d \sim \mathcal{N}(\gamma_{d-1}, \sigma^2_\gamma)$ capturing serial correlation in the number of cases reported with a given number of weeks delay. If we observe a greater number of cases with $d - 1$ weeks delay, we estimate a higher number of cases with $d$ weeks delay too. We fit the parameters for this specification using the Integrated Nested Laplace Approximation (INLA) method [27]. We estimate each $x_{t,d}$ via sampling, which yields a posterior distribution of estimates for $X_t = \sum_{d=0}^{D} x_{t,d}$. This distribution provides a natural measure of uncertainty, with wider distributions implying greater uncertainty. Using this model, we estimate the chikungunya case count in each week $t >= 21$ (in other words, from 22 May 2016 onwards) utilising an adaptive nowcasting procedure [14] as follows. We initially train a model with the first 20 weeks of data. The model then outputs a posterior distribution of estimated case counts for week 21. We record the difference between the mean case count estimate and the true case count as the model’s out-of-sample nowcast error. In each following week $t > 21$, we re-train the model with all available data at week $t$. Therefore, the model “adapts” over time [14]. Previous nowcasting studies where models were not retrained using the most recent available data led to overestimates of flu incidence [28]. In this analysis, we always train on all data prior to week $t$ rather than using a fixed training window, following previous work on nowcasting dengue [17]. We discuss the pros and cons of this approach in the Discussion. Nowcasting model using Google searches. We now define our nowcasting model using Google searches. This is similar to the baseline nowcasting model, but also includes Google search data $G_t$ as a covariate: $$\log(\lambda_{t,d}) = \alpha + \beta_t + \gamma_d + \delta \log(G_t)$$ where $\delta$ is a regression coefficient. Google search data is fully available by the end of the week. We can therefore include $G_t$ directly, rather than having to estimate it in the same way as the chikungunya case data. Heuristic model. Finally, we operationalise the heuristic approach used by policymakers to mitigate against incompleteness of recent data. In the heuristic model, we disregard the last few weeks of incomplete data and instead use the number of notified cases from three weeks ago, $X_{t-3}$, as an estimate of the current number of cases, $X_t$. The heuristic model provides important context for the performance of the statistical nowcasting models. Its inclusion is inspired by what Yang et al. term the “naive” model in their dengue nowcasting analyses [25] (see also [17]). We expect the baseline nowcasting model to perform much better than the commonly applied heuristic approach. We are therefore analysing whether Google search data can help us further improve the performance of a carefully chosen baseline nowcasting model that is well-suited to this nowcasting problem. Model comparison Following previous work on nowcasting dengue [17], we calculate a range of metrics for our models to allow us to investigate both the error and uncertainty of our estimates. For all models, we report model error in terms of mean absolute error (MAE), where a lower MAE reflects more accurate estimates. We report uncertainty in terms of the mean 95% prediction interval width (MPI), where a smaller interval represents reduced uncertainty about model estimates. It is important to verify that any reduction in the size of the 95% prediction interval is not simply due to the interval becoming too narrow and no longer reliable. We therefore also report interval reliability, in terms of the percentage of true weekly case counts that fall within the 95% prediction interval for that week. 95% of true weekly cases falling within the 95% prediction interval represents good interval reliability. Finally, we report results both for the full period and when considering epidemic periods alone, as epidemics are likely to be particularly important for policymakers. We define epidemic periods using the 104 weekly case threshold previously calculated using the Moving Epidemic Method (MEM) [24]. Results Table 3 compares model error across the heuristic model, baseline nowcasting model and nowcasting model using Google searches. The baseline nowcasting model is much more accurate than the heuristic model, reducing MAE by 34% across the sample as a whole. Adding Google search data to the model further improves upon the baseline, reducing MAE by 41% relative to the heuristic model. Fig 3A shows that estimates produced by the model using Google searches are rarely far from the true case count. In Table 3, we report the error of the model estimates during epidemics as well as across the full period. The improvement offered by the baseline nowcasting model over the heuristic model increases further during epidemics, reducing MAE by 35%. In turn, there is an increase \| Model \| All periods \| \| \| Epidemics \| \| \|-----------\|-------------\|----------\|----------\|-----------\|----------\| \| \| MAE \| Relative MAE \| MAE \| Relative MAE \| \| Baseline \| 124.8 \| 0.66 \| 212.8 \| 0.65 \| \| Google \| 110.9 \| 0.59 \| 187.7 \| 0.57 \| \| Heuristic \| 187.9 \| 1.00 \| 327.0 \| 1.00 \| https://doi.org/10.1371/journal.pntd.0010441.t003 Fig 3. Performance of the nowcasting model using Google searches. A) Nowcast results over time for the model using data on Google searches for chikungunya. The model’s estimates are relatively accurate across the sample. Moreover, the ground truth rarely falls outside the 95% prediction intervals. B) A comparison of relative nowcast errors, in case numbers, between the baseline nowcasting model and nowcasting model using Google searches. Blue indicates that error is lower for the model using Google searches, and red indicates that error is lower for the baseline model. Overall the errors produced by the model using Google searches are lower, although there is some volatility around epidemic periods. C) A comparison of relative prediction interval width, in case numbers, between the baseline model and model using Google searches. The prediction interval produced by the model using Google searches is generally narrower, except for the period at the start of the 2019 epidemic. However, Table 4 shows that the baseline model prediction intervals are less reliable during an epidemic. For example, several of the true weekly case counts in the first half of the 2019 epidemic fall outside the baseline prediction interval (Fig A in S1 Appendix), but within the prediction interval produced by the model using Google searches. https://doi.org/10.1371/journal.pntd.0010441.g003 in the improvement offered by the model using Google searches over the baseline model too, with the model using Google searches reducing MAE by 43% relative to the heuristic model. Fig 3B shows there are few periods during epidemics where the baseline model outperforms the model using Google searches. This is further corroborated when splitting the errors by year, as shown in Table A in S1 Appendix. The model using Google searches outperforms the baseline model during the years in which the chikungunya case count exceeds the epidemic threshold for many weeks (2016, 2018 and 2019). In 2017, the baseline model outperforms the model using Google searches, but both models display very low error rates. Table 4 compares the uncertainty of the baseline model and model using Google searches in terms of the mean 95% prediction interval width (MPI). The heuristic approach does not allow an interval to be calculated. Fig 3A shows that ground truth weekly case counts very rarely fall outside the 95% prediction interval produced by the model using Google searches. Furthermore, there are no instances where the ground truth falls far outside the prediction interval. The nowcasting model using Google searches exhibits less uncertainty than the baseline nowcasting model, reducing MPI by 7%. While the prediction interval width increases for both models when considering epidemic periods alone, the intervals produced by the model using Google searches remain 8% smaller than the baseline intervals. This lower uncertainty holds for each year in the sample, with the model using Google searches reducing the mean prediction interval width by between 4% and 14% each year, as shown in Table B in S1 Appendix. Finally, the nowcasting model using Google searches also produces more reliable prediction intervals than the baseline nowcasting model. Across the sample as a whole, the prediction interval produced by the model using Google searches captures 93% of the ground truth while the baseline model prediction interval only captures 91% (Table 4). This difference is larger during epidemics: the prediction interval produced by the model using Google searches captures 93% of the ground truth whereas the baseline model interval captures only 88%. The slight overconfidence of the intervals seems largely driven by the first epidemic, where the model had little data to train on (see Table C in S1 Appendix for results excluding the first epidemic). Table 4. Comparison of uncertainty in chikungunya case count estimates for the baseline nowcasting model and nowcasting model using Google searches. We compare the mean prediction interval widths (MPIs) for nowcasts from the baseline model and model using Google searches. The heuristic model is omitted as this approach does not allow a prediction interval to be calculated. The first three columns show results across the sample as a whole: The first column is the MPI reported in number of cases; the second column is the MPI relative to the baseline nowcasting model; and the third column is the percentage of actual weekly case counts within the prediction interval. The nowcasting model using Google searches is more precise than the baseline nowcasting model, reducing MPI by 7%. It is also slightly more reliable, capturing 93% of actual weekly case counts relative to 91% for the baseline model. In Table C in S1 Appendix, we show that the slight overconfidence of the prediction intervals is largely driven by the first epidemic, where the model had little data to train on. The final three columns show similar results when considering epidemic periods only. While the intervals are much wider for both models, the model using Google searches reduces MPI by 8%. The intervals produced by the model using Google searches are also even more reliable relative to the baseline during epidemics, capturing 93% of weekly case counts relative to 88%. \| Model \| All periods \| Epidemics \| \|-------\|-------------\|-----------\| \| \| MPI \| Relative MPI \| % Correct \| MPI \| Relative MPI \| % Correct \| \| Baseline \| 524.2 \| 1.00 \| 91.0 \| 873.6 \| 1.00 \| 88.1 \| \| Google \| 485.6 \| 0.93 \| 92.6 \| 805.5 \| 0.92 \| 93.1 \| https://doi.org/10.1371/journal.pntd.0010441.t004 Some of the periods where the baseline prediction interval is narrower than the prediction interval produced by the model using Google searches occur during epidemics, particularly in the first half of 2019 (Fig 3C). However, several of the true weekly case counts during the early 2019 epidemic fall outside the baseline prediction interval (Fig A in S1 Appendix), but within the interval produced by the model using Google searches (Fig 3A). Therefore, the narrower baseline prediction intervals may not be as reliable during an epidemic, which further favours the Google nowcasting model. Visual examination of Fig 3B suggests that the nowcasting model using Google searches may be particularly effective relative to the baseline nowcasting model prior to the epidemic peak. To investigate this further, we analyse results from 2018 and 2019, as we do not have data from the onset of the 2016 epidemic, and weekly cases only briefly exceeded the epidemic threshold in 2017. For both 2018 and 2019, we consider weeks in which the case count is above the epidemic threshold of 104 cases. We split this data into the period prior to the epidemic peak and the period after the epidemic peak. We find that the errors produced by the model using Google searches are 16% lower than the baseline in the period prior to the 2018 epidemic peak (Table D in S1 Appendix), and 15% lower prior to the 2019 peak (Table E in S1 Appendix). Similarly, visual comparison of the baseline model’s performance in Fig A in S1 Appendix to the performance of the model using Google searches in Fig 3A suggests that the prediction intervals produced by the model using Google searches may be more reliable in the period prior to the epidemic peak. The prediction intervals produced by the model using Google searches are larger in this period: 15% larger in 2018 and 14% larger in 2019 (Tables F and G in S1 Appendix). However, the actual case counts fall within the baseline prediction intervals only 82% of the time in the period prior to the 2018 epidemic peak and 86% of the time prior to the 2019 peak. By contrast, the actual case counts fall within the intervals produced by the model using Google searches 100% of the time in the periods prior to both the 2018 and 2019 epidemic peaks (Tables F and G in S1 Appendix). Overall then, the nowcasting model using Google searches appears to deliver better performance than the baseline nowcasting model in the periods before epidemic peaks, displaying lower errors and greater reliability of the prediction intervals. There is less of a difference in model performance during the period following the epidemic peak. Following the 2018 epidemic peak, the errors for the model using Google searches are 7% lower than the baseline model errors, but following the 2019 peak, the errors for the model using Google searches are 4% higher (Tables D and E in S1 Appendix). However, the prediction intervals produced by the model using Google searches are 11% narrower than the baseline following the epidemic peak in 2018, and 21% narrower in 2019. There is no difference in the frequency with which the actual case counts fall within the prediction intervals; for both models, this is 100% following both the 2018 and 2019 peaks (Tables F and G in S1 Appendix). The strong performance of the model using Google searches during epidemic onset periods may be particularly helpful for providing early warning of epidemics to policymakers. Again, we define epidemic periods using the 104 weekly case threshold previously calculated using the Moving Epidemic Method (MEM) [24] as applied in the InfoDengue project [9]. We investigate which model provides the most timely detection of this threshold being crossed at the beginning of an epidemic. We consider detection of the 2018 epidemic as a case study, as the case count does not sink below 104 cases for more than two continuous weeks before the 2019 epidemic. In 2018, the actual case count crosses the threshold of 104 cases in epidemiological week 9. In contrast, the heuristic model does not detect threshold crossing until week 15 of the epidemiological year. The baseline model detects the epidemic earlier, estimating that the threshold is crossed in week 12. However, the model using Google searches produces the closest estimate, detecting threshold crossing in week 11. The model using Google searches therefore provides four weeks of early warning relative to the heuristic approach, which monitors only entered cases. These four weeks could have been crucial for policymakers seeking to intervene early in order to limit the spread of chikungunya. Discussion We have analysed whether Google search data can help improve chikungunya nowcasting in Rio de Janeiro, Brazil. Chikungunya in Rio de Janeiro is seasonal, with attack rates varying from year to year. Early warnings of bad outbreaks are important for delivering timely interventions. Data on chikungunya cases is usually entered into the surveillance database with a significant delay after diagnosis, making decisions less timely. These delays are also inconsistent, increasing the challenge of estimating current chikungunya case counts from official data alone. Here, we have examined the performance of three approaches to delivering weekly estimates of chikungunya incidence in Rio de Janeiro whilst mitigating against delays and incomplete data. These are a heuristic approach, frequently applied by policymakers in practice, where data on the last few weeks is simply disregarded; a baseline nowcasting model, as currently implemented in the InfoDengue system, where a statistical approach is employed to model the varying delays in the data; and a nowcasting model using Google searches, which augments the baseline nowcasting model with rapidly available Google search data. We evaluate the error of the models’ estimates of chikungunya incidence when using the data that was available at the end of each week. For the baseline nowcasting model and nowcasting model using Google searches, we also examine the size of the prediction intervals accompanying the estimates, to understand how certain policymakers could be of the estimates delivered. We find that both the baseline model and the model using Google searches outperform the heuristic approach by some margin. Importantly, while the baseline model performs well, we find that including Google search data reduces both nowcast error and uncertainty relative to the baseline. Our analyses show that including Google search data reduces nowcast errors between May 2016 and December 2019. When considering only epidemic periods, which are particularly important for policymakers, we find a similar reduction. We further find that including Google search data reduces nowcast uncertainty, reducing prediction intervals by 8% during epidemics and 7% across the sample as a whole. Finally, including Google search data may make prediction intervals more reliable during epidemics. We find that, during epidemics, the prediction interval produced by the model using Google searches captures 93% of weekly case counts compared to 88% for the baseline interval. Our model can be used in practice to generate weekly estimates, despite the significant and varied delays in the entry of chikungunya case count data. In this analysis, we always train the baseline nowcasting model and nowcasting model using Google searches on all data from earlier weeks, rather than using a fixed training window. Updating the model to include the most recent data is important, as the predictive relationship between search data and disease incidence may change over time [14, 28]. However, previous work on dengue found little evidence that discarding past data in training leads to a reduction in error [17]. As epidemics are infrequent, using all previous data also helps avoid a situation where the epidemics are lost from the training data due to a shorter training window. However, one important advantage of using a shorter fixed size training window is a reduction in computation time [29]. This advantage accumulates if estimates are being produced for thousands of cities in parallel, as is currently the case for the InfoDengue platform. Future work could further examine the performance of the chikungunya nowcasting approaches outlined here with a fixed size training window, to ensure that this parameter delivers the optimal combination of reduced error and rapid computation. The analysis we present here focuses on the city of Rio de Janeiro. However, the Google search data is for the state of Rio de Janeiro, rather than the city. Further research could build on our results by testing whether they hold for other cities in the state, whose Google search behaviour may be less well correlated with the state’s overall search behaviour. Promising initial indications are provided by previous analyses for dengue that demonstrate that state-level Google data can still help reduce error and uncertainty, even in smaller cities [30]. Our methods could also be extended to other areas of Brazil, or other arbovirus-prone regions, such as India, which have experienced chikungunya outbreaks [8]. Inhabitants of other regions may have a different relationship with the internet. For example, they may use it less frequently to gather information on illness. It would be valuable to analyse whether Google search data is still effective for nowcasting in such scenarios. Future work should therefore consider a wider range of chikungunya-prone regions and states beyond the state of Rio de Janeiro. A key limitation of the analysis we present here is the relatively short length of the case count time series available for training. This spans four years, and hence approximately 200 weekly data points. Both the baseline model and model using Google searches overestimate the 2016 epidemic. We suggest that this is due to the fact that this epidemic falls at the beginning of the sample, when little model training has been completed. Both models also underestimate the 2019 epidemic. This is likely to be due to that model training through two smaller outbreaks in 2017 and 2018. Nevertheless, the true data points for the 2019 epidemic still fall within the 95% prediction interval of the model using Google data. As further data arrives, it will be possible to continue to monitor the performance of the proposed nowcasting model. In the analysis described here, we have also only considered one real-time data source. Future nowcasting research could include other data sources, whether measuring other online activity [17, 31], or properties of the external environment related to arbovirosis incidence, such as the weather [32]. Finally, we note that other arboviruses spread by the Aedes aegypti mosquito in Brazil, such as dengue and Zika, exhibit similar symptoms. This can cause challenges for medical practitioners in diagnosis. 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Before you begin read these instructions carefully. The examination paper is divided into two sections. Each question in Section II carries twice the number of marks of each question in Section I. Section II questions also carry an alpha or beta quality mark and Section I questions carry a beta quality mark. Candidates may obtain credit from attempts on at most six questions from Section I and from any number of questions from Section II. Write on one side of the paper only and begin each answer on a separate sheet. Write legibly; otherwise you place yourself at a grave disadvantage. At the end of the examination: Tie up your answers in bundles, marked A, B, C, . . . , J according to the code letter affixed to each question. Include in the same bundle all questions from Sections I and II with the same code letter. Attach a completed gold cover sheet to each bundle. You must also complete a green master cover sheet listing all the questions you have attempted. Every cover sheet must bear your examination number and desk number. STATIONERY REQUIREMENTS Gold cover sheet Green master cover sheet Script paper Rough paper You may not start to read the questions printed on the subsequent pages until instructed to do so by the Invigilator. SECTION I 1I Number Theory (a) State and prove the Chinese remainder theorem. (b) Let $N$ be an odd positive composite integer, and $b$ a positive integer with $(b,N) = 1$. What does it mean to say that $N$ is a Fermat pseudoprime to base $b$? Show that 35 is a Fermat pseudoprime to base $b$ if and only if $b$ is congruent to one of 1, 6, 29 or 34 (mod 35). 2H Topics in Analysis Let $T_n$ be the $n$th Chebychev polynomial. Suppose that $\gamma_i > 0$ for all $i$ and that $\sum_{i=1}^{\infty} \gamma_i$ converges. Explain why $f = \sum_{i=1}^{\infty} \gamma_i T_{3^i}$ is a well defined continuous function on $[-1,1]$. Show that, if we take $P_n = \sum_{i=1}^{n} \gamma_i T_{3^i}$, we can find points $x_k$ with \[-1 \leq x_0 < x_1 < \ldots < x_{3^{n+1}} \leq 1\] such that $f(x_k) - P_n(x_k) = (-1)^{k+1} \sum_{i=n+1}^{\infty} \gamma_i$ for each $k = 0, 1, \ldots, 3^{n+1}$. Suppose that $\delta_n$ is a decreasing sequence of positive numbers and that $\delta_n \to 0$ as $n \to \infty$. Stating clearly any theorem that you use, show that there exists a continuous function $f$ with \[\sup_{t \in [-1,1]} \|f(t) - P(t)\| \geq \delta_n\] for all polynomials $P$ of degree at most $n$ and all $n \geq 1$. 3G Coding and Cryptography Let $X$ and $Y$ be discrete random variables taking finitely many values. Define the conditional entropy $H(X\|Y)$. Suppose $Z$ is another discrete random variable taking values in a finite alphabet, and prove that \[H(X\|Y) \leq H(X\|Y,Z) + H(Z).\] [You may use the equality $H(X,Y) = H(X\|Y) + H(Y)$ and the inequality $H(X\|Y) \leq H(X).$] State and prove Fano’s inequality. 4H Automata and Formal Languages (a) State the pumping lemma for context-free languages (CFLs). (b) Which of the following are CFLs? Justify your answers. (i) \{ww^R \mid w \in \{a, b\}^\}, where $w^R$ is the reverse of the word $w$. (ii) \{0^p1^p \mid p \text{ is a prime}\}. (iii) \{a^mb^nc^kd^l \mid 3m = 4l \text{ and } 2n = 5k\}. (c) Let $L$ and $M$ be CFLs. Show that the concatenation $LM$ is also a CFL. 5J Statistical Modelling The Gamma distribution with shape parameter $\alpha > 0$ and scale parameter $\lambda > 0$ has probability density function \[ f(y; \alpha, \lambda) = \frac{\lambda^\alpha}{\Gamma(\alpha)} y^{\alpha-1} e^{-\lambda y} \quad \text{for } y > 0. \] Give the definition of an exponential dispersion family and show that the set of Gamma distributions forms one such family. Find the cumulant generating function and derive the mean and variance of the Gamma distribution as a function of $\alpha$ and $\lambda$. 6C Mathematical Biology An animal population has annual dynamics, breeding in the summer and hibernating through the winter. At year $t$, the number of individuals alive who were born $a$ years ago is given by $n_{a,t}$. Each individual of age $a$ gives birth to $b_a$ offspring, and after the summer has a probability $\mu_a$ of dying during the winter. [You may assume that individuals do not give birth during the year in which they are born.] Explain carefully why the following equations, together with initial conditions, are appropriate to describe the system: \[ \begin{align} n_{0,t} &= \sum_{a=1}^{\infty} n_{a,t} b_a \\ n_{a+1,t+1} &= (1 - \mu_a) n_{a,t}, \end{align} \] Seek a solution of the form $n_{a,t} = r_a \gamma^t$ where $\gamma$ and $r_a$, for $a = 1, 2, 3 \ldots$, are constants. Show $\gamma$ must satisfy $\phi(\gamma) = 1$ where \[ \phi(\gamma) = \sum_{a=1}^{\infty} \left( \prod_{i=0}^{a-1} (1 - \mu_i) \right) \gamma^{-a} b_a. \] Explain why, for any reasonable set of parameters $\mu_i$ and $b_i$, the equation $\phi(\gamma) = 1$ has a unique solution. Explain also how $\phi(1)$ can be used to determine if the population will grow or shrink. 7A Further Complex Methods The Beta function is defined by \[ B(p, q) := \int_0^1 t^{p-1}(1-t)^{q-1} dt = \frac{\Gamma(p)\Gamma(q)}{\Gamma(p+q)}, \] where $ \text{Re } p > 0, \text{ Re } q > 0, $ and $ \Gamma $ is the Gamma function. (a) By using a suitable substitution and properties of Beta and Gamma functions, show that \[ \int_0^1 \frac{dx}{\sqrt{1-x^4}} = \frac{[\Gamma(1/4)]^2}{\sqrt{32\pi}}. \] (b) Deduce that \[ K\left(\frac{1}{\sqrt{2}}\right) = \frac{4 [\Gamma(5/4)]^2}{\sqrt{\pi}}, \] where $ K(k) $ is the complete elliptic integral, defined as \[ K(k) := \int_0^1 \frac{dt}{\sqrt{(1-t^2)(1-k^2t^2)}}. \] [Hint: You might find the change of variable $ x = t(2-t^2)^{-1/2} $ helpful in part (b).] 8E Classical Dynamics (a) A mechanical system with $ n $ degrees of freedom has the Lagrangian $ L(q, \dot{q}) $, where $ q = (q_1, \ldots, q_n) $ are the generalized coordinates and $ \dot{q} = dq/dt $. Suppose that $ L $ is invariant under the continuous symmetry transformation $ q(t) \mapsto Q(s, t) $, where $ s $ is a real parameter and $ Q(0, t) = q(t) $. State and prove Noether’s theorem for this system. (b) A particle of mass $ m $ moves in a conservative force field with potential energy $ V(r) $, where $ r $ is the position vector in three-dimensional space. Let $ (r, \phi, z) $ be cylindrical polar coordinates. $ V(r) $ is said to have helical symmetry if it is of the form \[ V(r) = f(r, \phi - kz), \] for some constant $ k $. Show that a particle moving in a potential with helical symmetry has a conserved quantity that is a linear combination of angular and linear momenta. 9B Cosmology [You may work in units of the speed of light, so that $ c = 1 $.] By considering a spherical distribution of matter with total mass $ M $ and radius $ R $ and an infinitesimal mass $ \delta m $ located somewhere on its surface, derive the Friedmann equation describing the evolution of the scale factor $ a(t) $ appearing in the relation $ R(t) = R_0 a(t)/a(t_0) $ for a spatially-flat FLRW spacetime. Consider now a spatially-flat, contracting universe filled by a single component with energy density $ \rho $, which evolves with time as $ \rho(t) = \rho_0 [a(t)/a(t_0)]^{-4} $. Solve the Friedmann equation for $ a(t) $ with $ a(t_0) = 1 $. 10D Quantum Information and Computation Introduce the 2-qubit states \[ \|\beta_{xz}\rangle = (Z^z X^x) \otimes I \left( \frac{\|00\rangle + \|11\rangle}{\sqrt{2}} \right), \] where $ X $ and $ Z $ are the standard qubit Pauli operations and $ x, z \in \{0, 1\} $. (a) For any 1-qubit state $ \|\alpha\rangle $ show that the 3-qubit state $ \|\alpha\rangle_C \|\beta_{00}\rangle_{AB} $ of system $ CAB $ can be expressed as \[ \|\alpha\rangle_C \|\beta_{00}\rangle_{AB} = \frac{1}{2} \sum_{x,z=0}^{1} \|\beta_{xz}\rangle_{CA} \|\mu_{xz}\rangle_B, \] where the 1-qubit states $ \|\mu_{xz}\rangle $ are uniquely determined. Show that $ \|\mu_{10}\rangle = X \|\alpha\rangle $. (b) In addition to $ \|\mu_{10}\rangle = X \|\alpha\rangle $ you may now assume that $ \|\mu_{xz}\rangle = X^x Z^z \|\alpha\rangle $. Alice and Bob are separated distantly in space and share a $ \|\beta_{00}\rangle_{AB} $ state with $ A $ and $ B $ labelling qubits held by Alice and Bob respectively. Alice also has a qubit $ C $ in state $ \|\alpha\rangle $ whose identity is unknown to her. Using the results of part (a) show how she can transfer the state of $ C $ to Bob using only local operations and classical communication, i.e. the sending of quantum states across space is not allowed. (c) Suppose that in part (b), while sharing the $ \|\beta_{00}\rangle_{AB} $ state, Alice and Bob are also unable to engage in any classical communication, i.e. they are able only to perform local operations. Can Alice now, perhaps by a modified process, transfer the state of $ C $ to Bob? Give a reason for your answer. SECTION II 11G Coding and Cryptography What does it mean to say that $C$ is a binary linear code of length $n$, rank $k$ and minimum distance $d$? Let $C$ be such a code. (a) Prove that $n \geq d + k - 1$. Let $x = (x_1, \ldots, x_n) \in C$ be a codeword with exactly $d$ non-zero digits. (b) Prove that puncturing $C$ on the non-zero digits of $x$ produces a code $C'$ of length $n - d$, rank $k - 1$ and minimum distance $d'$ for some $d' \geq \left\lceil \frac{d}{2} \right\rceil$. (c) Deduce that $n \geq d + \sum_{1 \leq l \leq k-1} \left\lceil \frac{d}{2^l} \right\rceil$. 12H Automata and Formal Languages Let $D = (Q, \Sigma, \delta, q_0, F)$ be a deterministic finite-state automaton (DFA). Define what it means for two states of $D$ to be equivalent. Define the minimal DFA $D/\sim$ for $D$. Let $D$ be a DFA with no inaccessible states, and suppose that $A$ is another DFA on the same alphabet as $D$ and for which $\mathcal{L}(D) = \mathcal{L}(A)$. Show that $A$ has at least as many states as $D/\sim$. [You may use results from the course as long as you state them clearly.] Construct a minimal DFA (that is, one with the smallest possible number of states) over the alphabet $\{0, 1\}$ which accepts precisely the set of binary numbers which are multiples of 7. You may have leading zeros in your inputs (e.g.: 00101). Prove that your DFA is minimal by finding a distinguishing word for each pair of states. 13J Statistical Modelling The ice_cream data frame contains the result of a blind tasting of 90 ice creams, each of which is rated as poor, good, or excellent. It also contains the price of each ice cream classified into three categories. Consider the R code below and its output. ```r > table(ice_cream) score price excellent good poor high 12 8 10 low 7 9 14 medium 12 11 7 > > ice_cream.counts = as.data.frame(xtabs(Freq ~ price + score-1, data=table(ice_cream))) > glm.fit = glm(Freq ~ price + score, data=ice_cream.counts, family="poisson") > summary(glm.fit) Call: glm(formula = Freq ~ price + score - 1, family = "poisson", data = ice_cream.counts) Deviance Residuals: 1 2 3 4 5 6 7 8 9 0.5054 -1.1019 0.5054 -0.4475 -0.1098 0.5304 -0.1043 1.0816 -1.1019 Coefficients: Estimate Std. Error z value Pr(>\|z\|) pricehigh 2.335e+00 2.334e-01 10.01 <2e-16 pricelow 2.335e+00 2.334e-01 10.01 <2e-16 * pricemedium 2.335e+00 2.334e-01 10.01 <2e-16 * scoregood -1.018e-01 2.607e-01 -0.39 0.696 scorepoor 3.892e-14 2.540e-01 0.00 1.000 --- Signif. codes: 0 ‘’ 0.001 ‘’ 0.01 ‘’ 0.05 ‘.’ 0.1 ‘ ’ 1 (Dispersion parameter for poisson family taken to be 1) Null deviance: 257.2811 on 9 degrees of freedom Residual deviance: 4.6135 on 4 degrees of freedom AIC: 51.791 ``` (a) Write down the generalised linear model fitted by the code above. (b) Prove that the fitted values resulting from the maximum likelihood estimator of the coefficients in this model are identical to those resulting from the maximum likelihood estimator when fitting a Multinomial model which assumes the number of ice creams at each price level is fixed. (c) Using the output above, perform a goodness-of-fit test at the 1% level, specifying the null hypothesis, the test statistic, its asymptotic null distribution, any assumptions of the test and the decision from your test. (d) If we believe that better ice creams are more expensive, what could be a more powerful test against the model fitted above and why? 14A Further Complex Methods (a) Consider the Papperitz symbol (or P-symbol): \[ P \left\{ \begin{array}{ccc} a & b & c \\ \alpha & \beta & \gamma \\ \alpha' & \beta' & \gamma' \end{array} \right\}. \tag{\dagger} \] Explain in general terms what this P-symbol represents. [You need not write down any differential equations explicitly, but should provide an explanation of the meaning of $a, b, c, \alpha, \beta, \gamma, \alpha', \beta'$ and $\gamma'$.] (b) Prove that the action of $[(z-a)/(z-b)]^\delta$ on (\dagger) results in the exponential shifting, \[ P \left\{ \begin{array}{ccc} a & b & c \\ \alpha + \delta & \beta - \delta & \gamma \\ \alpha' + \delta & \beta' - \delta & \gamma' \end{array} \right\}. \tag{\ddagger} \] [Hint: It may prove useful to start by considering the relationship between two solutions, $\omega$ and $\omega_1$, which satisfy the P-equations described by the respective P-symbols (\dagger) and (\ddagger).] (c) Explain what is meant by a Möbius transformation of a second order differential equation. By using suitable transformations acting on (\dagger), show how to obtain the P-symbol \[ P \left\{ \begin{array}{ccc} 0 & 1 & \infty \\ 0 & 0 & a \\ 1-c & c-a-b & b \end{array} \right\}, \tag{\star} \] which corresponds to the hypergeometric equation. (d) The hypergeometric function $F(a, b, c; z)$ is defined to be the solution of the differential equation corresponding to (\star) that is analytic at $z = 0$ with $F(a, b, c; 0) = 1$, which corresponds to the exponent zero. Use exponential shifting to show that the second solution, which corresponds to the exponent $1-c$, is \[ z^{1-c} F(a-c+1, b-c+1, 2-c; z). \] 15B Cosmology [You may work in units of the speed of light, so that $c = 1$.] Consider a spatially-flat FLRW universe with a single, canonical, homogeneous scalar field $\phi(t)$ with a potential $V(\phi)$. Recall the Friedmann equation and the Raychaudhuri equation (also known as the acceleration equation) \[ \left( \frac{\dot{a}}{a} \right)^2 = H^2 = \frac{8\pi G}{3} \left[ \frac{1}{2} \dot{\phi}^2 + V \right], \] \[ \frac{\ddot{a}}{a} = -\frac{8\pi G}{3} \left( \dot{\phi}^2 - V \right). \] (a) Assuming $\dot{\phi} \neq 0$, derive the equations of motion for $\phi$, i.e. \[ \ddot{\phi} + 3H\dot{\phi} + \partial_\phi V = 0. \] (b) Assuming the special case $V(\phi) = \lambda \phi^4$, find $\phi(t)$, for some initial value $\phi(t_0) = \phi_0$ in the slow-roll approximation, i.e. assuming that $\dot{\phi}^2 \ll 2V$ and $\ddot{\phi} \ll 3H\dot{\phi}$. (c) The number $N$ of efoldings is defined by $dN = d\ln a$. Using the chain rule, express $dN$ first in terms of $dt$ and then in terms of $d\phi$. Write the resulting relation between $dN$ and $d\phi$ in terms of $V$ and $\partial_\phi V$ only, using the slow-roll approximation. (d) Compute the number $N$ of efoldings of expansion between some initial value $\phi_i < 0$ and a final value $\phi_f < 0$ (so that $\dot{\phi} > 0$ throughout). (e) Discuss qualitatively the horizon and flatness problems in the old hot big bang model (i.e. without inflation) and how inflation addresses them. --- 16I Logic and Set Theory State the completeness theorem for propositional logic. Explain briefly how the proof of this theorem changes from the usual proof in the case when the set of primitive propositions may be uncountable. State the compactness theorem and the decidability theorem, and deduce them from the completeness theorem. A poset $(X, <)$ is called two-dimensional if there exist total orders $<_1$ and $<_2$ on $X$ such that $x < y$ if and only if $x <_1 y$ and $x <_2 y$. By applying the compactness theorem for propositional logic, show that if every finite subset of a poset is two-dimensional then so is the poset itself. [Hint: Take primitive propositions $p_{x,y}$ and $q_{x,y}$, for each distinct $x, y \in X$, with the intended interpretation that $p_{x,y}$ is true if and only if $x <_1 y$ and $q_{x,y}$ is true if and only if $x <_2 y$.] 17G Graph Theory Let $G$ be a connected $d$-regular graph. (a) Show that $d$ is an eigenvalue of $G$ with multiplicity 1 and eigenvector \[ e = (1 \ 1 \ \ldots \ 1)^T. \] (b) Suppose that $G$ is strongly regular. Show that $G$ has at most three distinct eigenvalues. (c) Conversely, suppose that $G$ has precisely three distinct eigenvalues $d$, $\lambda$ and $\mu$. Let $A$ be the adjacency matrix of $G$ and let \[ B = A^2 - (\lambda + \mu)A + \lambda\mu I. \] Show that if $v$ is an eigenvector of $G$ that is not a scalar multiple of $e$ then $Bv = 0$. Deduce that $B$ is a scalar multiple of the matrix $J$ whose entries are all equal to one. Hence show that, for $i \neq j$, $(A^2)_{ij}$ depends only on whether or not vertices $i$ and $j$ are adjacent, and so $G$ is strongly regular. (d) Which connected $d$-regular graphs have precisely two eigenvalues? Justify your answer. 18F Galois Theory (a) Suppose $K, L$ are fields and $\sigma_1, \ldots, \sigma_m$ are distinct embeddings of $K$ into $L$. Prove that there do not exist elements $\lambda_1, \ldots, \lambda_m$ of $L$ (not all zero) such that \[ \lambda_1 \sigma_1(x) + \cdots + \lambda_m \sigma_m(x) = 0 \quad \text{for all } x \in K. \] (b) For a finite field extension $K$ of a field $k$ and for $\sigma_1, \ldots, \sigma_m$ distinct $k$-automorphisms of $K$, show that $m \leq [K : k]$. In particular, if $G$ is a finite group of field automorphisms of a field $K$ with $K^G$ the fixed field, deduce that $\|G\| \leq [K : K^G]$. (c) If $K = \mathbb{Q}(x, y)$ with $x, y$ independent transcendentals over $\mathbb{Q}$, consider the group $G$ generated by automorphisms $\sigma$ and $\tau$ of $K$, where \[ \sigma(x) = y, \ \sigma(y) = -x \quad \text{and} \quad \tau(x) = x, \ \tau(y) = -y. \] Prove that $\|G\| = 8$ and that $K^G = \mathbb{Q}(x^2 + y^2, \ x^2y^2)$. 19I Representation Theory (a) State and prove Schur’s lemma over $\mathbb{C}$. In the remainder of this question we work over $\mathbb{R}$. (b) Let $G$ be the cyclic group of order 3. (i) Write the regular $\mathbb{R}G$-module as a direct sum of irreducible submodules. (ii) Find all the intertwining homomorphisms between the irreducible $\mathbb{R}G$-modules. Deduce that the conclusion of Schur’s lemma is false if we replace $\mathbb{C}$ by $\mathbb{R}$. (c) Henceforth let $G$ be a cyclic group of order $n$. Show that (i) if $n$ is even, the regular $\mathbb{R}G$-module is a direct sum of two (non-isomorphic) 1-dimensional irreducible submodules and $(n-2)/2$ (non-isomorphic) 2-dimensional irreducible submodules; (ii) if $n$ is odd, the regular $\mathbb{R}G$-module is a direct sum of one 1-dimensional irreducible submodule and $(n-1)/2$ (non-isomorphic) 2-dimensional irreducible submodules. 20G Number Fields Let $K = \mathbb{Q}(\sqrt{2})$. (a) Write down the ring of integers $\mathcal{O}_K$. (b) State Dirichlet’s unit theorem, and use it to determine all elements of the group of units $\mathcal{O}_K^\times$. (c) Let $P \subset \mathcal{O}_K$ denote the ideal generated by $3 + \sqrt{2}$. Show that the group $$G = \{\alpha \in \mathcal{O}_K^\times \mid \alpha \equiv 1 \mod P\}$$ is cyclic, and find a generator. 21F Algebraic Topology In this question, $X$ and $Y$ are path-connected, locally simply connected spaces. (a) Let $f : Y \to X$ be a continuous map, and $\widehat{X}$ a path-connected covering space of $X$. State and prove a uniqueness statement for lifts of $f$ to $\widehat{X}$. (b) Let $p : \widehat{X} \to X$ be a covering map. A covering transformation of $p$ is a homeomorphism $\phi : \widehat{X} \to \widehat{X}$ such that $p \circ \phi = p$. For each integer $n \geq 3$, give an example of a space $X$ and an $n$-sheeted covering map $p_n : \widehat{X}_n \to X$ such that the only covering transformation of $p_n$ is the identity map. Justify your answer. [Hint: Take $X$ to be a wedge of two circles.] (c) Is there a space $X$ and a 2-sheeted covering map $p_2 : \widehat{X}_2 \to X$ for which the only covering transformation of $p_2$ is the identity? Justify your answer briefly. 22H Linear Analysis Let $F$ be the space of real-valued sequences with only finitely many nonzero terms. (a) For any $p \in [1, \infty)$, show that $F$ is dense in $\ell^p$. Is $F$ dense in $\ell^\infty$? Justify your answer. (b) Let $p \in [1, \infty)$, and let $T : F \to F$ be an operator that is bounded in the $\\|\cdot\\|_p$-norm, i.e., there exists a $C$ such that $\\|Tx\\|_p \leq C\\|x\\|_p$ for all $x \in F$. Show that there is a unique bounded operator $\widetilde{T} : \ell^p \to \ell^p$ satisfying $\widetilde{T}\|_F = T$, and that $\\|\widetilde{T}\\|_p \leq C$. (c) For each $p \in [1, \infty]$ and for each $i = 1, \ldots, 5$ determine if there is a bounded operator from $\ell^p$ to $\ell^p$ (in the $\\|\cdot\\|_p$ norm) whose restriction to $F$ is given by $T_i$: \[ (T_1 x)_n = nx_n, \quad (T_2 x)_n = n(x_n - x_{n+1}), \quad (T_3 x)_n = \frac{x_n}{n}, \] \[ (T_4 x)_n = \frac{x_1}{n^{1/2}}, \quad (T_5 x)_n = \frac{\sum_{j=1}^n x_j}{2^n}. \] (d) Let $X$ be a normed vector space such that the closed unit ball $\overline{B}_1(0)$ is compact. Prove that $X$ is finite dimensional. 23H Analysis of Functions (a) Consider the topology $\mathcal{T}$ on the natural numbers $\mathbb{N} \subset \mathbb{R}$ induced by the standard topology on $\mathbb{R}$. Prove it is the discrete topology; i.e. $\mathcal{T} = \mathcal{P}(\mathbb{N})$ is the power set of $\mathbb{N}$. (b) Describe the corresponding Borel sets on $\mathbb{N}$ and prove that any function $f : \mathbb{N} \to \mathbb{R}$ or $f : \mathbb{N} \to [0, +\infty]$ is measurable. (c) Using Lebesgue integration theory, define $\sum_{n \geq 1} f(n) \in [0, +\infty]$ for a function $f : \mathbb{N} \to [0, +\infty]$ and then $\sum_{n \geq 1} f(n) \in \mathbb{C}$ for $f : \mathbb{N} \to \mathbb{C}$. State any condition needed for the sum of the latter series to be defined. What is a simple function in this setting, and which simple functions have finite sum? (d) State and prove the Beppo Levi theorem (also known as the monotone convergence theorem). (e) Consider $f : \mathbb{R} \times \mathbb{N} \to [0, +\infty]$ such that for any $n \in \mathbb{N}$, the function $t \mapsto f(t, n)$ is non-decreasing. Prove that $$\lim_{t \to \infty} \sum_{n \geq 1} f(t, n) = \sum_{n \geq 1} \lim_{t \to \infty} f(t, n).$$ Show that this need not be the case if we drop the hypothesis that $t \mapsto f(t, n)$ is non-decreasing, even if all the relevant limits exist. 24F Riemann Surfaces Define $X' := \{(x, y) \in \mathbb{C}^2 : x^3y + y^3 + x = 0\}$. (a) Prove by defining an atlas that $X'$ is a Riemann surface. (b) Now assume that by adding finitely many points, it is possible to compactify $X'$ to a Riemann surface $X$ so that the coordinate projections extend to holomorphic maps $\pi_x$ and $\pi_y$ from $X$ to $\mathbb{C}_\infty$. Compute the genus of $X$. (c) Assume that any holomorphic automorphism of $X'$ extends to a holomorphic automorphism of $X$. Prove that the group Aut($X$) of holomorphic automorphisms of $X$ contains an element $\phi$ of order 7. Prove further that there exists a holomorphic map $\pi : X \to \mathbb{C}_\infty$ which satisfies $\pi \circ \phi = \pi$. 25F Algebraic Geometry (a) Let $k$ be an algebraically closed field of characteristic 0. Consider the algebraic variety $V \subset \mathbb{A}^3$ defined over $k$ by the polynomials $$xy, \quad y^2 - z^3 + xz, \quad \text{and} \quad x(x + y + 2z + 1).$$ Determine (i) the irreducible components of $V$, (ii) the tangent space at each point of $V$, (iii) for each irreducible component, the smooth points of that component, and (iv) the dimensions of the irreducible components. (b) Let $L \supseteq K$ be a finite extension of fields, and $\dim_K L = n$. Identify $L$ with $\mathbb{A}^n$ over $K$ and show that $$U = \{\alpha \in L \mid K[\alpha] = L\}$$ is the complement in $\mathbb{A}^n$ of the vanishing set of some polynomial. [You need not show that $U$ is non-empty. You may assume that $K[\alpha] = L$ if and only if $1, \alpha, \ldots, \alpha^{n-1}$ form a basis of $L$ over $K$.] 26H Differential Geometry Let $n \geq 1$ be an integer. (a) Show that $\mathbb{S}^n = \{x \in \mathbb{R}^{n+1} : x_1^2 + \cdots + x_{n+1}^2 = 1\}$ defines a submanifold of $\mathbb{R}^{n+1}$ and identify explicitly its tangent space $T_x \mathbb{S}^n$ for any $x \in \mathbb{S}^n$. (b) Show that the matrix group $SO(n) \subset \mathbb{R}^{n^2}$ defines a submanifold. Identify explicitly the tangent space $T_R SO(n)$ for any $R \in SO(n)$. (c) Given $v \in \mathbb{S}^n$, show that the set $S_v = \{R \in SO(n+1) : Rv = v\}$ defines a submanifold $S_v \subset SO(n+1)$ and compute its dimension. For $v \neq w$, is it ever the case that $S_v$ and $S_w$ are transversal? [You may use standard theorems from the course concerning regular values and transversality.] 27K Probability and Measure Let $ \mathbf{X} = (X_1, \ldots, X_d) $ be an $ \mathbb{R}^d $-valued random variable. Given $ u = (u_1, \ldots, u_d) \in \mathbb{R}^d $ we let \[ \phi_{\mathbf{X}}(u) = \mathbb{E}(e^{i\langle u, \mathbf{X} \rangle}) \] be its characteristic function, where $ \langle \cdot, \cdot \rangle $ is the usual inner product on $ \mathbb{R}^d $. (a) Suppose $ \mathbf{X} $ is a Gaussian vector with mean 0 and covariance matrix $ \sigma^2 I_d $, where $ \sigma > 0 $ and $ I_d $ is the $ d \times d $ identity matrix. What is the formula for the characteristic function $ \phi_{\mathbf{X}} $ in the case $ d = 1 $? Derive from it a formula for $ \phi_{\mathbf{X}} $ in the case $ d \geq 2 $. (b) We now no longer assume that $ \mathbf{X} $ is necessarily a Gaussian vector. Instead we assume that the $ X_i $'s are independent random variables and that the random vector $ A\mathbf{X} $ has the same law as $ \mathbf{X} $ for every orthogonal matrix $ A $. Furthermore we assume that $ d \geq 2 $. (i) Show that there exists a continuous function $ f : [0, +\infty) \to \mathbb{R} $ such that \[ \phi_{\mathbf{X}}(u) = f(u_1^2 + \ldots + u_d^2). \] [ You may use the fact that for every two vectors $ u, v \in \mathbb{R}^d $ such that $ \langle u, u \rangle = \langle v, v \rangle $ there is an orthogonal matrix $ A $ such that $ Au = v $. ] (ii) Show that for all $ r_1, r_2 \geq 0 $ \[ f(r_1 + r_2) = f(r_1)f(r_2). \] (iii) Deduce that $ f $ takes values in $ (0, 1] $, and furthermore that there exists $ \alpha \geq 0 $ such that $ f(r) = e^{-r\alpha} $, for all $ r \geq 0 $. (iv) What must be the law of $ \mathbf{X} $? [Standard properties of characteristic functions from the course may be used without proof if clearly stated.] 28K Applied Probability Let $S$ be a countable set, and let $P = (p_{i,j} : i, j \in S)$ be a Markov transition matrix with $p_{i,i} = 0$ for all $i$. Let $Y = (Y_n : n = 0, 1, 2, \ldots)$ be a discrete-time Markov chain on the state space $S$ with transition matrix $P$. The continuous-time process $X = (X_t : t \geq 0)$ is constructed as follows. Let $(U_m : m = 0, 1, 2, \ldots)$ be independent, identically distributed random variables having the exponential distribution with mean 1. Let $g$ be a function on $S$ such that $\varepsilon < g(i) < \frac{1}{\varepsilon}$ for all $i \in S$ and some constant $\varepsilon > 0$. Let $V_m = U_m / g(Y_m)$ for $m \geq 0$. Let $T_0 = 0$ and $T_n = \sum_{m=0}^{n-1} V_m$ for $n \geq 1$. Finally, let $X_t = Y_n$ for $T_n \leq t < T_{n+1}$. (a) Explain briefly why $X$ is a continuous-time Markov chain on $S$, and write down its generator in terms of $P$ and the vector $g = (g(i) : i \in S)$. (b) What does it mean to say that the chain $X$ is irreducible? What does it mean to say a state $i \in S$ is (i) recurrent and (ii) positive recurrent? (c) Show that (i) $X$ is irreducible if and only if $Y$ is irreducible; (ii) $X$ is recurrent if and only if $Y$ is recurrent. (d) Suppose $Y$ is irreducible and positive recurrent with invariant distribution $\pi$. Express the invariant distribution of $X$ in terms of $\pi$ and $g$. 29J Principles of Statistics In a regression problem, for a given $X \in \mathbb{R}^{n \times p}$ fixed, we observe $Y \in \mathbb{R}^n$ such that $$Y = X\theta_0 + \varepsilon$$ for an unknown $\theta_0 \in \mathbb{R}^p$ and $\varepsilon$ random such that $\varepsilon \sim \mathcal{N}(0, \sigma^2 I_n)$ for some known $\sigma^2 > 0$. (a) When $p \leq n$ and $X$ has rank $p$, compute the maximum likelihood estimator $\hat{\theta}_{MLE}$ for $\theta_0$. When $p > n$, what issue is there with the likelihood maximisation approach and how many maximisers of the likelihood are there (if any)? (b) For any $\lambda > 0$ fixed, we consider $\hat{\theta}_\lambda$ minimising $$\\|Y - X\theta\\|_2^2 + \lambda\\|\theta\\|_2^2$$ over $\mathbb{R}^p$. Derive an expression for $\hat{\theta}_\lambda$ and show it is well defined, i.e., there is a unique minimiser for every $X, Y$ and $\lambda$. Assume $p \leq n$ and that $X$ has rank $p$. Let $\Sigma = X^\top X$ and note that $\Sigma = V\Lambda V^\top$ for some orthogonal matrix $V$ and some diagonal matrix $\Lambda$ whose diagonal entries satisfy $\Lambda_{1,1} \geq \Lambda_{2,2} \geq \ldots \geq \Lambda_{p,p}$. Assume that the columns of $X$ have mean zero. (c) Denote the columns of $U = XV$ by $u_1, \ldots, u_p$. Show that they are sample principal components, i.e., that their pairwise sample correlations are zero and that they have sample variances $n^{-1}\Lambda_{1,1}, \ldots, n^{-1}\Lambda_{p,p}$, respectively. [Hint: the sample covariance between $u_i$ and $u_j$ is $n^{-1}u_i^\top u_j$.] (d) Show that $$\hat{Y}_{MLE} = X\hat{\theta}_{MLE} = U\Lambda^{-1}U^\top Y.$$ Conclude that prediction $\hat{Y}_{MLE}$ is the closest point to $Y$ within the subspace spanned by the normalised sample principal components of part (c). (e) Show that $$\hat{Y}_\lambda = X\hat{\theta}_\lambda = U(\Lambda + \lambda I_p)^{-1}U^\top Y.$$ Assume $\Lambda_{1,1}, \Lambda_{2,2}, \ldots, \Lambda_{q,q} >> \lambda >> \Lambda_{q+1,q+1}, \ldots, \Lambda_{p,p}$ for some $1 \leq q < p$. Conclude that prediction $\hat{Y}_\lambda$ is approximately the closest point to $Y$ within the subspace spanned by the $q$ normalised sample principal components of part (c) with the greatest variance. 30K Stochastic Financial Models (a) What does it mean to say that $(M_n, \mathcal{F}_n)_{n \geq 0}$ is a martingale? (b) Let $(X_n)_{n \geq 0}$ be a Markov chain defined by $X_0 = 0$ and \[ \mathbb{P}[X_n = 1 \mid X_{n-1} = 0] = \mathbb{P}[X_n = -1 \mid X_{n-1} = 0] = \frac{1}{2n}, \] \[ \mathbb{P}[X_n = 0 \mid X_{n-1} = 0] = 1 - \frac{1}{n} \] and \[ \mathbb{P}[X_n = nX_{n-1} \mid X_{n-1} \neq 0] = \frac{1}{n}, \quad \mathbb{P}[X_n = 0 \mid X_{n-1} \neq 0] = 1 - \frac{1}{n} \] for $n \geq 1$. Show that $(X_n)_{n \geq 0}$ is a martingale with respect to the filtration $(\mathcal{F}_n)_{n \geq 0}$ where $\mathcal{F}_0$ is trivial and $\mathcal{F}_n = \sigma(X_1, \ldots, X_n)$ for $n \geq 1$. (c) Let $M = (M_n)_{n \geq 0}$ be adapted with respect to a filtration $(\mathcal{F}_n)_{n \geq 0}$ with $\mathbb{E}[\|M_n\|] < \infty$ for all $n$. Show that the following are equivalent: (i) $M$ is a martingale. (ii) For every stopping time $\tau$, the stopped process $M^\tau$ defined by $M^\tau_n := M_{n \wedge \tau}$, $n \geq 0$, is a martingale. (iii) $\mathbb{E}[M_{n \wedge \tau}] = \mathbb{E}[M_0]$ for all $n \geq 0$ and every stopping time $\tau$. [Hint: To show that (iii) implies (i) you might find it useful to consider the stopping time \[T(\omega) := \begin{cases} n & \text{if } \omega \in A, \\ n + 1 & \text{if } \omega \not\in A, \end{cases}\] for any $A \in \mathcal{F}_n$.] 31E Dynamical Systems For a dynamical system of the form $\dot{\mathbf{x}} = \mathbf{f}(\mathbf{x})$, give the definition of the alpha-limit set $\alpha(\mathbf{x})$ and the omega-limit set $\omega(\mathbf{x})$ of a point $\mathbf{x}$. Consider the dynamical system \[ \begin{align} \dot{x} &= x^2 - 1, \\ \dot{y} &= kxy, \end{align} \] where $\mathbf{x} = (x, y) \in \mathbb{R}^2$ and $k$ is a real constant. Answer the following for all values of $k$, taking care over boundary cases (both in $k$ and in $\mathbf{x}$). (i) What symmetries does this system have? (ii) Find and classify the fixed points of this system. (iii) Does this system have any periodic orbits? (iv) Give $\alpha(\mathbf{x})$ and $\omega(\mathbf{x})$ (considering all $\mathbf{x} \in \mathbb{R}^2$). (v) For $\mathbf{x}_0 = (0, y_0)$, give the orbit of $\mathbf{x}_0$ (considering all $y_0 \in \mathbb{R}$). You should give your answer in the form $y = y(x, y_0, k)$, and specify the range of $x$. 32C Integrable Systems Let $M = \mathbb{R}^{2n} = \{(q, p) \| q, p \in \mathbb{R}^n\}$ be equipped with its standard Poisson bracket. (a) Given a Hamiltonian function $H = H(q, p)$, write down Hamilton’s equations for $(M, H)$. Define a first integral of the system and state what it means that the system is integrable. (b) Show that if $n = 1$ then every Hamiltonian system is integrable whenever $$\left( \frac{\partial H}{\partial q}, \frac{\partial H}{\partial p} \right) \neq 0.$$ Let $\tilde{M} = \mathbb{R}^{2m} = \{(\tilde{q}, \tilde{p}) \| \tilde{q}, \tilde{p} \in \mathbb{R}^m\}$ be another phase space, equipped with its standard Poisson bracket. Suppose that $\tilde{H} = \tilde{H}(\tilde{q}, \tilde{p})$ is a Hamiltonian function for $\tilde{M}$. Define $Q = (q_1, \ldots, q_n, \tilde{q}_1, \ldots, \tilde{q}_m)$, $P = (p_1, \ldots, p_n, \tilde{p}_1, \ldots, \tilde{p}_m)$ and let the combined phase space $\mathcal{M} = \mathbb{R}^{2(n+m)} = \{(Q, P)\}$ be equipped with the standard Poisson bracket. (c) Show that if $(M, H)$ and $(\tilde{M}, \tilde{H})$ are both integrable, then so is $(\mathcal{M}, H)$, where the combined Hamiltonian is given by: $$H(Q, P) = H(q, p) + \tilde{H}(\tilde{q}, \tilde{p}).$$ (d) Consider the $n-$dimensional simple harmonic oscillator with phase space $M$ and Hamiltonian $H$ given by: $$H = \frac{1}{2}p_1^2 + \ldots + \frac{1}{2}p_n^2 + \frac{1}{2}\omega_1^2 q_1^2 + \ldots + \frac{1}{2}\omega_n^2 q_n^2,$$ where $\omega_i > 0$. Using the results above, or otherwise, show that $(M, H)$ is integrable for $(q, p) \neq 0$. (e) Is it true that every bounded orbit of an integrable system is necessarily periodic? You should justify your answer. 33B Principles of Quantum Mechanics A $d = 3$ isotropic harmonic oscillator of mass $\mu$ and frequency $\omega$ has lowering operators $$\mathbf{A} = \frac{1}{\sqrt{2\mu\hbar\omega}} (\mu\omega \mathbf{X} + i\mathbf{P}),$$ where $\mathbf{X}$ and $\mathbf{P}$ are the position and momentum operators. Assuming the standard commutation relations for $\mathbf{X}$ and $\mathbf{P}$, evaluate the commutators $[A_i^\dagger, A_j^\dagger]$, $[A_i, A_j]$ and $[A_i, A_j^\dagger]$, for $i, j = 1, 2, 3$, among the components of the raising and lowering operators. How is the ground state $\|0\rangle$ of the oscillator defined? How are normalised higher excited states obtained from $\|0\rangle$? [You should determine the appropriate normalisation constant for each energy eigenstate.] By expressing the orbital angular momentum operator $\mathbf{L}$ in terms of the raising and lowering operators, show that each first excited state of the isotropic oscillator has total orbital angular momentum quantum number $\ell = 1$, and find a linear combination $\|\psi\rangle$ of these first excited states obeying $L_z \|\psi\rangle = +\hbar \|\psi\rangle$ and $\\|\|\psi\rangle\\| = 1$. 34B Applications of Quantum Mechanics A particle of mass $m$ and charge $q$ moving in a uniform magnetic field $\mathbf{B} = \nabla \times \mathbf{A} = (0, 0, B)$ and electric field $\mathbf{E} = -\nabla \phi$ is described by the Hamiltonian $$H = \frac{1}{2m} \|\mathbf{p} - q\mathbf{A}\|^2 + q\phi,$$ where $\mathbf{p}$ is the canonical momentum. [In the following you may use without proof any results concerning the spectrum of the harmonic oscillator as long as they are stated clearly.] (a) Let $\mathbf{E} = \mathbf{0}$. Choose a gauge which preserves translational symmetry in the $y$-direction. Determine the spectrum of the system, restricted to states with $p_z = 0$. The system is further restricted to lie in a rectangle of area $A = L_x L_y$, with sides of length $L_x$ and $L_y$ parallel to the $x$- and $y$-axes respectively. Assuming periodic boundary conditions in the $y$-direction, estimate the degeneracy of each Landau level. (b) Consider the introduction of an additional electric field $\mathbf{E} = (\mathcal{E}, 0, 0)$. Choosing a suitable gauge (with the same choice of vector potential $\mathbf{A}$ as in part (a)), write down the resulting Hamiltonian. Find the energy spectrum for a particle on $\mathbb{R}^3$ again restricted to states with $p_z = 0$. Define the group velocity of the electron and show that its $y$-component is given by $v_y = -\mathcal{E}/B$. When the system is further restricted to a rectangle of area $A$ as above, show that the previous degeneracy of the Landau levels is lifted and determine the resulting energy gap $\Delta E$ between the ground-state and the first excited state. 35D Statistical Physics (a) Explain, from a macroscopic and microscopic point of view, what is meant by an adiabatic change. A system has access to heat baths at temperatures $T_1$ and $T_2$, with $T_2 > T_1$. Show that the most effective method for repeatedly converting heat to work, using this system, is by combining isothermal and adiabatic changes. Define the efficiency and calculate it in terms of $T_1$ and $T_2$. (b) A thermal system (of constant volume) undergoes a phase transition at temperature $T_c$. The heat capacity of the system is measured to be $$C = \begin{cases} \alpha T & \text{for } T < T_c \\ \beta & \text{for } T > T_c, \end{cases}$$ where $\alpha$, $\beta$ are constants. A theoretical calculation of the entropy $S$ for $T > T_c$ leads to $$S = \beta \log T + \gamma.$$ How can the value of the theoretically-obtained constant $\gamma$ be verified using macroscopically measurable quantities? 36E Electrodynamics A relativistic particle of charge $q$ and mass $m$ moves in a background electromagnetic field. The four-velocity $u^\mu(\tau)$ of the particle at proper time $\tau$ is determined by the equation of motion, $$m \frac{du^\mu}{d\tau} = q F^\mu{}_\nu u^\nu.$$ Here $F^\mu{}_\nu = \eta_{\nu\rho} F^{\mu\rho}$, where $F_{\mu\nu}$ is the electromagnetic field strength tensor and Lorentz indices are raised and lowered with the metric tensor $\eta = \text{diag}\{-1, +1, +1, +1\}$. In the case of a constant, homogeneous field, write down the solution of this equation giving $u^\mu(\tau)$ in terms of its initial value $u^\mu(0)$. [In the following you may use the relation, given below, between the components of the field strength tensor $F_{\mu\nu}$, for $\mu, \nu = 0, 1, 2, 3$, and those of the electric and magnetic fields $\mathbf{E} = (E_1, E_2, E_3)$ and $\mathbf{B} = (B_1, B_2, B_3)$, $$F_{i0} = -F_{0i} = \frac{1}{c} E_i, \quad F_{ij} = \varepsilon_{ijk} B_k$$ for $i, j = 1, 2, 3$.] Suppose that, in some inertial frame with spacetime coordinates $\mathbf{x} = (x, y, z)$ and $t$, the electric and magnetic fields are parallel to the $x$-axis with magnitudes $E$ and $B$ respectively. At time $t = \tau = 0$ the 3-velocity $\mathbf{v} = d\mathbf{x}/dt$ of the particle has initial value $\mathbf{v}(0) = (0, v_0, 0)$. Find the subsequent trajectory of the particle in this frame, giving coordinates $x$, $y$, $z$ and $t$ as functions of the proper time $\tau$. Find the motion in the $x$-direction explicitly, giving $x$ as a function of coordinate time $t$. Comment on the form of the solution at early and late times. Show that, when projected onto the $y$-$z$ plane, the particle undergoes circular motion which is periodic in proper time. Find the radius $R$ of the circle and proper time period of the motion $\Delta \tau$ in terms of $q$, $m$, $E$, $B$ and $v_0$. The resulting trajectory therefore has the form of a helix with varying pitch $P_n := \Delta x_n / R$ where $\Delta x_n$ is the distance in the $x$-direction travelled by the particle during the $n$'th period of its motion in the $y$-$z$ plane. Show that, for $n \gg 1$, $$P_n \sim A \exp \left( \frac{2\pi En}{cB} \right),$$ where $A$ is a constant which you should determine. 37D General Relativity Let $(\mathcal{M}, g)$ be a spacetime and $\Gamma$ the Levi-Civita connection of the metric $g$. The Riemann tensor of this spacetime is given in terms of the connection by \[ R^\gamma{}_{\rho\alpha\beta} = \partial_\alpha \Gamma^\gamma{}_{\rho\beta} - \partial_\beta \Gamma^\gamma{}_{\rho\alpha} + \Gamma^\mu{}_{\rho\beta} \Gamma^\gamma{}_{\mu\alpha} - \Gamma^\mu{}_{\rho\alpha} \Gamma^\gamma{}_{\mu\beta}. \] The contracted Bianchi identities ensure that the Einstein tensor satisfies \[ \nabla^\mu G_{\mu\nu} = 0. \] (a) Show that the Riemann tensor obeys the symmetry \[ R^\mu{}_{\rho\alpha\beta} + R^\mu{}_{\beta\rho\alpha} + R^\mu{}_{\alpha\beta\rho} = 0. \] (b) Show that a vector field $V^\alpha$ satisfies the Ricci identity \[ 2\nabla_{[\alpha} \nabla_{\beta]} V^\gamma = \nabla_\alpha \nabla_\beta V^\gamma - \nabla_\beta \nabla_\alpha V^\gamma = R^\gamma{}_{\rho\alpha\beta} V^\rho. \] Calculate the analogous expression for a rank $\binom{2}{0}$ tensor $T^{\mu\nu}$, i.e. calculate $\nabla_{[\alpha} \nabla_{\beta]} T^{\mu\nu}$ in terms of the Riemann tensor. (c) Let $K^\alpha$ be a vector that satisfies the Killing equation \[ \nabla_\alpha K_\beta + \nabla_\beta K_\alpha = 0. \] Use the symmetry relation of part (a) to show that \[ \nabla_\nu \nabla_\mu K^\alpha = R^\alpha{}_{\mu\nu\beta} K^\beta, \] \[ \nabla^\mu \nabla_\mu K^\alpha = -R^\alpha{}_{\beta} K^\beta, \] where $R_{\alpha\beta}$ is the Ricci tensor. (d) Show that \[ K^\alpha \nabla_\alpha R = 2\nabla^{[\mu} \nabla^{\lambda]} \nabla_{[\mu} K_{\lambda]}, \] and use the result of part (b) to show that the right hand side evaluates to zero, hence showing that $K^\alpha \nabla_\alpha R = 0$. 38A Fluid Dynamics A disc of radius $R$ and weight $W$ hovers at a height $h$ on a cushion of air above a horizontal air table - a fine porous plate through which air of density $\rho$ and dynamic viscosity $\mu$ is pumped upward at constant speed $V$. You may assume that the air flow is axisymmetric with no flow in the azimuthal direction, and that the effect of gravity on the air may be ignored. (a) Write down the relevant components of the Navier-Stokes equations. By estimating the size of the individual terms, simplify these equations when $\varepsilon := h/R \ll 1$ and $Re := \rho V h / \mu \ll 1$. (b) Explain briefly why it is reasonable to expect that the vertical velocity of the air below the disc is a function of distance above the air table alone, and thus find the steady pressure distribution below the disc. Hence show that $$W = \frac{3\pi \mu V R}{2\varepsilon^3}.$$ 39A Waves The equation of state relating pressure $p$ to density $\rho$ for a perfect gas is given by $$\frac{p}{p_0} = \left(\frac{\rho}{\rho_0}\right)^\gamma,$$ where $p_0$ and $\rho_0$ are constants, and $\gamma > 1$ is the specific heat ratio. (a) Starting from the equations for one-dimensional unsteady flow of a perfect gas of uniform entropy, show that the Riemann invariants, $$R_\pm = u \pm \frac{2}{\gamma - 1}(c - c_0)$$ are constant on characteristics $C_\pm$ given by $$\frac{dx}{dt} = u \pm c,$$ where $u(x,t)$ is the velocity of the gas, $c(x,t)$ is the local speed of sound, and $c_0$ is a constant. (b) Such an ideal gas initially occupies the region $x > 0$ to the right of a piston in an infinitely long tube. The gas and the piston are initially at rest. At time $t = 0$ the piston starts moving to the left with path given by $$x = X_p(t), \quad \text{with } X_p(0) = 0.$$ (i) Solve for $u(x,t)$ and $\rho(x,t)$ in the region $x > X_p(t)$ under the assumptions that $-\frac{2c_0}{\gamma - 1} < \dot{X}_p < 0$ and that $\|\dot{X}_p\|$ is monotonically increasing, where dot indicates a time derivative. [It is sufficient to leave the solution in implicit form, i.e. for given $x,t$ you should not attempt to solve the $C_+$ characteristic equation explicitly.] (ii) Briefly outline the behaviour of $u$ and $\rho$ for times $t > t_c$, where $t_c$ is the solution to $\dot{X}_p(t_c) = -\frac{2c_0}{\gamma - 1}$. (iii) Now suppose, $$X_p(t) = -\frac{t^{1+\alpha}}{1+\alpha},$$ where $\alpha \geq 0$. For $0 < \alpha \ll 1$, find a leading-order approximation to the solution of the $C_+$ characteristic equation when $x = c_0t - at$, $0 < a < \frac{1}{2}(\gamma + 1)$ and $t = O(1)$. [Hint: You may find it useful to consider the structure of the characteristics in the limiting case when $\alpha = 0$.] 40C Numerical Analysis (a) Describe the Jacobi method for solving a system of linear equations $A\mathbf{x} = \mathbf{b}$ as a particular case of splitting, and state the criterion for its convergence in terms of the iteration matrix. (b) For the case when $$A = \begin{bmatrix} 1 & \alpha & \alpha \\ \alpha & 1 & \alpha \\ \alpha & \alpha & 1 \end{bmatrix},$$ find the exact range of the parameter $\alpha$ for which the Jacobi method converges. (c) State the Householder-John theorem and deduce that the Jacobi method converges if $A$ is a symmetric positive-definite tridiagonal matrix. END OF PAPER
RESTRICTIONS AND PROTECTIVE COVENANTS FOR ROCK SPRINGS SUBDIVISION Rock Springs Development, LLC, an Indiana limited liability company ("Developer") being the sole owner of all Lots in Rock Springs Subdivision as the same appears of record in the Office of the Recorder of Clark County, Indiana, as Instrument No. 202310798 and in Plat Book 20, Page 26, does hereby impose the following Restrictions and Protective Covenants upon each Lot within the Plat of Rock Springs, Section 1, and all future sections of Rock Springs Subdivision (the "Subdivision") for the mutual benefit of all persons, firms, and corporations who may now or hereafter have any vested interest, legal or equitable, in any Lot or other real property within the Subdivision: Definitions: "Association" shall mean and refer to "Rock Springs Homeowners Association" a not-for-profit Indiana corporation, its successors and assigns. "Commons Area" or "Commons Areas" shall mean all real property shown on the plat of a section of the Subdivision which shall be owned by the Association for the common use and enjoyment of the Owners. The Commons Areas shall be conveyed by the Developer to the Association. Commons Areas shall include all non-dedicated roadways, visitor parking spaces, lights, utilities, greenspaces and entrance situated with the areas identified as Commons Area on the Plat, but excluding all publicly dedicated roadways and driveways located on a Lot. "Developer" shall mean Rock Springs Development, LLC, and Developer's successors, designee/s and/or assigns. "Lot" or "Lots" shall mean each parcel or more than one parcel of land shown on the Plat of a section of the Subdivision as a "LOT". "Member" or "Members" shall mean every person or entity who hold membership in the Association. 1. Primary Use Restrictions. No Lot shall be used except for private single family residential purposes. No structure shall be erected, placed or altered or permitted to remain on any Lot except a single-family dwelling designed for the occupancy of one family (including any domestic servants living on the premises), not to exceed two and one-half (2 1/2) stories in height and containing a private garage attached for the sole use of the owner and occupants of the Lot. Private professional business for in home use is allowed, but subject to Clark County Plan Commission approval, and as long as it does not become an annoyance or nuisance to the owners of Lots within the Subdivision or the surrounding neighborhood. Notwithstanding the provisions hereof a new home may be used by a builder thereof as a model home for display or the builder's own office, provided said use terminates within Eighteen (18) months from completion of the house or upon such additional period of time as may be expressly agreed to in writing by Developer or any person, firm, corporation or association to whom it may assign such right. 2. Approval Of Construction And Landscape Plans. No structure may be erected, placed or altered on any Lot until plans are submitted showing the (a) location of improvements on the Lot; (b) the grade elevation (including rear, front, and side elevations); (c) the type of exterior material, and (d) the location and size of the driveway, which shall have been approved in writing by the Developer. In addition to the plans referred to in the previous sentence, a landscape plan shall be submitted to the Developer for its approval in writing, which plan shall show trees, shrubs and other plantings. One (1) deciduous tree and Two (2) shrubs shall minimally be required in the front yard of each developed Lot. Said landscaping is to be fully completed within Twelve (12) months from the date of occupancy. References to "Developer" in this paragraph, shall include any person, firm, corporation or association to whom Developer may assign this right of approval. References to "structure" in this paragraph shall include any building, (including a garage, fence, or wall). Planting of trees will be done after all utilities have been installed. 3. Building Materials, Roof, Builder. (a) The exterior building material of all structures shall extend to maximum of Six (6) inches above ground level and shall be either: brick, stone, brick veneer, or stone veneer, wood, Masonite, concrete siding vinyl siding or a combination of the same. Builder shall leave no exposed concrete on walkout basements or on any part of the structure other than the six inches (6") referenced above. (b) The roof pitch of any residential structure shall not be less than Six (6) inches vertical of every Twelve (12) inches horizontal. (c) The general contractor constructing the residential structure on any Lot shall have been in the construction business for a period of not less than One (1) year and must have supervised the construction of, or personally built, a minimum of Six (6) homes. Developer makes this requirement to maintain high quality of construction within the Subdivision and reserves the right to waive these standards of experience. 4. Setbacks. (a) No structure shall be located on any Lot nearer to the front Lot line or the side street line than the minimum building setback lines shown on the recorded plat. Developer may vary the established building lines, in their sole discretion, where not in conflict with applicable zoning regulations during the development of the Subdivision. For purposes of this section, the Developer of the Subdivision shall remain the Developer, from the date that, these restrictions and protective covenants are executed by the Developer to the date of the sale of the last remaining Lot in the Subdivision to any person, firm or corporation other than the Developer. (b) For the purposes of these Restrictions and Protective Covenants, all adjoining Lots or portions thereof used as a site for the construction of a single dwelling structure shall be considered One (1) Lot, so that these Restrictions and Protective Covenants relative to side Lot lines shall mean the side lines of any one or more Lots or portion or portions of any Lot or Lots used as a single dwelling building site. (c) For purposes of this covenant, eaves, steps, and open porches shall not be considered as a part of the building, provided however, that this exception shall not be construed to permit any portion of a dwelling structure or any other building to encroach upon another Lot. In no event shall any dwelling, structure or any other building be erected in violation of side yard requirements of any applicable zoning ordinance in effect at the time of construction thereof. 5. Minimum Floor Areas. (a) The ground level living area of a One-story (1) house shall be a minimum of 1100 square feet, exclusive of porches and garages, (b) The total living area of a One and One-half (1 ½) story house shall be a minimum of 1300 square feet, exclusive of porches and garage. (c) The total living area of a Two story (2) or Bi-level house shall be a minimum of 1400 square feet, exclusive of porches and garages. Finished basement areas, garages, and open porches shall not be included in computing total living area of any residential structure, except that finished area on the lower level of a Bi-level will be considered in computing total living area. 6. Pools. Any swimming pool, hot tubs or spas constructed or placed on any Lot must be pursuant to a development plan approved in writing in advance by Developer. The development plan, which shall include information as to the size, design, and placement of the pool, hot tub or spa, and landscaping and must provide for the pool, hot tub or spa to be located in the rear of the Lot, be screened from the street, have landscaping deemed appropriate by the Developer, and have appropriate fencing as required by local and/or state laws. Above ground swimming pools, including soft-sided or inflatable pools, are not permitted to be installed or place on any Lot. 7. Completion Time Requirements For Construction. (a) No portion of a structure shall be allowed to remain upon any Lot in a partial state of completion for substantially greater length of time than would normally be required for completion of such a structure, having regard only for general circumstances and conditions in the vicinity and not circumstances and conditions peculiar to the owner of other person or persons responsible for such construction, and in no event in excess of One (1) year from date of first construction. (b) After substantial completion of a residence, the Lot owner shall grade and seed or sod the Lot within 30 days, in accordance with the governmental authority guidelines. (c) All driveways shall be paved solidly of concrete or asphalt within Six (6) months of completion of a single family structure. (d) Upon Owners failure to comply with the provisions of this Paragraph, Developer or any person or association to whom it may assign the right, may take action as necessary to comply therewith, and the owner shall immediately upon demand, reimburse Developer or other performing party for all expenses incurred in so doing. 8. Garages and Driveways. (a) All Lots shall have at least a Two (2) car garage a minimum of Nineteen (19) feet in width. (b) Garages, as separate structures, are subject to prior plan approval under Section 2 hereof. (c) No carports shall be constructed on any Lot. (d) Prior to the start of construction of any dwelling, the contractor will install and gravel the driveway so that it can be used during construction of the home. (e) Driveways shorter than Forty feet (40’) shall be double width, and a minimum of Sixteen feet (16) wide at its narrowest point. A turnaround or parking area may be substituted for the double width restrictions. 9. Use Of Other Structures And Vehicles. (a) No structure of a temporary character shall be permitted on any Lot except temporary tool sheds or field offices used by a builder or Developer, which shall be removed when construction or development is completed. (b) No outbuildings, trailer, basement, tent, shack, garage, barn, or structure other than the main residence erected on a Lot shall at any time be used as a residence, temporarily or permanently. (c) No trailer, trucks, motorcycle, trailer, camping vehicle, commercial vehicle, or boat shall be parked or kept on any lot at any time unless housed in a garage or basement or parked to the rear of the improvements located on any lot so that same shall not be visible to the public from any street located in the Subdivision, or additions thereto. Noncommercial pickup trucks are permitted to be parked in the development. It shall be the responsibility of the Association to determine if a vehicle is a commercial vehicle. No automobile that is inoperable shall be habitually or repeatedly parked or kept on any Lot (except in the garage) or on any street. No trailer, boat, truck or other vehicle, shall be parked on any street in the Subdivision, for a period in excess of Twenty-four (24) hours in any one calendar year. (d) No automobile shall be continuously or habitually parked on any street or public right-of-way. For purposes of this paragraph, habitually or continuously parked on any street or public right-of-way shall mean any period in excess of Six (6) hours. It is the intent of the Developer that residents park their automobiles in their driveways and/or garages, 10. Limitations on Use, Underground Utility Service, Fuel Tanks, Satellite Dishes, Antenna, and Towers. (a) Utility service lines serving each Lot shall be underground and shall be located only in those areas reserved on the plat for utility easements. The utility easements shown on the plat shall be maintained and preserved in their present condition and no encroachment therein, and no change in the grade or elevation thereof, shall be made by any person, firm, or corporation owning any legal or equitable interest in any Lot in the Subdivision without the expressed consent in writing of the utility service companies providing utility service to the Subdivision. (b) All tanks used for any purpose shall be buried or otherwise fully screened from view from the street or any other Lot. Pool pumps and filtering system shall not be visible from the roadway nor from the windows or porches of homes on adjacent properties. (c) No solar system may be constructed on placed on any Lot without prior written approval of the Developer or the Association. Plans for the proposed solar system must be submitted to the Developer or the Association before any installation is started. Solar panels, as part of the solar system, must be installed on the roof of the residence. The solar panels shall be at the same pitch as the roof on which they are mounted. No solar panel shall overhang the roof in any directions. Approval of the installation of a solar system shall be at the Developer’s or the Association’s sole discretion. (d) No satellite dish or special radio-telephone transmitting antenna and/or receiving antenna/tower may be constructed on placed on any Lot without prior written approval of the Developer, in Developer’s sole discretion. Principal concerns of the Developer are with regard to location, aesthetic and effective measures to screen such equipment from public view and safety. (e) No outside clotheslines shall be erected or placed and used on any Lot. (f) No tennis, basketball or recreational court of like kind shall be erected on any Lot without prior written approval of the Developer or the Association, in Developer’s or the Association’s sole discretion. 11. Sanitary Sewer Service. All Lots within the Subdivision shall be connected to the sanitary sewer collection and treatment system owned and operated by the City of Jeffersonville (the “Sewer Utility”), its successors or assigns. All owners of Lots shall comply with all rules and regulations adopted by the Sewer Utility, subject only to the prior approval of the Indiana Utility Regulatory Commission, as applicable. 12. Animals. No animals, including reptiles, livestock, or poultry of any kind shall be raised, bred, or kept on any Lot, except that dogs, cats, or other household pets common in this geographic area may be kept provided that they are not kept, bred or maintained for any commercial or breeding purposes. All household pets, including dogs and cats, shall at all times be confined to the Lot occupied by the owner of such pets. 13. Duty To Maintain Lot. Before the date of construction of single-family residence is started, it shall be the duty of each Lot owner to keep and maintain the grass at a level not to exceed Twelve (12) inches in height. From and after the date construction on said Lots is started, it shall be the duty of each Lot owner to keep and maintain the grass on the Lot properly cut, to keep the Lot free and clear from all weeds and trash, (other than normal building materials used during construction) and to keep it otherwise neat and attractive in appearance. Should any owner fail to do so, the Developer may take such action as it deems appropriate, including mowing, in order to make the Lot neat and attractive and the owner shall immediately upon demand reimburse Developer, or its agents performing said services, the expense incurred in doing so. The Developer shall be entitled to place a lien on said Lot and the improvements thereon to secure the repayment of any such amounts not paid on demand. Such lien may be enforced by foreclosure against the Lot and the improvements thereon, with Developer being entitled to further recover its costs and reasonable attorney's fees incurred in such proceeding, but such lien shall be subordinate to any first mortgage lien previously recorded on such Lot. The lien for the foregoing assessments shall attach at such time as a notice thereof is filed in the office of the Recorder of Clark County, Indiana. 14. Erosion Control. (a) Each Lot owner, specifically including without limitation, a builder intending to construct and sell a home on such Lot, shall comply with the erosion control plan filed for the Subdivision pursuant to Rule 5, of 325 IAC 15, et seq., pertaining to Storm Water Runoff. Associated with Construction Activity. All erosion control measures shall be performed by personnel trained in generally accepted erosion control practices, and shall comply with the design criteria, standards, and specifications for erosion control measures established by the Indiana Department of Environmental Management in guidance documents similar to or as effective as, those outlined in the Indiana Handbook for Erosion Control in Developing Areas published by the Indiana Department of Natural Resources, Division of Soil and Water Conservation. (b) Prior to the construction of a single-family residence or any appurtenant structure on a Lot, it shall be the responsibility of the Lot owner, or his assigns, to maintain erosion control on each Lot to prevent erosion of earth onto any road, curb improvements, adjoining Lot, or adjacent property. After the transfer of ownership from the builder to the resident, each individual Lot owner shall have a continuing duty to similarly prevent any erosion of earth onto road, curb improvements, adjoining Lot, or adjacent property. Should any Lot owner, or his agents, fail to take any steps deemed as reasonably required to prevent such erosion, the Developer and/or the Association, as hereinafter defined, or any person to which they may assign such rights, may take such actions as they deem reasonably necessary and appropriate to halt or mitigate any such erosion within any such Lot. By acceptance of a deed to the Lot, each owner acknowledges that it impliedly grants a license to Developer, its agents or assigns, to enter the Lot at any and all reasonable times for purposes of taking such actions. Promptly after receipt of written demand, the Lot owner shall reimburse the Developer or other performing parties for all expenses incurred in effecting such actions, including any reasonable attorney's fees incurred in effecting such actions or collecting such costs. Developer shall have lien rights with respect to any such costs not paid by the Lot owner within Thirty (30) days after written demand. (c) Drainage of each Lot shall conform to the approved general drainage plans submitted with the initial plat. Under no circumstances shall a drainage ditch be filled, altered or piped without the prior written consent of Developer. All storm water runoff, downspout drain lines, and sump pump drain lines shall be directed to the drainage collection ditch shown on the recorded plat of the Subdivision and approved by the Developer unless an alternative discharge point is approved in writing by Developer, but in no case shall such be connected to a sewer line or septic line. (d) Surface drainage easements and Commons Areas used for drainage purposes as shown on the recorded plat of the Subdivision are intended for either periodic or occasional use as conductors for the flow of surface water runoff to a suitable outlet, and the land surface across which such runoff is intended to flow shall be maintained in an unobstructed condition. The appropriate public authority having jurisdiction over storm water drainage, shall have the right to determine whether or not an inappropriate obstruction exists, and to repair and maintain, or require such repair or maintenance by the affected Lot owner, as such authority determines is reasonably necessary to keep such runoff conductors in an unobstructed condition. (e) The Lot owner shall request inspection and approval by Developer of the finished grading on each Lot prior to it being seeded or sodded, and the grant or denial of such approval shall be subject to Developer's sole reasonable discretion. Developer shall further have the authority to offset any costs incurred in halting or mitigating erosion control problems on any Lot as identified by Developer in its sole discretion. 15. Drainage; Non-Disturbance of Natural Drains. Drainage of each Lot shall conform to the general drainage plans of Developer for the Subdivision. The course and flow of the existing creek or other natural drains shall not be disturbed, changed or altered in any manner without the prior written consent of the Clark County Plan Commission, Indiana Department of Natural Resources, and any other governing agency with jurisdiction over such proposed changes. 16. Signs, Fences, House Numbers, and Mail Boxes. (a) No sign for advertising or any other purpose shall be displayed on any Lot or on a building or a structure on any Lot, except one sign for advertising the sale or rent thereof, which shall not be greater in area than Nine (9) square feet; provided, however, Developer shall have the right (i) to erect larger signs when advertising the Subdivision, (ii) to place signs on Lot designating the Lot number of the Lots, and (iii) following the sale of a Lot, to place signs on such Lot indicating the name of the purchaser of that Lot. This restriction shall not prohibit placement of occupant name signs and Lot numbers as allowed by applicable zoning regulation. (b) Two types of fences may be allowed on a Lot, a standard fence and a privacy fence. An owner of a Lot who desires to install a fence on a Lot must submit an application for a proposed fence to the Developer or the Association. The application, shall include, at a minimum, a plot plan of the Lot showing the location of the proposed fence, the style of the fence, and the material of the fence. No fences may encroach on any easement and cannot extended toward the front or street side property lines beyond the rear or side walls of the residence. Standard fences may be black vinyl coated chain link fencing or black aluminum wrought iron styled fencing. Standard fences shall not exceed five (5) feet in height unless specifically approved by the Developer or the Association. Privacy fences shall be of white vinyl material and shall not to exceed six (6) feet in height. Wood standard fence or wood privacy fence of any kind are not be allowed on any Lot. All fences shall be properly maintained by the Lot owner. The Association may adopt additional rules related to fencing. (c) All homes shall display a house number in an appropriately placed position and all homes having a mail box shall maintain it in the same state of repair as that of the dwelling and that it shall, if lettered, be lettered in a professional manner or have attached thereto, an appropriate name plate. Mailboxes and posts are to be of a style and material determined by the Developer or the Association. 17. Nuisances, Disposal of Trash. (a) No noxious or offensive trade or activity shall be conducted on any Lot, nor shall anything be done which may be or become an annoyance or nuisance to the neighborhood. (b) No trash, garbage, or other waste or refuse shall be kept within the Subdivision except in neat and sanitary containers. Any incinerator or other equipment for the storage or disposal of such materials shall be kept in a clean, neat and sanitary condition and maintained in accordance with all Federal, State and local laws or ordinances. No Lot shall be used or maintained as a dumping ground for rubbish, trash, or garbage. Trash or garbage or other waste shall not be kept except in sanitary containers. 18. Sidewalks. The builder or owner of each Lot shall be responsible for installation of the initially improved sidewalk on their Lot. If the sidewalk is not installed prior to occupancy of the home constructed on the Lot, or upon Thirty (30) days written notice by Developer requiring same, the Developer reserves the right to install the sidewalk and charge the owner twice the installation cost incurred, with such charge secured by a lien against the subject Lot. 19. Commons Areas. As evidenced by the acceptance of a deed, contract, or other means of conveyance for a Lot in the Subdivision each owner covenants and agrees to pay annually a pro-rate share of the cost of maintenance of the walkways, vegetative maintenance areas, and all other Common Areas. The assessment for the Common Areas shall be made and determined initially by the Developer, and subsequently said assessment determination may be assigned to said Association as contemplated under these covenants and restrictions. Failure to pay the annual assessment by any Lot owner shall operate as a lien against that owner’s Lot, and also subject the owner to suspension of the right and/or privilege to use Commons Areas while any such amount remains due and owing. Use of the Commons Areas is reserved exclusively for the Lot owners within the Subdivision and their guests. Developer reserves the right, and shall be authorized to adopt additional rules and regulations pertaining to the access, use, and maintenance of such Commons Areas; provided that a copy of such rules and regulations are provided to each Lot owner prior to their taking effect. 20. Homeowner's Association: Membership and Voting Rights. (a) An association of Lot owners to be known as the Association may be incorporated as an Indiana not-for-profit corporation by the Developer or by the Association. (b) Every owner of a Lot in the Subdivision shall be a Member of the Association. Membership shall be appurtenant to and may not be separated from ownership of any Lot, which is subject to assessment. (c) The Association shall have two classes of voting Members as follows: Class A. Class A Members shall be all owners of Lots with the exception of the Developer, and shall be entitled to one vote for each Lot or unit owned. When more than one person holds an interest in a given Lot or unit, all such persons shall be Members and the vote for such Lot or unit shall be exercised as they may determine between or among themselves. In no event shall more than one vote be cast with respect to any Lot or unit owned by Class A Members. Class B. The Class B Member shall be Developer, who shall be entitled to the exercise of 10 votes for each Lot owned by the Developer. The Class B membership shall cease and be converted to Class A membership when the Developer turns control of the Association over to the Association. (d) The owner of any Lot within the Subdivision, by acceptance of a Deed to any such Lot, whether or not it shall be expressed in such Deed, is deemed to covenant to agree to pay to the Association an assessment in the initial sum of $250.00 per Lot beginning in the year of the first conveyance by the Developer to any person, firm, entity or corporation, other than a firm, entity or corporation owned or controlled by a member of the Developer. Thereafter the annual assessment shall be due on the 1st day of January of each year after such initial conveyance is made. The annual assessment, together with interest, cost and reasonable attorney's fees shall be charge on the land and shall be a continuing lien upon the property on which such assessment is made. Each assessment together the interest, cost and reasonable attorney's fees shall also be the personal obligation of the person who was the owner of such property at the time the assessment was due. The personal obligations for delinquent assessments shall not pass to his successors in title unless expressly assumed by them in the Deed of such Lot. (e) The purpose of the assessments levied by the Association shall be exclusively to promote the health, safety and welfare of the residents of the Subdivision and for the improvement and maintenance of the Commons Areas which are not dedicated to and/or maintained by a governmental authority, or maintained by the owner of a Lot which adjoins a Commons Area. The Association shall acquire and pay for out of the funds derived from the assessments the following: (i) The maintenance of the Subdivision entrance or entrances and landscaping islands in the roadways of the entrance(s), and landscaping along or within a boulevard, cul-de-sacs or other green space. (ii) Taxes or assessments imposed upon the Commons Areas, if any. (iii) Water, sewer, garbage, electrical lighting, telephone, gas, and other necessary utility service for the Commons Areas, if any. (iv) Liability insurance insuring the Association against any and all liability to the public, to any owner or owners, or to the invitees or tenants of any owner or owner arising out of their occupation and/or use of the Commons Areas. The policy limits shall initially be set by the Developer and thereafter by the Association. Policy limits shall be reviewed at least annually and increased or decreased in the discretion of the Developer or the Association. (v) Worker’s compensation insurance to the extent necessary to comply with applicable law. (vi) A standard fidelity bond covering all members of the board of directors of the Association and all employees, of any. (vii) The payment of any debt or obligation of the Developer for the initial construction of the common facilities in the Subdivision. (viii) Any other materials, supplies, furniture, labor services, maintenance, repairs, structural alterations, insurance, taxes or assessments that the Association is required to secure or pay pursuant to the terms hereof or by law, or which shall be necessary or proper in the opinion of the board of directors of the Association for the operation of the Commons Areas, for the benefit of Lot owners, or the enforcement of these restrictions. (f) The Association, by vote of the majority of the Members thereof, may increase or decrease the annual assessment. (g) In addition to the annual assessment authorized herein, the Association may levy, in any assessment year, a special assessment applicable to that year only, for the purpose of defraying, in whole or in part, the cost of any construction, reconstruction, repair or replacement of an improvements or Commons Areas in the Subdivision, provided that any such special assessment must be approved by Seventy-five percent (75%) of the Members, unless such special assessment is for purposes of enabling the Association to comply with the Drainage Ordinances of Clark County, Indiana, or any order issued by the Clark County Drainage Board. (h) Effect of nonpayment of assessments. Remedies of the Association: any assessments not paid within Thirty (30) days after the due date shall bear interest from the due date at the rate of Fifteen percent (15%) per annum. The Association may bring an action of law against the owners primarily to pay the same or foreclose the lien against the property. No owner may waive or otherwise escape liability for the assessments provided for herein by non-use of the Commons Areas or abandonment of such Lot. (i) Subordination of the lien and mortgage. The liens of the assessment provided for herein shall be subordinate to the lien of any first mortgage in existence at the time that the assessment becomes a lien. The sale or transfer of any Lot shall not affect the assessment lien. However, the sale or transfer of any Lot pursuant to any mortgage foreclosure or any proceedings in lieu thereof, shall extinguish the lien of such assessments as to payments, which become due prior to such sale or transfer. No sale or transfer shall relieve such Lot from liability for the assessment thereafter becoming due or from the lien thereof. (j) Exempt property. All properties dedicated to and accepted by a local public authority, the Commons Areas, and all properties owned by the Developer or a firm, entity or corporation owned or controlled by a member of the Developer, shall be exempt from the assessment created herein, except no land improvements devoted to dwelling use shall be exempt from said assessments. (k) The Developer shall call the first meeting of the homeowner's association by giving Thirty (30) day written notice to all Members. Such meeting shall be held not later than One (1) year after the sale of a majority of the Lots within the Subdivision to a third party not affiliated or related to Developer in any manner. (l) Notice and quorum for any action. Written notice of any meeting called for the purpose of taking any action shall be sent to all Members for less that Thirty (30) not more that Sixty (60) days in advance of the meeting. At the first meeting called, the presence of the Members or all parties entitled to cast Fifty percent (50%) of all votes of each class of membership shall constitute a quorum. If the required quorum is not present, another meeting may be called subject to the same notice requirement. A required quorum at the subsequent meeting shall be One-half (½) of the required quorum at the preceding meeting. A majority vote of the quorum shall be required to take any action. (m) Directors and incorporation. The Association may take the action of appointing a Board of Directors to act on behalf of the Association, and set forth the by-laws to guide the Association and/or its Board of Directors. (n) Owners' easement and right of enjoyment. Every owner shall have the right and easement of enjoyment in and to the Commons Areas, which right and easement shall be appurtenant to, and shall pass with, the title to every Lot subject to the following provision: The right of the Association to dedicate or transfer a Commons Area shall not, be effective unless an instrument of agreement to such dedication or transfer is signed by Two-thirds of the Members and has been recorded. 21. Obligation To Construct Or Re-convey. Each Lot owner shall, within three (3) years after the date of conveyance of a Lot without a dwelling thereon, commence in good faith the construction of a single-family dwelling approved according paragraph 2, upon each Lot conveyed; provided, however, that should said construction not commence within the specified period of time, and/or if the Lot owner has not complied with all of the restrictions herein or from this time faith does not comply with such restrictions as provided herein, then the Developer may elect to repurchase any and all Lots on which construction has not commenced for Eighty percent (80%) of the original purchase price of said Lot or Lots hereunder, in which event the Lot owner shall immediately reconvey and deliver possession of said Lot or Lots to the Developer by warranty deed. Failure of the Developer to elect to repurchase any Lot on which construction has not timely commenced under the terms of this provision shall not be deemed a waiver of the Developer's right to elect to repurchase in the future any or all of such Lots on which construction has not timely commenced. 22. Restrictions Run with Land. Unless altered or amended under the provisions of this Paragraph, these covenants and restrictions are to run with the land and shall be binding on all parties claiming under them for a period of Twenty-five (25) years from the date this document is first recorded, after which time such covenants shall automatically be extended for successive periods of Ten (10) years, unless an agreement in writing changing or releasing said Covenants and Restrictions, in whole or in part, and signed by the then owners of not less than Fifty-one percent (51%) of said tract by area, exclusive of dedicated roadways, has been recorded in the Recorder's Office of Clark County, Indiana. Failure of any owner to demand or insist upon observance of any of these restrictions, or to proceed for restraint of violation of any of these restrictions, shall not be deemed a waiver of the violation, or the right to seek enforcement of these restrictions. 23. Enforcement. In the event a Member fails to comply with any of the covenants and restrictions in this Declaration, the By-Laws of the Association or any rule adopted by the Association, the Developer, either on Developer’s behalf or on behalf of the Association, or the Association may follow the procedures in Indiana Code 32-25.5-5 or may give the offending Member notice by certified mail, return receipt requested, which notice shall state with reasonable specificity the violation, said Member shall have ten (10) days to cease any activity which caused the violation, take appropriate steps to assure that such violation shall not occur again and otherwise correct the violation. If such corrective measures are not made or taken by the Member, to the satisfaction of the Developer or the Board of Directors, the Developer or the Board of Directors shall have the right to enforce said provision against the offending Member, in law or in equity by initiating a legal action. The legal action may seek injunctive relief and/or money judgment. If the activity which caused the violation continues or is not corrected within any time frame established within the legal action, the Association shall have the right to levy a penalty against the Member in an amount not to exceed $20/day. If the same violation by an Member reoccurs, the Developer, either on Developer’s behalf or on behalf of the Association, or the Association may, after notice, levy a penalty upon the Member in an amount not to exceed $20/day, from and after the date of the notice until such violation ceases or is corrected. All Members, by the acceptance of a deed for a Lot agrees to reimburse said Developer or the Association for all costs incurred in enforcement of the covenants and restrictions herein, the By-Laws or rules of the Association, including but not limited to reasonable attorney's fees. Should any judgment be entered against a Member as a result of said legal action, said judgment shall constitute a lien on the Lot of said Member, and any judgment or penalty shall be added to the Assessment of the Member, which if not paid shall be enforced under the laws of the State of Indiana. 24. Reservation by Developer to Alter or Amend Restrictions and Protective Covenants. The Developer, its successors and assigns, reserves the right to alter or amend these restrictions and protective covenants during the development period of the Subdivision; provided, however, that no amendment to a condition to final plat approval by the Clark County Plan Commission shall be implemented by the Developer without the prior written consent of the Clark County Plan Commission. For purposes of this section, the development period shall be from the date, that these restrictions and protective covenants are executed by the Developer and until the last Lot within the Subdivision is conveyed to a third party. 25. Invalidation. Invalidation of any one of these covenants by judgment or court order shall in no way affect any of the other provisions, which shall remain in full force and effect. IN WITNESS WHEREOF, Rock Springs Development, LLC, has caused the execution hereof by its duly authorized member, on June 16, 2023. Rock Springs Development, LLC By: [Signature] Jeffery A Corbett, Authorized Member STATE OF INDIANA COUNTY OF Clark Before me, a Notary Public in and for said County and State, personally appeared Jeffery A. Corbett, Authorized Member of Rock Springs Development, LLC who acknowledged the free and voluntary execution hereof for and on behalf of said entity. [Notary Seal] THERESA M TALLEY Notary Public, State of Indiana Clark County Commission Number NP0621835 My Commission Expires October 21, 2026 Prepared by Culler Law Office, LLC, Ronald D. Culler, Attorney, 2123 Veterans Parkway, Jeffersonville, Indiana 47130, phone 812-284-2685. I affirm, under the penalties for perjury, that I have taken reasonable care to redact each Social Security number in this document, unless required by law, William Fischer Person’s name presenting for recording
THE PROPERTY OF THE NATIONAL OPERATIC & DRAMATIC ASSOCIATION KATJA, THE DANCER LOWE & BRYDONE PRINTERS LIMITED, VICTORIA ROAD, WILLESDEN JUNCTION, LONDON, N.W. 10. The George Edwardes (Daly's Theatre) Production at The Gaiety Theatre, London. "Katja, the Dancer" DRAMATIS PERSONÆ: Prince Carl of Koruja ... Gregory Stroud Count Orpitch ... Bobbie Comber Patricia (his Daughter) ... Ivy Tresmand Maud (Patricia's Friend) ... Rene Mallory Leander Billoroff (the Count's Private Secretary) ... Gene Gerrard Katja Karina (a Dancer) ... Lilian Davies Ivo (her Partner) ... Dennis Hoey Boscart (Chief of Police) ... Vincent Dawson Simon (the Prince's Servant) ... Leonard Russell Detective ... Jack Livesey Police Inspector ... Roger Head Andre (Chief of Ivo's gang) ... Norman Leyland Guests, Servants, Police, Etc. Synopsis of Scenery: Act 1 ... Reception Room in Count Orpitch's Palace (Alfred Terraine) Act 2 ... Room in Prince Carl's Villa (Joseph and Phil Harker) Act 3 ... Another Room in the Prince's Villa (Alfred Terraine). Produced by ... FRED. J. BLACKMAN. Musical Director ... IDRIS LEWIS. ## CONTENTS ### ACT I. \| 1. Introduction \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 1 \| \|-----------------\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|----\| \| 2. Song \| "When Love's in the Air" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 5 \| \| 3. Trio \| "Cruel Chief" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 9 \| \| 4. Song \| "Dancing Together" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 14 \| \| 5. Song \| "Politics" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 18 \| \| 6. Duet \| "Just for a Night" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 22 \| \| 7. Duet \| "When we're Married" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 32 \| \| 8. Finale \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 37 \| ### ACT II. \| 9 Opening Chorus \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 47 \| \|------------------\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|----\| \| 9a Song \| "I've Planned a Rendezvous" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 53 \| \| 10 Duet \| "If you Cared" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 58 \| \| 11 Duet \| "Those Eyes so Tender" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 63 \| \| 12 Duet \| "Love and Duty" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 70 \| \| 13 Duet \| "Leander" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 74 \| \| 14 Finale \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 78 \| ### ACT III. \| 15 Introduction \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 88 \| \|------------------\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|----\| \| 16 Song \| "Tails Up" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 89 \| \| 17 Duet \| "Oh, woe is me-oh" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 93 \| \| 18 Reprise \| "Leander" \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 95 \| \| 19 Finale \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| ... \| 97 \| "KATJA, THE DANCER" A MUSICAL PLAY IN THREE ACTS Adapted by Frederick Lonsdale and Harry Graham From the Book by Leopold Jacobsohn and Rudolph Oesterreicher LYRICS BY HARRY GRAHAM MUSIC BY JEAN GILBERT ASCHERBERG, HOPWOOD & CREW, LTD., 16, MORTIMER STREET, LONDON, W. I. International Copyright secured and all rights reserved. Public Performance of the whole or any part of the work strictly forbidden without the express permission of the Directors of the George Edwardes (Daly's Theatre), Ltd., London, W. The Music Publishing Rights for all English Speaking Countries are solely vested in Ascherberg, Hopwood & Crew, Limited. KATJA. No 1. Act I. INTRODUCTION. Words by HARRY GRAHAM. Music by JEAN GILBERT. Maestoso. PIANO. Valse lente. Copyright 1925 by Ascherberg, Hopwood & Crew Ltd. Copyright 1928 by Rondo-Verlag, G.m.b.H.Berlin. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew, Ltd. in all English speaking Countries. March tempo. Grandioso. Agitato. Valse lente. Agitato. Moderato. Agitato. Piu Broadly. Allegro. Tempo di Valse. With enthusiasm. WHEN LOVE'S IN THE AIR. No 2. (Maud.) Words by HARRY GRAHAM. Music by JEAN GILBERT. Allegretto. VOICE. PIANO. 1. Anyone knows, when 2. Anyone knows how folks start courting, Anything may go wrong! hard on lovers Providence sometimes seems, Copyright 1925 by Ascherberg, Hopwood & Crew Ltd. Copyright 1923 by Rondo-Verlag, G.m.b.H. Berlin Wilmersdorf. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew, Ltd. in all English speaking Countries. Prejudice is so strong, Small wonder If love goes under! Shattering all their dreams, Frustrating Their hopes of mating! poco ritard. Anyone knows the sort of thwarting Fortune loves to plan! But Yet in a trice each heart recovers From the blows of Fate; For a tempo life with joy is laden For each love-lorn maiden Love all cares can banish, Sorrows quickly vanish, And her man When once they've heard the pipes of Pan! Small and great, And true Love triumphs soon or late! When REFRAIN. Love's in the air You need never despair! For love finds a way, So I've heard folks say! All, indeed, That you need's Opportunity! And some space To embrace With impunity! (chorus). When Love's in the air You need never despair! For love finds a way, tho' the skies be grey! (Maud.) What-e'er may befall, Love with sunshine is crowned; It's hearts hear love call They rejoice at the sound! Love, after all, Makes the world go round! When round! Love, after all, Makes the world go round! When round! D.S. for 2nd Verse CRUEL CHIEF. No 3. (Patricia, Leander and Orpitch) Words by HARRY GRAHAM. Music by JEAN GILBERT. Allegretto grazioso. VOICE. PIANO. (LEANDER) Cru - el Chief, As a youth can noth - ing melt your you flirt - ed I've no (ORPITCH) heart? No words can sway me! doubt! I flirt - ed? Nev - er! (PATRICIA) We You Copyright 1925 by Ascherberg, Hopwood & Crew Ltd. Copyright 1923 by Rondò-Verlag, G.m.b.H.Berlin. Authorised for Sale and distribution by Ascherberg Hopwood & Crew Ltd. in all English speaking Countries. two can never live apart! You must o- used to bump the girls about! Well hard-ly (LEANDER) bey me! ev-er! Must I quit my div- You once were bold and (ORP) in-i-ty? am-or-ous! And don’t come back! When I was young! (PAT) He So is my soul’s af-fini-ty! why start in to ham-mer us? He’s got the You hold your sack! For I know what comes of these ro- tongue! (LEAN) Even now, you're fairly hale and man-ces, ac-tive, And I'm not And wo-men taking any chan-ces! find you still at-trac-tive! All this sen-ti-men-tal Why kick up this fright-ful! stuff Must be stopped, and that's e-nough! But, Pa- fuss? You should sym-pa-thise with us! Your be- pa, do lis - ten, pray, to rea - son! Youth's the time when - ha - viour's real - ly too de - press - ing! You should give the love is still in sea - son (Lean) When a Miss And a man Ought to kiss All they hap - py pair your bless - ing (Orp) No, not I! And al - though You may sigh For your can! What is this But Na - ture's plan? beau (to Pat) Say Good - bye (to Lean) And out you go! Valse Tempo. - pa, sure - ly, in days long a - go, You were like all the - pa, sure - ly, in days long a - go, You were like all the rest! Your heart, I know, Was as soft as dough; Love built a rest! Some girl I know, With her cheeks aglow, Snuggled up, nest in your breast! On evenings in June'Neath the light of the moon, so, to your chest! (LEAN) Her parents would chide But their will you defied— You too would spoon, I vow! You sighed for love To the Love was your guide, I vow! (PAT) They might condemn But you stars above Papa, That's what we're doing now. laughed at them Papa, That's what we're doing now. A.H.& C.Ltd.10898. DANCING TOGETHER. No 4. (Katja.) Words by HARRY GRAHAM. Music by JEAN GILBERT. Moderato con moto. VOICE. 1. Through life we go dancing together, 2. While Fortune is still unfor-giving, PIANO. But though our hands intertwine, True friendship is the While Fate is harsh and unjust, We dance to earn our tether That links your fate with mine! Our living; We dance because we must! And Copyright 1925 by Ascherberg, Hopwood & Crew Ltd. Copyright 1923 by Rondo-Verlag, G.m.b.H. Berlin-Wilmersdorf. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew Ltd. in All English-speaking Countries. poco animando eyes with passion glancing, We seem so gay at heart, when the night is ended, And patrons, weary grown, Tempo I. But all the while we're dancing We're playing a part! For Their home-ward way have wen-ded And left us a lone, We Allegro. often in rooms that are shin-ing With lights, a-round and a- sit by the slow-dy-ing em-bers That late so gar-ish-ly above, With-in us our hearts may be pin-ing For lands that we shone, And sad grows the heart that re-mem-bers The days that are Broadly love! When thoughts of home come throng-ing, We dance more wild-ly gone! We dream of kins-folk scat-tered, Who shall nev-er meet a - yet, To stif-le all our long-ing And help us to for-get! Then -gain, Of hopes so rude-ly shat-tered, And of dreams we dreamed in vain! REFRAIN. Allegro moderato. dance while you may, For time is fleet-ing! Keep danc-ing a-way With heart a-beat-ing! So keep des - pair at bay, And drive dull care away, And till our dreams come true Kat-ja will dance with you! DANCE. Allegro con fuoco. A. H. & C. Ltd. 10898-6a POLITICS. (Carl.) Words by HARRY GRAHAM. Music by JEAN GILBERT. Moderato. VOICE. PIANO. Copyright 1925 by Ascherberg, Hopwood & Crew Ltd. Copyright 1923 by Rondo-Verlag, G.m.b.H., Berlin. Authorised for sale and distribution by Ascherberg, Hopwood & Crew, Ltd. in all English speaking Countries. rob me of my peace of mind, And make existence one long grind! It's really a calamity That men can't live in amity With-out these diplomatic tricks! Confound their wretched politics! The world is so radiant with beauty, With laughter and sunshine and flow'rs, And yet, from a false sense of duty, We waste life's most exquisite hours! But while there's a blue sky above me, What need to be sad or deprest? Somewhere there's a woman to love me, So why not forget all the rest! Oh, curse all things political, When state affairs are critical They rob me of my peace of mind, And make existence one long grind! It's quite incomprehensible Why nations can't be sensible. They've got me in an awful fix! Confound them and their politics! JUST FOR A NIGHT. No 6. (Katja and Carl.) Words by HARRY GRAHAM. Music by JEAN GILBERT. Andante con moto. VOICE PIANO. She's only a dancer," I hear you say, "A frivolous, little coquette! A butterfly gay who lives for to-day, I'll catch her with ease in my net!" Ah no, I assure you that isn't my plan; But even suppose you're right, For - give if you can The thoughts of a man who's Tempo di Valse. KATJA. fallen in love at first sight! In love? And yet you barely know me! What is this love that you pretend to show me? Surely you go too fast! Such love can never last! allargando Allegretto. CARL. Love is a passionate flow'r, Spring-ing to birth in an mf a tempo hour; Since mine has blossomed for you I know that this is rit. true! Though all you say to me now May be quite true, as you a tempo state, You must be pa-tient, I vow, For ev'-rything comes if you know how to wait! Your pi-ty be-stow! Don't tor-ture me so! My heart is on fire! 'Tis you I de-sire! Tempo di Valse. Just for a night to be-hold you Mine at last! Just for a night to en-fold you, Hold you fast! All in vain Would you bind me! Free again You would find me! I'll not resign A dream so divine, And to-night you shall be mine! CARL Yes, tonight! KATJA Ah, tonight! I've some reluctance in sharing Views you advance with such daring; Love's just a game that men play! They kiss and ride away! CARL Ah, that is cruelly spoken! I should be tender and true! So give me that rose as a token, To wear on the heart that is yearning for you! That boon I deny! Too soon would it die! It's not a good plan to trust any man! Tempo di Valse. KATJA (coquettishly) Just for a night to behold you Mine at last! Just for a night to enfold you, Hold you fast! Oh, what bliss To enslave you With each kiss That I gave you! I'll not resign A dream so divine, And tonight you shall be mine! (CARL.) rubato I'll not resign A dream so divine, And to-night you shall be mine! WHEN WE'RE MARRIED. No 7. (Patricia & Leander.) Words by HARRY GRAHAM. Music by JEAN GILBERT. Allegretto moderato. VOICE. (PAT.) It's (LEA.) Come, PIANO. fun to be engaged, they say; I find it trying rather! When let's elope, dear, you and I! And don't think me offensive If ev'ry day we have to play At hide-and-seek with Father! (LEA) If when we're married, by and by, I find life less expensive! (PAT.) When Copyright 1925 by Ascherberg, Hopwood & Crew, Ltd. Copyright 1923 by Rondo-Verlag, G.m.b.H. Berlin. Wilmersdorf. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew, Ltd. in All English-speaking Countries. we were only man and wife 'Twould save a lot of trouble. I'm with your fiancée you dine, The fattened calf you slaughter; A weary of this single life; Give me a double! (PAT) For wife, at lunch, instead of wine, Gets barley-water! (LEA) A rit. when you're married, worries cease! (LEA) You have a little peace! sweetheart sits in taxis, thus! (PAT) A wife climbs on a bus! (LEA) When you're married, You feel much less harried! (PAT) When you're married, Expense can be parried! (PAT) Life's all quiet, No riot And no rush! (LEA) Treat your sweetie's Entreaties As a joke! (LEA) You're not caring Though folks may be staring! (PAT) Though it's cruel To grudge her a jewel, (PAT) You're quite happy In a crush! (LEA) You've forgotten how to blush! But If she wants a sable cloak (LEA) You're so broke you have a stroke! But when you're single, Your cheeks start to tingle! Till you've when you're single, Your cash you must jingle! (LEA) On your got In a spot That's made for two! (LEA) Your hands idol With pride you'll Spend your screw! (PAT) Frocks from mingle; You seek some shady dingle, Knee-deep in Pol ret. Of crêpe de chine and moi-ré! (LEA) Reville's for dew! (PAT) You get wet through! (LEA) But when you're you! (PAT) Ah, yes, how true! (LEA) But when you're mar ried The High Street will do! mar ried Then Wool-worth's will do! No 8. Finale. Act I. Words by HARRY GRAHAM. Music by JEAN GILBERT. PIANO. Andante. You're re-opening wounds that time alone can heal! To my burning thirst for revenge you cunningly appeal! Mem'ries of the past, It's bitterness and shame, They come flocking fast And set my thoughts a- Tempo di Valse. Harp Mem'ries of the past, It's bitterness and shame, They come flocking fast And set my thoughts aENTER GUESTS. Just one more dance! Ah; don't say "No!" Just one Just one more dance! Ah; don't say "No!" Just one Just one more dance! Ah; don't say "No!" Just one KATJA. The hour is song before you go! late; I cannot stay! I cannot wait, I must a(IVO) "Katja, you must stay. It will give me a chance to get a few of our friends together." (KATJA) "You wish me to stay?" (IVO) "Remember, it's your duty!" KATJA way! I'll see what I can do! I'll dance for you! Allegro con fuoco. CHORUS. Won'drous fair, beyond compare! pare! With eyes all aglow, And what yond compare! With eyes all aglow, And what Shining like some beautiful star, yet lovelier Shining like some beautiful star, yet lovelier wonderful hair! Whirling round, far! That's what you are! Light as a feather far! That's what you are! Light as a feather Scarcely touching the ground, She goes On the tips of her Or a bird none may tether, You are wonderful Or a bird none may tether, You are wonderful toes! Stay, we pray, Till the dawn of the altogether! day! Stay, oh! stay! (Katja throws Prince her handkerchief.) Tempo di Valse. Nc, I must go! Time's up, you know! Just for an rall. hour I must leave you — Say goodbye! Just for an hour, though it grieve you, I must fly! Not in vain You entreat me; Soon again you shall meet me! Woman, you'll find, Can alter her mind, And to-night fate may be kind. Allegro vivo. rall. Opening Chorus. Act II. No 9. (Carl and Chorus.) Words by HARRY GRAHAM. Music by JEAN GILBERT. Allegretto moderato. PIANO. Vivace molto. Copyright 1925 by Ascherberg Hopwood & Crew Ltd. Copyright 1923 by Rondo-Verlag, G.m.b.H., Berlin Wilmersdorf. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew Ltd. in all English speaking Countries. Allegretto. Slower. Tempo di Valse. Chorus in unison. Bouche fermée La la la! La la la rubato La la la! La la la la! La la la La la la la la la. Allegro. Coo-ee! What was that? Moderato marziale. Who are you? Congratulations! Your friends! Down to the station we have been, But Why are you here? At such an hour? Perhaps you kindly will explain? It's easy to explain! We went down to the train, But 'twas all in vain; And so we've come back here again! CARL. (nervously) Oh— Allegro moderato. CARL. well-er-but when all's said and done, I've got an appointment to see someone! To CARL. meet her here is my intention; And her name (chor) Is what? (CARL) I shan't I've mention I'VE PLANNED A RENDEZVOUS. No 9a Words by HARRY GRAHAM. Music by JEAN GILBERT. planned a lovely little rendezvous With some-one dear! Some-one dear! And not much good at making love, I own, When folks are by! Mm-m-m! The really I don't know what we shall do If you stay here! We stay here! We lady, too, if we were all alone Would feel less shy! Mm-m-m! At mean to have a cosy tête-à-tête, If we're allowed! You're allowed! But last I fancy that a chance I've found To win her smile! Win her smile! But two is company, I beg to state, if you all intend to hang around, 'Twould cramp my style! So, please, will you kindly go please! Though I hate to be so impolite, or you'll be detrop, now! I've a date as you know, For tonight And my charmer She will soon appear; Twould alarm her If she found you here! And I do want ev'rything to go all right For tonight! Yes, tonight! Just tonight! I'm night! Chorus Right, sir, we will say "Good-night" sir! We won't stay In the way of your fun! Later, with a joy that's greater, We'll return just to learn how you've done. For my charmer She will soon appear; 'Twould alarm her If she found you here, And I do want everything to go all right, For tonight, Yes, tonight! Just tonight! Chorus A.H. & C. Ltd. 10898 IF YOU CARED. No 10. (Patricia and Carl) Words by HARRY GRAHAM. Music by JEAN GILBERT. Tempo di Valse. VOICE. (Carl) Smiling, in fashion so be- (Pat) Clearly, you treat me ca- PIANO. - guil - ing, You pay a mid-night call here, all a - - lier - ly! The truth to me, I fear, is plain as day! It's dan-ger-ous, you'll own! You wish me far a way! (PAT) Truly you flatter me unduly! Your heart is well controlled and cold, I know! (CARL) Night time, they tell us, is the right time for such a love affair, but there you see, we're neither of us free! (CARL) Oh! I'm only human, after all! (PAT) Oh! we might have had a gay old time; temptation, I'm afraid, I can't resist! It isn't wrong to flirt, I don't suppose! (PAT) So, you think a man may always fall, (CARL) No; it really can't be called a crime, And if he meets a maid, She must be kissed! If no one knows! (CARL) Opportunity (PAT) But at night one may makes the thief And a true lover's time is brief! lose one's head Or we might lose our hearts, instead! If you cared! If I dared! There are joys that might be shared! But if fond I grew Of a girl like you, You'll agree with me 'Twould never do! If you stayed, I'm afraid, I might like you quite a lot! (PAT) Oh, how nice 'twould be, If we were free! (CARL) But then — you see — we're not! THOSE EYES SO TENDER. No 11. (Katja and Carl.) Words by HARRY GRAHAM. Music by JEAN GILBERT. Allegro moderato. Voice. I believe you are frighten'd of Piano. me! Yes—and No! Beautiful women are a danger, you see! What are you frighten'd of? How can they hurt you, pray? Copyright 1925 by Ascherberg, Hopwood & Crew Ltd. Copyright 1923 by Rondo-Verlag, G.m.b.H., Berlin. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew, Ltd. in all English speaking Countries. I'm afraid—perhaps one of them may steal my heart away! Moderato. Surely one so conceited I never yet did meet! By women you've been too well treated; You think they're all at your feet! Tell me, how many of them have come here to supper with you! Ten or a dozen? Or is that too few? Not one! Not one? Not one was half so charming as you! Didn't they all adore you? Really, I swear, it's true: Others there were before you, But none so fair as you! REFRAIN. Valse lente. eyes so tender That match the splendour Of Star lit skies Were surely fashioned To gaze impassioned In someone's eyes! You hide it vainly, Love's secret, plainly, You can't disguise, And man, forsooth, May read the truth In a woman's eyes! Allegro moderato (CARL) Is anything wrong? How strange you appear! Why are you silent? Ah! speak to me, dear! (KATJA.) I had such a different opinion of you, And now, somehow, I've altered my Moderato. (CARL) No matter what you may have thought, Tonight we've found the love we sought! Time mustn't be wasted Until we've tasted this love of ours! (CARL) Ahno! Sowon't you please let me go? No, no! For, oh, I love you so! Those REFRAIN. Valse lente. eyes so tender That match the splendour Of stars above, Were surely fashioned To gaze impassioned In eyes of love! Love hides but vainly; It's secret, plainly, One can't disguise, And all, forsooth, May read the truth In a woman's eyes! LOVE AND DUTY. No 12. (Maud and Orpitch.) Words by HARRY GRAHAM. Music by JEAN GILBERT. VOICE. PIANO. (ORP) 1. The world has gone quite (ORP) 2. I've never solved the pot-ty; They're all in-sane, it's true! And though I'm not yet dot-ty, I'm puz-zle, How oth-er men stay good! (MAUD) You ought to wear a muz-zle And mad, at least, on you! (MAUD) 'Tis said that Love Will turn the strong-est then per-haps you would! (ORP) When you are by, All-self con-trol I Copyright 1925 by Ascherberg, Hopwood & Crew Ltd. Copyright 1928 by Rondo Verlag, G.m.b.H.Berlin. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew, Ltd. in all English speaking Countries. brain; A look or touch sends men insane! (ORP) A lose; You light a spark, and then I fuse! (MAUD) Suppose you try To keep your head, to start! (ORP) Why, I can't little shove, And reason starts to lurch! A glance would pose you try To keep your head, to start! (ORP) Why, I can't knock me off my perch! (MAUD) And yet your head would rightly even keep my heart! (MAUD) Life's straight and narrow highway's The ford you no excuse! (ORP) My head's screwed on quite tightly, But it's my heart that's loose! (MAUD) But road for you, I know! (ORP) Down Cupid's shady byways I much prefer to go! (MAUD) The Duty's call you'd heed, no doubt! I'd chuck it all when Love's about! path of Duty's clear and plain! I'd rather walk down Lover's Lane! REFRAIN. When we falter 'twixt Love and Duty, I know what choice we'll make! When we halt between Business and Beauty, One road we're bound to take! (ORP) Duty calls us, But Love enthralls us! MAUD: And we fall, One and all, Very soon! (BOTH) It's foolish, perchance, But we have to dance when Cupid calls the tune! LEANDER. (Patricia and Leander.) Words by HARRY GRAHAM. Music by JEAN GILBERT. VOICE. PIANO. (PATRICIA) To a land Where skies are blue, dear, Far away From all this riot, Samarkand Or Timbuktu, We shall stay In peace and quiet; I'll go with you, dear, Love's simple diet Our Copyright 1925 by Ascherberg, Hopwood & Crew, Ltd. Copyright 1923 by Rondo-Verlag, G.m.b.H. Berlin, Wilmersdorf. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew Ltd. in All English-speaking Countries. love's sweet sake! souls shall feed! (LEANDER) There we'll dress—In silk bandanas, Life, 'tis said,—Such perfect bliss is And oh! yes—We'll have bandanas! With fair sul-tanas What kiss-es! When you're my "mis-sis" That's "dates" I'll make! all I'll need! REFRAIN. (LEANDER) With your Le-an-der, Your old goose-y-gan-der, A-far you shall wann-der, By land or by sea! (PATRICIA) Off we'll me-an-der, For noth-ing could be gran-der Than life As the wife Of a bloke as broke as he! We'll brave the dander Of old "monkey gland-er"; Our days, hand-in- hand-er, We'll squann-der in song! On our ver- an-der, Out in far U-gan-der! With your Le- an-der You'll phil-an-der all night long! long! A. H. & C. Ltd. 10898-23 No 14. Finale. Act II. Words by HARRY GRAHAM. Music by JEAN GILBERT. PIANO. Andante. \[ \begin{align} &\text{f} \quad \text{p} \\ &\text{pp} \\ &\text{pp} \\ &\text{Allegretto.} \end{align} \] CARL. Who knows when again we shall meet like this, Alone beneath the moon, Or ever recapture those Copyright, 1935, by Ascherberg, Hopwood & Crew Ltd. Copyright, 1928, by Rondo Verlag, G.m.b.H. Berlin. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew, Ltd, in all English speaking Countries. hours of bliss That pass, alas! so soon! The raptures of lovers, though sweet they seem, Must die or fly away; Our love perchance is all adream That fades at break of day! Ah, no! Ah, no! Though dreams may die In the cruel morning light, Such happiness as ours Cannot vanish in a night! CARL. The hour of love is brief; Life admits of no delay! Moderato appassionato. KATJA. Ah, come, let us enjoy it, while we may! I won't care what the world may say or do! I'll give all that I am and have to you! You shall take me and make me all your own! Just for an hour, dear, I'll be yours alone! (ENTER IVO) (CARL) "What is it?" (IVO) "The champagne, your Highness!" (IVO pours the champagne into their glasses.) (CARL to IVO) "Go!" Allegro. A.H. & C. Ltd. 10898 See, in this glass how the wine, flowing dark, Seems to glint and to glow with a deep-hidden fire! So, in my heart you have light-ed a spark, You have kindled within me the flames of desire! Burning for you, Yearning for you Be-hold me! Raise then your glass! Gaze in my eyes! Naught care I what the fates may do, dear! Passion may pass, Love never dies! Here's good luck to us two, For all my life through I will be true to you! Agitato. KATJA "Don't drink it!" (CARL) "Why not? What's the matter, Katja?" (KATJA) "That wine is drugged!" Maestoso. (KATJA seizes the glass and throws it out of the window:) (KATJA) "That wine was drugged— (CARL) "This is interesting!" The house is surrounded!" (CARL) "How do you know this?" Maestoso. (CARL) "Who are you?" I am the Countess Il'annoff! No more will I pretend. You are the Countess Il'annoff? Your enemy—and your friend! (CARL) "Friend! So, your courage..." failed you at the last second, eh? You who care for me so much!" (KATJA) "You must know that that is true." (CARL) "I see, and you waited until the house was surrounded to tell me this." (KATJA) "I know, I know, but I promise you no harm shall come to you!" (CARL) "Many thanks, but I'd have to trust you a great deal more to take that risk!" (Starts to go). (KATJA) "Where are you going? What are you going to do?" (CARL) "What do you think I'm going to do?" (Runs to window). (KATJA) "But they'll kill you!" (CARL) "By heaven they'll have to fight for it!" (KATJA) Stay and I shall be Allegro. yours, what- ever be-fall! Tempo I. Stay. Ah! stay and my heart shall give you Allegro molto. (Carl jumps through the window.) CURTAIN Act III. INTRODUCTION. Music by JEAN GILBERT. Allegro. PIANO. Copyright 1925 by Ascherberg, Hopwood & Crew Ltd. Copyright 1928 by Rondo-Verlag, G. m. b. H., Berlin, Wilmersdorf. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew Ltd. in all English speaking Countries. No 16. TAILS UP. (Maud.) Words by HARRY GRAHAM. Music by JEAN GILBERT. Tempo di Marcia. VOICE. (1) We're in sorry plight For we can't get (2) I've a firm belief which I needn't PIANO. bail! We must end the night In the County Jail! Free-dom to re-hide That the tough-est beef Has a sil-ver side! And although I gain Though we vain-ly en-dea-vour, Are we downheart-ed? may, So to say, put it trite-ly, I takethings light-ly! Copyright 1925 by Ascherberg Hopwood & Crew Ltd. Copyright 1928 by Rondo-Verlag, G.m.b.H. Berlin-Wilmersdorf. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew Ltd. in All English-speaking Countries. (Chorus) Never! We can laugh at Fate With our heads held high! Merrily we'll Centre all you (Chorus) Lightly! That's the only plan When the outlook's blue— (Maud) wait Till the clouds roll by! Though we've had a night of it, We can make can on a hopeful view! When things bore you fearfully, Don't complain light of it,— And so, in spite of it,— We won't say die! tearfully;— But take life cheerfully— And you'll pull through! Just REFRAIN. say "Hip Hooray!" And all that's gay will come your way! Hold tight, for there's a bright side, And night will turn to day! Don't mope! While there's life there's hope, How-ev-er steep the slope you climb! Don't quail Before the gale, Keep your tails up,—up all the time! D.C. §§ for 2nd Verse. OH WOE IS ME—OH! No 17. (Patricia and Leander.) Words by HARRY GRAHAM. Music by JEAN GILBERT. PIANO. Marcia. Copyright 1925 by Ascherberg Hopwood & Crew Ltd. Copyright 1923 by Rondo-Verlag, G. m. b. H. Berlin. Wilmersdorf. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew Ltd. in all English speaking Countries. We've often talked of Love as Cupid's golden fetter! We've often wished that we were linked for worse or better! We've changed our mind! Because we find That though we're fond Of any bond That joins two hearts in one, This joining business can at times be overdone! Reprise. LEANDER. No 18. (Patricia, Leander and Orpitch.) Words by HARRY GRAHAM. Music by JEAN GILBERT. VOICE. With your Le - an - der, That young Sal - a - man-der! But mind you don't strand her On land or by sea! PATRICIA; Thanks for your can-dour! But don't at-tempt to slann-der My Bill Who is Copyright 1925 by Ascherberg, Hopwood & Crew Ltd. Copyright 1928 by Rondo-Verlag, G.m.b.H.Berlin. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew, Ltd. in all English speaking Countries. still Just as true as glue to me! Fate has so plann'd her That none can with-stand her! My heart I would hand her, De- manndher as wife! Off to U-gan-der Hand in hand we'll wann-der! There with Le-an-der She'll phil-an-der all through life! Moderato appassionato. PIANO. Allegro vivo. Copyright 1925 by Ascherberg, Hopwood & Crew Ltd. Copyright 1923 by Rondo-Verlag, G.m.b.H.Berlin. Authorised for Sale and distribution by Ascherberg, Hopwood & Crew, Ltd. in all English speaking Countries.
Dear Georgina, REC Review 2022: Ofwat Proposals Thank you for the opportunity to respond to Ofwat’s proposals for the retail price controls to apply from 2023. Responses to each of the questions posed in Ofwat’s consultation paper are attached, but there are a number of additional issues that I wanted to raise about the overall approach and the need for the continued regulation of Group One customers. There is widespread agreement that the NHH market has so far failed to deliver the benefits of competition for the large majority of small and medium sized companies. Whilst there are a number of contributory factors, by far the most significant is the nature of the retail price constraints that have applied since market opening. As highlighted in the Economic Insight report commissioned by the UKWRC1, as long as the allowed cost to service SME customers is lower than the actual cost to serve them, retailers will not be in a position to compete for their business, and will be unable to provide customer service enhancements, service innovation or access to added value services. Hence it is very concerning that Ofwat has proposed a form of price regulation and a level of price cap for the next 3-5 years that will perpetuate the current problems, and continue to inhibit the development of competition for small customers. The scale of the efficiency challenges proposed are such that even the most efficient retailers are unlikely to be able to operate profitably in this segment of the market. Clearly this is not sustainable and will have damaging consequences for all market stakeholders. Five years after market opening, we should be moving away from ex-anti price controls, towards a form of regulation more appropriate to a competitive market and consistent with other utility sectors. If price caps are relaxed, and retailers are able to make a reasonable return, it provides both the motivation to compete, and the headroom to engage with customers in relation to value and service propositions. --- 1 Non-Household Water Retail Market Study, Economic Insight, April 2021 The Need for Price Protections for Group One Customers Ofwat has stated that it is not confident that competition can be relied upon to protect customers’ interests, and proposes three reasons why there is a continued need for regulated price caps: (i) low levels of customer awareness and engagement; (ii) the level of potential savings is unlikely to provide a strong motivator for customers to engage; and (iii) no evidence that relaxing price constraints would lead to competition developing. We don’t agree with Ofwat’s position, or believe that there is evidence to suggest that competition would not protect business customers in the water market, in the same way it does in other utility and commodity markets. The concern implied by Ofwat, is that in the event of a relaxation of price constraints, customers would be exploited by water retailers. However, this would require market power on the part of one or more retailer, yet Ofwat has offered no evidence that market power exists, and further, the CMA has on a number of occasions indicated that they have no concerns about market power in the English NHH market. We acknowledge that market awareness and engagement has been lower amongst smaller customers, but believe that this is a symptom of the existing price caps, not a justification for retaining them. It is not surprising that where there is limited competitive activity (because of the disparity between actual and allowed CTS) customers are not aware of or engaged in the market. If retailers had the headroom to make competitive offers, Group One customers would be approached more frequently, and would have access to more competing offers – in turn driving awareness and engagement. From Ofwat’s latest State of the Market report, it is notable that the level of awareness and engagement by ‘medium’ sized customers (whom we assume would largely fall into Group Two) is not significantly greater than for small/micro customers (Group One), yet Ofwat is content that a backstop control is sufficient protection for these customers. We would welcome greater clarity on the level of awareness that Ofwat considers would justify a move to a back-stop approach for Group One. We also recognise that customers will not be motivated to seek a competitive supply when they know they are protected by a very tight price cap. However, it is not in customers’ interests that the cap remains below the level of efficient cost of supply – this is not sustainable. A cost-reflective price has greater potential to motivate customers to engage in the market and exercise their right to choose their supplier. Ofwat has challenged the proposition that relaxing price controls would lead to greater customer engagement, citing as evidence the lack of correlation between switching rates and the regions that currently have the highest retail margins (shown in figures 5.1 and 5.2 in the consultation paper and copied here below). However, there are three points to make in response to this suggestion: (i) The reason that there is no correlation between switching rates and the regions with the highest retail margins is because even the highest retail margin (~£105 for combined water and waste) is still below the actual cost to serve of most retailers for most Group One customers (assessed by Economic Insight to be ~£121), there is little motivation on either side to switch. Put simply, if even the highest retail caps are ‘too low’ to cover the actual cost to serve, then no retailer will be willing to compete for these smaller customers. (ii) Contrary to Ofwat’s conclusions, these graphs demonstrate that switching does occur where customers and/or retailers are sufficiently motivated. It can be seen from both the water and waste graphs that the highest levels of switching occur in the WoC/WASC regions, where water and waste services are provided separately. Despite the level of the price cap, in these areas there is commercial motivation for retailers providing one or other service to also provide the other; and customers are motivated by the benefits of a consolidated bill from a single supplier. Figure 5.1 – Historical allowance vs switching rates for Group One water customers Source: Ofwat calculations of an average Group One REC allowance, MOSL switching data Figure 5.2 – Historical allowance vs switching rates for Group One wastewater customers Source: Ofwat calculations of an average Group One REC allowance, MOSL switching data (iii) The Scottish market provides firm evidence that relaxing the price control leads to greater customer engagement and switching, given that around 60% of the market has now switched at least once. In conclusion, it is our view that Ofwat’s suggestion that there is no correlation between the extent of competition and the size of the existing retail cap merely serves to highlight that competition for Group One customers is not currently effective in any area served because the current price caps are too tight, but that the potential for competition does exist where retailers and customers have a motivation. Moving towards a competitive market We recognise that this is a difficult time, and that there is understandably political sensitivity around any potential increase in retail margins. However, the consequences of locking-in a sub-cost price cap for a further 3-5 year period would be severely damaging – for customers, for the market, for retailers and for Government policy. Based on the evidence above, we firmly believe that relaxing the price controls for Group One will lead to greater retailer/customer engagement and support the development of a competitive market. We recognise that a relaxation of the constraints could lead to price increases for some Group One customers. Our view is that the efficient cost of supply is considerably above the level proposed by Ofwat (see our response to Question 6 in the attached paper) and that sub-cost price caps are not sustainable for any further significant period without leading to retailer exit from the market and the knock-on impact for customers and the credibility of the market. However, one of the benefits of a competitive market, is that it leads to efficient cost discovery and prices that reflect the underlying cost and risk, rather than depending on the subjective assessment of the regulator to make a judgement call. A sustainable, competitive market is much more closely aligned to the interests of customers, the Government’s policy ambition, and the regulator’s statutory obligation to protect customers, than price caps that risk systemic retailer exit and market failure. The recent report “Accelerating the Transition to Competition in the English Retail Non-household Water Sector” commissioned by the UKWRC from Dr Christopher Decker, explores options for moving the sector towards a model of regulation that is more conducive to competition. As a first step, Decker suggests that a back-stop tariff approach, provided it is set at a level above the actual cost to serve, will encourage greater competition, but still provide customer protection. We recognise that there is little prospect of developing a significantly different approach to retail price regulation before April 2023, but believe it is important to start a conversation now about how we will do it, involving all relevant stakeholders, so that we can develop a roadmap with agreed milestones. A safeguard price cap (subject to the questions and challenges raised in the attached paper) could apply as an interim measure, providing we know there is a way forward that will facilitate a move to greater competition and a sustainable market. Price cap methodology – summary of key concerns Our key concern arising from the proposed approach to setting the price caps is the scale of the gap between retailers’ actual cost to serve assessed by Economic Insights in April 2021 (£121 per unique customer) and Ofwat’s assessment of an efficient retailer’s cost to serve (approximately £79 for a customer with both waste and water). We believe that Ofwat’s CTS assessment contains a number of assumptions that are not supported by sufficiently robust evidence or analysis – including the assumption that all water retailers must be inherently inefficient. As a result, the efficiency challenges proposed would be unachievable by most retailers, and, if implemented could have very damaging consequences for retailers and their customers, as highlighted above. We would urge Ofwat to publish an impact assessment as a matter of urgency. Our questions and concerns about the CTS assessment are set out in more detail in response to Question 6 in the attached paper, although we have also raised queries, and provided evidence to challenge Ofwat’s proposal to reduce the net margin to 2% in response to Question 8. As ever, we are keen to work with Ofwat and the industry to secure the future of the NHH market, so please don’t hesitate to contact me if it would be useful to discuss further any of the issues raised. Yours sincerely Rosalind Carey Regulation and Strategy Advisor The following paper provides specific responses to the questions posed by Ofwat in the main consultation document. Our primary concerns relate to Ofwat’s assessment of retailers’ cost to serve (CTS) and net margin which are set out in response to question 6 and 8 below. It should be noted that, for the reasons set out in the preceding letter, we do not agree that price caps of the nature proposed are appropriate in a competitive market. Our responses to the questions below about specific elements of the proposals should not be taken as agreement to the overall approach. Price Controls for Group Two Customers Consultation Question 1 – Setting aside our February 2022 decision to temporarily increase gross margins for customer Group Two by 0.49% in respect of customer bad debt costs which is outside the scope of this consultation, do you agree with our proposals to retain gross margins for Group Two customers at 8% (water) and 10% (wastewater)? Approach: We believe that a backstop approach to price regulation within a competitive market is more appropriate than price caps, so we support the retained use of backstops for Group Two. However, we would welcome further consultation about whether the protections remain necessary for all customers within this group, and the basis on which the upper threshold would be lowered or removed over time. From Ofwat’s recent report ‘Five Years Open for Business – Taking Stock’, it is not clear that the levels of market awareness differ materially between ‘medium’ and ‘large’ customers, and so it is not clear why ‘medium’ customers in Group Two would need greater protection than ‘large’ customers in Group Three. Business customers in Group Two, especially those at the top end of the band, will be fully conversant with the procurement of other utility services from a competitive market, and there is no reason why they wouldn’t also be able to make informed decisions about their water supplier. We would urge Ofwat to consider and consult on the conditions under which the price controls for this group could be removed, as part of a wider roadmap for the transition to competition. Level of the backstop: Based on the data submitted in our April RFI, Group Two as a whole broadly broke even, based on margins of 8% and 10% for water and waste$^2$. However: - Reallocation of costs: Ofwat has now made several changes to the basis on which retailers’ costs have been allocated between customer groups, which result in a significantly higher proportion of cost being attributed to Group Two than in the RFI. For example, the use of ‘revenue’ as the driver for non-attributable costs instead of ‘operating costs’ means that between 50% and 60% of these costs are now attributable to Group Two instead of around 20% previously. This would mean that 8% and 10% margins would no longer be sufficient to cover the Group’s CTS. --- $^2$ It should be noted that the format of this control was actually set as an 8% or 10% uplift, or the gross margin for an equivalent customer in 2019/20, whichever is higher. This construct should be retained. Cross-subsidy within the group: Whilst 8%/10% may be sufficient to cover the costs of the group as a whole, it does not follow that it would be adequate to meet the costs of individual customers within the band. The range of customers within Group Two is very diverse – the cost and risk characteristics of a 0.6MI customer are very different from those of a customer using 49MI – and whilst it does cost more to serve the 49MI customer than the 0.6MI customer, it doesn’t cost 100 times more (as implied by a common percentage uplift). If the backstop uplift is applied as a maximum cap on individual customers, by definition larger customers (whose proportionate cost to serve is lower) will be cross-subsidising smaller customers, whose proportionate cost to serve is higher than 8%/10%. This has two effects: - it will exclude from the market customers at the bottom end of the band, and encourage cherry-picking of those at the top, which will in turn increase the average CTS of the remaining customers; and - it means that customers at the lower end of the Group Two band will be paying a proportionately lower retail margin than customers at the top-end of the Group One band, when it’s not clear that there is any case for that differential. This is a difficult message for customers. We recognise that the focus of this REC review has been primarily on Group One customers, and we agree that this is right, but we also need to consider the issues raised above in relation to Group Two, to ensure that we avoid distorting competition for these customers. We suggest that the existing backstop controls for Group Two are extended on an interim basis (perhaps one or two years at most), whilst we consider more widely how we transition to a regulatory regime that is more conducive to competition for all customers. Price Control Structure for Group One Customers Consultation Question 2 – Do you agree with our proposal for a single, England-wide, retail allowance to apply to Group One customers? Consultation Question 3 – Do you agree with our proposal that REC price caps for Group One customers should apply to each unique service supplied? Consultation Question 4 – Do you agree with our proposal that an additional meter read cost allowance should apply only where a customer takes a measured water service? Consultation question 5 – Do you agree with our proposal to continue with the current REC specification of customers and premises, including as set out in Annex A1 ‘Allowed charges for Customer Group One’? We agree that there is no justification for having more than 50 individual retail price caps for Group One customers. It is overly complex, and it is not cost-reflective. We therefore see significant merit in rationalising the way allowances are applied. We also agree that for the most part, the cost of retailers’ core operational activities (billing, revenue recovery, customer contact etc.) does not vary by customer location. The exception is meter reading costs which do vary by wholesale region (and which we consider further in our response to Q6 below). However, as we highlighted in the December response, there are cost and risk differentials for serving customers on different payment methods and profiles. The vast majority of customers on default tariffs pay quarterly in arrears, who, when compared to customers paying monthly in advance by direct debit, incur greater working capital costs, higher debt recovery and payment processing costs, as well as a greater propensity for bad debt. These costs are explicitly recognised by Ofgem in the energy price caps for domestic customers, and should also be reflected in the CTS, bad debt and net margin allowances for water retailers. We discuss this further in response to questions 6 and 8 below. As indicated above, we do not agree that price caps of the nature proposed are appropriate in a competitive market, however: (i) we support the move from regional to national allowances (Q2), in as much as it is consistent with, and paves the way for, a backstop tariff approach, as well as being generally more cost-reflective (with the exception of regional variation in meter reading costs); (ii) we agree with the definition of unique services and that an allowance should be applied to each service (Q3); (iii) we agree that an additional allowance for meter reading be applied only to the water service (Q4), providing that retailers supplying waste services can access meter reads from the market at no cost; and (iv) we agree that allowances should apply at a SPID/service level rather than at the level of a unique customer (Q5), given the difficulties of verifying data at the customer level. Cost to Serve Assessment Consultation Question 6 – Do you agree with our approach to assessing efficient costs to serve for Group One customers? Do you have any comments regarding our approach? We don’t agree with Ofwat’s approach to determining the cost to serve allowance for Group One customers, and have a number of concerns about the methodology used to assess the ‘efficient’ cost to serve. As a principle, we believe that competition is a more effective means of discovering the truly efficient cost of NHH market participation, compared to a regulated approach, which requires Ofwat to make a series of judgement calls about what constitutes ‘efficiency’. We believe that Ofwat’s assessment contains a number of assumptions and conclusions that seem difficult to justify based on the evidence presented in the consultation papers. It sets efficiency challenges that are unachievable, and which could have very damaging consequences for retailers and their customers should they be implemented. Ofwat’s assessment of the efficient cost to serve Group One customers (~£79) is so far below the actual costs historically incurred by retailers (~£121 per customer, as determined by Economic Insight in their 2021 Review of the Retail Market), that it raises questions over whether even the most efficient retailer would be able to operate profitably in this segment of the market. In our view, this is the most significant element of the price control review, with greatest potential to affect customers, retailers and the future of the NHH market. We would urge Ofwat to conduct and publish an impact assessment as a matter of urgency. In the sections below, we elaborate on five key concerns: - that legitimate and efficiently incurred costs appear to have been disallowed; - that adjustments to the allocation of costs between customer Groups under-estimate the cost of serving Group One; - that no assessment has been made of whether the water retail costs are efficient compared to other similar retail activities in other sectors; - that the proposed efficiency challenges will not be achievable for most retailers; and - that the consequences of the proposals for customers, for the market and for retailer shareholders and investors, have not been fully considered. (i) Legitimate and efficiently incurred costs appear to have been disallowed Ofwat has made a number of ‘adjustments’ to the raw data provided by retailers, without discussion or consultation. We are concerned that genuine costs of market participation have been excluded from Ofwat’s assessment, which will understate the cost to serve Group One customers, and undermine the comparison between retailers. For example: - Removal of amortised acquisition costs: In the cost to serve (CTS) assessment, Ofwat has disallowed Business Stream’s (and others’) amortised costs for the acquisition of our Southern and Yorkshire customers, yet has allowed the costs of organically acquiring customers through the market. This means that our assessed CTS is significantly below the level of costs actually incurred, and the comparison with other retailers (who have grown organically) is not being made on a like-for-like basis. Business Stream’s growth strategy was based on gaining scale in order to quickly dilute our cost to serve, and the Southern and Yorkshire acquisitions represented a more cost-effective strategy than organic growth. Other retailers chose to grow more slowly, on an organic basis. However, in order to ensure that retailers’ efficiency is being assessed on a consistent basis, and that retailers are being treated equally, both organic and strategic acquisition costs should be recognised in the CTS assessment. If the different accounting treatment is a concern, a common approach could be adopted to make them comparable. - Exceptional costs: Ofwat has also excluded exceptional costs in relation to restructuring, litigation, the write-off of legacy assets and excess COVID bad debt costs, on the basis that they are one-off. Whilst we recognise that some of these costs arise infrequently, they may be genuine costs of retail market participation, which, in a competitive market, retailers would expect to be able to recover. - Historic vs future costs: Ofwat refers to efficient ‘forward-looking’ costs, yet has not used retailers’ future cost forecasts, and instead has assessed retailers’ cost to serve only by reference to an average of historic costs, incurred over the four full years since market opening. Given the current economic uncertainty, and the likelihood that we are heading into a recession, we believe that the implications of the economic downturn on retailers’ future costs also require to be considered. As well as operating costs increasing as a result of inflation, we expect the economic conditions will have impacts on our small customers especially, which in turn is likely to affect retailers in a number of ways: slower payments and increased cost of providing customer support (payment plans) and debt recovery; increased liquidations and consequent increase in bad debt. ONS October statistics reported that total insolvencies in England and Wales in the second quarter of 2022 reached their highest quarterly level since 2009; and increased cost of working capital, driven by slower rates of customer payment, and higher interest rates. We consider that these forward-looking costs should be reflected in the CTS assessment, bad debt allowance and net margin as appropriate: (ii) Adjustments to the allocation of costs between customer Groups under-estimate the cost of serving Group One Ofwat has proposed amending the driver for allocating non-attributable costs to Group One customers, from ‘total operating costs’ to ‘revenue’, suggesting that the type of costs in this category tend to be driven by larger customers. We don’t agree that this is the case. Non-attributable costs include property, IT systems and assets, corporate overheads (finance, HR, IT/change, analytics, compliance/regulation teams), fixtures and fittings etc. By and large these costs are related to customer numbers (or bills in the case of a billing system) or the number of staff (which in turn is driven by customer numbers). Consequently, the number of SPIDs or ‘total operating costs’ (as previously used) would be a much more accurate basis of cost allocation. (iii) No assessment has been made of whether the water retail sector costs are efficient compared to other similar retail activities Ofwat has not recognised or addressed in the consultation the fact that the sector has been loss-making since market opening. Given that investors want to make a return on their investments and therefore will have an incentive to drive down costs, it would be illogical to assume that these losses are occurring as a result of systemic, sector-wide inefficiency. If the sector was inefficient, it would also be reasonable to expect significant levels of new entry, with new entrants able to undercut existing retailers, but this is clearly not the case. As we have noted previously, the absence of any material level of new entry from other sectors such as energy or telecoms is significant in itself. We had understood from the December consultation that Ofwat intended to use external benchmarks to help assess the efficiency of water retailers. In the analysis undertaken by Economic Insight, they tested the efficiency of the water retailers by comparing actual operating costs with those in other utility sectors, and concluded that they were within the same range as other utilities – this was based on an actual CTS assessment of £121 per unique customer. By comparison, the allowed operating cost element of the energy price cap for domestic customers is currently £214 (Oct 22). Even adjusted for smart meter costs and higher bad debt costs, this is still above the ACTS assessed by EI, and very substantially above Ofwat’s proposal of £79.16. This strongly suggests that even adding back the costs that Ofwat has ‘excluded’, water retailers’ actual cost to serve is already very efficient, compared with energy retailers, which makes it difficult to justify the severity of Ofwat’s efficiency challenge. An allowance based on actual cost to serve would be more consistent with the way markets operate, giving competition an opportunity to work, such that more efficient operators will be able to undercut those with higher costs. (iv) The proposed efficiency challenges will not be achievable for most retailers From the data made available by Ofwat, we have been able to identify Business Stream as in Ofwat’s CTS ranking (table 3.2.2 in Annex A). However, we are concerned that this position is actually a result of factors other than our operational performance, and consequently, the comparison of retailers is not made on a like-for-like basis, and other retailers would not be able to achieve this same level of cost to serve. Building on this observation, we believe that there are a number of factors other than relative efficiency that drive the CTS differences reflected in table 3.2.2. These need further consideration in order to avoid a position where retailers are being challenged to meet a level of CTS that it would not be practical for them to achieve. We have highlighted a number of issues below, based on our own experience; there may be others. - CTS assessment is not consistent between retailers: As outlined above, by disallowing some retailers’ efficiently incurred costs (e.g. Business Stream’s strategic customer acquisition) it will mean that for some retailers, the analysis under-estimates the real cost to serve their Group One customers, and makes them appear much more efficient than others in the CTS graph; - Corporate cost allocation: Ofwat excluded CBW from the analysis, recognising that the basis on which they allocated costs between their water business and their other utility operations, made the comparison with other water retailers meaningless. However, there are other retailers in the English NHH water market who also spread their costs over other business activities, including the Scottish water market, other utility sectors, or related business operations. - Composition of customer base: It would not be realistic to expect that retailers who serve customers on legacy billing and payment terms (predominantly quarterly billing in arrears) would be able to achieve the same level of CTS as new entrants, whose customers will be credit-vetted prior to switching and likely to pay by direct-debit 1-2 months in advance. In this respect, retailer ‘efficiency’ remains constrained by the non-price terms of the REC. In the energy sector, Ofgem has recognised that the additional costs of supplying a ‘standard credit customer’ (usually legacy customers) include: - higher working capital costs; - higher bad debt; - higher payment processing; and - higher debt recovery costs. As at October 2022, the additional allowed cost for a standard credit customer under the domestic energy price cap is £220, compared to £16 for a direct debit customer. Whilst we would not advocate a separate price cap for different types of customer – it adds complexity and is not consistent with moving towards a back-stop approach – it is important to recognise that retailers with large portfolios of legacy customers will not be able to match the lower CTS of new entrants in this respect, and so the ‘efficient’ CTS should reflect this legacy cost. • Billing system costs: As we highlighted in the narrative accompanying the RFI data submitted in May, Business Stream The scale of the efficiency challenge being proposed is so material that it raises serious concerns as to whether even efficient NHH retailers would be able to profitably serve Group One customers in future. (v) The consequences of the proposals for customers, for the market and for retailer shareholders and investors, have not been fully considered A market in which participants are unable to cover their costs and risks is not sustainable. By 2023, retailers will have already faced six years of very low or negative returns; it is not reasonable to expect this to continue without more serious consequences for retailers, their customers and the market as a whole. We are concerned that Ofwat has not included an impact assessment of the proposals in the consultation paper, given how severe the likely consequences could be for stakeholders, customers in particular: - Customers: if retailers are forced to make cost cuts of up to 40% or more, it will inevitably lead to deterioration in service and performance standards; - Competition and the future of the market: if the CTS allowance is lower than the actual cost to serve them, Group One customers will continue to be excluded from the market; - Retailers and their investors: if they cannot operate profitably, shareholders will stop investing and retailers will leave the market (whether planned or unplanned), with cost and service consequences for customers. It is noteworthy that energy customers are paying in excess of £1.8billion in Supplier of Last Resort payments, to meet the recent costs of energy suppliers going into liquidation. An unplanned exit of any scale would place strain on processes that have not been tested in earnest and, as we do not currently have a robust backstop position should other retailers be unwilling to take on the customers of a failed supplier, there is a risk of customers being stranded without a retailer; and • Government: if competition in the water sector does not develop, it will mean the failure of a key Government policy, and if retailers are unable to operate profitably, there is a risk that shareholders lose confidence that their investments are safe in the UK. Meter reading cost allowance As we indicated when we met, we have two concerns about the approach to setting the meter reading cost allowance (i) the regional variation in costs; and (ii) the level of ‘efficiency challenge’, and the impact the proposed approach could have on competition in some areas. We demonstrated in our December submission that Business Stream’s meter reading costs vary considerably by wholesale region, depending on the economies of our scale and customer concentration in each area. This variation between regions depending on scale and customer density is at least partly the reason that the variation between retailers is not systematic – each retailer will have a different degree of concentration in each region. As we explained when we met, We have reasonable scale and a presence in all wholesale regions, so it is difficult to see how smaller or new entrant retailers operating at a national level would be able to secure significantly cheaper, uniform prices across the whole market. Figure 3.3.1 in Annex A shows that the unweighted average meter reading cost in each wholesale region ranges from £5.90 in the cheapest region to £10.61 in the most expensive, yet Ofwat has set an allowance of £3.78. Whilst retailers with significant scale in a particular region are likely to be able to secure rates below the regional average level, it is unrealistic to expect that retailers with only a handful of customers in any wholesale region would be able to make such enormous ‘efficiency gains’. Retailers have no control over wholesalers’ meter reading charges and the only pressure that can be exerted on independent providers is through the competitive tender process. A uniform meter reading cost allowance of £3.78 will be insufficient to cover even the wholesaler’s rates in some regions and will deter customer acquisition or new entry in areas where retailers have low concentrations of customers and face higher costs. It will in effect restrict customer choice and further undermine competition in some regions of the market. Whilst in principle, we support a simple, national allowance, it is only appropriate as part of a backstop arrangement where there is sufficient headroom for retailers to be able to absorb the regional variation in metering costs. Within the context of the current review, we suggest that either we continue with regional meter reading cost allowances, which reflect the variations in cost observed between wholesale regions, or that further work is required to determine a national allowance at a level that will not unduly penalise retailers with low concentrations of customers in any region, and minimise disruption to competition. Bad debt cost allowance We believe that Ofwat’s assessment of bad debt costs has under-estimated the historic cost of bad debt incurred by retailers in two ways: • Economic cycle: Ofwat has set the proposed bad debt allowance using only the costs incurred by retailers in 2017/19, 2018/19 and 2021/22. The years impacted by COVID have been excluded on the basis that they were not representative of business as usual (BAU). However, as Ofwat points out, a bad debt allowance must be sufficient to cover the costs that a retailer could expect to incur over the full course of an economic cycle – which includes ‘bad’ years as well as BAU. Retailers need to be able to manage the macro economic impact on business customers and in a competitive market (with no regulated price cap), would be able to recover the full cost of bad debt. This point is especially significant as we head into a further period of economic instability, when the spiralling costs of energy and the impact of inflation will inevitably result in problems for an increased proportion of our small business customer and an increase in bad debt costs. As we indicated above, the ONS has reported this month that already, liquidations in the second quarter of 2022 are at the highest level since 2009. It seems reasonable to assume that this trend will continue to deteriorate as the economic situation worsens. At this point, retailers’ historic bad debt costs, including the COVID years, is likely to be a reasonable indication of the scale of bad debt that retailers are likely to incur over the next several years. • Legacy bad debt: It appears that Ofwat has excluded from the bad debt assessment, debt written off by retailers who acquired customer debt as part of their customer book acquisitions at market opening. However, the market did not open with zero customer debt. Debt at market opening, whether acquired as part of a customer book or inherited by retailers from their wholesaler predecessors and which was subsequently unrecoverable is a real cost incurred by retailers. It is suggested that this cost should be reflected in the assessment of bad debt cost. Consultation Question 7 – Do you agree with our approach to allowing indexation? Yes, we agree with the proposal for the annual indexation of the cost to serve and meter reading allowances to CPIH, using the published rate from the preceding October. Given the current economic environment, indexation is essential to ensure that retailers are not unduly exposed to the costs of inflation. Consultation Question 8 - Do you agree that we should revise the allowed net margin in respect of Group One customers to 2.0%? Do you have any comments on our approach to determining the level of allowed net margin? No, we do not agree that the net margin for Group One customers should be reduced to 2%. In the energy sector, the regulator has a statutory obligation to ensure that efficient suppliers are able to finance their licenced activities, and this is the starting point for Ofgem’s current review of the allowed net margin for domestic energy suppliers. Although Ofwat does not have a similar formal obligation, it would seem reasonable to apply the same objective for the review of the net margin in the NHH water market. Despite the allowed net margin having been set at 2.5% to date, no retailers have been able to earn this level of EBIT; indeed, most retailers have been unable to make a positive return in the English market since it opened in 2017. Therefore, it is difficult to see how reducing the net margin to 2% will ensure the future financial resilience of water retailers. Again, we are concerned that Ofwat has not assessed the implications of reducing the net margin, and the probability and cost of retailer failure if they are insufficiently capitalised. We understand that negative equity and low levels of working capital were characteristics of the recent supplier failures in the energy sector. A high level review of the latest published accounts suggests that there are at least two retailers with negative reserves, and others with low levels of cash, net reserves or available facilities to deal with any further shocks. This position would be exacerbated if net margins were reduced even further. We do not believe that there is any justification for reducing the level of the allowed net margin, and that the evidence actually points towards the need for an increase in net margins, to ensure retailers are able to meet the rising costs of financing their working capital. We comment below on Ofwat’s approach, responding separately on the comparative analysis and the working capital assessment. Comparative Analysis We support the use of comparative analysis as a concept, but we have concerns about the approach used in Ofwat’s analysis, especially the way in which upper and lower bounds have been set, without any real consideration of the relevance and validity of the comparators selected. The lower bound has been set by reference to the allowed net margin in the domestic water market, and the upper bound by reference to an average of the actual EBIT achieved by Business Stream (as a proxy for the Scottish market) and the big six energy suppliers in the non-domestic sector. The rationale for the selection of the upper and lower bounds is not clear. We believe it is important to assess the extent to which the markets or companies used for comparison are relevant, in terms of: - the activities undertaken; - the level of risk to which they are exposed; and - the level of working capital employed that has to be financed from the net margin. The most comparable market is clearly the NHH Scottish water market, and we believe this should be the starting point: - The activities undertaken are the same as in the English market, although the level of complexity and hence risk is slightly lower in Scotland, as there is only a single wholesaler, the market is more mature, and there are fewer ‘frictions’. However, the level of capital employed will be higher for some retailers because of Scottish Water’s wholesale charge pre-payment requirements. It is noteworthy that since market opening around 60% of the market has switched in Scotland at least once, which is evidence that (a) it is possible to achieve a competitive market for NHH customers; and (b) the margins are sufficiently attractive to stimulate competition; - However, the use of Business Stream’s combined Scottish and English EBIT is not an accurate indicator of the Scottish market margins, because the margins in England are so much lower, and this has brought our average earnings down considerably from 2017 (as can be seen in figure 3.5.1 in Annex A, and in the graph below). Based on the allocation of corporate overheads recently shared with Ofwat, the actual EBIT on our Scottish customers is ~8%, as shown in the graph below. We agree that the non-domestic energy sector is the next best comparator: - Activities are similar, but the energy suppliers’ non-domestic customer portfolio will include much larger customers, for whom we would expect net margins to be much lower (proportionately) than those in the 0-0.5MI Group One band, which will reduce the overall EBIT percentage achieved; - Wholesale procurement activity carries higher risk than in NHH water, but working capital requirements are likely to be lower – in a mature market, there will be fewer customers on standard credit payment terms than in the less mature NHH water; - However, we need to recognise that the big six energy players selected are likely to be the least efficient operators (according to Ofgem) and hence their net margins are not necessarily indicative of the sector, or the margin that a more efficient operator might earn. It can be seen from table 3.5.2 in Annex A, that the net margin of Good Energy (the only other supplier for whom data is presented) is more than 2% above the average. Domestic energy is also a valid comparator, given the size of many Group One customers is similar to that of domestic customers. It should be noted that although the allowed net margin in the domestic price cap is set at 1.9%, this is agnostic of the customer payment type. An additional allowance of £220 (Oct 22) is allowed for standard credit customers, to cover the additional working capital costs (and other operating costs) of serving customers who pay quarterly in arrears. This amounts to an additional 5.8%. The combination of allowances within the energy price cap to cover the equivalent of the NHH water net margin is therefore significantly above 1.9%. We consider domestic water to be a less relevant comparator on the basis that although activities are the same, operations will be considerably simpler, with no market interactions and only one (integrated) wholesaler to deal with. Domestic water retailers have no volume risk, and are able to recover any revenue shortfalls in subsequent years. PwC in their original report indicated that customers without meters (now approximately 50% of households) tended to pay in advance, so the working capital requirement will also be considerably lower than for NHH customers. We are not convinced that selecting a mid-point between an upper and lower bound is a robust approach to setting a net margin, and we do not see any rationale for averaging the actual 10-year EBIT of Business Stream and the top-six energy suppliers as the upper bound. A more appropriate approach would be to set the margin based on the comparability of the comparators use. On this basis, we could accept that the net margin for Group One in England would be below the level of the Scottish market because the working capital requirement in Scotland is higher, but for the reasons set out above, we would expect it to be within the same range as the selected energy companies, including companies other than the big six. However, the use of comparative analysis is not a substitute for assessing the actual level of capital required by a NHH retailer, which we comment on below. Working Capital Assessment Ofwat has developed a spreadsheet model to assess the upper bound of retailers’ working capital requirements. We have a number of comments and questions about the assumptions used and the workings of the model. - Recovery of debt within 90 days: the consultation document states in several places that Ofwat would expect an efficient retailer to be able to recover all debt within 90 days. This raises two points: - as we enter a further period of economic turmoil, we anticipate that smaller customers especially will be impacted by high energy bills and escalating costs, increasing the requirement for extended payment terms and delayed repayment plans. All other things being equal, this would push the period for debt recovery beyond 90 days for these customers, but as a result of providing support for customers, not for reasons of inefficiency; and - to be consistent with the stated assumption, we would expect the net margin to cover the cost of financing 100% of debt for no more than 90 days. However Ofwat’s model appears only to reflect the cost of financing working capital for 84% of debt, and assumes that 16% of debt is unrecoverable. This is not consistent with the stated assumption. We have also looked at the validity of this assumption and the impact of extending it in the ‘DSO/additional credit scenario’ below. - Credit terms: the consultation sets out an assumed schedule of customer payments, with assumed payments received at 15, 30, 45, 60, 75 and 90 days after the bill is issued. Except to the extent that the model only recovers 84% of debt instead of 100% (as per the point above), the proposed payment schedule seems reasonable. However, in the spreadsheet, it appears that the assumption is that: (a) bills are issued before the end of the quarter, within month 3 (which would not be possible), instead of at the start of month 4; and (b) all payments are received a month ahead of the stated assumption, and so the model provides financing for only two months instead of three. - Cost of capital: the base case in Ofwat’s model assumes a weighted average cost of capital of 5%. Our current borrowing rate is [redacted]. With SONIA forecast to increase to 6% by July of 2023 (see below), and given that the cost of equity is likely to be higher again, a WACC base case closer to 10% would be more realistic. Ofwat’s model suggests a working capital cost of 1.1% of revenue, at a 5% WACC. However, we have replicated the model using Ofwat’s stated assumptions, but addressing the issues raised above, which produces working capital costs as shown in the table below, for a range of borrowing rates. \| Working capital as % of annual bill \| Annual financing cost \| \|------------------------------------\|-----------------------\| \| \| 3.5% \| 4.0% \| 5.0% \| 7.0% \| 9.0% \| 10.0% \| \| 1.5% \| 1.5% \| 1.71% \| 2.14% \| 2.99% \| 3.85% \| 4.27% \| This shows that as soon as the cost of financing goes above 6%, the existing 2.5% net margin will be insufficient to meet even the cost of working capital. Given that the likely cost of capital over the next few years will be well above 6% (as per the forecast above), then the net margin will require to increase, closer to the level of the market in Scotland, in order to adequately cover the costs and risks in the English market. DSO/additional credit scenario Ofwat has suggested that the customer payment profile in the working capital model is effectively an upper bound, as not all customers pay quarterly in arrears. However, our DSO (days sales outstanding) at the end of March 2022 was 94 days, based on our audited results. Given that this is a weighted average across the whole customer base, including customers who pay in advance and those on direct debit, the payment speed for customers on standard credit terms (quarterly in arrears) must by definition be considerably longer than 90 days. Hence we have modelled the working capital implications of adding a further 30 days credit to the example customer payment profile. This results in a range of working capital costs as below. \| Working capital as % of annual bill \| Annual financing cost \| \|------------------------------------\|-----------------------\| \| \| 3.5% \| 4.0% \| 5.0% \| 7.0% \| 9.0% \| 10.0% \| \| 1.74% \| 1.98% \| 2.48% \| 3.47% \| 4.46% \| 4.96% \| We believe that this is a more realistic representation of the cost of working capital for a retailer with a legacy customer base, and that it would not be possible for such a retailer to achieve the DSO level of a new entrant, especially as we remain constrained by the non-price terms of the REC. Again, it suggests that as we move into a world of increasing interest rates, and delayed customer payments, the allowed net margin needs to increase not decrease. Given that our actual achieved net margins in the Scottish water market, where competition is now well established, average ~8%, and in the energy market at between 2% and 5%, it suggests that the allowed net margin in the English NHH market should be within this range. In summary, we don’t believe that there is any robust evidence to justify a reduction in the margin. Consultation Question 9 – Do you agree with our proposed revisions to REC price caps for customer Group One? No, for the reasons outlined in response to the questions above, we do not support the proposed revisions to the price caps for Group One customers. The gap between the proposed allowances and the actual costs and risks of serving small customers, means that caps set at this level would have severe consequences for all NHH market stakeholders: - for customers: if retailers are forced to make cost cuts of up to 40%, it will inevitably lead to deterioration in service and performance standards; - for competition: if the CTS and net margin allowances are lower than the actual costs and risks of serving them, Group One customers will effectively be excluded from the market; - for retailers and their investors: if they cannot operate profitably, shareholders will stop investing and retailers will leave the market, with cost and service consequences for customers. It is noteworthy that energy customers are paying more than £1.83billion in Supplier of Last Resort payments, to meet the recent costs of energy suppliers going into liquidation. An unplanned exit of any scale would place strain on processes that have not been tested in earnest and, as we do not currently have a robust backstop position should other retailers be unwilling to take on the customers of a failed supplier, there is a risk of customers being stranded without a retailer; and - for Government: if competition in the water sector fails and investors lose confidence that their investments are safe. Implementation Consultation Question 10 – Do you agree that we should protect Group One customers from material changes in the retail element of bills by using a ‘glide path’? Do you have views on the timing and form of such a glide path? We understand that the intent of the glide path is largely to protect customers from ‘bill shocks’ by phasing in retail bill increases. Whilst we agree with the principle of protecting customers from large bill increases, especially in the current economic climate, Ofwat’s proposed approach is not consistent with, nor proportionate to, the way the wholesale price controls are applied, so it will not protect customers from water bill shocks in practice. To illustrate, we use Ofwat’s working capital example of the customer whose bill is currently £500; 90% of which is wholesale charge and 10% retail: - Assuming 10% inflation, the retail component would increase to £55. The glide path then limits any further increase to 25% of the retail margin, which would be £13.75 per year, or less than £1.15 per month. - By comparison, the impact of inflationary increases alone on wholesale charges (and the indications from a number of wholesalers are that increases in 2023 will be above this level due to a range of other factors), would see the customer bill increase by £45 or more per year. It seems entirely inequitable that retailers are expected to absorb the impact of phased retail bill increases, when wholesalers have no similar constraints, and when in reality any ‘bill shock’ is likely to come from wholesale price increases not adjustments to the retail margin. We also suggest that if retailers are required to effectively delay the recovery of legitimate costs, that in the same way as wholesalers and regulated entities in other sectors, retailers are allowed to recover the value of the under-recovery in subsequent years, and that interest is applicable. Consultation Question 11 – Taking account of the proposals set out in this document for revisions to REC price caps for Customer Groups One and Two, do you agree with our proposed amendments to the Retail Exit Code? As indicated in response to the questions above, we do not support the proposed amendments to the Retail Exit Code. Consultation Question 12 – Do you agree that Ofwat should require that Retailers submit by June each year, assurance that they are complying with the REC price protections, and that such assurance is compiled by a suitably qualified third party? It is not clear why Ofwat considers it necessary that retailers would require to produce third party assurance of their compliance with the REC, which seems to be a more stringent requirement than is required of the monopoly wholesalers. Board assurance would seem to be adequate. However, providing the compliance test is applied at the level of the published tariffs, and not at a customer by customer level, demonstrating compliance should be relatively straight forward, and could be undertaken as part of the annual audit of accounts.
Giant peroxisomes in a moss (Physcomitrella patens) peroxisomal biogenesis factor 11 mutant Yasuko Kamisugi, Shiro Mitsuya, Mahmoud El-Shami, Celia D. Knight, Andrew C. Cuming and Alison Baker Centre for Plant Sciences, Faculty of Biological Sciences, University of Leeds, Leeds, LS2 9JT, UK Summary - Peroxisomal biogenesis factor 11 (PEX11) proteins are found in yeasts, mammals and plants, and play a role in peroxisome morphology and regulation of peroxisome division. The moss Physcomitrella patens has six PEX11 isoforms which fall into two subfamilies, similar to those found in monocots and dicots. - We carried out targeted gene disruption of the Phyta_PEX11-1 gene and compared the morphological and cellular phenotypes of the wild-type and mutant strains. - The mutant grew more slowly and the development of gametophores was retarded. Mutant chloronemal filaments contained large cellular structures which excluded all other cellular organelles. Expression of fluorescent reporter proteins revealed that the mutant strain had greatly enlarged peroxisomes up to 10 μm in diameter. Expression of a vacuolar membrane marker confirmed that the enlarged structures were not vacuoles, or peroxisomes sequestered within vacuoles as a result of pexophagy. Phyta_PEX11 targeted to peroxisome membranes could rescue the knock out phenotype and interacted with Fission1 on the peroxisome membrane. - Moss PEX11 functions in peroxisome division similar to PEX11 in other organisms but the mutant phenotype is more extreme and environmentally determined, making P. patens a powerful system in which to address mechanisms of peroxisome proliferation and division. Introduction Peroxisomes are organelles found in all eukaryotic cells from unicellular eukaryotes such as algae and baker’s yeast to complex multicellular organisms such as humans and flowering plants. Peroxisomes can be derived from the endoplasmic reticulum (ER) but can grow by post-translational import of membrane and matrix proteins, divide and segregate into daughter cells (Fagarasanu et al., 2007). However, the relative importance of de novo biogenesis versus organelle division remains hotly debated (Hettema et al., 2014) and it should be noted that in plants no direct evidence for ER luminal connections has been found (Barton et al., 2013). Peroxisomes are also capable of proliferation under appropriate environmental conditions. In fungi, peroxisomes are induced to proliferate by nutritional cues, for example methanol in the case of methylotrophic fungi such as Hansenula polymorpha (van der Klei et al., 2006) or oleate in Saccharomyces cerevisiae (Gurvitz & Rottenstein, 2006), and peroxisomes play essential roles in metabolism of these substrates. Peroxisomes are important sites of cellular defence against oxidative stress and several studies have reported peroxisome proliferation in response to stress conditions such as high light (Ferreira et al., 1989; Desai & Hu, 2008), salt (Palma et al., 1987; Mitsuya et al., 2010), heavy metals (Palma et al., 1987) and hydrogen peroxide (Lopez-Huertas et al., 2000). Division and proliferation share common steps. Morphologically, peroxisomes first tubulate or elongate, followed by constriction, often giving a ‘beads-on-a string’ appearance, and finally divide (Thoms & Erdmann, 2005; Kaur & Hu, 2009). In recent years, much has been learned about the molecular machinery of peroxisome proliferation and division (Schrader et al., 2012). The first identified component was S. cerevisiae peroxisomal biogenesis factor 11 (PEX11). Mutants disrupted in the PEX11 gene have greatly enlarged peroxisomes, while cells overexpressing PEX11 have large numbers of small peroxisomes (Erdmann & Blobel, 1995; Marshall et al., 1995). SPEX11 is a peroxisome membrane protein the expression of which is strongly induced by oleate (Gurvitz et al., 2001), and the homologous protein from the fungus Penicillium chrysogenum has recently been shown to induce membrane curvature and tubulation of lipid vesicles in vitro (Opalinski et al., 2011). Fungal PEX11 has homologues in mammals and plants. In mammals there are three isoforms termed PEX11α, β and γ (Schrader et al., 1998; Li et al., 2002a). Pex11γ is thought to have a role in peroxisome proliferation in response to external stimuli such as hypolipidaemic drugs and peroxisome proliferators, whereas Pex11β plays a role in constitutive proliferation/division (Schrader et al., 1998; Li et al., 2002b). The N-terminal 40 amino acids of Pex11β, which include the second amphipathic helix, are also important for membrane tubulation in vivo (Bonekamp et al., 2013). Recently, the first patient with a mutation in Pex11β was described, who had enlarged and elongated peroxisomes and clinical symptoms similar to those of other patients with mild peroxisome disorders (Ebberink et al., 2012). Plants have a still larger PEX11 family, with five genes in Arabidopsis (Lingard & Trelease, 2006) and rice (Oryza sativa; Nayidu et al., 2008) which fall into two clades, one containing Arabidopsis isoforms c, d and e and rice isoforms 1 and 2 and the other containing Arabidopsis isoforms a and b and rice isoforms 3, 4 and 5 (Orth et al., 2007). Phylogenetic analysis indicates that PEX11 genes have a monophyletic origin and have evolved independently in the different kingdoms (Orth et al., 2007) (Chang et al., 2015). Evidence for (some) conservation of function comes from the ability of one Arabidopsis isoform (PEX11e) to partially complement the S. cerevisiae pex11 mutant (Orth et al., 2007) and from the finding that human, yeast and plant PEX11 proteins have similar effects on peroxisome proliferation when expressed ectopically in human cells (Koch et al., 2010). Arabidopsis PEX11 b–e are proposed to span the membrane twice with both termini in the cytosol (Lingard & Trelease, 2006), and a similar topology was reported for mammalian Pex11β (Bonekamp et al., 2013). Peroxisome division is achieved by a machinery that has shared components with mitochondria (Table 1) (Mano et al., 2004; Schrader, 2006; Zhang & Hu, 2008, 2009), and in plants with chloroplasts (Zhang & Hu, 2010). In current models, tail-anchored proteins of the Fission1 (Fis1) family are targeted to peroxisomes as well as mitochondria and play a role in the recruitment of dynamin-related proteins which sever the tubulated peroxisomes that result from binding of PEX11. PEX11 is the only peroxisome-specific component of this machinery identified to date. Arabidopsis PEX11 proteins have been shown to both homo- and hetero-oligomerize (Rahim et al., 2009) as well as interact with Fis1b (Lingard et al., 2008). In mammalian cells, homo-oligomerization of PEX11β was observed, and a ternary complex containing Pex11β, Fis1 and dynamin like protein 1 could be identified (Kobayashi et al., 2007). In yeast, Pex11p also dimerizes in a redox-sensitive manner (Marshall et al., 1996). ScPEX11 has been shown to be phosphorylated and activated by Pho85 kinase on Ser 165 and 167, phosphorylation promoting peroxisome association and proliferation (Knoblach & Rachubinski, 2010). In Pichia pastoris, phosphorylation of PEX11 Ser 173 promotes interaction with Fis1p and hyper-divided peroxisomes but does not affect transit from the ER to peroxisomes (Joshi et al., 2012). Thus, PEX11 controls peroxisome proliferation in yeast through transcriptional (Gurvitz et al., 2001) and post-transcriptional (Knoblach & Rachubinski, 2010) (Joshi et al., 2012) means. Other roles for PEX11 have been described. In S. cerevisiae, PEX11 plays a role in medium-chain fatty acid oxidation (van Roermund et al., 2000) and has also been implicated in mitochondrial–peroxisome contact sites (Mattiazzi Usaj et al., 2015). In Yarrowia lipolytica, pex11 mutants showed a peroxisome biogenesis defect; they lacked peroxisomes and mislocalized matrix proteins to the cytosol (Chang et al., 2015). Physcomitrella patens is an excellent model for comparative plant cell biology. It belongs to the bryophytes, the first group to diverge from the plant lineage following the conquest of land, and was the first nonflowering plant to have its genome sequenced, facilitating comparative genetic analysis (Rensing et al., 2008). Unlike flowering plants, P. patens exhibits somatic homologous recombination at high frequency, facilitating the production of knockout mutant lines where the precise site of transgene integration can be controlled (Schaer & Zryd, 1997). Although P. patens has been reported to contain peroxisomes of ### Table 1 Peroxisome division components in humans, yeast, Arabidopsis and moss \| Component \| Homo sapiens \| Saccharomyces cerevisiae \| Arabidopsis thaliana \| Physcomitrella patens \| \|----------------------------------\|----------------\|----------------------------\|------------------------\|-------------------------\| \| Peroxisome tubulation \| PEX11α \| PEX11 \| PEX11a \| Phyta_439417 (Phyta_PEX11-5) \| \| \| PEX11β \| PEX25 \| PEX11b \| Phyta_447344 (Phyta_PEX11-3) \| \| \| PEX11γ \| PEX27 \| \| Phyta_42652* \| \| \| \| \| \| (Phyta_PEX11-6) \| \| \| \| \| \| Phyta_426510 (Phyta_PEX11-4) \| \| \| \| \| \| Phyta_422942* \| \| \| \| \| \| (Phyta_PEX11-2) \| \| \| \| \| \| Phyta_460481 (Phyta_PEX11-1) \| \| DRP tether \| hFIS1 \| Fis1p \| FIS1A \| Phyta_433535 \| \| Soluble adaptors \| Mff? \| Caf4p \| FIS1B? \| Phyta_436928 (annotated as mt fission factors) \| \| \| \| Mdv1p \| \| \| \| Dynamin-like/related proteins (fission) \| DRP1 \| Dmn1p \| DRP3A \| Phyta_433610 \| \| \| \| Vps1p \| DRP3B \| Phyta_449578 \| \| \| \| \| \| Phyta_452114 \| \| \| \| \| \| Phyta_4389781 \| \| \| \| \| \| Phyta_431562 \| \| \| \| \| \| Phyta_456622 \| \| \| \| \| \| Phyta_454673 \| aV1.6 gene models are incorrect. the glyoxysome type (Huang et al., 2009) and the distribution and quantification of peroxisomes have been reported (Furt et al., 2012), no further cellular or molecular characterization of moss peroxisomes has been described. Here, we describe the PEX11 family in P. patens and the phenotype of a knockout mutant in one member of the gene family which results in the formation of giant peroxisomes. Materials and Methods *Identification of Phyta_PEX11* genes** Database searching with the Arabidopsis PEX11e gene identified the cDNA clone PPN181002 (Accession B1436924) as a potential Physcomitrella PEX11 orthologue. Within the P. patens genome assembly, version 1.1, this corresponds to Protein ID Physpal_1:200510. Additional P. patens gene models encoding PEX11 homologues were identified by BLASTP search using Physpal_1:200510 and the Arabidopsis PEX11 polypeptide sequences. One further gene model was identified with high similarity to Physpal_1:200510 and the AtPEX11c and AtPEX11d sequences, and four further models with similarity to the AtPEX11a and AtPEX11b sequences (Table 1; Supporting Information Table S1). Plant material The ‘Gransden’ strain of Physcomitrella patens (Hedw.) B.S.G. was propagated as a protonemal culture on BCD agar medium containing 1 mM CaCl$_2$ and 5 mM ammonium tartrate (BCDAT), overlaid with cellophane, and as individual plants (‘spot inocula’) on the same medium without cellophane overlay. Protonemal tissue was vegetatively propagated by homogenization and subcultured every 7 d (Knight et al., 2002). For growth testing, small protonemal explants were inoculated onto BCD or BCDAT agar and plant growth was monitored during a 31-d period following inoculation. The extent of plant growth was estimated following digital photography of the plates (Kamisugi et al., 2012). The image analysis software ImageJ (Abramoff et al., 2004) was used to convert the digital images to binary format and determine the colony area based on counting the number of pixels corresponding to each colony. Colony area determinations based on different photographs were normalized for each colony using the estimated area of the plate. RNA isolation and cDNA sequence analysis A polysomal fraction was isolated from 7-d-old chloronemal tissue. Chloronemata were harvested from cellophane overlays, residual liquid was squeezed out between two sheets of filter paper and c. 0.3 g was ground to a powder then homogenized in 25 ml of 200 mM sucrose, 50 mM Tris–Cl, pH8.5, 60 mM KCl, 30 mM MgCl$_2$ and 1% (v/v) Triton X-100. Following centrifugation at 25 000 $g$ for 20 min, the supernatant was layered over a 5-ml sucrose cushion (1 M sucrose, 40 mM Tris–Cl, pH8.5, 20 mM KCl and 10 mM MgCl$_2$) and centrifuged at 141 000 $g$ for 3 h. The supernatant was aspirated and the pellet drained, for RNA extraction with 0.5 ml of extraction buffer (Knight et al., 2002). For rt-PCR, RNA ($c.$ 100 $\mu$g) was digested with 1 unit of RQ1 DNase (Promega) for 10 min at room temperature and purified by phenol–chloroform extraction and ethanol precipitation. Complementary DNA was synthesized from 1 $\mu$g of RNA using the Promega Reverse Transcription System. The reaction mixture was diluted 5-fold with water, and 2-$\mu$l aliquots were used for PCR amplification. Primers used are listed in Table S2. The PCR products were cloned into pBluescript II KS$^-$ and sequenced using T7/T3 universal primers. Plasmid constructions Construction of the knock out vector pJHB1 The cDNA clone PPN181002 was used to identify a BAC clone (pMOKM102M14) by screening a Physcomitrella BAC library. A 4.7-kb EcoRI fragment containing the 3'-terminal region of the Phyta_PEX11 gene (containing the last five exons in the coding sequence) was subcloned and a 3.65-kb fragment amplified by PCR using primers P22 and P21 (Fig. 1; Table S2) and subcloned into pDONR 201 to make the plasmid pJOB1. This plasmid was digested with Sall and Spbl and re-ligated with the Spbl/XhoI excised nppl cassette (p35S-nppl-CaMV g3ter) from the plasmid pMBL5 (Knight et al., 2002; Accession DQ228130) replacing the three C-terminal protein-coding exons. The resulting plasmid was recombined with pMBL6attR (Kamisugi et al., 2005) (Accession DQ228132), to generate the gene disruption construct pJHB1 (Fig. S1a). A markerless PEX11 deletion construct was created by digesting pJHB1 with NcoI and Bsp120I to remove the selection cassette and re-ligating the plasmid. Construction of GFP and RFP reporters GFP and RFP reporter constructs targeted to peroxisomes by C-terminal addition of the peroxisome targeting signal 1 tripeptide ‘SKL’ (GFP and CFP (Sparkes et al., 2005)) or ‘SRL’ (RFP) were used to visualize gene expression in regenerated moss protonemata, for stable (RFP), unstable (GFP) and transient (CFP) expression. The plasmid pAtRFP-SRL-H108 was created by inserting a rice actin1 promoter from pAct-p and the mRFP-SRL-35Ster fragments from p35S:mmRFP-SRL (Pracharoenwattana et al., 2005) into the Acc651 site of pMBLH108 (Fig. S1b) to allow targeting of the reporter gene to the neutral ‘$\lambda$.108’ locus (Schaefer & Zryd, 1997). To generate PEX11 overexpression lines, cDNA of PhytaPEX11-1 was amplified with a pair of gene-specific GATEWAY primers (Table S2) and cloned into pDONR 201 to create the entry vector pcPex11GW. The PEX11 fragment was subsequently recombined into a $\lambda.108$-targeting GFP-fusion destination vector, pS65T-GW-H108, to create the overexpression reporter plasmid, pS65T-Pex11GW (Fig. S1c). Moss transformations and molecular characterization Gene disruption lines Moss disruption lines for Phypta_PEX11-1 were generated by gene targeting, using a PCR-amplified sequence from pJHB1. Primers Phypta_PEX11KO$^F$ and... Phyta_PEX11KOR (Table S2; primers ‘p2’ and ‘p3’ in Fig. 1a) amplified a fragment of 3390 bp, comprising the p35S-nptII-CaMV g6ter cassette flanked by 505 bp of the Phyta_PEX11 gene immediately 5’ to the SalI site and 880 bp immediately 3’ to the Sp6I site. Protoplasts were transformed using 15 μg of PCR fragment, and stable transformants were regenerated by three successive cycles of subculture on selective (containing G418 at 30 μg ml⁻¹ (Melford Laboratories, Suffolk, UK)) and nonselective media as described previously (Knight et al., 2002; Kamisugi et al., 2005). Stable transformants were analysed by PCR to identify lines containing single-copy targeted gene replacements, using external gene-specific primers in conjunction with selection-cassette-specific primers as described by (Kamisugi et al., 2006) to identify targeting at the 5’ (primer pair p22 and p5 in Fig. 1a,b) and 3’ ends (primer pair p4 and p6 in Fig. 1a,b), and the external primers (p22 and p4) to distinguish between transformants in which the Phyta_PEX11-1 gene was disrupted by a single or multiple copies of the replacement cassette. Southern blotting was undertaken to identify plants in which no transforming DNA had adventitiously inserted at ectopic sites (Fig. 1c). Eight transgenic lines containing a targeted gene replacement, with no adventitious transgene copies, were obtained. Transgenic reporter lines Protoplasts were transformed with reporter constructs and transformants were regenerated, selected and maintained on medium containing 50 μg ml⁻¹ hygromycin, as described above. To generate Phyta_pex11-1-KO mutants in a transgenic moss strain (G418⁵⁺) expressing a GFP-AtVam3 (Arabidopsis homologue of S. cerevisiae VAM3) fusion protein (Oda et al., 2009), this strain was transformed with a DNA fragment produced by PCR (using primers p2 and p3) from a derivative of pJH1B from which the antibiotic selection cassette had been deleted. This PEX11-1 markerless fragment was co-delivered to the GFP-AtVam3 line with pAnRFP-SRL-H108 by protoplast-PEG mediated transformation. The transformants were selected for hygromycin resistance to identify mRFP-transformed plants and then by inspection for the pex11-1 knockout phenotype described in the Results. Correctly targeted... deletion of the PEX11-1 gene in phenotypically identified mutants was confirmed by PCR using the external gene-specific primers p22 and p4. To generate pex11-GFP overexpression lines, 15 μg of pS65T-Pex11GW linearized with SwaI was used to transform protoplasts as described above. Transient expression by microprojectile bombardment For bimolecular fluorescence complementation (BiFC) experiments, cDNA of Physa_PEX11-1 and PhysaFis1a/b was amplified by PCR (primers listed in Table S2) and cloned into plasmids containing the N- and C-terminal halves of YFP (pYFPn-GS and pYFPe-GS, respectively) to create pYFPn-PEX11-1 (Fig. S1d) and pYFPe-Fis1a/b (Fig. S1e). Equal quantities of each pair of YFP constructs and a transformation marker construct (pCFP-SKL) were mixed and delivered to both wild-type and mutant protonemal tissue by microprojectile bombardment, using a PDS1000 Biolistic system (Bio-Rad, Hemel Hempstead, UK). Plasmid DNA (0.7–1 μg per shot) was bound to tungsten microprojectiles (M17; Bio-Rad) (Sanford et al., 1993) for delivery using a 900-nm rupture disc and a distance of 6 cm from the stopping screen. Following bombardment, plant tissue was incubated for 24–48 h at 25°C, before microscopic examination. Antibodies and western blotting A polyclonal antiserum was raised in rabbit to the peptide VLYLNKAEARDKICRAIQYGSKFLSC corresponding to amino acids 15–40 of Arabidopsis PEX11e and affinity purified (Mitsuya et al., 2010). This sequence is specific to the PEX11c/d/e clade (Figs S2, S3). Moss filaments were scraped from the cellobanhe-overlaid agar plates after squeezing out residual liquid, and ground to a fine powder in liquid nitrogen in a mortar and pestle. Homogenization buffer (50 mM Tris HCl, pH8.2, 2 mM EDTA, 20% w/v glycerol, 1 mM PMSF, 2% complete protease inhibitor cocktail (Roche) and 0.5 mM DTT) was added at a ratio of 1 ml g$^{-1}$ fresh weight of sample and ground to a fine slurry. The homogenate was centrifuged at 800 $g$ for 10 min at 4°C and the supernatant was centrifuged at 164 000 $g$ for 30 min at 6°C. The supernatant was removed and the pellet (crude membranes) was resuspended in 30 μl of homogenization buffer plus 5 μl of 10% w/v SDS. The protein concentration was measured using the BCA assay (Pierce; https://www.thermofisher.com/order/catalog/product/23225). Western blotting was as described previously (Mitsuya et al., 2010). Fluorescence microscopy Microscopic imaging of moss cells was undertaken using a Zeiss AxioImager M2 microscope with Nomarski optics and an HXP120C light source for fluorescence imaging. Zeiss filter cubes with Semrock narrow-band pass filters were used for CFP (CFP-2432C), YFP (46 HE) GFP (38 HE) and RFP (TRITC-B) detection. Images were captured with an Axiocam MRM camera and processed using AxioVISION software. An LSM510 META confocal microscope (Carl Zeiss Ltd, Hertfordshire, UK) with ×40 Plan Neofluar (oil-immersion; N.A.=1.3) objective was used for confocal imaging. Argon laser excitation (wavelength: 488 nm) was used to excite GFP-SKL. The fluorescent signal was detected though a 500–550-nm band pass filter using the single track function (Sparkes et al., 2005). For co-expression imaging of GFP and RFP, argon (488 nm) and neon (543 nm) lasers, respectively, were used for excitation with alternate line switching of multitrack function. The fluorescent signal was detected through a 500–530-nm band pass filter for GFP and a 565–615-nm band-pass filter for RFP following the 545-nm dichroic beam splitter. Results *The Physcomitrella patens* PEX11 gene family** A search of the ‘version 1’ P. patens genome assembly identified six potential Physa_PEX11 gene sequences, which we designated Physa_PEX11-1 to Physa_PEX11-6. The two sequences most similar to the AtPEX11cde clade comprised Physa_PEX11-1 and Physa_PEX11-2, and the four most similar to the ab clade were designated Physa_PEX11-3, 4, 5 and 6, respectively (Table 1). Close inspection of V1.1 ‘filtered models’ suggested that the predicted polypeptide sequences of these were incorrect, but that other models were well supported by cDNA evidence. Subsequent versions of the genome assembly and annotations have corrected these models. A summary of gene identifiers in successive genome annotations is provided in Table S1, while Table 1 includes the gene and protein IDs according to the current V1.6 annotation. The model for Physa_PEX11-2 lacked cDNA support, but sequence similarity between Pp_PEX11-1 and Physa_PEX11-2 suggested that the exon 2/intron 3 splice junction was mis-specified in the latter, and that the C-terminal sequence was incorrect because of the mis-specification of exon 6, and a failure to identify a seventh exon. Of the four polypeptides similar to AtPEX11a and AtPEX11b (Physpa_1:1:80254/Pplsp84_2898V6, Physpa_1:1:62335/Pplsp146_338V6, Physpa_1:1:63102/Pplsp159_21V6 and Physpa_1:1:118714/Pplsp125_244V6), the first three were supported by cDNA sequences. The fourth lacked experimental support (Table 1). In order to resolve the two unsupported models, rt-PCR was conducted using primers specific for the hypothetical 5′ and 3′ untranslated region (UTR) sequences of Physa_PEX11-2 and Physa_PEX11-6 to amplify the corresponding sequences from mRNA obtained from a polyribosomal fraction (in order to avoid the amplification of possible splicing intermediates). In each case a transcript was amplified, and sequence analysis of these enabled the correct structure of the two genes to be confirmed. For the Physa_PEX11-2 gene, splicing of intron 3 makes use of a 5′-GC splice junction. While noncanonical, such splice junctions are not unusual, and have been observed for other P. patens genes. The sequence analysis additionally confirmed the exon 6–intron 6–exon 7 structure predicted by sequence homology. This sequence was deposited in GenBank as accession JQ026023, and the model has only recently been correctly assigned in the most recent annotation of the P. patens genome (as Pp3c18_11990V1 in the ‘version 3.1’ genome assembly prerelease (https://www.cosmoss.org/fgb2/gbrowse/V3.1/)). For Phyta_PEX11-6, cDNA sequencing confirmed the accuracy of the models in the two V3 assemblies. We constructed a multiple sequence alignment of PEX11 sequences identified in a range of plant genomes. All show extensive homology throughout the conserved PEX11 domain (pfam05648) (Figs S2, S3) especially in the N-terminal third of the protein which includes the amphipathic helix implicated in membrane tubulation (Fig. S4; Opalinski et al., 2011). Phyta_PEX11-1 knockout mutants show developmental delay The relative abundance of expressed sequence tags within the P. patens sequence database indicates the most highly expressed member of the gene family to be the PEX11cde member that we designated Phyta_PEX11-1. Additionally, results of a digital gene expression (RNA-seq) analysis of the chloronemal transcriptome indicate this gene to be expressed at a level c. 4000-fold higher than Phyta_PEX11-2 and between 11 and 500 times higher than the Phyta_PEX11ab-class transcripts (Table S3; Whitaker et al., 2010). The Phyta_PEX11-1 gene was disrupted by the targeted replacement of its last three exons by an nptII selection cassette (Fig. 1a). Lines containing single-copy disruption alleles were identified by PCR amplification of the targeted locus (Fig. 1b), and the absence of adventitious genomic incorporation of the targeting construct was verified by Southern blot hybridization (Fig 1c). Eight genetically identical ‘clean’ disruption lines were identified. Western blot analysis with an antibody specific for the PEX11cde clade of two lines confirmed as containing a disrupted Phyta_PEX11-1 gene demonstrated the lack of accumulation of a PEX11 polypeptide in these knockout lines: a third line identified as retaining a wild-type copy, and derived from a targeted insertion event (Kamisugi et al., 2006) rather than a targeted replacement, showed normal accumulation of PEX11 (Fig. 1d). Subsequent characterization was performed on line 3–18 (Fig. 1c). As P. patens performs high-efficiency homologous recombination, all lines shown by PCR and Southern blot to be correctly targeted and to contain only a single copy of the transgene are genetically identical: this line is representative of all such lines. The growth parameters of the Phyta_PEX11-1 mutant strains were compared with those of the wild-type. The growth of mutant plants was significantly slower than that of the wild-type strain, as determined by growth rate measurements. ![Fig. 2](image) Fig. 2 Growth of wild-type (WT) and pex11-1 mutants. (a) Appearance of wild-type (upper 7) Physcomitrella patens plants and Phyta_pex11-1-KO (lower 7) plants grown on BCD agar medium for 31 d following inoculation with protonemal explants. A dark-green central zone (principally chloronemata) is surrounded by a pale-green diffuse network of caulonemal filaments, from which gametophores can be seen developing in profusion in the wild-type strain. Gametophore differentiation is comparatively retarded in the pex11KO mutant. (b) Appearance of wild-type (upper 12) plants and Phyta_pex11-1-KO (lower 12) plants grown on BCD containing 1 mM CaCl$_2$ and 5 mM ammonium tartrate (BCDAT) for 31 d following inoculation with protonemal explants. Supplementation with ammonium tartrate favours chloronemal development. While the wild-type plants have developed a large number of gametophores, the mutant plants remain entirely protonemal in character on BCDAT medium. (c) Growth rate of wild-type (solid line) and mutant (dashed line) plants on BCD agar medium. Growth is measured by determining the surface area of each plant (mean ± SD). (d) Growth rate of wild-type (solid line) and mutant (dashed line) plants on BCDAT agar medium. Growth is measured by determining the surface area of each plant (mean ± SD) (arbitrary units). Additionally, the developmental transition from a primary filamentous stage (‘juvenile’) to the development of gametophores (‘adult’) was retarded in the mutant lines (Fig. 2). We ascribe these differences to reduced cellular elongation, and a retarded transition between chloronemal and caulonemal development in the pex11-1 mutant. First, the size of plants developing from small tissue explants on agar medium (‘spot inocula’) was significantly reduced both on medium containing nitrate as the sole nitrogen source (Fig. 2a,c) and on medium supplemented with ammonium tartrate, which favours chloronemal growth over caulonemal growth (Fig. 2b,d). The reduced differentiation of gametophores is particularly apparent in the mutant plants growing on nitrate medium (Fig. 2a). The parameters of cell elongation were determined by preparing homogenates of the wild-type and mutant plants, in order to initiate tissue regeneration from small fragments of chloronemal tissue dispersed on cellophane-overlaid agar medium. The terminal intact cell in each such fragment becomes re-programmed as an apical stem cell. This cell undergoes repeated mitosis and cell elongation, to extend the length of the filament. Although the subapical cell will undergo mitosis to generate side-branches, it does not elongate further. Thus, the lengths of the subapical cells provide a measure of the extent of cell elongation in each filament. When the lengths of the subapical cells of multicellular filaments were measured over a period of 1 wk following fragmentation, it was clear that the subapical cell length was significantly greater in the wild-type filaments (Fig. 3). Additionally, caulonemal development could be identified in regenerating wild-type tissue fragments at an earlier time than in the mutant (Fig. 3a). We also sometimes observed a rather swollen cell morphology in the regenerating mutants (Fig. 3b). When gametophores eventually developed, their appearance was phenotypically indistinguishable from that of gametophores borne by the wild-type strain. Sporophyte development also appeared normal, and the spores produced were viable and germinated at a rate comparable to that of wild-type spores (data not shown). *Enlarged peroxisomes in the Phypa_pex11-1-KO* mutant** Inspection of protonemal filaments in the knockout lines revealed unusual structures. The cellular contents were distorted by the presence of very large, apparently empty globular structures (Fig. 4b,d) which were not present in the wild-type (Fig. 4a,c). Mutation of the AtPEX1 genes results in aberrant peroxisome division, and the formation of larger peroxisomes (Lingard & Trelease, 2006; Orth et al., 2007), but these do not approach the size of those we observed in P. patens. To determine whether these unusual structures in the moss mutants might correspond to massively enlarged peroxisomes or were simply vacuolar compartments, we investigated the localization of vacuolar and peroxisomal reporters. First, transient expression of a GFP reporter containing a peroxisomal targeting sequence (GFP-SKL) in transgenic plants with either a wild-type or a Phypa_pex11-1 KO background supported this observation, with the mutant strain accumulating fewer, larger GFP-labelled organelles (Fig. 4c,f). Next, in order to distinguish between peroxisomal membranes and vacuolar membranes, we additionally generated Phypa_pex11-KO lines in a transgenic strain of P. patens containing an AtVAM3-GFP reporter, previously shown to reveal tonoplast membranes in protonemata (Oda et al., 2009). These lines were generated using a markerless Phypa_PEX11-1 deletion construct co-transformed with a plasmid containing a hygromycin resistance gene and an mRFP-SRL reporter construct, so that the peroxisomes could be distinguished from the vacuoles. Peroxisomes and vacuoles were clearly distinguished in the wild type (Fig. 5a–d). Phypa_pex11-1A lines were identified by their characteristic phenotype and those strains retaining a copy of the mRFP-SRL reporter gene were used for analysis. In these transformants, the globular bodies containing the mRFP-SRL reporter protein were clearly distinct from normal vacuoles, accumulated the peroxisomal mRFP marker and distorted the GFP-labelled tonoplast membrane (Fig. 5e,f,i). This phenotype was not confined to the protonemal stage of development. Giant peroxisomes accumulated also in the cells of the gametophore leaves of the mutant compared with the wild type (Fig. 5g–i). Phypa_PEX11-1 accumulates in the peroxisomal membrane PEX11 is a peroxisomal membrane protein that coordinates the assembly and division of the peroxisomes through interactions with members of the Fis1 family to recruit dynamin to mediate... the fission of peroxisomal tubules into smaller bodies. Transient expression of GFP-PEX11-1 in cells of the Phyta_pex11-1-KO mutant line complemented the mutant phenotype and reduced the size of the peroxisomes in the transformed cells (Figs 6, S5). Variability inherent in the microprojectile bombardment procedure generates cells expressing the transgene to different extents. The localization of the GFP-tagged PEX11-1 to the peroxisomal membrane could be observed through the identification of ‘doughnut’-like structures (Fig. 6a) in some cells, while in many cells, transient over-expression of the PEX11 fusion protein Fig. 5 The giant organelles are peroxisomes not vacuoles. (a–d) Confocal images of vacuoles and peroxisomes in wild-type protonemata of Physcomitrella patens transformed with the vacuolar reporter Arabidopsis homologue of S. cerevisiae VAM3 (ATVAM3)-GFP and the peroxisome marker mRFP-SRL. (a) Bright-field image; (b) GFP fluorescence; (c) RFP fluorescence; (d) merged image. (e, f) Confocal images of vacuoles and peroxisomes in protonemata of the Phyta_pex11-1-KO mutant. (e) ATVAM-GFP decorates the vacuolar membrane; (f) merged image for ATVAM-GFP and mRFP-SRL shows the peroxisomal marker filling large structures that distort the vacuolar membrane around them. (g, h) Epifluorescence microscopic images of vacuoles and peroxisomes in gametophore tissue of wild-type (g) and pex11 mutant (h) transformed with the vacuolar reporter ATVAM3-GFP and the peroxisome marker mRFP-SRL: merged fluorescent and bright-field images. (i) Confocal z stack image showing giant peroxisomes (red) and vacuolar membrane (green) in gametophore cells of the Phyta_pex11-1-KO mutant transformed with the vacuolar reporter ATVAM3-GFP and the peroxisome marker mRFP-SRL: merged GFP and RFP images. resulted in a characteristic PEX11 overexpression phenotype, with extensively tubulated structures accumulating (Fig 6b–d). Co-transformation of P. patens protoplasts with GFP-PEX11 and mRFP-SRL confirmed faithful targeting of GFP-PEX11 to peroxisome membranes (Fig. S5). We were also able to demonstrate an interaction between Phyta_PEX11-1 and the fission factors Phyta_Fis1A and Phyta_Fis1B in vivo, by BiFC. A stably transformed Phyta_pex11-1-KO line expressing a CFP-SKL fusion as a peroxisome marker was transiently transformed by particle bombardment, with constructs expressing the N-terminal sequence of YFP (YFP$_N$) and the C-terminal sequence of YFP (YFP$_C$) fused with Phyta_PEX11-1 and PpFIS1A and PpFIS1B in various combinations. Fig. 7(a–c) illustrates how co-transformation with a Phyta_PEX11-YFP_N construct and a PpFIS1A-YFP_C construct enabled the visualization of YFP fluorescence decorating the perimeters of the CFP-loaded peroxisomes. By contrast, in control experiments (in which the YFP$_N$ sequence was not fused to the Phyta_PEX11-1 sequence), no YFP colocalization with peroxisomes was observed, although nonspecific aggregates occasionally occurred (Fig. 7d). When Phyta_PEX11-1-YFP_N was expressed with unfused YFP$_C$, no fluorescence was seen (Fig. 7e). Similar results were obtained for interactions between Phyta_PEX11-1 and Phyta_Fis1B (Figs 6, S6). Formation of giant peroxisomes appears growth-related During the course of our investigation, we made an interesting observation. Routine maintenance of P. patens strains involves incubation at low temperature (7°C) and low light (2 h of illumination every 24 h) for the medium- to long-term storage of cultures. We noticed that, after prolonged storage under these conditions, protonemal homogenate cultures of Phyta_pex11-1-KO mutant strains no longer contained giant organelles within their cells. However, upon subculture and growth under standard conditions (25°C; continuous illumination), the giant organelle phenotype was rapidly re-established. This could be clearly seen when protonotal tissue recovered from long-term low-temperature storage was homogenized and propagated on cellophane overlays. Using the transgenic strain expressing the AtVAM3 and GFP-SKL markers, we were able to observe a steady increase in the size of the peroxisomes within protonemata during the first few days of subculture (Fig. 8). The increase in peroxisome size occurred in newly formed cells. Observations of cells along the length of each filament showed that the oldest cells (at the base of each filament, and probably corresponding to cells that had been maintained in storage at low temperature) contained relatively small peroxisomes, whereas the younger cells (the apical and subapical cells in the 4-d-old tissue shown in Fig. 8c,d) would have been generated by successive mitosis of the apical cell of each filament following transfer to standard growth conditions, and these contained significantly larger peroxisomes. The filament in Fig. 8(d) contained three new cells, with the apical cell starting to differentiate into a caulonemal cell initial (indicated by the oblique angle of the cell wall separating it from the subapical cell). As the cell cycle progression of chloronemal apical cells is relatively slow (i.e. 24 h), the production of three new cells, containing greatly enlarged peroxisomes, in the first 4 d following return to standard growth conditions suggests a link between growth rate and the demand for peroxisomal biogenesis. Discussion The PEX11 family in P. patens, as in other plant species, is comprised of a number of paralogues, four of which fall into the same clade as Arabidopsis PEX11a and b and two of which fall into the same clade as AtPEX11c, d and e. One gene (Phypha_PEX11-1) is expressed at a level > 4000 times higher than that of the other member of the PEX11cde clade (Phypha_PEX11-2) and also more than an order of magnitude higher than those of the four genes of the PEX11 a/b clade (Phypha_PEX11-3-4-5-6). The presence of paralogous genes with at least partially redundant function has hindered the analysis of plant PEX11 function through the analysis of knockout mutants. Two groups have produced transgenic Arabidopsis plants where pex11a and b on the one hand or pex11c, d or e on the other have been down-regulated by RNA interference (RNAi). (Nito et al., 2007) reported a modest increase in peroxisome size; the peroxisomes in the pex11a/bi lines had an average diameter of 1.5 μm while those in the pex11c/dle in lines had an average diameter of 2.36 μm. Orth et al. (2007) reported that in their RNAi lines there was a strong reduction of peroxisome number (<75% compared with control plants), but either no change or a reduction in peroxisome size. The RNAi lines did not show any alteration in growth or peroxisome function. However, it should be noted that in both studies there was still detectable transcript for all isoforms. By contrast, the Phypha_pex11-1KO mutant in which only a single gene was disrupted grew more slowly than wild type as a result of reduced cell elongation (Fig. 3) and the developmental transition from a primary filamentous stage ('juvenile') to the development of gametophores ('adult') was retarded (Fig. 2). This may be because the mutant line did not produce any PEX11 immunoreactive protein (Fig. 1d) and may be closer to a true knockout of the PEX11cde clade than the Arabidopsis RNAi lines. These mutants produced giant peroxisomes of up to 10 μm in diameter which were readily visible in the light microscope as apparently 'empty' regions of the cells (Fig. 4). These structures were confirmed as peroxisomes as they imported the peroxisomal matrix proteins GFP-SKL and mRFP-SRL and their membranes were decorated with a GFP-Phypha_PEX11-1 fusion protein (Figs 4–6, S5). Transient overexpression of GFP-Phypha_PEX11-1 reverted the giant peroxisome phenotype and resulted in the formation of elongated peroxisomes, as has been reported for over-expression of PEX11 from other organisms. Comparison of the sequences of the moss PEX11 family with other homologues shows strong conservation of the amphipathic helical structure found in the N terminus of PEX11 in other species (Figs S2–S4), which has been shown to insert into membranes in vitro and cause tubulation (Opalinski et al., 2011). A recent publication reported that this region of Hansenula polymorpha Pex11 interacts directly with Dnm1p (equivalent of Drp in yeasts and DLP in humans) and acts as a GTPase activating protein (GAP) to promote severing of tubulated peroxisomes. HsPex11β also had GAP activity but this was restricted to the first 1.2 amino acids (helix 1) rather than the amphipathic helix (Williams et al., 2015). Comparison of sequence alignments between Phypha_PEX11-1, HsPEX11β, AtPEX11d and HpPEX11 showed that the region from 55 to 67 within HpPEX11 that is critical for GAP activity is absent in the plant homologues but that the character and spacing of amino acids in the helix 1 motif are conserved, raising the possibility that this region could also have similar activity in plants. Thus, it seems likely that PEX11 functions similarly in peroxisome proliferation and division across kingdoms. The enlarged peroxisome phenotype seen in the P. patens knockout is more reminiscent of that seen in the S. cerevisiae pex11A mutant (Erdmann & Blobel, 1995) than that in Arabidopsis. Saccharomyces cerevisiae has only one PEX11 gene (although distinct but related genes PEX25 and PEX27 also play... Fig. 8 Recovery from low temperature. Protonemata of the Physcomitrella patens pex11-1-KO line expressing the mRFP-SRI and AtVam3-GFP reporters that had been archived at low temperature for over 6 months were homogenized and the homogenate fragments subcultured on cellophane-overlaid agar medium for regeneration under standard growth conditions. Merged bright-field, GFP and RFP epifluorescence images of protonemata regenerated for 1 (a), 2 (b) and 4 (c, d) d are shown. The cell walls dividing the filament are indicated by arrows in (c) and (d). The image in (c) contains two complete cells and a part of a third (the antepenultimate cell for the filament), while (d) contains four cells and part of a fifth. The cell wall between the apical and subapical cell in this filament is slightly oblique, indicating that the apical cell is commencing differentiation into a caulonemal initial. Note also the smaller peroxisomes in the older cells of each filament. A role in peroxisome proliferation (Rötteneister et al., 2003; Vizeacoumar et al., 2003)) so this similarity may reflect a more complete knock-out of PEX11 function in the moss compared with the Arabidopsis RNAi lines. Alternatively, it could suggest a greater functional specialization of PEX11 family members in P. patens, such that the remaining isoforms cannot rescue the phenotype to the same extent. The conservation of matrix and membrane protein import pathways, the ease with which P. patens can be used to generate gene disruptions or allele replacements and the uncoupling of peroxisome growth and division in the Physpa_pex11-1 mutant make this a powerful system in which to explore mechanisms of peroxisome biogenesis and the study of peroxisome biology more generally in photosynthetic organisms. Acknowledgements The authors acknowledge Shane Herbert for isolating the Physpa_PEX11-1 genomic clone, Joe Burgoyne for constructing pJOB1, Jenny Bentley for constructing pJHB1, Dr Laura-Anne Brown and Dr Imogen Sparkes for assistance with confocal imaging and Dr Yoshihisa Oda and Prof. Seiichiro Hasezawa, Tokyo University for the GFP-AtVAM3 transgenic moss strain. S.M. was supported by grants from the Japan Society for the Promotion of Science (KAKHENI 2007800 11) and a BBSRC Japan Partnering Award JPA 1811 to A.B. 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Fig. S2 PEX11AB multiple sequence alignment. Fig. S3 PEX11CDE multiple sequence alignment. Fig. S4 Conservation of sequence features of PEX11 between diverse organisms. Fig. S5 PpPEX11-1 localizes to the peroxisomal membrane. Fig. S6 P. patens pex11-KO strain co-bombarded with pCFP-SKL+ pYFPn-Pex11 + YFPe-Fis1b. Table S1 Gene and protein IDs of PhyipaPEX11 genes Table S2 Primers used for PCR amplifications Table S3 Digital gene expression analysis of Phyipa_PEX11 family members Please note: Wiley Blackwell are not responsible for the content or functionality of any supporting information supplied by the authors. Any queries (other than missing material) should be directed to the New Phytologist Central Office.
Initial Study Artesia Place Project (Artesia Boulevard Corridor Specific Plan Case No. 2022-13) Prepared for: City of Artesia 18747 Clarkdale Avenue Artesia, California 90701 Okina Dor 562.865.6262, Ext. 227 Prepared by: Kimley-Horn and Associates, Inc. 1100 W Town and Country Road, Suite 700 Orange, California 92868 August 2022 # Table of Contents 1.0 Introduction .................................................................................................................. 1 1.1 Statutory Authority and Requirements ................................................................. 1 1.2 Summary of Findings ............................................................................................... 2 1.3 Initial Study Public Review Process ....................................................................... 2 1.4 Report Organization ............................................................................................... 3 2.0 Project Description ..................................................................................................... 4 2.1 Project Location ...................................................................................................... 4 2.2 Environmental Setting ............................................................................................ 4 2.3 Background and History ........................................................................................ 10 2.4 Project Characteristics ........................................................................................... 11 2.5 Agreements, Permits, and Approvals .................................................................... 18 3.0 Initial Study Checklist ............................................................................................... 21 3.1 Environmental Factors Potentially Affected .......................................................... 23 4.0 Environmental Analysis ............................................................................................. 24 4.1 Aesthetics ............................................................................................................... 24 4.2 Agriculture and Forestry Resources ....................................................................... 27 4.3 Air Quality .............................................................................................................. 29 4.4 Biological Resources .............................................................................................. 31 4.5 Cultural Resources ................................................................................................ 34 4.6 Energy .................................................................................................................... 36 4.7 Geology and Soils .................................................................................................. 37 4.8 Greenhouse Gas Emissions ................................................................................... 44 4.9 Hazards and Hazardous Materials .......................................................................... 46 4.10 Hydrology and Water Quality ............................................................................... 51 4.11 Land Use and Planning .......................................................................................... 57 4.12 Mineral Resources ................................................................................................ 58 4.13 Noise ..................................................................................................................... 59 4.14 Population and Housing ....................................................................................... 61 4.15 Public Services ..................................................................................................... 62 4.16 Recreation .................................................................................................................. 64 4.17 Transportation ........................................................................................................... 65 4.18 Tribal Cultural Resources .......................................................................................... 67 4.19 Utilities and Service Systems .................................................................................... 69 4.20 Wildfire ....................................................................................................................... 71 4.21 Mandatory Findings of Significance ......................................................................... 73 5.0 References/Sources ..................................................................................................... 75 Tables Table 2-1: Onsite and Surrounding Land Uses and Zoning .............................................. 10 Table 2-2: Open Spaces and Amenities ............................................................................. 15 Figures Figure 2-1: Regional Vicinity Map ..................................................................................... 5 Figure 2-2: Local Vicinity Map .......................................................................................... 6 Figure 2-3: Project Site Boundary Within ABCSP ............................................................. 7 Figure 2-4: Conceptual Site Plan ....................................................................................... 13 Figure 2-5: Construction Phasing Plan ............................................................................. 19 Appendices Appendix A: Preliminary Geotechnical Investigation Appendix B: Phase I Environmental Site Assessment and Phase II Subsurface Investigation Appendix C: Human Health Risk Evaluation Appendix D: Preliminary Hydrology Study Appendix E: Preliminary Low Impact Development (LID) Plan 1.0 INTRODUCTION 1.1 STATUTORY AUTHORITY AND REQUIREMENTS This Initial Study has been conducted in accordance with the California Environmental Quality Act (CEQA) (California Public Resources Code [PRC] §21000 et seq.) and the State CEQA Guidelines (California Code of Regulations [CCR], Title 14, §15000 et seq.). Pursuant to State CEQA Guidelines §15063, this Initial Study has been conducted to determine if the proposed Artesia Place Project ("Project") would have a significant effect on the environment. The Project site consists of an approximately 3.3-acre parcel located at 11709 Artesia Boulevard and an approximately 0.23-acre parcel located at 17212 Alburtis Avenue, in the City of Artesia ("City"), California. The Project proposes to construct up to 8,650 square feet (SF) of commercial uses and 80 dwelling units (DU), at a density of approximately 23.2 dwelling units per acre (DU/ac). The Project includes approximately 40,265 SF of open space, a 462-SF pool building, 218 vehicle parking spaces, and 40 bicycle parking spaces. The requested approvals include: a General Plan Amendment; a Zoning Code Text Amendment to amend the ABCSP to permit residential uses, establish a maximum allowable development within the Project site, and amend the ABCSP’s Design Standards and Guidelines (among other chapters); Design Review; Development Agreement; Vesting Tentative Tract Map No. 83834; and the CEQA EIR certification. State CEQA Guidelines §15063(b) states that if the Lead Agency determines that there is substantial evidence that any aspect of a project, either individually or cumulatively, may cause a significant effect on the environment, the Lead Agency shall prepare an Environmental Impact Report (EIR), use a previously prepared EIR, or determine, which of a project's effects were adequately examined by an earlier EIR or Negative Declaration (ND). Conversely, the Lead Agency shall prepare a ND if there is no substantial evidence that the project or any of its aspects may cause a significant effect on the environment. Pursuant to State CEQA Guidelines §15063(c), the purposes of an Initial Study are to: - Provide the Lead Agency with information to use as the basis for deciding whether to prepare an EIR or a ND; - Enable an applicant or Lead Agency to modify a project, mitigating adverse impacts before an EIR is prepared, thereby enabling the project to qualify for a ND; - Assist in the preparation of an EIR, if one is required; - Facilitate environmental assessment early in the design of a project; - Provide documentation of the factual basis for the finding in a ND that a project will not have a significant effect on the environment; - Eliminate unnecessary EIRs; and - Determine whether a previously prepared EIR could be used with the project. This Initial Study is intended to be used as a decision-making tool for the Lead Agency and responsible agencies in considering and acting on the proposed Project. Responsible agencies would comply with CEQA by considering this environmental analysis for discretionary actions associated with Project implementation, if any. State CEQA Guidelines §15063(g) specifies that as soon as a Lead Agency has determined that an Initial Study will be required for a project, the Lead Agency shall consult informally with all Responsible Agencies and all Trustee Agencies responsible for resources affected by the project to obtain their recommendations as to whether an EIR, Mitigated Negative Declaration (MND), or ND should be prepared. ### 1.2 SUMMARY OF FINDINGS Pursuant to State CEQA Guidelines §15367, the City, as the Lead Agency, has the authority for environmental review and adoption of the environmental documentation, in accordance with CEQA. This Initial Study evaluated the environmental issues outlined in Section 3.1: Environmental Factors Potentially Affected. It provides decision-makers and the public with information concerning the Project’s potential environmental effects. Based on the Environmental Checklist Form and supporting environmental analysis, the Project would have no impact or a less than significant impact concerning all environmental issue areas, except the following, for which the Project would have a potentially significant impact: - Air Quality - Cultural Resources - Energy - Geology and Soils - Greenhouse Gas Emissions - Land Use and Planning - Noise - Population and Housing - Public Services - Recreation - Transportation - Tribal Cultural Resources - Utilities and Service Systems - Mandatory Findings of Significance As set forth in State CEQA Guidelines §15081, the decision to prepare an EIR will be made either during preliminary review under State CEQA Guidelines §15060 or at the conclusion of an Initial Study after applying the standards described in State CEQA Guidelines §15064. On the basis of this initial evaluation, the Lead Agency has found that the proposed Project may have a significant effect on the environment and an EIR will be prepared to evaluate the Project's potentially significant impacts concerning the resource areas identified above. ### 1.3 INITIAL STUDY PUBLIC REVIEW PROCESS In accordance with State CEQA Guidelines §15375, the City distributed a Notice of Preparation (NOP) to notify the responsible agencies, the Office of Planning and Research (OPR), and involved federal agencies that the City (i.e., Lead Agency) plans to prepare an EIR for the Project. The NOP’s purpose is to solicit guidance from those agencies as to the scope and content of the environmental information to be included in the EIR. Within 30 days after receiving the NOP, each responsible agency and OPR are required to provide the Lead Agency with specific details about the scope and content of the environmental information related to the responsible or trustee agency's area of statutory responsibility that must be included in the Draft EIR. During the 30-day public review period, the NOP/Initial Study were made available for review on the City of Artesia website, at https://cityofartesia.us/336/Community-Development, and by request at the Community Development Department – please contact Okina Dor, Community Development Director, at 562.865.6262 Ext 227 or via email at firstname.lastname@example.org. Written responses to the NOP/comments on this Initial Study may be sent to: Okina Dor, Community Development Director City of Artesia, Community Development Department 18747 Clarkdale Avenue Artesia, California 90701 Email: email@example.com Please include in the subject matter line “Artesia Place Project (ABCSP Amendment) NOP/IS Comment.” Additionally, please note that email is the preferred method. 1.4 REPORT ORGANIZATION This document has been organized into the following sections: Section 1.0 – Introduction. This section provides a Project introduction and overview, cites the CEQA Statute and Guidelines provisions to which the proposed Project is subject, and summarizes the Initial Study’s conclusions. Section 2.0 – Project Description. This section identifies the Project site location, environmental setting, characteristics, discretionary actions, construction program, phasing, agreements, and required permits and approvals. This Section also identifies the Initial Study’s intended uses, including a list of anticipated permits and other approvals. Section 3.0 – Initial Study Checklist. The Environmental Checklist Form provides an overview of the potential impacts that may or may not result from Project implementation. Section 4.0 – Environmental Analysis. This section contains an analysis of environmental impacts identified in the environmental checklist. Section 5.0 – References. This section identifies resources used to prepare the Initial Study. 2.0 PROJECT DESCRIPTION 2.1 PROJECT LOCATION The Project site is in the City of Artesia, approximately 14 miles southeast of downtown Los Angeles; see Figure 2-1: Regional Vicinity Map. The Project site consists of two parcels: Assessor Parcel Number (APN) 7035-016-064 is 3.3 acres in size and located at 11709 Artesia Boulevard; and APN 7035-020-056 is 0.23 acre in size and located at 17212 Alburtis Avenue; see Figure 2-2: Site Vicinity Map. The Project site is generally bound by industrial uses on the north, Artesia Boulevard on the south, Alburtis Avenue and an active concrete batch plant on the east, and Flallon Avenue on the west. The Project site is at the northeast portion of the 21-acre ABCSP area, which extends along Artesia Boulevard, generally between Corby Avenue on the east and Gridley Road on the west. As shown in Figure 2-3: Project Site Boundary Within ABCSP, the Project site is at the eastern extent of ABCSP’s Quadrant 2, which is comprised of approximately 6.0 acres located north of Artesia Boulevard between Alburtis Avenue on the east and Roseton Avenue on the west. Two major freeways provide regional access to the Project site: Artesia Freeway (SR-91) to the north; and Interstate 605 (I-605) to the west. From SR-91, access to the Project site is provided via Pioneer Boulevard, which is east of the Project site. From I-605, local access to the Project site is provided via Artesia Boulevard, which bisects the ABCSP area. Artesia Boulevard is a four-lane divided arterial roadway oriented east-west through the ABCSP area. Local access is also provided via Pioneer Boulevard, which is a four-lane arterial oriented north-south to the west of the Project site. 2.2 ENVIRONMENTAL SETTING The City encompasses approximately 1.6 square miles in southeast Los Angeles County. The City is a suburban jurisdiction with a mix of residential densities, although low-density residential uses predominate. The City also contains a mix of retail commercial, office, and industrial uses. The ABCSP area is designated Gateway Community Commercial, except two parcels southeast of the Roseton Avenue at Artesia Boulevard intersection (within ABCSP’s Quadrant 4), which are designated Low Density Residential.$^1$ The Gateway Community Commercial designation provides for a complementary mix of job-creating industrial, manufacturing uses, and local/regional-serving commercial retail and office uses.$^2$ The Low Density Residential designation, which is the City’s predominant land use designation, is characterized by single-family, detached units.$^3$ --- $^1$ City of Artesia. (2010). City of Artesia General Plan 2030. Exhibit LU-3; General Plan 2030 Land Use. [http://www.cityofartesia.us/DocumentCenter/View/226/Artesia-General-Plan?bidId=](http://www.cityofartesia.us/DocumentCenter/View/226/Artesia-General-Plan?bidId=). $^2$ City of Artesia. (2010). City of Artesia General Plan 2030. Land Use Sub-Element. Page LU-10. [http://www.cityofartesia.us/DocumentCenter/View/226/Artesia-General-Plan?bidId=](http://www.cityofartesia.us/DocumentCenter/View/226/Artesia-General-Plan?bidId=). $^3$ City of Artesia. (2010). City of Artesia General Plan 2030. Land Use Sub-Element. Page LU-9. [http://www.cityofartesia.us/DocumentCenter/View/226/Artesia-General-Plan?bidId=](http://www.cityofartesia.us/DocumentCenter/View/226/Artesia-General-Plan?bidId=). FIGURE 2-1: REGIONAL VICINITY MAP Artesia Place Project (Artesia Boulevard Corridor Specific Plan Amendment) * Fully improved existing parking lot to be made available to one of the proposed shopkeeper units. The Project does not propose to improve or modify this existing lot. FIGURE 2-2: LOCAL VICINITY MAP Artesia Place Project (Artesia Boulevard Corridor Specific Plan Amendment) FIGURE 2-3: PROJECT SITE BOUNDARY WITHIN ABCSP Artesia Place Project (Artesia Boulevard Corridor Specific Plan Amendment) This page intentionally left blank. As noted above, the Project site is in ABCSP Quadrant 2. Quadrant 2 is comprised of five parcels with four unique landowners. Quadrant 2 supports a variety of commercial, retail, and industrial uses. Existing uses include a Public Storage complex, a small industrial building, and a retail center that was redeveloped in 2004. The Project site comprises the eastern portion of Quadrant 2. ### 2.2.1 Existing General Plan and Zoning The Project site is designated Gateway Community Commercial.$^4$ As noted above, Gateway Community Commercial designation provides for a complimentary mix of job-creating industrial and manufacturing uses, and local/regional-serving commercial retail and office uses. The City's Zoning Map classifies the Project site as Artesia Boulevard Corridor Specific Plan (ABCSP).$^5$ The ABCSP establishes the City's vision for a 21-acre area along Artesia Boulevard, between Gridley Road and Pioneer Boulevard. For Quadrant 2, the City's primary goal is to establish a retail, commercial, and industrial center. ### 2.2.2 Onsite Land Uses The Project site is currently vacant. California Dairies, Inc., a dairy manufacturing plant totaling approximately 27,290 gross SF, occupied the Project site until it was demolished in 2022. All existing onsite utility connections remain capped and abandoned onsite. ### 2.2.3 Surrounding Land Uses The Project site is generally surrounded by residential, business park, commercial, and light industrial land uses, as well as an active concrete batch plant. Land uses and corresponding zoning districts bordering the Project site are summarized in Table 2-1: Onsite and Surrounding Land Uses and Zoning. --- $^4$ City of Artesia. (2010). City of Artesia General Plan 2030, Exhibit LU-3: General Plan 2030 Land Use. [http://www.cityofartesia.us/DocumentCenter/View/226/Artesia-General-Plan?bidId=](http://www.cityofartesia.us/DocumentCenter/View/226/Artesia-General-Plan?bidId=). $^5$ City of Artesia. (2019). Zoning Map. [https://www.cityofartesia.us/DocumentCenter/View/1877/Zoning-Map-January-7-2019?bidId=](https://www.cityofartesia.us/DocumentCenter/View/1877/Zoning-Map-January-7-2019?bidId=). ### TABLE 2-1: ONSITE AND SURROUNDING LAND USES AND ZONING \| Description \| Existing Land Use \| Zoning¹ \| \|-------------\|----------------------------------------------------------------------------------\|---------\| \| Project Site\| Vacant and a 0.2-acre fully-improved parking lot (34 spaces) that historically served as overflow parking for the dairy manufacturing plant that previously occupied the Project site \| Artesia Boulevard Corridor Specific Plan (ABCSP) \| \| North \| Industrial \| Light Manufacturing and Industrial (M-1) \| \| South \| Residential and Commercial \| ABCSP and Single-Family Residential (R-1) \| \| East \| Residential, Commercial, and Industrial \| Heavy Manufacturing and Industrial and Artesia Boulevard Specific Plan \| \| West \| Industrial \| M-1 and ABCSP \| Notes: 1. City of Artesia. (2019). Zoning Map. [https://www.cityofartesia.us/DocumentCenter/View/1877/Zoning-Map-January-7-2019?bidId=](https://www.cityofartesia.us/DocumentCenter/View/1877/Zoning-Map-January-7-2019?bidId=) 2. California Dairies, Inc. (2020). California Dairies, Inc Announces Closure of its Artesia Manufacturing Facility. [https://www.californiadairies.com/news/california-dairies-inc-announces-closure-its-artesia-manufacturing-facility](https://www.californiadairies.com/news/california-dairies-inc-announces-closure-its-artesia-manufacturing-facility). ### 2.3 BACKGROUND AND HISTORY The Project site was formerly developed with a circa 1958 dairy manufacturing plant (California Dairies, Inc.) totaling approximately 27,290 gross SF and associated surface parking lot. The plant, which has been closed since approximately June 2020, was demolished in 2022. As discussed above, the Project site comprises the eastern portion of ABCSP’s Quadrant 2. As stated in the ABCSP, the City’s primary goal for Quadrant 2 is to establish a retail, commercial, and industrial center. This mix of business uses is intended to allow for flexibility while maintaining compatibility with the existing commercial and industrial uses located to the north and east. To facilitate the incorporation of commercial, retail, and industrial businesses in Quadrant 2, no residential uses shall be permitted within Quadrant 2.⁶ On June 15, 2022, the Project Applicant submitted their Design Review and Vesting Tentative Tract Map Application to the City’s Community Development Department Planning Division for a mixed-use development comprised of 80 DU and approximately 8,650 SF of commercial uses on the Project site. The City deemed the application complete on June 21, 2022. Upon initial Project review, the City confirmed the proposed development’s residential component was not permitted in Quadrant 2. The ABCSP specifies the following concerning permitted land uses in Quadrant 2: “For Quadrant 2 the City’s primary goal is to establish a retail, commercial, and industrial center…no residential uses shall be permitted within this quadrant.”⁷ The ABCSP specifies that land use changes constitute a Major Modification, thus, require an amendment to the ABCSP. --- ⁶ City of Artesia. (2011). Artesia Boulevard Corridor Specific Plan. Page 42. ⁷ City of Artesia. (2011). Artesia Boulevard Corridor Specific Plan. Page 42. That ABCSP Amendment and the proposed development, among other elements, are collectively referred to as the “Project” subject of this Initial Study and the forthcoming EIR. 2.4 PROJECT CHARACTERISTICS 2.4.1 Project Overview The Project proposes the construction and operation of a mixed-use development comprised of 80 DU and approximately 8,650 SF of commercial uses, as described below. To allow the proposed development, the Applicant proposes to amend the ABCSP. The proposed Zoning Code Text Amendment would amend the ABCSP to permit residential uses on the Project site, establish a maximum allowable development within the Project site, and amend the ABCSP’s Design Standards and Guidelines (among other chapters). In addition to the Zoning Code Text Amendment, the Project seeks approval of the following entitlements: General Plan Amendment; Design Review; Development Agreement; Vesting Tentative Tract Map No. 83834; and CEQA EIR certification. These requested approvals, which are collectively referred to as the “Project,” are further described below. 2.4.2 Conceptual Site Plan The Project would construct a mixed-use development generally comprised of two portions – a commercial portion and a residential portion – connected by pedestrian walkways. Figure 2-4: Conceptual Site Plan, depicts the proposed land plan. In total, the Project proposes approximately 8,650 SF of commercial uses and 80 DU, including the components described below. The proposed land uses would be developed at a density of 23.2 DU/ac. - One building with approximately 2,700 SF of commercial uses; - One mixed-use building with approximately 3,450 SF of commercial uses on the ground level with 4 carriage-type townhome units above; - Eight shopkeeper units – commercial condominiums totaling 2,500 SF on the ground level with townhomes above; - 9 live/work townhome units; and - 59 three-story townhome units. The Project is designed to be a mixed-use, pedestrian-oriented placemaking development with various commercial opportunities. The buildings are linked by a central pedestrian walkway through a series of landscaped courtyards. The Project site is divided into two portions: the northern portion is bisected by the central pedestrian walkway, pool, and pool building and consists of traditional paseo Rowtown residential clustering around a recreation area; and the southern portion fronting Artesia Boulevard consists of the urban commercial mixed-use buildings. This page intentionally left blank. FIGURE 2-4: CONCEPTUAL SITE PLAN Artesia Place Project (Artesia Boulevard Corridor Specific Plan Amendment) PARKING: REQUIRED: RESIDENTIAL + LIVEWORK: 74 UNITS (4 BED X 2 SPACES = 152 SPACES) 68 UNITS (3 BED X 1.5 SPACES=) 102 SPACES GUEST/HO UNITS X .20= 26.4 SPACES SHOP/SHOP METAL AREA: +250 SF X 100= 2,500 SF X 100= 8.3 SPACES RETAIL: 6 -160 SF X 100= 20.5 SPACES TOTAL REQUIRED: 213.2 SPACES PROVIDED: 80 UNITS X 2 IN GARAGE= 160 SPACES 21 OPEN PARKING-RESIDENTIAL= 26 SPACES 22 OPEN PARKING-COMMERCIAL= 36 SPACES 216 SPACES (2 EXTRA) OFF SITE STREET PARKING = 30 SPACES OPEN SPACE: REQUIRED: COMMON: 80 UNITS X 100 SF = 8,000 SF PRIVATE: 80 UNITS X 50 SF= 4,000 SF PROVIDED: COMMON RESIDENTIAL: 6,670 SF (COMMON GREEN) 12,428 SF (PARKING) PRIVATE RESIDENTIAL: 5,160 SF (DECKS avg 80 sf) LIVING ROOM TERRACE: 1,920 SF RETAIL PLAZA & COURTS: 11,248 SF TOTAL: 49,265 SF AMENITY BUILDING PRODUCTS: PRODUCT 1- TOWNHOUSES - 59 UNITS: 1 PLAN 6- 1,369 SF, 2 BED, 2.5 BA, DEN, ½ BA 2 PLAN 7- 1,403 SF, 3 BED, 2.5 BA, DEN, ½ BA 13 PLAN 9a- 1,383 SF, 3 BED, 3.0 BA 10 PLAN 9b- 1,538 SF, 2 BED, 2.5 BA 23 PLAN 10- 1,559 SF, 3 BED, 3.0 BA 10 PLAN 11- 1,822 SF, 4 BED, 3.5 BA 59 PRODUCT 2- LIVEWORK / SHOPKEEPERS- 17 UNITS: 2 PLAN 1- 1,818 SF, 2 BED + 262 SF SHOP, 2.5 BA, RESTRM 4 PLAN 2- 1,748 SF, 3 BED + 262 SF SHOP, 2.5 BA, RESTRM 4 PLAN 3- 1,818 SF, 3 BED + 262 SF OFFICE, 3.5 BA 5 PLAN 4- 1,788 SF, 3 BED + 262 SF OFFICE, 3.5 BA 2 PLAN 8- 1,385 SF, 2 BED, + 520 SF SHOP, 2.5 BA, RESTRM 17 PRODUCT 3 - CARRIAGE TOWNS - 4 UNITS: 4 PLAN 5- 1,508 SF- 2 BED, 2.5 BA COMMERCIAL COMMERCIAL: 1 BUILDING C1= 2,700 SF 1 BUILDING C2= 3,450 SF TOTAL COMMERCIAL FLOOR AREA: COMMERCIAL BUILDINGS: 6,102 SF SHOP-KEEPER SHOPS: 2,560 SF TOTAL: 8,662 SF NOT TO SCALE This page intentionally left blank. The Project proposes a total of 40,265 SF of open space and a 462-SF pool building; see Table 2-2: Open Spaces and Amenities. \| Open Space \| Amount (SF) \| \|----------------------------------\|-------------\| \| Common Residential: Common Green \| 6,679 \| \| Common Residential: Paseos \| 12,428 \| \| Private Residential: Decks \| 5,160 \| \| Live/work Mall Terrace \| 4,288 \| \| Retail Plaza and Courts \| 11,248 \| \| Pool Building \| 462 \| \| Total \| 40,265 \| ### 2.4.3 Architecture As noted above, the Project site is divided into the traditional paseo Rowtown residential clustering around a recreation area at the site’s northern portion and the urban commercial mixed-use buildings at the site’s southern portion fronting onto Artesia Boulevard. The Project is designed for a gradual transition of building types. The single-story “Main Street” style sidewalk retail shops are backed by a California-style courtyard with storefronts and newsstand kiosks. The shopkeeper units gradually transition to smaller shops. The architecture contains a blend of modern styles. Midcentury detailing is consistent with shades of neutral colors and enriched material selections, including linear “wood” sidings, stone veneers, light color plaster, and dark window frames. The commercial, shopkeeper, and live/work units have a “weathered” antique white brick veneer to differentiate from the modern elements of the residential units. The white brick, dark window frames, and accent-colored front doors mimic modernized, repurposed, and renovated historic buildings. ### 2.4.4 Parking, Access, Circulation #### PARKING Onsite Parking. Pursuant to Artesia Municipal Code (AMC) §9-2.1103: Parking Spaces Required, the Project would require 214 vehicle parking spaces to meet the parking demand generated by the proposed land uses. The Project proposes 216 vehicle parking spaces, as follows: for the residential uses, two spaces per garage for a total of 160 spaces and 20 guest spaces; and 36 parking spaces for the commercial uses (i.e., the livework/shopkeeper units and retail uses). Offsite (Onstreet) Parking. The Project would also provide 20 offsite onstreet parking spaces (parallel and perpendicular) along Fallon Avenue and Alburtis Avenue. These offsite onstreet spaces are not proposed to meet the Project’s parking demand (as described), but are instead proposed by the Applicant as a community benefit. Offsite (Vehicle Storage). The fully improved, existing 0.2-acre parking lot located at 17212 Alburtis Avenue would be made available to one of the eight proposed shopkeeper units for vehicle storage purposes. The Project does not propose to improve or modify this existing lot. The Specific Plan will detail the land uses permitted on this lot. Rideshare Parking. An approximately three-space rideshare pickup/drop-off (e.g., Lyft or Uber) location is proposed at the Project site’s southern portion, along Artesia Boulevard. ACCESS The Project site would be accessed via a left-turn pocket on eastbound Artesia Boulevard onto Alburtis Avenue. The Project Site would also be accessed via westbound Artesia Boulevard onto Alburtis Avenue and Flallon Avenue. CIRCULATION The Project would provide pedestrian-oriented accessible walkways to all of its components. A central pedestrian walkway is provided between the uses and also down the center of the Project site. The walkway leads through landscaped courtyards towards a recreational area and the pool. Sidewalks would be provided on all Project site frontages and boundaries. The residential units that front the adjacent streets would include lockable gate access to the walkways that connect with the surrounding streets. 2.4.5 Specific Plan Amendment The ABCSP includes six chapters to provide information and guidelines for development and implementation of land uses within the ABCSP area’s boundaries. INTRODUCTION ABCSP Section 1: Introduction provides the concept for the ABCSP area and defines the corridor goals, objectives, vision, history, project setting, regulations, and existing conditions. The proposed Project will include updated zoning districts and Project Entitlement History to document the amendment to the ABCSP. It will define the amendment changes and highlight document revisions. LAND USE PLAN ABCSP Section 2: Land Use Plan introduces the proposed development approach for the ABCSP area, provides a vision for the ABCSP area quadrants, and incorporates an updated Land Use Map and Table of Permitted Uses. Key elements include Quadrant 2a and 2b vision, conceptual development scenario, and proposed and permitted land uses. The Project proposes to amend the ABCSP Land Use Plan to include Quadrant 2a as Multiple Business Use and 2b (the Project site) as Mixed-Use to permit residential and other uses. URBAN DESIGN STANDARDS AND GUIDELINES ABCSP Section 3: Urban Design Standards and Guidelines provides specific standards for how buildings in the ABCSP area can be developed (e.g., setbacks, parking requirements, etc.), and provides guidelines to enhance the architectural style of buildings. This section also provides guidelines for design features (e.g., streetscapes, signage, lighting, rooflines, building materials) and other design elements. The Project proposes to amend the design guidelines and standards to include amended Quadrants 2a and 2b and specific related design standards and guidelines. MOBILITY PLAN ABCSP Section 4: Mobility Plan identifies established and planned roadway conditions within the ABCSP, including through contextual exhibits and conceptual street sections. This section also addresses options for alternative transportation modes within the corridor (e.g., bicycles, buses, and walking). The Project proposes to amend the ABCSP Mobility Plan to include updated access points for ingress/egress at the Project site, address onsite and offsite parking, and trip generation to include the amended quadrants. INFRASTRUCTURE PLAN ABCSP Section 5: Infrastructure Plan addresses key utilities and public services including water, sewer, energy, police, fire, and other services necessary for the ABCSP area’s development. The Project’s proposed utilities and infrastructure are potable and reclaimed water, sewer, stormwater drainage and water treatment, electricity, natural gas, and telecommunications. The ABCSP area already includes the distribution, location, extent of major components of public and private utilities and infrastructure, and other essential facilities needed to support the proposed Project. The Project does not propose to amend the ABCSP Infrastructure Plan. ADMINISTRATION AND IMPLEMENTATION ABCSP Section 6: Administration and Implementation identifies strategies to execute the ABCSP’s recommendations, and specifies the steps needed to implement and modify the ABCSP. The Project does not propose to amend the ABCSP Administration and Implementation Section. GENERAL PLAN CONSISTENCY ABCSP Appendix A: The General Plan Consistency ties the ABCSP to the Citywide General Plan. The ABCSP Amendment will ensure omission of the former site operations and will be updated to include pertinent information on the amended Quadrant 2 into Quadrant 2a and 2b. 2.4.6 Construction and Phasing The Project construction is anticipated to occur as three phases, but would be continuous with no pauses; see Figure 2-5, Construction Phasing Plan. - Phase I: 1. Grading, site work, and base paving for all alleys, streets, and underground utilities; 2. Construction of all commercial buildings; 3. Construction of a mix of units (including model homes) fronting Flallon Avenue. - Phases II and III would consist solely of vertical construction of the buildings. Phased occupancy of the proposed Project would be permitted. A Temporary Certificate of Occupancy may be issued pending clearance of certain final Project conditions of approval, subject to City approval. Project construction is anticipated to occur over approximately 24 months, beginning September 2023 and ending August 2025. For purposes of this environmental analysis, opening year is assumed to be 2025. Grading for the Project would require cut and fill, which would be balanced onsite. The Project site would be graded to mimic the existing grading and drainage patterns. The overall site grading and drainage pattern would be southerly to confluence with street flows to the Artesia Boulevard at Flallon Avenue intersection. ### 2.5 AGREEMENTS, PERMITS, AND APPROVALS The City, as Lead Agency for the Project, has discretionary authority over the Project. In order to implement the Project, the Applicant would need to obtain, at a minimum, the following discretionary permits/approvals: Case No. 2022-13, consisting of the following components: - General Plan Amendment to permit integrated, mixed-use commercial and residential development to be considered and regulated with the adoption of specific plans; - Zoning Code Text Amendment to amend the ABCSP to permit residential uses, establish a maximum allowable development within the Project site, and to amend the ABCSP’s Design Standards and Guidelines (among other chapters); - Design Review to review and approve the development’s proposed physical design; - Vesting Tentative Tract Map No. 83834 to subdivide and accommodate 80 Units for condominium purposes; - Development Agreement; and - Environmental Impact Report (EIR) certification. FIGURE 2-5: CONSTRUCTION PHASING PLAN Artesia Place Project (Artesia Boulevard Corridor Specific Plan Amendment) This page intentionally left blank. 3.0 INITIAL STUDY CHECKLIST 1. Project title: Artesia Place Project (Artesia Boulevard Corridor Specific Plan Amendment) 2. Lead agency name and address: City of Artesia 18747 Clarkdale Avenue Artesia, California 90701 3. Contact person and phone number: Okina Dor, Community Development Manager Tel: 562-865-6262 Ext: 227 firstname.lastname@example.org 4. Project location: 11709 Artesia Boulevard Artesia, California 90701 5. Project sponsor's name and address: G3 Urban 15235 South Western Avenue Gardena, California 90249 6. General plan designation: Gateway Community Commercial 7. Zoning: Artesia Boulevard Corridor Specific Plan 8. Description of project: (Describe the whole action involved, including but not limited to later phases of the project, and any secondary, support, or off-site features necessary for its implementation. Attach additional sheets if necessary.) See Section 2.4: Project Characteristics 9. Surrounding land uses and setting: Briefly describe the project's surroundings: See Section 2.2.3: Surrounding Land Uses 10. Other public agencies whose approval is required (e.g., permits, financing approval, or participation agreement.) To be determined, as part of EIR preparation. 11. Have California Native American tribes traditionally and culturally affiliated with the project area requested consultation pursuant to Public Resources Code §21080.3.1? If so, is there a plan for consultation that includes, for example, the determination of significance of impacts to tribal cultural resources, procedures regarding confidentiality, etc.? The City prepared letters addressed to each Native American tribe listed on the May 20, 2021 Los Angeles County Native American Heritage Commission (NAHC) Tribal Consultation List. Outreach letters were sent to Tribal representatives on June 14, 2022, initiating consultation with tribes pursuant to Assembly Bill 52 (AB 52) and Senate Bill 18 (SB 18); see also Section 4.18: Tribal Cultural Resources. 3.1 ENVIRONMENTAL FACTORS POTENTIALLY AFFECTED The environmental factors checked below would be potentially affected by this project, involving at least one impact that is a “Potentially Significant Impact” as indicated by the checklist on the following pages. - [ ] Aesthetics - [ ] Biological Resources - [X] Geology/Soils - [ ] Hydrology / Water Quality - [X] Noise - [X] Recreation - [X] Utilities / Service Systems - [ ] Agriculture / Forestry Resources - [X] Cultural Resources - [X] Greenhouse Gas Emissions - [X] Land Use / Planning - [X] Population / Housing - [X] Transportation - [ ] Wildfire - [X] Air Quality - [X] Energy - [ ] Hazards & Hazardous Materials - [ ] Mineral Resources - [X] Public Services - [X] Tribal Cultural Resources - [X] Mandatory Findings of Significance DETERMINATION: On the basis of this initial evaluation (check one): - [ ] I find that the proposed project COULD NOT have a significant effect on the environment, and a NEGATIVE DECLARATION will be prepared. - [ ] I find that although the proposed project could have a significant effect on the environment, there will not be a significant effect in this case because revisions in the project have been made by or agreed to by the project proponent. A MITIGATED NEGATIVE DECLARATION will be prepared. - [X] I find that the proposed project MAY have a significant effect on the environment, and an ENVIRONMENTAL IMPACT REPORT is required. - [ ] I find that the proposed project MAY have a "potentially significant impact" or "potentially significant unless mitigated" impact on the environment, but at least one effect 1) has been adequately analyzed in an earlier document pursuant to applicable legal standards, and 2) has been addressed by mitigation measures based on the earlier analysis as described on attached sheets. An ENVIRONMENTAL IMPACT REPORT is required, but it must analyze only the effects that remain to be addressed. - [ ] I find that although the proposed project could have a significant effect on the environment, because all potentially significant effects (a) have been analyzed adequately in an earlier EIR or NEGATIVE DECLARATION pursuant to applicable standards, and (b) have been avoided or mitigated pursuant to that earlier EIR or NEGATIVE DECLARATION, including revisions or mitigation measures that are imposed upon the proposed project, nothing further is required. CERTIFICATION: [Signature] Date: 8/8/22 4.0 ENVIRONMENTAL ANALYSIS 4.1 AESTHETICS \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|------------------------------\|--------------------------------\|--------------------------------------------------\|-----------------------------\|-----------\| \| 1. AESTHETICS. Except as provided in Public Resources Code §21099, would the project: \| \| \| \| \| \| a) Have a substantial adverse effect on a scenic vista? \| \| \| \| X \| \| b) Substantially damage scenic resources, including but not limited to trees, rock outcroppings, and historic buildings within a state scenic highway? \| \| \| \| X \| \| c) In non-urbanized areas, substantially degrade the existing visual character or quality of public views of the site and its surroundings? (Public views are those that are experienced from publicly accessible vantage point). If the project is in an urbanized area, would the project conflict with applicable zoning and other regulations governing scenic quality? \| \| \| \| X \| \| d) Create a new source of substantial light or glare which would adversely affect day or nighttime views in the area? \| \| \| X \| \| IMPACT ANALYSIS 1a) Have a substantial adverse effect on a scenic vista? No Impact. Under CEQA, a scenic vista is defined as a viewpoint that provides expansive views of a highly-valued landscape for the public’s benefit. No scenic vistas or other scenic resources have been identified within the City of Artesia.$^8$ Therefore, the Project would not have an adverse effect $^8$ City of Artesia (2010). City of Artesia General Plan 2030 EIR. Page 5.3-3. on a scenic vista, and no impact would occur in this regard. This issue will not be further analyzed in the EIR. 1b) Substantially damage scenic resources, including but not limited to trees, rock outcroppings, and historic buildings within a state scenic highway? No Impact. No scenic resources have been identified within the City.$^9$ The California Department of Transportation (Caltrans) does not list any highways within the City as officially designated State Scenic Highways.$^{10}$ Therefore, the Project would not damage scenic resources within a State Scenic Highway, and no impact would occur in this regard. This issue will not be further analyzed in the EIR. 1c) In non-urbanized areas, substantially degrade the existing visual character or quality of public views of the site and its surroundings? (Public views are those that are experienced from publicly accessible vantage point). If the project is in an urbanized area, would the project conflict with applicable zoning and other regulations governing scenic quality? No Impact. The Project site is in an urbanized area and is surrounded by urban uses. As noted in Response 1a, no scenic vistas or other scenic resources exist in the City. The Project site is zoned ABCSP. ABCSP Section 2: Land Use Plan, and ABCSP Section 3: Urban Design Standards and Guidelines include regulations and guidelines that influence visual quality. However, the ABCSP does not include regulations or guidelines that govern scenic quality. Therefore, the Project would not conflict with applicable zoning or other regulations governing scenic quality. This issue will not be further analyzed in the EIR. The Project does propose to amend ABCSP Sections 2 and 3. ABCSP Section 2 provides a Land Use Map and list of permitted uses. ABCSP Section 3 provides specific standards for how buildings in the ABCSP area can be developed (e.g., setbacks, parking requirements, etc.), and provides guidelines to enhance the architectural style of buildings. ABCSPA Section 3 also provides guidelines for design features (e.g., streetscapes, signage, lighting, rooflines, building materials) and other design elements. The Project is designed to be a mixed-use, pedestrian-oriented, and placemaking development with various commercial opportunities. ABCSP Section 3.2.9: Mixed Use Buildings provides overarching elements that should be considered in the design of mixed-use buildings, including “allow[ing] both vertical and horizontal integration of uses in mixed use development, with an emphasis on tying the uses together with appropriate pedestrian linkages.” The Project would provide various mixed-use buildings consisting of ground level commercial uses with townhome units above. The Project’s various buildings would be linked by a central pedestrian walkway through a series of landscaped courtyards. As such, the Project would incorporate elements as listed in ABCSP Section 3 to ensure quality and well-planned development occurs as it relates to mixed-use buildings. Further, while the Project’s proposed $^9$ City of Artesia (2010). City of Artesia General Plan 2030 EIR. Page 5.3-3. $^{10}$ California Department of Transportation. (2019). California State Scenic Highway System Map. https://caltrans.maps.arcgis.com/apps/webappviewer/index.html?id=465dfd3d807c46cc8e8057116f1aacaa. amendments to ABCSP Sections 2 and 3 would allow for residential uses on the Project site, they would be consistent with the regulations and guidelines concerning Quadrants 2 and 4, which would allow for the additions of new retail, and live/work shopkeeper development along with residential uses. Therefore, the proposed amendments to ABCSP would not degrade the area’s visual quality. This issue will not be further analyzed in the EIR. 1d) Create a new source of substantial light or glare which would adversely affect day or nighttime views in the area? Less than Significant Impact. The proposed Project would generate lighting from two primary sources: lighting from building interiors that would pass through windows and lighting from exterior sources (e.g., street lighting, parking lighting, building illumination, security lighting, and landscape lighting). The proposed Project would adhere to the ABCSP’s comprehensive development standards for lighting, including a requirement that spotlighting or glare from any site lighting from adjacent properties, and direct lighting at a specific object or target area is shielded. Project implementation would require review by designated review authorities to enforce these standards, as outlined in ABCSP Section 6.3: Administration. Therefore, the Project would not create a new source of substantial light or glare that would adversely affect the area’s day or nighttime views, and impacts would be less than significant. This issue will not be further analyzed in the EIR. 2. AGRICULTURE AND FORESTRY RESOURCES. In determining whether impacts to agricultural resources are significant environmental effects, lead agencies may refer to the California Agricultural Land Evaluation and Site Assessment Model (1997) prepared by the California Dept. of Conservation as an optional model to use in assessing impacts on agriculture and farmland. In determining whether impacts to forest resources, including timberland, are significant environmental effects, lead agencies may refer to information compiled by the California Department of Forestry and Fire Protection regarding the state’s inventory of forest land, including the Forest and Range Assessment Project and the Forest Legacy Assessment project; and forest carbon measurement methodology provided in Forest Protocols adopted by the California Air Resources Board. Would the project: a) Convert Prime Farmland, Unique Farmland, or Farmland of Statewide Importance (Farmland), as shown on the maps prepared pursuant to the Farmland Mapping and Monitoring Program of the California Resources Agency, to non-agricultural use? b) Conflict with existing zoning for agricultural use, or a Williamson Act contract? c) Conflict with existing zoning for, or cause rezoning of, forest land (as defined in Public Resources Code §12220(g)), timberland (as defined by Public Resources Code §4526), or timberland zoned Timberland Production (as defined by Government Code §51104(g))? d) Result in the loss of forest land or conversion of forest land to non-forest use? e) Involve other changes in the existing environment which, due to their location or nature, could result in conversion of \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|-------------------------------------------------\|-----------------------------\|-----------\| \| Farmland, to non-agricultural use or conversion of forest land to non-forest use? \| \| \| \| \| IMPACT ANALYSIS 2a) Convert Prime Farmland, Unique Farmland, or Farmland of Statewide Importance (Farmland), as shown on the maps prepared pursuant to the Farmland Mapping and Monitoring Program of the California Resources Agency, to non-agricultural use? 2b) Conflict with existing zoning for agricultural use, or a Williamson Act contract? 2c) Conflict with existing zoning for, or cause rezoning of, forest land (as defined in Public Resources Code §12220(g)), timberland (as defined by Public Resources Code §4526), or timberland zoned Timberland Production (as defined by Government Code §51104(g))? 2d) Result in the loss of forest land or conversion of forest land to non-forest use? 2e) Involve other changes in the existing environment which, due to their location or nature, could result in conversion of Farmland, to non-agricultural use or conversion of forest land to non-forest use? No Impact. No Prime Farmland, Unique Farmland, or Farmland of Statewide or Local Importance is mapped in the City.$^{11}$ Further, the Project site is not the subject of a Williamson Act Contract.$^{12}$ No agricultural, forest land, or timberland zoning exists in the City. According to the California Department of Forestry and Fire Land Cover Mapping and Monitoring Program, the Project site is not designated as forest or Timberland.$^{13}$ Therefore, the Project would result in no impact concerning mapped farmlands, Williamson Act contracts, agricultural, forest, or timber land zoning, or the conversion or loss of Farmland, forest land or timberland. These issues will not be further analyzed in the EIR. $^{11}$ California Department of Conservation. (2016). California Important Farmland Finder. [https://maps.conservation.ca.gov/dlfp/ciff/](https://maps.conservation.ca.gov/dlfp/ciff/). $^{12}$ California Department of Conservation. (2016). Williamson Act/Land Conservation Act. [http://www.conservation.ca.gov/dlfp/lca](http://www.conservation.ca.gov/dlfp/lca). $^{13}$ California Department of Forestry and Fire Protection. (2004). Land Cover Mapping and Monitoring Program: Los Angeles County. 4.3 AIR QUALITY \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|--------------------------------------------------\|-----------------------------\|-----------\| \| 3. AIR QUALITY. Where available, the significance criteria established by the applicable air quality management district or air pollution control district may be relied upon to make the following determinations. Would the project: \| \| \| \| \| \| a) Conflict with or obstruct implementation of the applicable air quality plan? \| X \| \| \| \| \| b) Result in a cumulatively considerable net increase of any criteria pollutant for which the project region is non-attainment under an applicable federal or state ambient air quality standard? \| X \| \| \| \| \| c) Expose sensitive receptors to substantial pollutant concentrations? \| X \| \| \| \| \| d) Result in other emissions (such as those leading to odors adversely affecting a substantial number of people)? \| \| \| X \| \| The Project site is within the South Coast Air Basin (SCAB), which is under the South Coast Air Quality Management District’s (South Coast AQMD) jurisdiction. The South Coast AQMD significance criteria may be relied upon to make the above determinations. According to the South Coast AQMD, an air quality impact is considered significant if a proposed project would violate any ambient air quality standard, contribute substantially to an existing or projected air quality violation, or expose sensitive receptors to substantial pollutant concentrations. The South Coast AQMD has established thresholds of significance for air quality during Project construction and operations. The proposed Project would also be subject to ambient air quality standards. These are addressed through an analysis of localized CO impacts. In addition to the CO hotspot analysis, the South Coast AQMD developed Local Significance Thresholds ("LSTs") for emissions of NO₂, CO, PM10, and PM2.5 generated at new development sites. LST analysis for construction is applicable for all projects that disturb 5.0 acres or less on a single day. IMPACT ANALYSIS 3a) Conflict with or obstruct implementation of the applicable air quality plan? 3b) Result in a cumulatively considerable net increase of any criteria pollutant for which the project region is non-attainment under an applicable federal or state ambient air quality standard? 3c) Expose sensitive receptors to substantial pollutant concentrations? Potentially Significant Impact. The South Coast AQMD is required, pursuant to the Federal Clean Air Act (FCAA), to reduce criteria pollutant emissions for which SCAB is in non-attainment. The Project proposes to construct up to 8,650 SF of commercial uses and 80 DUs on the Project site, generating construction traffic for material and construction worker trips. Project construction activities would generate short-term criteria air pollutant emissions. During operations, the proposed land uses would generate vehicle trips and there would be intermittent deliveries. The Project’s operational emissions would be associated with area sources, energy sources, and mobile sources. Project construction and operations could result in the release of air contaminants. Therefore, the EIR will further evaluate these potential impacts. 3d) Result in other emissions (such as those leading to odors adversely affecting a substantial number of people)? Less than Significant Impact. During construction-related activities, some odors (not substantial pollutant concentrations) that the public may detect are those typical of construction vehicles (e.g., diesel exhaust from grading and construction equipment). These odors are a temporary short-term impact, which are typical of construction projects and disperse rapidly. The South Coast AQMD CEQA Air Quality Handbook (South Coast AQMD, 1993) identifies certain land uses as sources of odors. These land uses include agriculture, wastewater treatment plant, food-processing plants, chemical plants, composting, refineries, landfills, dairies, and fiberglass molding. The proposed Project is a mixed-use development and does not propose to include any odor-inducing uses on the site. Therefore, the Project would result in a less than significant impact related to other emissions leading to odors adversely affecting a substantial number of people. This issue will not be further analyzed in the EIR. 4. BIOLOGICAL RESOURCES. Would the project: a) Have a substantial adverse effect, either directly or through habitat modifications, on any species identified as a candidate, sensitive, or special status species in local or regional plans, policies, or regulations, or by the California Department of Fish and Game or U.S. Fish and Wildlife Service? b) Have a substantial adverse effect on any riparian habitat or other sensitive natural community identified in local or regional plans, policies, regulations or by the California Department of Fish and Game or US Fish and Wildlife Service? c) Have a substantial adverse effect on state or federally protected wetlands (including, but not limited to, marsh, vernal pool, coastal, etc.) through direct removal, filling, hydrological d) Interfere substantially with the movement of any native resident or migratory fish or wildlife species or with established native resident or migratory wildlife corridors, or impede the use of native wildlife nursery sites? e) Conflict with any local policies or ordinances protecting biological resources, such as a tree preservation policy or ordinance? f) Conflict with the provisions of an adopted Habitat Conservation Plan, Natural Community Conservation Plan, or other approved local, regional, or state habitat conservation plan? IMPACT ANALYSIS 4a) Have a substantial adverse effect, either directly or through habitat modifications, on any species identified as a candidate, sensitive, or special status species in local or regional plans, policies, or regulations, or by the California Department of Fish and Game or U.S. Fish and Wildlife Service? 4b) Have a substantial adverse effect on any riparian habitat or other sensitive natural community identified in local or regional plans, policies, regulations or by the California Department of Fish and Game or US Fish and Wildlife Service? 4c) Have a substantial adverse effect on state or federally protected wetlands (including, but not limited to, marsh, vernal pool, coastal, etc.) through direct removal, filling, hydrological? No Impact. The Project site is currently vacant, but was formerly occupied by an industrial use. No natural habitats are present onsite. The Project site is bounded by industrial uses to the north; residential and commercial uses to the south; residential, commercial, and an active concrete batch plant to the east; and industrial uses to the west. No natural habitats are present on these adjacent areas, and only landscaping (i.e., ornamental vegetation) is present. Based on review of the existing and adjacent site conditions, no candidate, sensitive, or special-status plant or wildlife species, riparian habitat or other sensitive natural community, or wetlands are present on or adjacent to the Project site. Therefore, the Project would not have an adverse effect on any candidate, sensitive, or special-status plant or wildlife species, riparian habitat or other sensitive natural community, or wetlands. No impact would occur, and these issues will not be further analyzed in the EIR. 4d) Interfere substantially with the movement of any native resident or migratory fish or wildlife species or with established native resident or migratory wildlife corridors, or impede the use of native wildlife nursery sites? No Impact. Corridors are linear linkages between two or more habitat patches, which provide for wildlife movement and dispersal. The Project site has been previously disturbed and developed, and no natural habitats are present onsite. The Project site is surrounded by uses. No natural habitats are present in adjacent areas, and only landscaping (i.e., ornamental vegetation) is present. The Project would provide trees in the landscaped courtyards, walkways, and Project site perimeter. Although unlikely, these trees could potentially provide nesting sites for migratory birds. However, the Project would comply with the Migratory Bird Treaty Act (MBTA), which regulates vegetation removal during the nesting season to ensure that significant impacts to migratory birds would not occur. In accordance with the MBTA, any tree removal activities associated with the Project would take place outside of the nesting season (February 1 – August 31), to the extent feasible. Should vegetation removal activities occur during the nesting season, a biological monitor would be present during the removal activities to ensure that no active nests would be impacted. If active nests are found, a buffer would be established until the fledglings have left the nest. With compliance with the MBTA, the Project would not interfere with the movement of any native resident or migratory fish or wildlife species or with established native resident or migratory wildlife corridors, or impede the use of native wildlife nursery sites, and no impact would occur. This issue will not be further analyzed in the EIR. 4e) Conflict with any local policies or ordinances protecting biological resources, such as a tree preservation policy or ordinance? 4f) Conflict with the provisions of an adopted Habitat Conservation Plan, Natural Community Conservation Plan, or other approved local, regional, or state habitat conservation plan? No Impact. The City does not have a tree preservation policy or ordinance, or any other local policies or ordinances protecting biological resources. The Project site is not located within the boundaries of an adopted Habitat Conservation Plan, Natural Community Conservation Plan, or other approved local, regional, or State habitat conservation plan. Therefore, the Project would not conflict with such policies, ordinances, or plans. No impact would occur in this regard. These issues will not be further analyzed in the EIR. 4.5 CULTURAL RESOURCES \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|-------------------------------------------------\|-----------------------------\|-----------\| \| 5. CULTURAL RESOURCES. Would the project: \| \| \| \| \| \| a) Cause a substantial adverse change in the significance of a historical resource pursuant to §15064.5? \| \| \| \| X \| \| b) Cause a substantial adverse change in the significance of an archaeological resource pursuant to §15064.5? \| X \| \| \| \| \| c) Disturb any human remains, including those interred outside of dedicated cemeteries? \| \| \| X \| \| IMPACT ANALYSIS 5a) Cause a substantial adverse change in the significance of a historical resource pursuant to §15064.5? No Impact. The Project site is vacant. There are no potentially significant historic resources present onsite. Therefore, the Project would not cause an adverse change in the significance of a historical resource. No impact would occur in this regard. This issue will not be further analyzed in the EIR. 5b) Cause a substantial adverse change in the significance of an archaeological resource pursuant to §15064.5? Potentially Significant Impact. Past development has previously disturbed the Project site, thus, the Project site is considered to have low archeological sensitivity. Given the extent of onsite ground disturbances from previous development and the area’s urbanized nature, there is low potential for the Project’s ground-disturbing activities to encounter an archaeological resource. Notwithstanding, although unlikely, the potential exists for accidental discovery of archaeological resources during ground-disturbing activities. The EIR will further evaluate this potential impact. 5c) Disturb any human remains, including those interred outside of dedicated cemeteries? Less than Significant Impact. No dedicated cemeteries or other places of human interment are on or adjacent to the Project site. The Project site has been previously graded and developed. As such, the upper levels of sediment and fill are not likely to contain any human remains. In the unlikely event that human remains are unearthed during Project construction, State Health and Safety Code §7050.5 requires that no further disturbance shall occur until the County Coroner has made the necessary findings as to origin and disposition pursuant to California PRC §5097.98. If human remains of Native American origin are discovered during Project construction, compliance with State laws, which fall within the jurisdiction of the Native American Heritage Commission (NAHC) (PRC §5097), relating to the disposition of Native American burials will be adhered to. Therefore, following compliance with the established regulatory framework described above, the Project’s potential impacts concerning disturbance to human remains would be less than significant. This issue will not be further analyzed in the EIR. 4.6 ENERGY \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|--------------------------------------------------\|-----------------------------\|-----------\| \| 6. ENERGY. Would the project: \| \| \| \| \| \| a) Result in potentially significant environmental impact due to wasteful, inefficient, or unnecessary consumption of energy resources, during project construction or operation? \| X \| \| \| \| \| b) Conflict with or obstruct a state or local plan for renewable energy or energy efficiency? \| X \| \| \| \| IMPACT ANALYSIS 6a) Result in potentially significant environmental impact due to wasteful, inefficient, or unnecessary consumption of energy resources, during project construction or operation? 6b) Conflict with or obstruct a state or local plan for renewable energy or energy efficiency? Potentially Significant Impact. Southern California Edison (SCE) provides electricity to the Project area.$^{14}$ Southern California Gas Company (SoCalGas) provides natural gas service to the Project area.$^{15}$ During Project construction, transportation fuel use would depend on the type and number of trips, vehicle miles traveled (VMT), fuel efficiency of vehicles, and travel mode. During Project operations, residential and commercial energy fuel consumption would be associated with vehicle trips, delivery truck trips, and maintenance and repair crew trips. Additionally, the Project's electrical and natural gas usage would depend on the forecast population growth and the characteristics of the permitted non-residential uses. The Project's energy demand is expected to be served by the existing utilities described above. The Project's construction and operational electrical, gas, and fuel demand, as well as consistency with State and local plans for renewable energy and energy efficiency, will be evaluated in the EIR. $^{14}$ City of Artesia. Utility Providers. [https://www.cityofartesia.us/190/Utility-Providers](https://www.cityofartesia.us/190/Utility-Providers). $^{15}$ City of Artesia. Utility Providers. [https://www.cityofartesia.us/190/Utility-Providers](https://www.cityofartesia.us/190/Utility-Providers). 4.7 GEOLOGY AND SOILS \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|------------------------------\|-------------------------------\|--------------------------------------------------\|-----------------------------\|-----------\| \| 7. GEOLOGY AND SOILS. Would the project: \| \| \| \| \| \| a) Directly or indirectly cause potential substantial adverse effects, including the risk of loss, injury, or death involving: \| \| \| \| \| \| i) Rupture of a known earthquake fault, as delineated on the most recent Alquist-Priolo Earthquake Fault Zoning Map issued by the State Geologist for the area or based on other substantial evidence of a known fault? Refer to Division of Mines and Geology Special Publication 42. \| \| \| \| X \| \| ii) Strong seismic ground shaking? \| \| \| X \| \| \| iii) Seismic-related ground failure, including liquefaction? \| \| \| X \| \| \| iv) Landslides? \| \| \| \| X \| \| b) Result in substantial soil erosion or the loss of topsoil? \| \| \| X \| \| \| c) Be located on a geologic unit or soil that is unstable, or that would become unstable as a result of the project, and potentially result in on- or off-site landslide, lateral spreading, subsidence, liquefaction or collapse? \| \| \| X \| \| \| d) Be located on expansive soil, as defined in Table 18-1-B of the Uniform Building Code (1994), creating substantial direct or indirect risks to life or property? \| \| \| X \| \| \| e) Have soils incapable of adequately supporting the use of septic tanks or \| \| \| \| X \| A Preliminary Geotechnical Investigation was prepared for the Project site by Albus & Associates, Inc. in December 2021, and an updated letter was prepared for the Project site by Albus & Associates, Inc. in July 2022; see Appendix A: Preliminary Geotechnical Investigation. IMPACT ANALYSIS 7a) Directly or indirectly cause potential substantial adverse effects, including the risk of loss, injury, or death involving: 7a.i) Rupture of a known earthquake fault, as delineated on the most recent Alquist-Priolo Earthquake Fault Zoning Map issued by the State Geologist for the area or based on other substantial evidence of a known fault? Refer to Division of Mines and Geology Special Publication 42. No Impact. The Alquist-Priolo Earthquake Fault Zoning Act was passed in 1972 to mitigate the hazard of surface faulting to structures for human occupancy. The Alquist-Priolo Earthquake Fault Zoning Act’s main purpose is to prevent the construction of buildings used for human occupancy on the surface trace of active faults. The Alquist-Priolo Earthquake Fault Zoning Act requires the State Geologist to establish regulatory zones, known as “Alquist-Priolo (AP) Earthquake Fault Zones,” around the surface traces of active faults and to issue appropriate maps. If an active fault is found, a structure for human occupancy cannot be placed over the trace of the fault and must be set back from the fault (typically 50 feet). The Project site is not located within an Alquist-Priolo Earthquake Fault Zone.$^{16}$ Additionally, no evidence exists of a known fault within or adjacent to the Project site. The closest known seismically active fault to the Project site is the Puente Hills (Coyote Hills) fault located approximately 2.7 miles to the northeast.$^{17}$ The Project would not expose people or structures to adverse effects involving rupture of a known earthquake fault. Therefore, no impact would occur in this regard. This issue will not be further analyzed in the EIR. $^{16}$ California Department of Conservation. (2015). Earthquake Zones of Required Investigation Inglewood Quadrangle. [http://gmw.consrv.ca.gov/SHP/EZIRM/Maps/INGLEWOOD_EZIRM.pdf](http://gmw.consrv.ca.gov/SHP/EZIRM/Maps/INGLEWOOD_EZIRM.pdf). $^{17}$ Albus & Associates, Inc. (2021). Preliminary Geotechnical Investigation, Proposed Industrial Development, 11709 Artesia Blvd., Artesia, California. Page 7. 7a.ii) Strong seismic ground shaking? Less than Significant Impact. The Project site is in an area of high regional seismicity. Ground shaking originating from earthquakes along active faults in the region is expected to induce lower horizontal accelerations due to smaller anticipated earthquakes and/or greater distances to other faults. The closest known seismically active fault to the Project site is the Puente Hills (Coyote Hills) fault located approximately 2.7 miles to the northeast.$^{18}$ Based on the Project’s location within the seismically active Southern California region, Project implementation could expose people and structures to potential adverse effects involving strong seismic ground shaking. The intensity of ground shaking on the Project site would depend upon the earthquake’s magnitude, distance to the epicenter, and geology of the area between the Project site and epicenter. Regulatory controls to address potential seismic hazards would be imposed on the Project through the permitting process. The Project would be subject to compliance with AMC Title 8, Chapter 1: Building Code, building standards, including specific provisions for seismic design of structures. Moreover, the City’s Building and Safety Department would review the Project’s construction plans to verify compliance with standard engineering practices, the City’s Building Code, and the California Building Code (CBC). Following compliance with standard engineering practices and the established regulatory framework (i.e., the City’s Building Code and the CBC), the Project’s potential impacts concerning exposure of people or structures to potential adverse effects involving strong seismic ground shaking would be less than significant. This issue will not be further analyzed in the EIR. 7a.iii) Seismic-related ground failure, including liquefaction? Less than Significant Impact. Liquefaction is a phenomenon where earthquake-induced ground vibrations increase the pore pressure in saturated, granular soils until it is equal to the confining, overburden pressure. When this occurs, the soil can completely lose its shear strength and enter a liquefied state. For liquefaction to occur, three criteria must be met: - A source of ground shaking, such as an earthquake, capable of generating soil mass distortions. - A relatively loose silty and/or sandy soil. - A relative shallow groundwater table (within approximately 50 feet below ground surface) or completely saturated soil conditions that will allow positive pore pressure generation. The Project site is located within a State-designated zone of potentially liquefiable soils.$^{19}$ As part of the Geotechnical Investigation, a site-specific liquefaction analysis was performed for the Project site. The liquefaction susceptibility of the onsite soils was evaluated by analyzing the potential concurrent occurrence of the above-mentioned three basic factors under the guidance the State of California Special Publication (SP) 117A, Guidelines for Evaluating and Mitigating Seismic Hazards in California. The liquefaction analysis indicated that liquefaction could $^{18}$ Albus & Associates, Inc. (2021). Preliminary Geotechnical Investigation, Proposed Industrial Development, 11709 Artesia Blvd. Artesia, California. Page 7. $^{19}$ Albus & Associates, Inc. (2021). Preliminary Geotechnical Investigation, Proposed Industrial Development, 11709 Artesia Blvd. Artesia, California. Pages 6-7. occur in soils located below a depth of 10 feet if groundwater were to rise to shallowest historic levels concurrent with a strong ground motion. Design-based recommendations, such as well-reinforced foundations, post-tensioned slabs, grade beams with structural slabs, or mat foundations, would reduce the potential risks of liquefaction. Specific recommendations to ensure the Project would not cause potential substantial adverse effects associated with liquefaction are provided in the Geotechnical Investigation. The City contracts with the Los Angeles County Department of Public Works (LACDPW) Building and Safety Department, which would review the Project’s grading and construction plans to verify compliance with standard engineering practices, the City’s Building Code, and the Geotechnical Investigation’s recommendations. Specifically, the Project would be required to comply with the City’s Standard Condition of Approval requiring that all development activities conducted on the Project site incorporate the professional recommendations contained in the Geotechnical Investigation and all recommendations set forth in a site-specific, design-level geologic and geotechnical investigation(s) approved by the City Engineer or their designee, provided such recommendations meet and/or surpass relevant State and City laws, ordinances, and Code requirements, including California Geological Survey’s Special Publication 117A and the City’s Building Code. Following compliance with standard engineering practices, the City’s Building Code, the CBC, and the Geotechnical Investigation’s recommendations, the Project’s potential impacts involving adverse effects associated with seismic-related ground failure, including liquefaction, would be less than significant. This issue will not be further analyzed in the EIR. 7a.iv) Landslides? No Impact. Landslides are mass movements of the ground that include rock falls, relatively shallow slumping and sliding of soil, and deeper rotational or transitional movement of soil or rock. The Project site is relatively flat$^{20}$ and is not located in an area mapped as an earthquake-induced landslide hazard area.$^{21}$ Therefore, the Project would not cause potential substantial adverse effects involving landslides. There would be no impact in this regard. This issue will not be further analyzed in the EIR. 7b) Result in substantial soil erosion or the loss of topsoil? Less than Significant Impact. Grading and earthwork activities during construction would expose soils to potential short-term erosion by wind and water. During construction, the Project would be subject to compliance with AMC Title 6 Chapter 7: Storm Water Management and Discharge Control, which requires compliance with the National Pollutant Discharge Elimination System (NPDES) General Permit for Stormwater Discharges Associated with Construction Activities (Construction General Permit). The Construction General Permit requires development and implementation of a Stormwater Pollution Prevention Plan (SWPPP) and monitoring plan, which must include erosion-control and sediment-control Best Management Practices (BMPs) that would meet or exceed measures required by the Construction General Permit to control potential construction-related erosion. Following compliance with the established regulatory framework --- $^{20}$ Albus & Associates, Inc. (2021). Preliminary Geotechnical Investigation, Proposed Industrial Development, 11709 Artesia Blvd., Artesia, California. Page 8. $^{21}$ California Department of Conservation. (2022). Earthquake Zones of Required Investigation. [https://maps.conservation.ca.gov/cgs/EQZApp/](https://maps.conservation.ca.gov/cgs/EQZApp/). (i.e., the AMC and Construction General Permit), the Project’s potential impacts concerning soil erosion and loss of topsoil would be less than significant. This issue will not be further analyzed in the EIR. 7c) Be located on a geologic unit or soil that is unstable, or that would become unstable as a result of the project, and potentially result in on- or off-site landslide, lateral spreading, subsidence, liquefaction or collapse? Less than Significant Impact. The conditions favorable for hazards associated with unstable geologic unit or soil (landslide (see Threshold 4.7a.iv) or subsidence/collapse) are not present in the City; however, the Project site is located within a State-designated zone of potentially liquefiable soils (see Threshold 4.7a.iii). The Geological Investigation concluded that lateral spreading is not a significant risk at the Project site in consideration of the relatively flat site topography and lack of a nearby channel face or slope.$^{22}$ Subsidence occurs when the withdrawal of groundwater, oil, or natural gas vertically displaces a large portion of land. Soils that are particularly subject to subsidence include those with high silt or clay content. Soil materials encountered at the Project site consisted of approximately 2.0 feet of artificial fill over alluvial soils. The artificial fill is predominately comprised of grayish brown sandy silt and silty sand. Underlying the artificial fills are native soils consisting of young alluvial fan deposits (Qyfa). The alluvial fan deposit materials were encountered to the maximum depth explored of 51.5 feet and are comprised of grayish brown to light gray, interlayered silty sand and sand that are damp to wet and loose to very dense. Occasional lenses and layers of sandy silt are also present that are generally very moist to wet and firm to very stiff.$^{23}$ No large-scale extraction of groundwater, gas, oil, or geothermal energy is occurring, or planned, at the Project site or in the general Project site vicinity. The Geological Investigation concluded that near surface soils will shrink about 5 to 10 percent when removed and replaced as compacted fill. Subsidence due to reprocessing of removal bottoms is anticipated to be about 0.05 feet.$^{24}$ The Geotechnical Investigation makes recommendations concerning design parameters, foundations, slabs, and general earthwork and grading, among other factors. The City contracts with the LACDPW Building and Safety Department, which would review the Project’s grading and construction plans to verify compliance with standard engineering practices, the City’s Building Code, the CBC, and the Geotechnical Investigation’s recommendations, including those concerning landslides, lateral spreading, subsidence, liquefaction, and collapse. Specifically, the Project would be required to comply with the City's Standard Condition of Approval requiring that all development activities conducted on the Project site incorporate the professional recommendations contained in the Preliminary Geotechnical Investigation and all $^{22}$ Albus & Associates, Inc. (2021). Preliminary Geotechnical Investigation, Proposed Industrial Development, 11709 Artesia Blvd. Artesia, California. Page 8. $^{23}$ Albus & Associates, Inc. (2021). Preliminary Geotechnical Investigation, Proposed Industrial Development, 11709 Artesia Blvd. Artesia, California. Pages 3-4. $^{24}$ Albus & Associates, Inc. (2021). Preliminary Geotechnical Investigation, Proposed Industrial Development, 11709 Artesia Blvd. Artesia, California. Page 8. recommendations set forth in a site-specific, design-level geologic and geotechnical investigation(s) approved by the City Engineer or their designee, provided such recommendations meet and/or surpass relevant State and City laws, ordinances, and Code requirements, including California Geological Survey’s Special Publication 117A and the City’s Building Code. Following compliance with standard engineering practices, the established regulatory framework (i.e., the City’s Building Code and CBC), and the Geotechnical Investigation’s recommendations, the Project would not result in onsite or offsite landslide, lateral spreading, subsidence, liquefaction, or collapse. Therefore, impacts would be less than significant in this regard. These issues will not be further analyzed in the EIR. 7d) Be located on expansive soil, as defined in Table 18-1-B of the Uniform Building Code (1994), creating substantial direct or indirect risks to life or property? Less than Significant Impact. The Geotechnical Investigation concluded the Project site’s near-surface soils are generally anticipated to possess a low expansion potential. The City contracts with the LACDPW Building and Safety Department, which would review the Project’s grading and construction plans to verify compliance with standard engineering practices, the City’s Building Code, the CBC, and the Geotechnical Investigation’s recommendations, including those concerning expansive soils. Specifically, the Project would be required to comply with the City’s Standard Condition of Approval requiring that all development activities conducted on the Project site incorporate the professional recommendations contained in the Preliminary Geotechnical Investigation and all recommendations set forth in a site-specific, design-level geologic and geotechnical investigation(s) approved by the City Engineer or their designee, provided such recommendations meet and/or surpass relevant State and City laws, ordinances, and Code requirements, including California Geological Survey’s Special Publication 117A and the City’s Building Code. Following compliance with standard engineering practices, the City’s Building Code, and the Geotechnical Investigation’s recommendations, the Project would not create substantial direct or indirect risks to life or property concerning expansive soils. Therefore, impacts would be less than significant in this regard. This issue will not be further analyzed in the EIR. 7e) Have soils incapable of adequately supporting the use of septic tanks or alternative waste water disposal systems where sewers are not available for the disposal of waste water? No Impact. The Project would connect to the City’s sewer system and would not include use of septic tanks or alternative wastewater disposal systems. Therefore, there would be no impact in this regard. This issue will not be further analyzed in the EIR. 7f) Directly or indirectly destroy a unique paleontological resource or site or unique geologic feature? Potentially Significant Impact. Paleontological resources are the fossilized remains of organisms from prehistoric environments found in geologic strata. These resources are valued for the information they yield about the Earth’s history and its past ecological settings. The potential for fossil occurrence depends on the rock type exposed at the surface in a given area. Previous construction-related excavation on the Project site has disturbed sediments beyond depths at which buried prehistoric cultural resources are likely. Notwithstanding, the potential exists for accidental discovery of paleontological resources during ground-disturbing activities. The EIR will further evaluate these potential impacts. 4.8 GREENHOUSE GAS EMISSIONS \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|-------------------------------------------------\|-----------------------------\|-----------\| \| 8. GREENHOUSE GAS EMISSIONS. Would the project: \| \| \| \| \| \| a) Generate greenhouse gas emissions, either directly or indirectly, that may have a significant impact on the environment? \| X \| \| \| \| \| b) Conflict with an applicable plan, policy or regulation adopted for the purpose of reducing the emissions of greenhouse gases? \| X \| \| \| \| IMPACT ANALYSIS 8a) Generate greenhouse gas emissions, either directly or indirectly, that may have a significant impact on the environment? Potentially Significant Impact. The proposed Project would generate greenhouse gas (GHG) emissions directly from construction-related activities. Construction GHG emissions are typically summed and amortized over the Project’s lifetime (assumed to be 30 years), then added to the operational emissions.$^{25}$ Operational or long-term emissions would occur over the proposed Project’s life. The Project’s operational GHG emissions would result from direct emissions such as Project-generated vehicular traffic, onsite combustion of natural gas, and operation of any landscaping equipment. Operational GHG emissions would also result from indirect sources, such as off-site generation of electrical power, the energy required to convey water to the Project site and wastewater from the Project site, the emissions associated with solid waste generated from the Project site, and any fugitive refrigerants from air conditioning or refrigerators. Project construction and operations could generate GHG emissions that may have a significant impact on the environment. Therefore, the EIR will further evaluate these potential impacts. 8b) Conflict with an applicable plan, policy or regulation adopted for the purpose of reducing the emissions of greenhouse gases? Potentially Significant Impact. The City does not currently have an applicable plan, policy, or regulation adopted for the purpose of reducing the emissions of GHGs. As such, the EIR will evaluate the Project’s potential to conflict with any other applicable plan, policy, or regulation of an agency adopted to reduce GHG emissions, including, but not limited to, the 2017 Scoping $^{25}$ The Project lifetime is based on South Coast AQMD’s standard 30-year assumption (South Coast Air Quality Management District, Minutes for the GHG CEQA Significance Threshold Stakeholder Working Group #13, August 26, 2009). Artesia Place Project (Artesia Boulevard Corridor Specific Plan Amendment) Plan, the Southern California Association of Governments (SCAG) Connect SoCal Regional Transportation Plan/Sustainable Communities Strategy (RTP/SCS), Title 24, AB 32, and SB 32. ## 4.9 HAZARDS AND HAZARDOUS MATERIALS \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|------------------------------\|--------------------------------\|--------------------------------------------------\|-----------------------------\|-----------\| \| 9. HAZARDS AND HAZARDOUS MATERIALS. Would the project: \| \| \| \| \| \| a) Create a significant hazard to the public or the environment through the routine transport, use, or disposal of hazardous materials? \| \| \| X \| \| \| b) Create a significant hazard to the public or the environment through reasonably foreseeable upset and accident conditions involving the release of hazardous materials into the environment? \| \| \| X \| \| \| c) Emit hazardous emissions or handle hazardous or acutely hazardous materials, substances, or waste within one-quarter mile of an existing or proposed school? \| \| \| \| X \| \| d) Be located on a site which is included on a list of hazardous materials sites compiled pursuant to Government Code §65962.5 and, as a result, would it create a significant hazard to the public or the environment? \| \| \| X \| \| \| e) For a project located within an airport land use plan or, where such a plan has not been adopted, within two miles of a public airport or public use airport, would the project result in a safety hazard or excessive noise for people residing or working in the project area? \| \| \| \| X \| \| f) Impair implementation of or physically interfere with an adopted emergency response plan or emergency evacuation plan? \| \| \| X \| \| \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|-------------------------------------------------\|-----------------------------\|-----------\| \| g) Expose people or structures, either directly or indirectly, to a significant risk of loss, injury or death involving wildland fires? \| \| \| \| X \| This analysis was based on the following studies prepared for the Project: - Phase I Environmental Site Assessment (ESA) and Phase II Subsurface Investigation (Ramboll, December 2021); see Appendix B: Phase I Environmental Site Assessment and Phase II Subsurface Investigation - Human Health Risk Evaluation (Ramboll, June 2022); see Appendix C: Human Health Risk Evaluation. IMPACT ANALYSIS 9a) Create a significant hazard to the public or the environment through the routine transport, use, or disposal of hazardous materials? Less than Significant Impact. Project construction and operation would involve the transport, storage, use and/or disposal of limited quantities of hazardous materials, such as fuels, solvents, degreasers and paints. Examples of such activities include fueling and servicing construction equipment, and applying paints and other coatings. The Project proposes residential and commercial development, which are not anticipated to involve the routine transport, use, or disposal of quantities of hazardous materials that may create a significant hazard to the public or environment. The maintenance materials would be stored, handled, and disposed of in accordance with applicable regulations and the City's programs to control and safely dispose of hazardous materials and wastes. Specifically, the City's Hazardous Materials Release Response Plans and Inventory Program requires the owner or operator of any business that handles or stores hazardous materials equal to or above the reportable quantities to submit a Hazardous Materials Inventory and Contingency Plan. Compliance with these regulations would ensure that all hazardous wastes would be properly handled, recycled, treated, stored, and disposed. Following implementation of standard City practices and compliance with federal, State, and local regulations that address the routine transport, use, or disposal of hazardous materials, a less than significant impact would occur in this regard. This issue will not be further analyzed in the EIR. 9b) Create a significant hazard to the public or the environment through reasonably foreseeable upset and accident conditions involving the release of hazardous materials into the environment? Less than Significant Impact. A Phase I ESA and a Phase II Subsurface Investigation was completed for the Project site; see Appendix B. The Phase I ESA concluded there are no Recognized Environmental Conditions (RECs) in connection with the Project site. Soil and soil vapor samples were collected in areas including former employee and truck parking areas, the former underground storage tank (UST) area, the former truck wash area, former chemical storage area, former main plant chemical storage area, former boiler area storage, and former sump pump area. Soil samples were analyzed for total petroleum hydrocarbons (TPH) and pH, while soil vapor was analyzed for volatile organic compounds (VOCs). TPH were not detected in soil above applicable screening criteria, and the soil pH was generally consistent with normal background conditions. The Phase II Subsurface Investigation concluded that benzene, tetrachloroethane (PCE), and chloroform were the only VOCs detected in the soil vapor above applicable Department of Toxic Substance Control (DTSC)/United States Environmental Protection Agency (USEPA) residential and commercial screening levels (SLs) using 0.03 as an attenuation factor (AF). Chloroform was the only VOC detected above applicable DTSC/USEPA residential screening levels (RSLs) using 0.001 as an AF. No VOCs in soil vapor were detected above applicable DTSC/USEPA commercial screening levels using 0.001 as an AF. A screening human health risk assessment (HHRA) was completed to assess the potential health risks to future onsite commercial employees and residents based on the results of the Phase II Subsurface Investigation.$^{26}$ All detected soil concentrations were screened using commercial/industrial and residential California Environmental Protection Agency (Cal/EPA) DTSC-modified SLs. If no SLs were available, the commercial/industrial and residential RSLs from USEPA were used. TPH soil data were compared to the California Regional Water Quality Control Board (RWQCB) – San Francisco Bay Region’s Environmental Screening Levels (ESLs). These SLs were used in combination with a default future commercial buildings AF of 0.0005 and a default future residential AF of 0.001. The SLs were calculated to correspond to a target cancer risk (CR) of one in a million (1E-06) and a target non-cancer hazard quotient (HQ) of one. According to the National Contingency Plan, which is commonly cited as a basis for target risk and hazard levels, lifetime incremental CR posed by a site should not exceed 1E-06 to one hundred in a million (1E-04), and non-carcinogenic chemicals would not be present at levels expected to cause adverse health effects. As concluded in the HHRA, all chemicals detected in the soil are well below their SLs and cumulatively would not exceed an excess lifetime CR above 1E-06 or an HQ above one. Based on the HHRA results, no significant health risks associated with exposures to soils at the Project site are expected to occur for the potential future onsite residents and employees, and no vapor mitigation systems are required or warranted. Therefore, the Project would not create a significant hazard to the public or the environment through reasonably foreseeable upset and accident conditions involving the release of hazardous materials into the environment, and impacts would be less than significant. This issue will not be further analyzed in the EIR. $^{26}$ Ramboll US Consulting Inc. (2022). Human Health Risk Evaluation for 11709 Artesia Boulevard, 17208 and 17212 Albritis Avenue, Artesia, California. 9c) Emit hazardous emissions or handle hazardous or acutely hazardous materials, substances, or waste within one-quarter mile of an existing or proposed school? No Impact. The school nearest the Project site, Gahr High School, located at 11111 Artesia Boulevard in City of Cerritos, is approximately 0.5 mile west of the Project site. Because the Project site would be located more than one-quarter mile from this school, any emissions and hazardous materials handling at the site, during construction and operations, would not pose a significant health risk to the school. AMC §4-4.301: Established [Truck Routes], specifies that Artesia Boulevard, Pioneer Boulevard, and South Street are designated truck routes. Construction trucks leaving the Project site are anticipated to travel eastbound on Artesia Boulevard and north on Pioneer Boulevard to access SR-91 and connect with I-605. Based on these established truck routes, it is not anticipated that construction trucks would pass near Gahr High School. Thus, no impacts would occur in this regard. This issue will not be further analyzed in the EIR. 9d) Be located on a site which is included on a list of hazardous materials sites compiled pursuant to Government Code §65962.5 and, as a result, would it create a significant hazard to the public or the environment? Less than Significant Impact. Government Code §65962.5 refers to the Hazardous Waste and Substances Site List, commonly known as the Cortese List, maintained by the DTSC. The Cortese list contains hazardous waste and substance sites including public drinking water wells with detectable levels of contamination, sites with known underground storage tanks (USTs) having a reportable release, solid waste disposal facilities from which there is a known migration, hazardous substance sites selected for remedial action, historic Cortese sites, and sites with known toxic material identified through the abandoned site assessment program. The Project site is listed on several environmental databases, as determined by the regulatory agency database search conducted as part of the Phase I ESA. However, the Phase I ESA concluded that the listings in the environmental database report are unlikely to represent an environmental concern to the site given that the listings associated with the site were properly closed, removed, and documented and recommends no further investigation regarding this issue.$^{27}$ Therefore, although the Project site is listed, the Project would not create a significant hazard to the public or the environment. Impacts would be less than significant in this regard. This issue will not be further analyzed in the EIR. $^{27}$ Ramboll US Consulting Inc. (2021). Phase I Environmental Site Assessment and Phase II Subsurface Investigation. Page 18. 9e) For a project located within an airport land use plan or, where such a plan has not been adopted, within two miles of a public airport or public use airport, would the project result in a safety hazard or excessive noise for people residing or working in the project area? No Impact. There are no public airports or public use airports located within two miles of the Project site. Therefore, the Project would not result in an airport-related safety hazard or excessive noise for people residing or working on the Project site. No impact would occur in this regard. This issue will not be further analyzed in the EIR. 9f) Impair implementation of or physically interfere with an adopted emergency response plan or emergency evacuation plan? Less than Significant Impact. The Project Site is located in an unurbanized area where adequate circulation and access is provided to facilitate emergency response. The Artesia Emergency Operations Plan outlines emergency response actions in the event of a large-scale disaster, such as a hazardous materials emergency. Further, Project construction would not require the complete closure of any public or private streets during construction. Temporary construction activities would not impede use of the streets for emergencies or access for emergency response vehicles. The Project would be subject to compliance with General Plan Policy Action SAF 5.1.2, which requires that the City and associated public services departments (e.g., Police Department and Fire Department) review development proposals for potential impacts to the provision of emergency services. Therefore, the Project’s potential impacts concerning impairing implementation of or physically interfering with an emergency response plan or related policies would be less than significant. This issue will not be further analyzed in the EIR. 9g) Expose people or structures, either directly or indirectly, to a significant risk of loss, injury or death involving wildland fires? No Impact. The Project site is in a fully urbanized area and is not adjacent to any wildland. Additionally, the Project site is not within a very high fire severity zone (VHFSZ); see Section 4.20: Wildfire. Therefore, the Project would not expose people or structures to risk involving wildland fires. No impact would occur in this regard. This issue will not be further analyzed in the EIR. ## 4.10 HYDROLOGY AND WATER QUALITY \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|--------------------------------------------------\|-----------------------------\|-----------\| \| 10. HYDROLOGY AND WATER QUALITY. Would the project: \| \| \| \| \| \| a) Violate any water quality standards or waste discharge requirements or otherwise substantially degrade surface or ground water quality? \| \| \| X \| \| \| b) Substantially decrease groundwater supplies or interfere substantially with groundwater recharge such that the project may impede sustainable groundwater management of the basin? \| \| \| X \| \| \| c) Substantially alter the existing drainage pattern of the site or area, including through the alteration of the course of a stream or river or through the addition of impervious surfaces, in a manner which would: \| \| \| \| \| \| i) Result in substantial erosion or siltation on- or off-site? \| \| \| X \| \| \| ii) Substantially increase the rate or amount of surface runoff in a manner which would result in flooding on- or offsite? \| \| \| X \| \| \| iii) Create or contribute runoff water which would exceed the capacity of existing or planned stormwater drainage systems or provide substantial additional sources of polluted runoff? \| \| \| X \| \| \| iv) Impede or redirect flood flows? \| \| \| X \| \| \| d) In flood hazard, tsunami, or seiche zones, risk release of pollutants due to project inundation? \| \| \| X \| \| The following studies were prepared for the Project site: - Preliminary Hydrology Study (C&V Consulting, Inc., June 2022); see Appendix D: Preliminary Hydrology Study. - Preliminary Low Impact Development (LID) Plan (C&V Consulting, Inc., June 2022); see Appendix E: Preliminary LID Plan. IMPACT ANALYSIS 10a) Violate any water quality standards or waste discharge requirements or otherwise substantially degrade surface or ground water quality? Less than Significant Impact. The Project’s construction-related activities would include excavation, grading, and trenching, which would displace soils and temporarily increase the potential for soils to violate water quality standards or waste discharge requirements. Construction activity would be subject to the National Pollutant Discharge Elimination System (NPDES) program’s Construction General Permit. Construction activity subject to the Construction General Permit includes any construction or demolition activity, including, but not limited to, clearing, grading, grubbing, or excavation, or any other activity that results in a land disturbance of equal to or greater than 1.0 acres. To obtain coverage under the Construction General Permit, dischargers are required to file with the State Water Board the Permit Registration Documents, which include a Notice of Intent (NOI) and other compliance-related documents. The Construction General Permit requires development and implementation of a Stormwater Pollution Prevention Plan (SWPPP) and monitoring plan, which must include erosion-control and sediment-control Best Management Practices (BMPs) that would meet or exceed measures required by the Construction General Permit to control potential construction-related pollutants. Erosion-control BMPs are designed to prevent erosion, whereas sediment control BMPs are designed to trap sediment once it has been mobilized. The types of required BMPs would be based on the amount of soil disturbed, the types of pollutants used or stored at the Project site, and proximity to water bodies. The Project would also be required to comply with City regulations (AMC Title 6 Chapter 7: Storm Water Management and Discharge Control) and General Plan Policy Action CFI 3.1.4, which requires continued participation in the NPDES program, to control storm water runoff and prevent violations of regional water quality standards. Following regulatory compliance, the Project’s construction-related activities would not violate any water quality standards or otherwise substantially degrade surface or groundwater quality. As shown on Figure 2: BMP Exhibit of the Preliminary LID Plan, upon Project completion, the catch basin inlets and grated inlets that collect the Project site’s generated runoff would be routed to an underground detention system that would feed into a bio-filtration system via a pump station for water quality treatment. The treated flow would be pumped to a parkway culvert and routed to the downstream system following the existing drainage pattern. When the underground detention is at full capacity, the confluence of the flows would be routed to the proposed overflow parkway culvert through the interconnected storm drain system. The Project would also implement site source control and treatment BMPs according to the Los Angeles County Department of Public Works Low Impact Development Standards Manual to ensure that water quality standards would not be violated. Therefore, Project construction and operations would not violate any water quality standards or waste discharge requirements or otherwise substantially degrade surface or ground water quality. A less than significant impact would occur. This issue will not be further analyzed in the EIR. 10b) Substantially decrease groundwater supplies or interfere substantially with groundwater recharge such that the project may impede sustainable groundwater management of the basin? Less than Significant Impact. Groundwater Supplies. The Project site is in Golden State Water Company's (GSWC) service area. The entire Artesia system, which is operated by GSWC and considered potable, is supplied from two main sources: local groundwater and imported water purchased from the City of Cerritos and Central Basin Municipal Water District (CBMWD). As required by the Urban Water Management Planning Act, GSWC has coordinated with nearby agencies while developing the Urban Water Management Plan (UWMP) to ensure consistency with other related planning efforts such as Groundwater Sustainability Plan(s) (GSP). The GSWC’s Southwest System has a total normal year active well capacity of 10,865 gallons per minute (gpm) (17,525 acre-feet per year [AFY]), of which 8,715 gpm (14,057 AFY) is in the West Coast Basin and 2,150 gpm (3,468 AFY) is in the Central Basin. The Southwest System is supplied by two active GSWC-owned wells in the Central Basin and 12 active GSWC-owned wells in the West Coast Basin. GSWC monitors well capacity, status, and water quality. The Central Basin’s groundwater storage capacity is approximately 13.8 million acre-feet (AF). The Central Basin adjudication limit (total of the allowed pumping allocations [APA] of each party) for groundwater extraction across the entire basin is 217,467 acre-feet per year (AFY). GSWC maintains an APA of 16,439 AFY. GSWC’s APA is shared between all their systems that extract groundwater from the Central Basin. The storage capacity of the West Coast Basin’s primary water producing aquifer, the Silverado aquifer, is estimated to be 6.5 million AF. The West Coast Basin adjudication limit for groundwater extraction across the entire basin is 64,468 AFY. GSWC maintains legal rights to 7,502 AFY. Three agencies, LACDPW, Water Replenishment District of Southern California (WRDSC), and CBMWD, collaborate with the water producers to ensure that the APA is available to the Central Basin and West Coast Basin pumpers. The current ABCSP assumed development of retail and commercial uses on the Project site, which are the underlying assumptions for the UWMP. The Project proposes development of 8,650 SF of commercial uses and 80 DU on the Project site, which are anticipated to generate greater water demand than the UWMP’s underlying development assumptions (based on the existing ABCSP). However, because the Central Basin and West Coast Basin are adjudicated, and the LACDPW, WRDSC, and WBMWD would continue to collaborate to avoid overdraft and ensure the APA is available to the pumpers, and the Project would be subject to the applicable State and local regulations concerning water conservation, the Project would not substantially deplete groundwater supplies such that it would impede sustainable groundwater management of the basin. Groundwater Recharge. Basin recharge occurs through percolation of precipitation and artificial recharge activities at spreading grounds, among other sources. The Project site was formerly developed with an industrial use (i.e., a dairy manufacturing plant). Remnants of the past development result in negligible pervious area; therefore, the site is assumed to be 100 percent impervious. Upon Project buildout, the Project site would be approximately 86 percent impervious.$^{28}$ The Project would decrease the onsite impervious area resulting in more onsite percolation of precipitation. Additionally, the Project site does not involve spreading grounds. Thus, the Project would not interfere substantially with groundwater recharge such that it would impede sustainable groundwater management of a basin. Therefore, potential impacts associated with depleting groundwater supplies or interfering substantially with groundwater recharge would be less than significant. This issue will not be further analyzed in the EIR. 10c) Substantially alter the existing drainage pattern of the site or area, including through the alteration of the course of a stream or river or through the addition of impervious surfaces, in a manner which would: 10c.i) Result in substantial erosion or siltation on- or off-site? 10c.ii) Substantially increase the rate or amount of surface runoff in a manner which would result in flooding on- or offsite? 10c.iii) Create or contribute runoff water which would exceed the capacity of existing or planned stormwater drainage systems or provide substantial additional sources of polluted runoff? 10c.iv) Impede or redirect flood flows? Less than Significant Impact. The existing drainage of the Project site generally surface flows southerly to confluence with the street flows to the existing catch basins at the public right of way adjacent to the Project site near the corner of Artesia Boulevard and Fallon Avenue. There is an $^{28}$ C&V Consulting. (2022). Preliminary Hydrology Report. Page 2. existing drainage inlet near the site’s center that collects a portion of the site. As the portion of the site that collects flow is generally flat and the low point ponds to slope towards the Fallon Avenue, the site is analyzed as a single drainage area that is tributary to the downstream system. The Project would decrease the site’s impervious area, which could decrease the runoff volumes from the Project site. During Project operations, stormwater flows would be directed to storm drainage features, and not create an opportunity for erosion or siltation on- or off-site. As stated in Response 4.10a, upon Project completion, the catch basin inlets and grated inlets that collect the Project site’s generated runoff would be routed to an underground detention system that feeds into a bio-filtration system via pump station for water quality treatment. The treated flow would be pumped to a parkway culvert and be routed to the downstream system following the existing drainage pattern. When the underground detention is at full capacity, the confluence of the flows would be routed to the proposed overflow parkway culvert through the interconnected storm drain system. No flooding is expected to occur on- or off-site due to Project implementation. As such, impacts would be less than significant. These issues will not be further analyzed in the EIR. 10d) In flood hazard, tsunami, or seiche zones, risk release of pollutants due to project inundation? Less than Significant Impact. The Project site is in an area of minimal flood hazard as depicted on the Federal Emergency Management Agency’s (FEMA) flood map (06037C1980F) for the City of Artesia.$^{29}$ Tsunamis are sea waves that are generated in response to large-magnitude earthquakes. When these waves reach shorelines, they sometimes produce coastal flooding. Seiches are the oscillation of large bodies of standing water, such as lakes, that can occur in response to ground shaking. The Project site is approximately nine miles northeast of the Pacific Ocean, and there are no nearby bodies of standing water. Tsunamis and seiches do not pose hazards due to the Project site’s inland location and lack of nearby bodies of standing water. The Project is not within a flood hazard, tsunami, or seiche zone and, thus, potential impacts associated with inundation by flood hazard, tsunami, or seiche would be less than significant. This issue will not be further analyzed in the EIR. 10e) Conflict with or obstruct implementation of a water quality control plan or sustainable groundwater management plan? Less than Significant Impact. In 2014, the California Sustainable Groundwater Management Act (SGMA) was passed, which provides authority for agencies to develop and implement groundwater sustainability plans (GSP) or alternative plans that demonstrate water basins are being managed sustainably.$^{30}$ The Project site is located in a very low priority basin.$^{31}$ Under the SGMA, the Central Basin and West Coast Basin are exempted from the requirement to form a $^{29}$ Federal Emergency Management Agency. (2019). FEMA Flood Map Service Center. https://msc.fema.gov/portal/search#searchresultsanchor. $^{30}$ State Water Resources Control Board. (2019). Sustainable Groundwater Management Act (SGMA). https://www.waterboards.ca.gov/water_issues/programs/gmp/sgma.html. $^{31}$ California Department of Water Resources. (2020). Basin Prioritization Dashboard. https://gis.water.ca.gov/app/bp-dashboard/final/. Groundwater Sustainability Agency, since they are adjudicated basins. Therefore, the Project would not conflict with or obstruct implementation of a sustainable groundwater management plan. Impacts would be less than significant in this regard. This issue will not be further analyzed in the EIR. See Response 10a concerning water quality. 4.11 LAND USE AND PLANNING \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|------------------------------\|--------------------------------\|-------------------------------------------------\|-----------------------------\|-----------\| \| 11. LAND USE AND PLANNING. Would the project: \| \| \| \| \| \| a) Physically divide an established community? \| \| \| \| X \| \| b) Cause a significant environmental impact due to a conflict with any land use plan, policy, or regulation adopted for the purpose of avoiding or mitigating an environmental effect? \| X \| \| \| \| IMPACT ANALYSIS 11a) Physically divide an established community? No Impact. Examples of projects that could physically divide an established community include a new freeway or highway that traverse an established neighborhood. The Project proposes residential and commercial development. The Project involves redevelopment of a previously developed site within the ABCSP and does not propose any new streets or other physical barriers, which could physically divide an established community. The ABCSP encourages infill development including a mix of commercial and retail uses, blended with residential and office units. The flexibility presented in the ABCSP allows Artesia Boulevard to grow into a pedestrian- and auto-friendly corridor, as it is designated in the General Plan. The ABCSP also takes into consideration the surrounding properties, including existing neighborhoods and other sensitive uses, and is intended to create buffers and transitional areas when necessary. Given its nature and scope, the Project would not physically divide an established community. Therefore, no impact would occur in this regard. This issue will not be further analyzed in the EIR. 11b) Cause a significant environmental impact due to a conflict with any land use plan, policy, or regulation adopted for the purpose of avoiding or mitigating an environmental effect? Potentially Significant Impact. The requested approvals include a General Plan Amendment; Zoning Code Text Amendment; Design Review; Development Agreement; Vesting Tentative Tract Map; and the CEQA EIR certification. While the Project would not be anticipated to conflict with any land use plan, policy, or regulation adopted for the purpose of avoiding or mitigating an environmental effect, an evaluation of the effects of the Project’s requested approvals, as well as an evaluation of the Project’s compliance with other applicable regional and local plans, policies, and regulations, will be further analyzed in the EIR. 4.12 MINERAL RESOURCES \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|-------------------------------------------------\|-----------------------------\|-----------\| \| 12. MINERAL RESOURCES. Would the project: \| \| \| \| \| \| a) Result in the loss of availability of a known mineral resource that would be of value to the region and the residents of the state? \| \| \| \| X \| \| b) Result in the loss of availability of a locally-important mineral resource recovery site delineated on a local general plan, specific plan or other land use plan? \| \| \| \| X \| IMPACT ANALYSIS 12a) Result in the loss of availability of a known mineral resource that would be of value to the region and the residents of the state? 12b) Result in the loss of availability of a locally-important mineral resource recovery site delineated on a local general plan, specific plan or other land use plan? No Impact. The Surface Mining and Reclamation Act of 1975 (SMARA) requires classification of land into mineral resource zones (MRZs) according to the area’s known or inferred mineral potential.$^{32}$ The Project site is located in Mineral Resource Zone-1 (MRZ-1). Areas designated MRZ-1 are noted to have adequate information that no significant$^{33}$ mineral deposits are present or it is judged that little likelihood exists for their presence.$^{34}$ Therefore, the proposed Project would have no impact concerning mineral resources. These issues will not be further analyzed in the EIR. $^{32}$ California Department of Conservation. (2018). California Statutes and Regulations for the California Geological Survey. Sacramento, CA: California Geological Survey. $^{33}$ Note that use of the term “significant” in this context is used in the MRZ definitions of zones to describe economic value of mineral resources and does not refer to a level of impact under CEQA. $^{34}$ California Department of Conservation. (2015). CGS Information Warehouse: Regulatory Maps. Special Report 143, Plate 4-1. [http://maps.conservation.ca.gov/cgs/informationwarehouse/](http://maps.conservation.ca.gov/cgs/informationwarehouse/). 4.13 NOISE \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|--------------------------------------------------\|-----------------------------\|-----------\| \| 13. NOISE. Would the project result in: \| \| \| \| \| \| a) Generation of a substantial temporary or permanent increase in ambient noise levels in the vicinity of the project in excess of standards established in the local general plan or noise ordinance, or applicable standards of other agencies? \| X \| \| \| \| \| b) Generation of excessive groundborne vibration or groundborne noise levels? \| X \| \| \| \| \| c) For a project located within the vicinity of a private airstrip or an airport land use plan or, where such a plan has not been adopted, within two miles of a public airport or public use airport, would the project expose people residing or working in the project area to excessive noise levels? \| \| \| \| X \| IMPACT ANALYSIS 13a) Generation of a substantial temporary or permanent increase in ambient noise levels in the vicinity of the project in excess of standards established in the local general plan or noise ordinance, or applicable standards of other agencies? Potentially Significant Impact. Construction noise typically occurs intermittently and varies depending on the nature or phase of construction (e.g., land clearing, grading, excavation, paving). Noise generated by construction equipment, including earthmovers, material handlers, and portable generators, can reach high levels. Construction activities are anticipated to include site preparation, grading, building construction, paving, and architectural coating. Nearby noise-sensitive receptors could be exposed to elevated exterior noise levels during Project construction that exceed adopted standards. Construction activities could also cause increased noise along access routes to and from the Project site due to movement of equipment, materials, and workers. The EIR will further evaluate the potential for the Project’s construction activities to result in a temporary increase in ambient noise levels in the Project’s vicinity in excess of City standards. The Project would introduce mobile and stationary source operational noise consistent with typical residential and commercial developments. The Project would also generate traffic volumes along nearby roadways, which could result in noise level increases along area roadways. The EIR will further evaluate the potential for Project operations to result in a temporary or permanent increases in ambient noise levels in the Project’s vicinity in excess of City standards. 13b) Generation of excessive groundborne vibration or groundborne noise levels? Potentially Significant Impact. Increases in groundborne vibration levels attributable to the Project would be primarily associated with short-term construction-related activities. Project construction could result in varying degrees of temporary groundborne vibration, depending on the specific construction equipment used and the operations involved. The Project proposes a residential development on a site that was previously developed with industrial uses, where groundborne vibration associated with onsite operations and truck movements occurred. The EIR will further evaluate the Project’s potential to generate excessive groundborne vibration or groundborne noise levels. 13c) For a project located within the vicinity of a private airstrip or an airport land use plan or, where such a plan has not been adopted, within two miles of a public airport or public use airport, would the project expose people residing or working in the project area to excessive noise levels? No Impact. There are no public airports or public use airports located within two miles of the Project site. Therefore, the Project would not expose people residing or working in the Project area to excessive noise levels on the Project site. No impact would occur in this regard. This issue will not be further analyzed in the EIR. 4.14 POPULATION AND HOUSING \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|-------------------------------------------------\|-----------------------------\|-----------\| \| 14. POPULATION AND HOUSING. Would the project: \| \| \| \| \| \| a) Induce substantial unplanned population growth in an area, either directly (for example, by proposing new homes and businesses) or indirectly (for example, through extension of roads or other infrastructure)? \| X \| \| \| \| \| b) Displace substantial numbers of existing people or housing, necessitating the construction of replacement housing elsewhere? \| \| \| \| X \| IMPACT ANALYSIS 14a) Induce substantial unplanned population growth in an area, either directly (for example, by proposing new homes and businesses) or indirectly (for example, through extension of roads or other infrastructure)? Potentially Significant Impact. The City’s current population as of January 1, 2022 is approximately 16,226 persons.$^{35}$ The City’s housing stock totaled 4,760 DU with approximately 3.38 persons per household. The Project proposes to develop mixed-use development comprised of 80 DUs and approximately 8,650 SF of commercial uses. Given, the Project proposes new homes and businesses, Project implementation could induce unplanned population growth in the City. The EIR will further evaluate whether the Project’s forecast population growth is substantial or unplanned. 14b) Displace substantial numbers of existing people or housing, necessitating the construction of replacement housing elsewhere? No Impact. The Project would not displace existing housing or require construction of replacement housing elsewhere, since no housing is located on site. Therefore, no impact would occur in this regard. This issue will not be further analyzed in the EIR. $^{35}$ California Department of Finance. (2022). E-5 Population and Housing Estimates for Cities, Counties, and the State, January 2021-2022. 4.15 PUBLIC SERVICES \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|-------------------------------------------------\|-----------------------------\|-----------\| \| 15. PUBLIC SERVICES. Would the project: \| \| \| \| \| a) Result in substantial adverse physical impacts associated with the provision of new or physically altered governmental facilities, need for new or physically altered governmental facilities, the construction of which could cause significant environmental impacts, in order to maintain acceptable service ratios, response times or other performance objectives for any of the public services: i) Fire protection? \| X \| \| \| \| ii) Police protection? \| X \| \| \| \| iii) Schools? \| X \| \| \| \| iv) Parks? \| X \| \| \| \| v) Other public facilities? \| X \| \| \| \| IMPACT ANALYSIS 15a) Result in substantial adverse physical impacts associated with the provision of new or physically altered governmental facilities, need for new or physically altered governmental facilities, the construction of which could cause significant environmental impacts, in order to maintain acceptable service ratios, response times or other performance objectives for any of the public services: 15a.i) Fire protection? Potentially Significant Impact. The City contracts with the Los Angeles County Fire Department (LACFD) to provide fire protection and emergency medical services (EMS) for the City. The City entered into an automatic response agreement with the cities of Norwalk and Cerritos to provide dispatch regardless of city boundaries. LACFD operates two fire stations that serve the City: Fire Station 30, located at 19030 Pioneer Boulevard, in the City of Cerritos, and Fire Station 115, located The Project’s forecast population growth would incrementally increase the demand for fire protection and EMS to the Project site. The EIR will further evaluate the Project’s potential to result in substantial adverse physical impacts associated with the provision of new or physically altered fire protection facilities, the construction of which could cause significant environmental impacts. 15a.ii) Police protection? Potentially Significant Impact. Police protection services to the City of Artesia are provided under contract with the Los Angeles County Sheriff’s Department (LACSD). The City is served by the Lakewood Sheriff’s Station located at 5130 Clark Avenue in the City of Lakewood. The Lakewood Station provides general and specialized community-oriented law enforcement services to over 270,000 residents in the contract cities of Artesia, Bellflower, Hawaiian Gardens, Lakewood, and Paramount. The Project’s forecast population growth would incrementally increase the demand for police protection services to the Project site. The EIR will further evaluate the Project’s potential to result in substantial adverse physical impacts associated with the provision of new or physically altered police protection facilities, the construction of which could cause significant environmental impacts. 15a.iii) Schools? Potentially Significant Impact. The Project site is within Los Angeles Unified School District (LAUSD) boundaries. The proposed Project is forecast to generate an increase in student population. The EIR will further evaluate the Project’s potential to result in substantial adverse physical impacts associated with the provision of new or physically altered school facilities, the construction of which could cause significant environmental impacts. 15a.iv) Parks? Potentially Significant Impact. See Response 4.16 below. 15a.v) Other public facilities? Potentially Significant Impact. Los Angeles County Library operates 84 community-based library outlets, including four bookmobiles, in 51 of 88 cities and unincorporated areas. Los Angeles County Library is responsible for maintenance and library improvements to meet future library service’s demands. The Project’s forecast population growth would incrementally increase the demand for library services. The EIR will further evaluate the Project’s potential to result in substantial adverse physical impacts associated with the provision of new or physically altered library facilities, the construction of which could cause significant environmental impacts. --- 36 City of Artesia. (2010). Artesia General Plan Update Public Review Draft Program EIR. Pages 5.11-1, 5.11-2. 37 City of Artesia. (2010). Artesia General Plan Update Public Review Draft Program EIR. Page 5.11-7. 4.16 RECREATION \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|-------------------------------------------------\|-----------------------------\|-----------\| \| 16. RECREATION. \| \| \| \| \| \| a) Would the project increase the use of existing neighborhood and regional parks or other recreational facilities such that substantial physical deterioration of the facility would occur or be accelerated? \| X \| \| \| \| \| b) Does the project include recreational facilities or require the construction or expansion of recreational facilities which might have an adverse physical effect on the environment? \| X \| \| \| \| IMPACT ANALYSIS 16a) Would the project increase the use of existing neighborhood and regional parks or other recreational facilities such that substantial physical deterioration of the facility would occur or be accelerated? 16b) Does the project include recreational facilities or require the construction or expansion of recreational facilities which might have an adverse physical effect on the environment? Potentially Significant Impact. The Project’s forecast population growth could incrementally increase the use of existing parks and/or recreational facilities. The EIR will further evaluate whether this incremental increase would be such that substantial physical deterioration of an existing recreational facility would occur or be accelerated. The EIR will also further evaluate the Project’s potential to include recreational facilities or require the construction or expansion of recreational facilities which might have an adverse physical impact on the environment. 4.17 TRANSPORTATION \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|--------------------------------------------------\|-----------------------------\|-----------\| \| 17. TRANSPORTATION. Would the project: \| \| \| \| \| \| a) Conflict with a program plan, ordinance or policy addressing the circulation system, including transit, roadway, bicycle and pedestrian facilities? \| X \| \| \| \| \| b) Would the project conflict or be inconsistent with CEQA Guidelines §15064.3, subdivision (b)? \| X \| \| \| \| \| c) Substantially increase hazards due to a geometric design feature (e.g., sharp curves or dangerous intersections) or incompatible uses (e.g., farm equipment)? \| X \| \| \| \| \| d) Result in inadequate emergency access? \| \| \| X \| \| IMPACT ANALYSIS 17a) Conflict with a program plan, ordinance or policy addressing the circulation system, including transit, roadway, bicycle and pedestrian facilities? Potentially Significant Impact. The Project would increase pedestrian, bicyclist, and vehicle traffic in the Project area. The EIR will further evaluate whether this increase would conflict with a program plan, ordinance, or policy addressing the circulation system, including transit, roadway, bicycle, and pedestrian facilities. 17b) Would the project conflict or be inconsistent with [State] CEQA Guidelines §15064.3, subdivision (b)? Potentially Significant Impact. The Project may increase the VMT over existing conditions. Therefore, the EIR will further evaluate the Project’s VMT for consistency with State CEQA Guidelines §5064.3(b). 17c) Substantially increase hazards due to a geometric design feature (e.g., sharp curves or dangerous intersections) or incompatible uses (e.g., farm equipment)? Potentially Significant Impact. The Project would redevelopment a vacant property and construct new onsite circulation features, including new access driveways and curved travelways, which may increase hazards due to a geometric design feature. The EIR will further evaluate the Project’s design features for hazards and evaluate the Project’s use for incompatibility. 17d) Result in inadequate emergency access? Less than Significant Impact. As stated in Response 9f, the Project Site is located in an unurbanized area where adequate circulation and access is provided to facilitate emergency response. The Artesia Emergency Operations Plan outlines emergency response actions in the event of a large-scale disaster, such as a hazardous materials emergency. Further, Project construction would not require the complete closure of any public or private streets during construction. Temporary construction activities would not impede use of the streets for emergencies or access for emergency response vehicles. The Project would be subject to compliance with General Plan Policy Action SAF 5.1.2, which requires that the City and associated public services departments (e.g., Police Department and Fire Department) review development proposals for potential impacts to the provision of emergency services. Therefore, the Project’s potential impacts concerning resulting in inadequate emergency access would be less than significant. This issue will not be further analyzed in the EIR. 4.18 TRIBAL CULTURAL RESOURCES \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|-------------------------------------------------\|-----------------------------\|-----------\| \| 18. TRIBAL CULTURAL RESOURCES. Would the project: \| \| \| \| \| \| a) Cause a substantial adverse change in the significance of a tribal cultural resource, defined in Public Resources Code §21074 as either a site, feature, place, cultural landscape that is geographically defined in terms of the size and scope of the landscape, sacred place, or object with cultural value to a California Native American tribe, and that is: i) Listed or eligible for listing in the California Register of Historical Resources, or in a local register of historical resources as defined in Public Resources Code §5020.1(k)? \| \| \| \| \| \| i) Listed or eligible for listing in the California Register of Historical Resources, or in a local register of historical resources as defined in Public Resources Code §5020.1(k)? \| X \| \| \| \| \| ii) A resource determined by the lead agency, in its discretion and supported by substantial evidence, to be significant pursuant to criteria set forth in subdivision (c) of Public Resources Code §5024.1. In applying the criteria set forth in subdivision (c) of Public Resource Code §5024.1, the lead agency shall consider the significance of the resource to a California Native American tribe? \| X \| \| \| \| IMPACT ANALYSIS 18a) Cause a substantial adverse change in the significance of a tribal cultural resource, defined in Public Resources Code §21074 as either a site, feature, place, cultural landscape that is geographically defined in terms of the size and scope of the landscape, sacred place, or object with cultural value to a California Native American tribe, and that is: i) Listed or eligible for listing in the California: 18a.i) Listed or eligible for listing in the California Register of Historical Resources, or in a local register of historical resources as defined in Public Resources Code §5020.1(k)? 18a.ii) A resource determined by the lead agency, in its discretion and supported by substantial evidence, to be significant pursuant to criteria set forth in subdivision (c) of Public Resources Code §5024.1. In applying the criteria set forth in subdivision (c) of Public Resource Code §5024.1, the lead agency shall consider the significance of the resource to a California Native American tribe? Potentially Significant Impact. Past development has previously disturbed the Project site. Given the extent of onsite ground disturbances from previous development and the area's urbanized nature, there is low potential for the Project’s ground-disturbing activities to encounter tribal cultural resources. Notwithstanding, the potential exists for accidental discovery of tribal cultural resources during ground-disturbing activities. The EIR will further evaluate these potential impacts. ## 4.19 UTILITIES AND SERVICE SYSTEMS \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|--------------------------------------------------\|-----------------------------\|-----------\| \| 19. UTILITIES AND SERVICE SYSTEMS. Would the project: \| \| \| \| \| \| a) Require or result in the relocation or construction of new or expanded water, wastewater treatment or storm water drainage, electric power, natural gas, or telecommunications facilities, the construction or relocation of which could cause significant environmental effects? \| X \| \| \| \| \| b) Have sufficient water supplies available to serve the project and reasonably foreseeable future development during normal, dry and multiple dry years? \| X \| \| \| \| \| c) Result in a determination by the wastewater treatment provider which serves or may serve the project that it has adequate capacity to serve the project’s projected demand in addition to the provider’s existing commitments? \| X \| \| \| \| \| d) Generate solid waste in excess of State or local standards, or in excess of the capacity of local infrastructure, or otherwise impair the attainment of solid waste reduction goals? \| X \| \| \| \| \| e) Comply with federal, state, and local management and reduction statutes and regulations related to solid waste? \| X \| \| \| \| IMPACT ANALYSIS 19a) Require or result in the relocation or construction of new or expanded water, wastewater treatment or storm water drainage, electric power, natural gas, or telecommunications facilities, the construction or relocation of which could cause significant environmental effects? 19b) Have sufficient water supplies available to serve the project and reasonably foreseeable future development during normal, dry and multiple dry years? 19c) Result in a determination by the wastewater treatment provider which serves or may serve the project that it has adequate capacity to serve the project’s projected demand in addition to the provider's existing commitments? 19d) Generate solid waste in excess of State or local standards, or in excess of the capacity of local infrastructure, or otherwise impair the attainment of solid waste reduction goals? 19e) Comply with federal, state, and local management and reduction statutes and regulations related to solid waste? Potentially Significant Impact. The Project would increase utility usage and demands within the Project site, potentially resulting in the need to relocate or construct new utility facilities, insufficient water supplies, a determination by the wastewater provider of insufficient capacity, or excessive waste. The EIR will further evaluate these potential impacts. 4.20 WILDFIRE \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|------------------------------\|-------------------------------\|--------------------------------------------------\|-----------------------------\|-----------\| \| 20. WILDFIRE. If located in or near state responsibility areas or lands classified as very high fire hazard severity zones, would the project: \| \| \| \| \| \| a) Substantially impair an adopted emergency response plan or emergency evacuation plan? \| \| \| \| X \| \| b) Due to slope, prevailing winds, and other factors, exacerbate wildfire risks, and thereby expose project occupants to, pollutant concentrations from a wildfire or the uncontrolled spread of a wildfire? \| \| \| \| X \| \| c) Require the installation or maintenance of associated infrastructure (such as roads, fuel breaks, emergency water sources, power lines or other utilities) that may exacerbate fire risk or that may result in temporary or ongoing impacts to the environment? \| \| \| \| X \| \| d) Expose people or structures to significant risks, including downslope or downstream flooding or landslides, as a result of runoff, post-fire slope instability, or drainage changes? \| \| \| \| X \| IMPACT ANALYSIS 20a) Substantially impair an adopted emergency response plan or emergency evacuation plan? 20b) Due to slope, prevailing winds, and other factors, exacerbate wildfire risks, and thereby expose project occupants to, pollutant concentrations from a wildfire or the uncontrolled spread of a wildfire? 20c) Require the installation or maintenance of associated infrastructure (such as roads, fuel breaks, emergency water sources, power lines or other 20d) Expose people or structures to significant risks, including downslope or downstream flooding or landslides, as a result of runoff, post-fire slope instability, or drainage changes? No Impact. According to California Department of Forestry and Fire Protection (CAL FIRE) Fire Hazard Severity Zone Map for Los Angeles County, the Project Site is not within a State Responsibility Area. The Project site is in a Non-Very High Fire Hazard Severity Zone (Non-VHFHSZ) within a local responsibility area.$^{38}$ The Project site and surrounding vicinity are relatively flat. Project design and site access would adhere to LACFD regulations and designs. Further, Project construction would not require the complete closure of any public or private streets during construction. Temporary construction activities would not impede use of the streets for emergencies or access for emergency response vehicles. The Project would tie into existing infrastructure that currently serves the Project site. Project implementation would not result in the construction, installation, or maintenance of new infrastructure that would exacerbate fire risk. Additionally, there are no known landslides near the site nor is the site in the path of any known or potential landslides. Therefore, no impacts related to wildfire would occur. These issues will not be further analyzed in the EIR. $^{38}$ CalFire. (2011). Los Angeles County FHSZ Map. [https://osfm.fire.ca.gov/media/7280/losangelescounty.pdf](https://osfm.fire.ca.gov/media/7280/losangelescounty.pdf). 4.21 MANDATORY FINDINGS OF SIGNIFICANCE \| ENVIRONMENTAL IMPACTS Issues \| Potentially Significant Impact \| Less Than Significant With Mitigation Incorporated \| Less Than Significant Impact \| No Impact \| \|-----------------------------\|-------------------------------\|-------------------------------------------------\|-----------------------------\|-----------\| \| 21. MANDATORY FINDINGS OF SIGNIFICANCE. Does the project: \| \| \| \| \| \| a) Have the potential to substantially degrade the quality of the environment, substantially reduce the habitat of a fish or wildlife species, cause a fish or wildlife population to drop below self-sustaining levels, threaten to eliminate a plant or animal community, substantially reduce the number or restrict the range of a rare or endangered plant or animal or eliminate important examples of the major periods of California history or prehistory? \| X \| \| \| \| \| b) Does the project have impacts that are individually limited, but cumulatively considerable? ("Cumulatively considerable" means that the incremental effects of a project are considerable when viewed in connection with the effects of past projects, the effects of other current projects, and the effects of probable future projects)? \| X \| \| \| \| \| c) Does the project have environmental effects which will cause substantial adverse effects on human beings, either directly or indirectly? \| X \| \| \| \| IMPACT ANALYSIS 21a) Have the potential to substantially degrade the quality of the environment, substantially reduce the habitat of a fish or wildlife species, cause a fish or wildlife population to drop below self-sustaining levels, threaten to eliminate a plant or animal community, substantially reduce the number or restrict the range of a rare or endangered plant or animal or eliminate important examples of the major periods of California history or prehistory? 21b) Does the project have impacts that are individually limited, but cumulatively considerable? ("Cumulatively considerable" means that the incremental effects of a project are considerable when viewed in connection with the effects of past projects, the effects of other current projects, and the effects of probable future projects)? 21c) Does the project have environmental effects which will cause substantial adverse effects on human beings, either directly or indirectly? Potentially Significant Impact. The Project would redevelop the Project site with approximately 8,650 SF of commercial uses and 80 DU, which could degrade the quality of the environment, result in cumulatively considerable impacts, or adverse effects on human beings. The EIR will further evaluate these potential impacts. 5.0 REFERENCES/SOURCES Albus & Associates, Inc. (2021). Preliminary Geotechnical Investigation, Proposed Industrial Development, 11709 Artesia Blvd. Artesia, California. Page 7. C&V Consulting. (2022). Preliminary Hydrology Report. Page 2. California Dairies, Inc. (2020). California Dairies, Inc Announces Closure of its Artesia Manufacturing Facility. https://www.californiadairies.com/news/california-dairies-inc-announces-closure-its-artesia-manufacturing-facility. California Department of Conservation. (2015). CGS Information Warehouse: Regulatory Maps. Special Report 143, Plate 4-1. http://maps.conservation.ca.gov/cgs/informationwarehouse/. California Department of Conservation. (2015). Earthquake Zones of Required Investigation Inglewood Quadrangle. http://gmw.consrv.ca.gov/SHP/EZRIM/Maps/INGLEWOOD_EZRIM.pdf. California Department of Conservation. (2016). California Important Farmland Finder. https://maps.conservation.ca.gov/dlrp/cliff/. California Department of Conservation. (2016). Williamson Act/Land Conservation Act. http://www.conservation.ca.gov/dlrp/lca. California Department of Conservation. (2018). California Statutes and Regulations for the California Geological Survey. Sacramento, CA: California Geological Survey. California Department of Conservation. (2022). Earthquake Zones of Required Investigation. https://maps.conservation.ca.gov/cgs/EQzApp/. California Department of Finance. (2022). E-5 Population and Housing Estimates for Cities, Counties, and the State, January 2021-2022. California Department of Forestry and Fire Protection. (2006). Land Cover Mapping and Monitoring Program: Los Angeles County. California Department of Transportation. (2019). California State Scenic Highway System Map. https://caltrans.maps.arcgis.com/apps/webappviewer/index.html?id=465dfd3d807c46cc8e8057116f1aacaa. California Department of Water Resources. (2020). Basin Prioritization Dashboard. https://gis.water.ca.gov/app/bp-dashboard/final/. City of Artesia. (2010). City of Artesia General Plan 2030. http://www.cityofartesia.us/DocumentCenter/View/226/Artesia-General-Plan?bidId=. Land Use Sub-Element. Exhibit LU-3: General Plan 2030 Land Use. City of Artesia Artesia Place Project (Artesia Boulevard Corridor Specific Plan Amendment) Land Use Sub-Element. Page LU-9. Land Use Sub-Element. Page LU-10. City of Artesia (2010). City of Artesia General Plan 2030 EIR. Page 5.3-3. Pages 5.11-1 and 5.11-2. City of Artesia. (2011). Artesia Boulevard Corridor Specific Plan. Page 42. City of Artesia. (2019). Zoning Map. [https://www.cityofartesia.us/DocumentCenter/View/1877/Zoning-Map-January-7-2019?bidId=](https://www.cityofartesia.us/DocumentCenter/View/1877/Zoning-Map-January-7-2019?bidId=). Federal Emergency Management Agency. (2019). FEMA Flood Map Service Center. [https://msc.fema.gov/portal/search#searchresultsanchor](https://msc.fema.gov/portal/search#searchresultsanchor). Ramboll US Consulting Inc. (2021). Phase I Environmental Site Assessment and Phase II Subsurface Investigation. Page 18. Ramboll US Consulting Inc. (2022). Human Health Risk Evaluation for 11709 Artesia Boulevard, 17208 and 17212 Alburris Avenue, Artesia, California. State Water Resources Control Board. (2019). Sustainable Groundwater Management Act (SGMA). [https://www.waterboards.ca.gov/water_issues/programs/gmp/sgma.html](https://www.waterboards.ca.gov/water_issues/programs/gmp/sgma.html).
Alveolar macrophages develop from fetal monocytes that differentiate into long-lived cells in the first week of life via GM-CSF Martin Guilliams,1,2,3 Ismé De Kleer,1,2,4 Sandrine Henri,3 Sijranke Post,1,2 Leen Vanhoutte,1,2,5 Sofie De Prijck,1,2 Kim Deswarte,1,2 Bernard Malissen,3 Hamida Hammad,1,2 and Bart N. Lambrecht1,2,4 1Laboratory of Immunoregulation and Mucosal Immunology, VIB-Inflammation Research Center, 9050 Ghent, Belgium 2Department of Pulmonary Medicine, Ghent University, Ghent, 9000, Belgium 3Centre d’Immunologie de Marseille-Luminy (CIML), Institut National de la Santé et de la Recherche Médicale U104, Centre National de la Recherche Scientifique UMR7280, Aix Marseille Université, 13288 Marseille, France 4Department of Pulmonary Medicine, Erasmus University Medical Center, 3015 Rotterdam, The Netherlands 5Department of Clinical Genetics, Ghent University Hospital, 9000 Ghent, Belgium Tissue–resident macrophages can develop from circulating adult monocytes or from primitive yolk sac–derived macrophages. The precise ontogeny of alveolar macrophages (AMFs) is unknown. By performing BrdU labeling and parabiosis experiments in adult mice, we found that circulating monocytes contributed minimally to the steady-state AMF pool. Mature AMFs were undetectable before birth and only fully colonized the alveolar space by 3 d after birth. Before birth, F4/80+CD11b+ primitive macrophages and Ly6C+CD11b+ fetal monocytes sequentially colonized the developing lung around E12.5 and E16.5, respectively. The first signs of AMF differentiation appeared around the saccular stage of lung development (E18.5). Adoptive transfer identified fetal monocytes, and not primitive macrophages, as the main precursors of AMFs. Fetal monocytes transferred to the lung of neonatal mice acquired an AMF phenotype via defined developmental stages over the course of one week, and persisted for at least three months. Early AMF commitment from fetal monocytes was absent in GM-CSF–deficient mice, whereas short–term perinatal intrapulmonary GM-CSF therapy rescued AMF development for weeks, although the resulting AMFs displayed an immature phenotype. This demonstrates that tissue–resident macrophages can also develop from fetal monocytes that adopt a stable phenotype shortly after birth in response to instructive cytokines, and then self–maintain throughout life. Alveolar macrophages (AMF) are the prototypical MFs of the lung that have important functions in lung development, surfactant homeostasis, pathogen clearance, and immune homeostasis (Lambrecht, 2006). Among tissue resident MFs, AMFs have a peculiar phenotype in that they are highly autofluorescent, express low levels of the phagocytic receptor CD11b, yet high levels of the integrin CD11c, and high levels of the lectin SiglecF, allowing them to be easily recognized among other myeloid cells of the lung (Gautier et al., 2012b; Misharin et al., 2013). For a long time, AMFs were considered the prototypical cells belonging to the unified mononuclear phagocyte system (MPS), a family of tissue–resident MFs proposed to derive from circulating BM–derived monocytes that seed the various tissues in the steady state and continuously differentiate locally into tissue–resident MFs (van Furth and Cohn, 1968; Geissmann et al., 2010). The MPS concept with the circulating monocyte as the central precursor to all tissue MFs was based on in vivo adult monocyte transfer experiments (Geissmann et al., 2003), in vivo thymidine–(3)H labeling experiments (van Furth and Cohn, 1968), and the study of irradiation chimeras (Virolainen, 1968). Depletion of AMFs using intratracheal administration... Figure 1. AMFs self-maintain locally with minimal contribution from circulating hematopoietic precursors. BAL (A) and total lung (B) were harvested from adult mice and stained for CD11b, F4/80, SiglecF, CD64, Ly-6C, and MHCII and evaluated for autofluorescence, FSC, and SSC profile (C). (D) CD45.1$^+$CD45.2$^-$ mice were lethally irradiated and reconstituted with equal amounts of CD45.1$^+$ WT and CD45.2$^{CCR2^{-/-}}$ BM cells. Radio-resistant cells, of diphtheria toxin (DT) to CD11c-DT receptor (DTR) mice followed by transfer of monocytes demonstrated that adult BM-derived monocytes can indeed differentiate into AMFs in vivo (Landmann and Jung, 2007). However, genetic fate mapping experiments using hematopoietic (Mpl) or monocytelike (Ccl3rl) fate mapping gene promoters found these cells to be only partially (Schulz et al., 2012) or not at all (Yona et al., 2013) of adult hematopoietic or monocytic origin, which was hard to reconcile with the MPS concept. Part of the confusion on the precise origin of AMFs also stems from the fact that these cells are long lived and relatively radioresistant depending of the radiation dose, complicating the interpretation of radiation chimeric experiments. Therefore, whereas some proposed a monocytic origin for AMF (Godleski and Brain, 1972; van oud Alblas and van Furth, 1979; Kennedy and Abkowitz, 1997; Kennedy and Abkowitz, 1998) others proposed that AMFs would be mainly long-lived, self-renewing cells (Tarling et al., 1987; Murphy et al., 2008). The MPS paradigm with the circulating monocyte as the central replenisher of all tissue MFs has also been challenged recently by the observation that MFs appear in embryonic tissues before the development of monocytes, making it hard to envisage a precursor–product relationship for monocytes and MFs (Takahashi et al., 1989; Ginhoux et al., 2010; Hoeftel et al., 2012; Schulz et al., 2012). Supporting the idea of primitive MF progenitors seeding the tissues, some tissue-resident MFs like microglia (Ajami et al., 2007, 2011) and Kupffer cells (Bouwens et al., 1986a,b; Yamamoto et al., 1996) were found not to derive from circulating hematopoietic precursors but to be long-lived, self-renewing cells. Using genetic fate mapping, microglia was found to be derived from fetal yolk sac MFs that seed the brain before birth and then maintain locally without any input from adult hematopoietic precursors or circulating monocytes (Ginhoux et al., 2010). When first proposed, the primitive origin of microglia was thought to represent an exception to the MPS concept, as microglia populate a cellular niche that is normally not accessible to hematopoietic precursors because of the blood–brain barrier that closes shortly before birth. However, subsequent studies found that most tissue-resident MFs, including Kupffer cells, splenic MFs, peritoneal MFs, and kidney MFs, are not of adult hematopoietic origin in the steady state (Schulz et al., 2012; Yona et al., 2013), leading to the generalization that these cells may also develop directly from yolk sac–derived fetal MFs (Gomez Perdiguero et al., 2013). Given the controversies surrounding the development of AMFs and these recent developments on the origin of other tissue-resident MFs, we readdressed the origin of AMFs and found that these cells are not replenished continuously from adult monocytes, but instead derive from fetal monocytes that seed the lung before birth and develop into long-lived CD11c\textsuperscript{hi}, SiglecF\textsuperscript{hi} AMFs shortly after birth in response to an instructive signal provided by granulocyte–MF colony-stimulating factor (GM-CSF). In GM-CSF–deficient mice, a few days of perinatal cytokine therapy were able to restore AMF development for weeks. Differentiation of AMFs from fetal monocytes starts around the time alveoli develop (E18.5), and is completed over the course of 1 wk. These findings reconcile previous controversies on AMF ontology and provide new clues to the developmental origin of this unique MF population resident in the lung compartment from fetal monocytes. RESULTS Identification of lung mononuclear cells We first addressed if AMFs derived from a circulating precursor population. To precisely define the different mononuclear cells of the lung, we performed 10–color flow cytometry on bronchoalveolar lavage (BAL) fluid and total lung cell suspensions after blood was rinsed from the pulmonary circulation. First, neutrophils (Ly-6G\textsuperscript{hi}CD11b\textsuperscript{hi}CD64\textsuperscript{hi}Ly-6C\textsuperscript{hi} cells), eosinophils (SiglecF\textsuperscript{hi}CD11b\textsuperscript{hi}CD64\textsuperscript{hi}Ly-6C\textsuperscript{hi} cells), T cells (CD3\textsuperscript{hi}CD11b\textsuperscript{hi}CD64\textsuperscript{lo} cells), and B cells (CD19\textsuperscript{hi}CD11b\textsuperscript{hi}CD64\textsuperscript{lo} cells) were outgated (unpublished data). Second, not to miss any mononuclear cells, we first gated lung cells on a broad mononuclear gate consisting of F4/80\textsuperscript{hi} and CD11b\textsuperscript{hi} cells. AMFs have a distinct phenotype among tissue-resident MFs and can be unequivocally identified within the F4/80\textsuperscript{hi}CD11b\textsuperscript{hi} gate as SiglecF\textsuperscript{hi}CD11c\textsuperscript{hi} cells in the BAL fluid (Fig. 1 A; Gautier et al., 2012b). The same population could also be found in total cell suspensions of lung tissue (Fig. 1 B), when BAL fluid was not collected before homogenization. In lung tissue, the F4/80\textsuperscript{hi}CD11b\textsuperscript{hi} gate contained a second population of CD11b\textsuperscript{hi}F4/80\textsuperscript{lo} cells that were further subdivided into CD11c\textsuperscript{lo}SiglecF\textsuperscript{lo} cells and CD11c\textsuperscript{hi}SiglecF\textsuperscript{hi} cells. Using this gating strategy, SiglecF\textsuperscript{hi}CD11c\textsuperscript{hi} cells were large (FSC\textsuperscript{hi}), and granular (SSC\textsuperscript{hi}) highly autofluorescent cells (Fig. 1 C), typical of alveolar MFs (Vermaelen and Pauwels, 2004). We next measured the expression of various markers on these three identified populations of lung cells (Fig. 1 C). The universal MF marker CD64 was expressed highly on SiglecF\textsuperscript{hi}CD11c\textsuperscript{hi} AMFs, but not on the other two populations. The marker Ly-6C is highly expressed on circulating monocytes, but less on monocytes that patrol the blood vessels (Geissmann et al., 2003). The CD11b\textsuperscript{hi}F4/80\textsuperscript{lo}CD11c\textsuperscript{lo}SiglecF\textsuperscript{lo} population expressed... high levels of Ly-6C, identifying these cells as monocytes. In support, they also did not express the MF marker CD64 and were SSC$^-$ and FSC$^-$ (The CD11b$^+$F4/80$^+$CD11c$^-$Siglec$^F$ population was a mixed population in which some cells expressed low levels of Ly-6C [likely representing residual vessel patrolling monocytes] and $\sim$20% expressed high levels of MHCIIC [thus representing mature CD11b$^+$dCs]). Intestinal MFs (defined as CD11b$^+$F4/80$^+$, CD11c$^-$Siglec$^F$, MHCIIC$^+$, CD64$^-$) cells represented <5% of cells in the CD11b$^+$F4/80$^+$ mononuclear gate and <0.2% of lung suspension cells (dot plots not depicted). Adult circulating monocytes contribute to the AMF pool in irradiated mice, but not in homeostasis Previous work supporting the fact that AMFs belong to the MPS system have studied AMF pool replenishment after whole-body irradiation, illustrating that the AMF pool can derive from an adult hematopoietic progenitor. However, it has not been formally shown that circulating monocytes constitute the main precursor of the AMF pool after irradiation, or only participate minimally to the AMF pool. To test this, congenic mice coexpressing CD45.1 and CD45.2 were lethally irradiated and reconstituted with a 1:1 mixture of BM cells isolated from CD45.1$^+$ C57BL/6 WT mice and from CD45.2$^+$ $Ccr2^{-/-}$ mice. These B6 (CD45.1) WT + B6 (CD45.2) $Ccr2^{-/-}$ B6 (CD45.1–CD45.2) competitive chimeras were analyzed 8 wk after BM transfer. As CCR2 is critical for egress of monocytes from the BM (Serbina and Paner, 2006), competitive chimerism allowed us to address the relative contribution of circulating monocytes to AMF replenishment after whole body irradiation. As expected, Ly-6C$^hi$ blood monocytes were primarily composed of CD45.1$^+$CCR2$^+$ donor cells, whereas neutrophils and B cells were comprised of almost equal percentages of CD45.1$^-$ and CD45.2$^-$ donor cells (Fig. 1 D, group summarized in Fig. 1 E). 8 wk after reconstitution, AMFs still contained between 5 and 10% of host-derived, radio-resistant CD45.1$^+$CD45.2$^-$ cells, illustrating the relative radioresistance of these cells (Fig. 1 E). The donor-derived AMFs showed CD45 chimerism identical to those of Ly-6C$^hi$ blood monocytes, demonstrating that upon severe depletion, AMFs derive from circulating monocytes. We next questioned whether circulating monocytes participate to the AMF pool in the adult life when AMFs are not experimentally depleted by irradiation. We therefore performed parabiosis experiments between CD45.1$^+$ WT mice and CD45.2$^+$ $Ccr2^{-/-}$ mice. After 8 wk of parabiosis, we analyzed the contribution of CD45.1$^+$ WT cells within the CD45.2$^+$ $Ccr2^{-/-}$ mice. There was an almost even distribution of long-lived recirculating cells, and donor CD45.1$^+$ WT B lymphocytes represented 40% of circulating blood B lymphocytes of the parabiont CD45.2$^+$ $Ccr2^{-/-}$ partner (Fig. 1 F). However, short-lived circulating cells like neutrophils exchanged $\sim$20% of the cells among the parabiont partner. Such uneven distribution between parabionts likely results from the fact that neutrophils do not spend enough time in the circulation to equilibrate between the parabionts (Liu et al., 2007). Due to a defect in monocyte egress from the BM in the CD45.2$^+$ $Ccr2^{-/-}$ mice, donor CD45.1$^+$ WT monocyte constituted $\sim$80% of the monocytes in these mice. However, in our experiments AMFs achieved a much lower chimerism in parabionts with <5% of AMFs originating from the parabiotic partner. This indicates that circulating adult hematopoietic precursors only minimally participate to the AMF pool. These data are congruent with a recent report from the Merad group (Hashimoto et al., 2013). We next sought to find evidence for the lack of monocyte contribution to the AMF pool in unmanipulated mice. We reasoned that if monocytes were precursors to AMFs, then studying BrdU incorporation kinetics should allow us to study progenitor–product relationships (Kanamath et al., 2002). We exposed C57BL/6 mice continuously to BrdU in the drinking water for 4 wk after an initial i.p. injection of BrdU. As shown in Fig. 1 G, whereas almost all monocytes were rapidly BrdU labeled within 2 d, AMFs slowly accumulated 30% of BrdU incorporation after 4 wk of continuous BrdU exposure. The slow accumulation of BrdU could come from BrdU$^+$ circulating hematopoietic progenitors or from local proliferation of AMFs. We therefore evaluated the expression of the cell cycle protein Ki-67, which labels dividing and recently divided daughter cells. As shown in Fig. 1 H, a small population (<5%) of Ki-67$^+$ dividing cells could be found among AMFs, suggesting a slow local proliferation of AMFs. To further evaluate whether circulating monocytes contribute to the AMF pool of unmanipulated mice, we transferred 2 $\times$ 10$^6$ CD45.1$^+$ Ly-6C$^hi$ CD11b$^hi$ monocytes into adult $Ccr2^{-/-}$ CD45.2$^+$ mice, but we could not recover any transferred monocyte developing into Siglec$^F$CD11b$^hi$ AMFs 7 d after the transfer, although we readily recovered transferred monocytes as mature intestinal MFs 7 d after transfer (not depicted; Tamoutounour et al., 2012; Bain et al., 2013). Alveolar MFs appear in the alveolar space during the first week of life Microglia and Langerhans cells (LCs) derive from embryonic precursors that seed the brain and the skin before birth and maintain themselves locally throughout life (Chorro et al., 2009; Ginhoux et al., 2010; Hoeffel et al., 2012). As AMFs also did not derive from circulating monocytes and showed signs of low-grade proliferation, we next addressed the ontogeny of AMF before and after birth. Little is known about the ontogeny of the lung immune system in relation to lung development, which proceeds via a pseudoglandular stage (E9.5–E16.5), a canalicular stage (E16.5–17.5), and a saccular stage (E18.5 to postnatal day [PND] 5). During the latter stage, canaliculi develop numerous sacs that are the precursors to the alveoli. As shown in Fig. 2 A, we first measured the kinetics of CD45$^+$ leukocyte accumulation in the lung. The percentage of CD45$^+$ cells started expanding around E18, coinciding with the start of the saccular stage (Fig. 2 C). We next addressed the ontogeny of mononuclear cells (Fig. 2 B). At day E12, the major population of mononuclear cells in the CD11b$^+$F4/80$^+$ gate consisted of F4/80$^{hi}$ CD11b$^{int}$ cells, which had an intensity of staining resembling adult mature AMFs. However, these cells... Figure 2. Alveolar MFs appear in the alveolar space during the first week of life. Lungs were harvested at various time points before and after (PND) the DOB. (A and C) Flow cytometry staining for CD45+ cells. (B) CD11b+F4/80+ myeloid cells were gated and analyzed for CD11c and SiglecF expression. (D) Paraffin lung sections stained with hematoxylin. (E) Cryosection of lungs stained with DAPI (blue) and SiglecF (red). Data in A–E represent at least two independent experiments involving at least three independent mice per time point. were completely negative for SiglecF and CD11c. They were most reminiscent of the phenotype of primitive MFs that arise at E9 and E12 from the yolk sac, and are also CD11b\textsuperscript{low} F4/80\textsuperscript{int} (unpublished data). Progressively, the mononuclear gate became replete with a second F4/80\textsuperscript{int} CD11b\textsuperscript{hi} population, and there was a gradual increase in the cells expressing intermediate levels of CD11c. However, before birth, the mononuclear gate was completely devoid of SiglecF\textsuperscript{+}CD11c\textsuperscript{+} AMFs. Around the date of birth (DOB), the mononuclear gate was in transition, and it was no longer possible to clearly discern F4/80\textsuperscript{int} from F4/80\textsuperscript{low} cells. There was a marked increase in CD11c\textsuperscript{int} cells. Mature SiglecF\textsuperscript{−}CD11c\textsuperscript{hi} AMFs only appeared between PND1 and PND3, when a predominant population of F4/80\textsuperscript{hi} cells was again apparent in the mononuclear gate. Interestingly, this time point coincided with the first appearance of large mononuclear cells in the alveolar space (Fig. 2 D). Mature SiglecF-expressing AMFs were first found in the lung septa at PND1, and accumulated in the alveolar lumen at PND3 (Fig. 2 E). When we studied lungs before birth, the developing airspaces were completely devoid of mononuclear cells (Fig. 2 D and E). Therefore, bona fide SiglecF\textsuperscript{−}CD11c\textsuperscript{hi} AMFs only appear in the alveolar space during the first days of life. Fetal MFs, fetal monocytes, preAMFs, and mature AMFs appear in consecutive waves during lung development The kinetic analysis of lung mononuclear cells and AMF ontology demonstrated that the phenotype of lung mononuclear cells was highly dynamic, and composed of cells resembling fetal monocytes, fetal MFs, and immature AMFs, with significant overlap in expression of marker sets. We therefore studied the phenotype of mononuclear cells in greater detail, again using the basic mononuclear gate and three populations CD11c\textsuperscript{−}SiglecF\textsuperscript{hi}, CD11c\textsuperscript{int}SiglecF\textsuperscript{lo}, and CD11c\textsuperscript{hi}SiglecF\textsuperscript{lo} as the starting gate, just like in adult mice (Fig. 3 A). As illustrated in Fig. 3 B for the E17 time point, most mononuclear cells were SiglecF\textsuperscript{+}CD11c\textsuperscript{hi} cells that could be readily subdivided into CD11b\textsuperscript{hi}F4/80\textsuperscript{hi} and CD11b\textsuperscript{hi}F4/80\textsuperscript{int} cells. These cells also differentially expressed the monocytic marker Ly-6C (Fig. 3 B). Ly-6C\textsuperscript{hi} F4/80\textsuperscript{int} cells highly expressed CD64 (Fig. 3 C), a core MF marker (Gautier et al., 2012b; Tamoutounour et al., 2012), showed a typical MF morphology on SEM (Fig. 3 D), and adhered to plastic in vitro. On the contrary, Ly-6C\textsuperscript{hi}F4/80\textsuperscript{int} did not express CD64 and had the typical monocyte FSC\textsuperscript{hi}SSC\textsuperscript{lo} profile (not depicted) and displayed a nonadherent monocyte morphology on scanning electron microscopy (SEM; Fig. 3 D), thus constituting fetal monocytes. Given their kinetic appearance and resemblance to fetal liver monocytes (not depicted), these were likely derived from the liver, the major hematopoietic organ at this time period of development. From E18 onwards, but culminating around DOB (Fig. 3, A–C, second column), a predominant population of SiglecF\textsuperscript{−}CD11c\textsuperscript{int} cells appeared. These cells were mainly CD11b\textsuperscript{hi}F4/80\textsuperscript{int} and were Ly-6C\textsuperscript{int} and expressed intermediate levels of CD64. On SEM, these cells were larger and more granular like AMFs, but did not adhere well to plastic (Fig. 3 D, preAMF). Very few MHCI\textsuperscript{II} DCs were found in this gate (data not shown). At DOB, the SiglecF\textsuperscript{−}CD11c\textsuperscript{int} cells still contained some Ly-6C\textsuperscript{hi}F4/80\textsuperscript{int} fetal MFs, but Ly-6C\textsuperscript{hi}F4/80\textsuperscript{int} fetal monocytes were the predominant population. Within the SiglecF\textsuperscript{−}CD11c\textsuperscript{int} cells, some monocytes had already lost Ly-6C, a common feature of monocytes differentiating into mature MFs or DCs (Tamoutounour et al., 2012; Plautzina et al., 2013). Between PND1 and PND3, SiglecF\textsuperscript{−}CD11c\textsuperscript{int} cells appeared very suddenly, and these were Ly-6C\textsuperscript{int}F4/80\textsuperscript{int} cells, like adult AMFs. The SiglecF\textsuperscript{−}CD11c\textsuperscript{int} cells contained more MHCI\textsuperscript{II} DCs (not depicted), but still contained many mononuclear cells that were losing Ly-6C. At PND3 (Fig. 3, A–C, third column), the SiglecF\textsuperscript{−}CD11c\textsuperscript{int} fraction hardly contained any F4/80\textsuperscript{int} fetal MFs anymore. At PND14 (Fig. 3, A–C, fourth column), the ensemble of lung mononuclear cell types resembled the adult state, and the CD11c\textsuperscript{int} population had lower mean fluorescence expression of SiglecF. In Fig. 3 E, the relative distribution of all these cell populations is plotted against time. The appearance of mature AMFs at PND3 was preceded by a surge in SiglecF\textsuperscript{−}CD11c\textsuperscript{int}CD64\textsuperscript{int} cells that looked like immature AMFs on SEM. We will therefore call this population preAMFs. Fetal monocytes give rise to self–maintaining AMFs through a preAMF intermediate step To verify whether fetal monocytes or fetal MFs are the direct precursors to AMFs, we designed a competitive transfer experiment (Fig. 4). CD45.1 fetal MFs and CD45.2 monocytes were isolated from E17 lungs and transferred together in a 1:1 ratio i.n. into CD45.1\textsuperscript{−}CD45.2\textsuperscript{−} mice on their DOB, i.e., when the AMF niche is still empty. 7 d after transfer, the fate of the donor cells was evaluated. Whereas at day 7, most of the AMFs were of host CD45.1\textsuperscript{+}CD45.2\textsuperscript{−} phenotype in these nonirradiated mice (Fig. 4 A), the fate of donor cells could clearly be defined. As shown in Fig. 4 (A and B), transferred AMFs were significantly more derived from fetal monocyte-derived MFs than from fetal MFs. Similar results were found when the congenic donor pair was switched over (i.e. when fetal monocytes were CD45.1 and fetal MFs were CD45.2) or when the recipient mice were analyzed at 6 weeks after transfer (unpublished data) instead of 7 days after transfer (Fig. 4, A and B). A similar setup also allowed us to follow the differentiation of developing AMFs from adoptively transferred fetal monocytes. Therefore, we i.n. transferred fetal CD45.1\textsuperscript{−} monocytes into CD45.2\textsuperscript{−} mice on DOB and checked the phenotypic changes of the cells in the following days and weeks. Strikingly, transferred CD45.1 cells could be found up to 11 wk after transfer (Fig. 4 C). Fetal monocytes gradually increased expression of CD11c, SiglecF, F4/80, and CD64 levels, while down-regulating first Ly-6C and then CD11b, going through a Ly-6C\textsuperscript{hi}CD11b\textsuperscript{hi}F4/80\textsuperscript{int}Ly-6C\textsuperscript{int}CD64\textsuperscript{int} intermediate stage, essentially validating these cells as preAMFs. The kinetic of the differentiation of the transferred monocytes fits a developmental scheme that would go from fetal monocytes over preAMFs to mature AMFs within 6 to 7 d, which was also seen in Fig. 3 E. We could still trace back AMF originating from transferred monocytes 3 mo after transfer. Moreover, within one transfer experiment, the percentage of donor-derived... cells among mature AMFs only dropped very slowly during adult life (Fig. 4 D), suggesting that transferred monocytes gave rise to a stable self-maintaining population. GM-CSF drives the development of preAMFs around birth Primary pulmonary alveolar proteinosis (PAP) is a disease associated with the accumulation of surfactant in the lungs that has been linked to nonfunctional GM-CSF signaling in patients (Suzuki et al., 2008) and could be reproduced in genetically modified mice lacking GM-CSF ($Csf2r^{-/-}$) or GM-CSF-R ($Csf2r^{ir}$) expression (Huffman et al., 1996; Reed et al., 1999; Reed et al., 2000; Zsengellér et al., 1998). Although the PAP syndrome was originally proposed to derive from the fact that AMFs were not functional in these mice (REFs; Golde, 1976, 1979; Harris, 1979; Gonzalez-Rothi and Harris, 1986; Nugent and Pesenti, 1983; LeVine et al., 1999; Yoshida et al., 2001; Paine et al., 2001; Thomsen et al., 2007). Shibata et al. (2001) later proposed that a MF developmental defect rather than a functional defect may lie at the basis of the disease. However, it is not known how absence of GM-CSF signaling impacts on AMF ontogeny before and shortly after birth. We found that lung epithelial cells show an increased expression of GM-CSF mRNA that is paralleled by high GM-CSF protein levels in lung tissues around DOB, yet quickly wanes thereafter (Fig. 5, A and B). Because fetal MFs, fetal monocytes, preAMFs, and mature AMFs all express the GM-CSF-R (CD116, Fig. 5 D), we decided to investigate the development of AMFs in Csf2−/− mice. On their DOB, Csf2−/− mice completely lacked preAMFs (Fig. 5 C). However, they contained fetal MFs and monocytes in ratios similar to WT mice (see Fig. 3 for comparison). Note that the small CD11cint population that was found in Csf2−/− mice on DOB was Ly-6Cint, but had a SiglecF+CD4+ FSCintSSCint profile. Therefore, the wave of preAMFs that is found in WT mice around birth is absent in Csf2−/− mice. Importantly, development of preAMFs or mature AMFs remained absent in Csf2−/− mice throughout life (Fig. 5 E). Liver and splenic CD11bintF4/80int-resident MFs, however, could be readily identified in Csf2−/− mice (Fig. 5, F and G). In contrast, we Figure 5. Csf2r−/− mice lack preAMFs and mature AMFs throughout life. (A) Lung epithelial cells isolated at the indicated time points before and after birth were FACS sorted, and expression of GM-CSF mRNA was measured by RT-PCR. The expression levels were normalized by comparison with expression of the HPRT housekeeping gene. (B) GM-CSF levels in lung homogenates was measured by ELISA at the indicated time points before and after birth. (C) Csf2r−/− mice were sacrificed on their DOB. Lungs were homogenized and CD11b+F4/80+ myeloid cells (gated as indicated) were assessed for Ly-6C, CD64, CD11c, F4/80, and Siglec-F expression. (D) GM-CSF-R (CD116) expression was evaluated on fetal MFs, fetal monocytes, preAMFs, and mature AMFs on the days mentioned using the gating strategy depicted in Fig. 3. (E) The presence of CD11c+Siglec-F+ AMFs was evaluated in the BAL of WT and Csf2r−/− mice at the indicated time points after birth. (F and G) The presence of F4/80+CD11b+ splenic MFs and liver MFs (Kupffer Cells) was evaluated in adult WT and Csf2r−/− mice. (H and I) BAL cells from adult WT and Csf2r−/− mice were subjected to a Percoll gradient to remove dead cells and protein debris. The resulting CD64+F4/80+ MFs were assessed for Ly-6C, CD11b, CD11c, and Siglec-F expression (I). Data represent two (H and I) and three (A–G) independent experiments. had great difficulty identifying MFs in the BAL of Csf2r−/− mice. Proteinosis had already developed by ∼4 wk of age and yielded autofluorescent debris in the BAL fluid. The presence of many dead cells (unpublished data) also rendered the analysis of the cellular composition of the BAL difficult. However, others have described AMFs with functional defects in adult Csf2r−/− mice. To characterize these cells, we first performed a Percoll gradient to remove debris and dead cells form the BAL fluid and then used a more general MF gating strategy using F4/80 and CD64 (Fig. 5 H). In doing so, we could indeed identify some rare F4/80\textsuperscript{+}CD64\textsuperscript{−} cells in the BAL of \textit{Csf2}\textsuperscript{−/−} mice. These cells did not express a bona fide AMF profile, but were found to be SiglecF\textsuperscript{hi}CD11b\textsuperscript{lo}CD11c\textsuperscript{low}Ly-6C\textsuperscript{high} (Fig. 5 B). Moreover we could only identify such cells after 4 wk of age, i.e., once the first signs of PAP developed. Perinatal GM–CSF cytokine therapy restores the generation of self-maintaining preAMFs in Csf2\textsuperscript{−/−} mice Given the surge of GM–CSF expression in the perinatal period, and given the fact that AMFs can self-maintain throughout life once generated, we reasoned that perinatal recombinant GM–CSF treatment of \textit{Csf2}\textsuperscript{−/−} mice during the first days of life might be sufficient to rescue arrested AMF development. Treatment of neonatal \textit{Csf2}\textsuperscript{−/−} mice through local i.n. administration of rGM–CSF on 1, 3, or 5 consecutive days, lead to the dose-dependent development of cells with a CD11c\textsuperscript{low}SiglecF\textsuperscript{low}hi that resembled AMFs, but had lower expression of SiglecF, and had not yet down-regulated CD11b and up-regulated F4/80 as bona fide mature AMFs (Fig. 6, B and C). Such rescued \textit{Csf2}\textsuperscript{−/−} AMFs could self-maintain for several weeks after the rGM–CSF treatment (Fig. 6 C), but were unable to significantly inhibit the development of PAP, as measured by the amount of protein content in the BAL fluid, suggesting that they were not only phenotypically but also functionally immature (Fig. 6 D). To verify whether these rGM–CSF–rescued immature AMFs were irreversibly blocked in the immature AMF stage or whether these cells merely lacked the proper cellular environment to differentiate into mature AMFs we designed a transfer experiment in which immature CD11c\textsuperscript{low}SiglecF\textsuperscript{low}CD11b\textsuperscript{lo} AMFs from cytokine–treated CD45.2 \textit{Csf2}\textsuperscript{−/−} mice were transferred into a neonatal WT CD45.1 GM–CSF replete hosts (Fig. 7). The phenotype of transferred cells was evaluated 2, 9, and 42 d after transfer. As shown in Fig. 7, immature AMFs gradually further increased expression of CD11c, SiglecF, F4/80, and CD64 expression and, as a final step in their maturation process, down-regulated CD11b expression until they were undistinguishable from mature AMFs. DISCUSSION It is a long-held belief that all MFs develop from circulating monocytes and constitute a unified MPS, but MFs have --- Figure 6. Perinatal GM–CSF treatment of \textit{Csf2}\textsuperscript{−/−} mice restores the generation of self-maintaining preAMFs. (A and B) \textit{Csf2}\textsuperscript{−/−} mice were treated 1 time (1x) on the first day after birth, 3 times (3x) on the first 3 d after birth, or 5 times (5x) on the first 5 d after birth with rGM–CSF or PBS (1 1 rGM–CSF or PBS treatment per day). (GM–CSF-treated or PBS-treated \textit{Csf2}\textsuperscript{−/−} mice were sacrificed on PND 7. (A) Lungs were homogenized and CD11b+F4/80\textsuperscript{+} myeloid cells were assessed for CD11c and SiglecF expression. (B) Expression of FSC, SSC, Ly-6C, CD64, CD11c, F4/80, and SiglecF on SiglecF\textsuperscript{hi}CD11c\textsuperscript{low}CD11b\textsuperscript{lo}Ly-6C\textsuperscript{hi} monocytes and SiglecF\textsuperscript{low}CD11c\textsuperscript{low}CD11b\textsuperscript{lo}Ly-6C\textsuperscript{hi} immature AMFs harvested from \textit{Csf2}\textsuperscript{−/−} mice treated for 5 consecutive days with rGM–CSF. (C) 5 wk after 5 consecutive rGM–CSF treatments, \textit{Csf2}\textsuperscript{−/−} mice were sacrificed and the presence of CD11c\textsuperscript{low}SiglecF\textsuperscript{low} cells in the BAL was evaluated. (D) WT or \textit{Csf2}\textsuperscript{−/−} mice treated with 5 consecutive treatments of rGM–CSF or PBS were sacrificed at 7 wk of age, and the development of alveolar proteinosis was evaluated by measuring the protein concentration in the BAL. Data represent two (D) and three (A–C) independent experiments, with at least three recipient mice per time point. recently been shown to develop from primitive precursors before birth (Geissmann et al., 2010). Both pathways of development might be mutually exclusive or coexist. Indeed, microglia originate directly from yolk sac MFs that colonize the brain before birth, and then self-maintain throughout life without any input from BM-derived precursors (Ajami et al., 2007; Ginhoux et al., 2010). However, we and others have shown that intestinal MFs derive directly from BM-derived monocytes that continuously seed the lamina propria and differentiate locally into MFs (Bogunovic et al., 2009; Varol et al., 2009; Tamoutounour et al., 2012). The specific cellular origin of other tissue–resident MFs remains unknown, but elegant fate-mapping experiments have demonstrated that BM-derived precursors contribute minimally to the pool of most tissue–resident MFs across tissues (Schulz et al., 2012; Yona et al., 2013). Based on analogy with microglia, it was proposed therefore that most tissue–resident MFs may follow the microglia model and originate from yolk sac MFs (Gomez Perdiguero et al., 2013). Here, using radiation chimeric mice, parabiosis, and adoptive cellular transfer models, we investigated the ontogeny of AMFs. Confirming the CX<sub>CR</sub>1–monocyte fate-mapping studies in adult mice (Yona et al., 2013), we demonstrate that circulating BM–derived monocytes contribute only minimally to the pool of AMFs, except when mice are lethally irradiated, emptying the AMF niche. We therefore conclude that there must be a self-maintaining, proliferating pool of MFs in the lung. During the completion of this manuscript, another group reported similar conclusions, showing that this pool of self-maintaining lung MFs can even fill up the AMF niche after AMF depletion caused by influenza infection or DT-mediated depletion (Hashimoto et al., 2013). The fact that adult circulating monocytes only minimally feed the steady-state AMF pool suggested an embryonic Figure 7. Terminal differentiation of GM-CSF–rescued immature AMFs requires a GM-CSF–replete host. Csf2<sup>−/−</sup> mice treated with 5 consecutive treatments of rGM-CSF were sacrificed at 7 d of age. The lungs were homogenized and CD45.2<sup>+</sup>CD11c<sup>low</sup>SiglecF<sup>hi</sup> preAMFs were FACS sorted (profile of the sorted cells before transfer is shown in A) and transferred into CD45.1<sup>+</sup> WT mice on their DOB. 2, 4, 9, 6, and 6 wk after transfer, CD45.1<sup>+</sup> recipient mice were sacrificed, and the presence of CD45.2<sup>+</sup> donor–derived cells was evaluated in the lungs (B–D) and BAL (E). Their CD11b, F4/80, CD11c, and SiglecF expression profile was also assessed. Data represent two independent experiments with at least three recipient mice per time point. precursor, and decided to take a closer look at the nature of this embryonic precursor. In our developmental analysis, we did not solely rely on expression of the pan MF markers CD64, F4/80, and CD11b, but also took advantage of the unique and discriminating surface characteristics of mature AMFs that express high levels of SiglecF and CD11c. A clearly defined phenotype of the mature tissue-resident MF allowed us also to look for intermediate steps in AMF development, a task almost impossible for other tissue-resident MFs for which such late maturation markers are often lacking. The early developing lung (E12, before fetal liver hematopoiesis has started) contained mainly F4/80\textsuperscript{hi} CD11b\textsuperscript{int} Ly-6C\textsuperscript{−} CD64\textsuperscript{hi} cells that had a phenotype and ultrastructure like primitive MFs and did not express AMF markers. From E14 onwards, we also observed a steady increase in fetal monocytes in the developing lung. As definitive hematopoiesis starts only from E16.5, these were most likely derived from fetal liver hematopoiesis (Costa et al., 2012). Cells with a preAMF phenotype started accumulating in the fetal lung around the saccular stage of lung development (E18.5), when branching canaliculi become narrower and give rise to sacculles, which are the precursors to alveoli (Morrissey and Hogan, 2010). Bona fide mature SiglecF\textsuperscript{hi}CD11c\textsuperscript{hi} AMFs only appeared during the first week after birth, and not before birth, as shown for microglia (Ginhoux et al., 2010). As both fetal monocytes and fetal MFs were found in the developing lung, the question remained as to which of these two were the progenitor to AMFs. Based on kinetic analysis, phenotypic changes after adoptive transfer, and competitive reconstitution experiments, we concluded that fetal monocytes were the main progenitors to AMFs. First, adoptive transfer of E17 fetal monocytes was much more efficient in generating long-term engraftment of AMFs compared with transfer of E17 fetal MFs. Second, when E17 fetal monocytes were transferred and followed over time, they differentiated gradually into AMFs, first down-regulating Ly-6C and acquiring CD11c expression, followed by SiglecF acquisition. The final step of AMF maturation was accompanied by further up-regulation of SiglecF, down-regulation of CD11b and up-regulation of F4/80. This entire process took ∼7 d, which would also fit with the kinetics of appearance of the first lung fetal monocytes (E14) over an intermediate stage preAMF stage around DOB and with the appearance of mature AMFs at PND1–3. Third, when adoptively transferred, fetal monocytes gave rise to a long-term population of AMFs that were almost not diluted over time. Others have shown, using fate mapping experiments, that AMFs do not derive from E7 Runx1\textsuperscript{MIR-Cre;MER} Rosa2-LSL-YFP-tagged yolk sac MFs (Ginhoux et al., 2010) or from adult CX3CR1\textsuperscript{EGFP} Rosa2-LSL-YFP-tagged mononuclear cells (Yona et al., 2013), but have offered no explanations as to where exactly AMFs do derive from. Our study provides direct evidence that fetal monocytes are the predominant progenitor to AMFs. One group has proposed, using an inducible MxCre-driven Myb deficiency abolishing adult hematopoietic cells, a mixed origin of lung MFs, partly deriving from adult hematopoietic and partly from Myb-independent primitive precursors, although it was hard to conclude from the gating strategy whether AMFs were included in the analysis, and whether other myeloid populations expressing F4/80 such as eosinophils were excluded from analysis (Schulz et al., 2012). This group also showed that in Myb-deficient embryos, which lack fetal monocyte development, an F4/80\textsuperscript{hi} MF population was present in the fetal lung. However, as these Myb-deficient embryos never reach term and die from severe anemia at E16.5, it is not possible to assess whether these F4/80\textsuperscript{hi} MFs would indeed become AMFs, as AMFs only appear after birth. Moreover, the F4/80\textsuperscript{hi} cells identified in the lungs of the Myb-deficient embryos around E16 are most likely the primitive yolk sac MFs that we also see peaking around this time point in WT mice (Fig. 3). It is remarkable that fetal MFs and monocytes were described by Ginhoux et al. (2010) to colonize the developing skin at the same time points as we recovered them in the developing lung, with fetal monocytes giving rise to a specialized subset of dendritic cells called LCGs (Hoefel et al., 2012). In fact, AMFs and LCs share several unique features: (a) they populate a cellular niche where they constitute the only antigen-presenting cell in the steady state (the alveoli and the epidermis, respectively); (b) the alveolar and the epidermal niche are not easily accessible to hematopoietic precursors as these are barriers to the outside world, probably requiring the LCs and AMFs to self-maintain in the steady state; (c) AMFs (this study) and LCGs (Chorro et al., 2009; Hoefel et al., 2012) colonize their niches in a single wave during the first week after birth; and (d) fate-mapping studies demonstrate that AMFs (Ginhoux et al., 2010) and LCGs (Hoefel et al., 2012) do not derive from yolk sac MFs, but instead derive primarily from fetal monocytes (this study; Hoefel et al., 2012). The environmental cues that drive AMF and LC differentiation, however, seem to differ significantly. LCs require IL-34, but not M-CSF or GM-CSF (Greter et al., 2012a; Greter et al., 2012b; Wang et al., 2012), whereas AMFs require GM-CSF and M-CSF, but not IL-34 for their development (this study; Wang et al., 2012; Hashimoto et al., 2013). Around the perinatal period, we noticed high expression of GM-CSF mRNA in epithelial cells and protein in BAL fluid, but this waned rapidly after birth. Analysis of Csf2\textsuperscript{−/−} mice demonstrated that lungs were completely devoid of AMFs, identifying GM-CSF as the driving cytokine for AMF development in the perinatal period. Previous work on Csf2\textsuperscript{+/−} or Csf2r\textsuperscript{−/−} mice with pulmonary alveolar proteinosis (PAP) reached conflicting results stating that AMF function was impaired (Colle, 1976, 1979; Harris, 1979; Nuijten and Pesenti, 1983; Gonzalez-Rothi and Harris, 1986; LeVine et al., 1999; Yoshida et al., 2001; Pane et al., 2001; Thomassen et al., 2007), or that AMF development was abnormal (Shibata et al., 2001). Here, we show that AMF development is blocked before the preAMF stage, and the few MFs that are found in Csf2\textsuperscript{−/−} mice are most likely inflammatory MFs that accumulate in response to lung damage inflicted by surfactant accumulation. Given the boost of GM-CSF expression in the perinatal period, and given the fact that AMFs can self-maintain throughout life once generated, we reasoned that perinatal recombinant GM-CSF treatment of Csf2−/− mice during the first days of life might be sufficient to rescue arrested AMF development. Perinatal GM-CSF for 5-d treatment, indeed, rescued long-term CD11cSiglecF+ AMF development; AMFs appeared in the alveolar lumen, but these AMFs were in an immature state, failing to down-regulate CD11b and to prevent PAP. It is possible that 5 d of GM-CSF treatment of Csf2−/− mice was insufficient to cause full AMF differentiation, or that continuous low-level GM-CSF production in a replete host induces a second signal permissive to terminal AMF differentiation. In support, adoptive transfer of immature AMFs from GM-CSF–treated Csf2−/− mice to WT mice allowed the terminal differentiation of immature AMFs, a process that took a few days. We can only speculate as to what exactly this second signal might be. Previous work identified PPARγ as a crucial transcription factor for AMF development necessary to prevent PAP (Baker et al., 2010; Gautier et al., 2012a). GM-CSF induces PPARγ gene expression (Bonifield et al., 2003). However, we administered the PPARγ agonist rosiglitazone in the perinatal period, and this failed to terminally differentiate AMFs in GM-treated Csf2−/− mice (unpublished observations). Studies in humanized mice confirm the essential role of GM-CSF in human AMF development. Mouse GM-CSF does not bind to human GM-CSF-R, and therefore these humanized mice do not possess human AMFs. Mice in which the mouse Csf2 locus was replaced by the human coding sequence lacked murine AMFs (Willinger et al., 2011), and without engraftment of human HSCs they developed PAP. After human HSC engraftment, MFs of human origin were found in the BAL, but these MFs were incapable of fully protecting against PAP. This suggests that, in humans as well as in mice, GM-CSF alone may not be sufficient to generate fully functional and terminally differentiated AMFs. Strikingly, a recent paper also identified GM-CSF as the cytokine necessary for the proliferation and self-maintenance of AMFs after local depletion from the lungs (Hashimoto et al., 2013). In conclusion, we have elucidated the pathway of AMF development by showing that fetal monocytes develop into preAMFs around the time that airspaces (fluid filled sacculi) start to occur during lung development. At the DOB, most preAMFs are still in the alveolar septa, but shortly thereafter they end up in the alveolar space as immature AMFs, and then rapidly down-regulate CD11b and become functionally mature cells that self-maintain and do not require input from circulating hematopoietic precursors. Importantly, the appearance of such preAMFs seems to be restricted to a single wave around birth and accompanied by a boost of GM-CSF around this period, which is necessary for proper AMF instruction. In the broader context of MF development, we provide evidence for a third model for the origin of tissue–resident MF; whereby AMFs originate from fetal monocytes during the perinatal period. It remains to be investigated whether other tissue–resident MFs follow the microglia model (yolk sac MF origin), the intestinal MF model (BM–monocyte origin), or the AMF/LC model (fetal–monocyte origin). MATERIALS AND METHODS Mice. C57BL/6, CD45.2 congenic C57BL/6 CD45.1 (The Jackson Laboratory), Csf2−/− and Csf2+/− mice were bred at the animal facility of the University of Ghent. For timed pregnancies, female C57BL/6 or GM-CSF mice were superovulated with 2 i.u. pregnant mare serum gonadotropin (Polligan; Intervet) to stimulate follicle growth and 2 i.u. human chorionic gonadotropin (Chorulon; Intervet) to induce ovulation. Mice were housed under specific pathogen–free conditions in individually ventilated cages in a controlled day–night cycle and given food and water ad libitum. All experiments were approved by the animal ethical committee of the University of Ghent. Generation of BM chimeras and parasitic mice. C57BL/6 (CD45.1) CD45.2+ mice were lethally irradiated with two doses of 5.5 Gy, and received i.v. 2 × 10^8 BM cells consisting of a 50:50 mix of BM cells obtained from femurs and tibias of WT C57BL/6 CD45.1+ and of C57BL/6 Csf2−/− CD45.2+ mice. 7 wk after reconstitution, proper blood chimerism was verified, and mice were analyzed 8 wk after BM transfer. Parasitic mice were generated by transferring weight-matched CD45.1+ and CD45.2+ mice of 9 wk of age. Parabionts were then kept under Bactrum for 2 mo before analysis. As previously described (Liu et al., 2007), circulating B cells and T cells equilibrated to almost 50% chimerism at that time, indicating efficient exchange between the joined mice. BrdU labeling in vivo and cell cycle analysis. Mice were injected i.p. with 1.8 mg BrdU (Sigma-Aldrich) to ensure its immediate availability, and their drinking water was supplemented for up to 28 d with 0.8 mg/ml of BrdU and 2% glucose and changed daily. Lung cells were stained first for surface markers and then permeabilized for BrdU staining (BrdU labeling Flow kit; BD). Ki-67 staining (BD) was performed using the staining protocol corresponding to the Freq3 labeling Flow kit (eBioscience). Flow cytometry and cell sorting. Flow cytometric studies were performed using a LSRII (BD) with subsequent data analysis using FlowJo software (Tree Star). Cell sorting was performed on a FACSAria II cytometer. After cell sorting, purities were checked (above >95%). For flow cytometry, lungs were cut into small pieces, incubated in RPMI containing Liberam TM (Roche) and DNase (Roche), and then syringed through a 19-gauge needle to obtain a homogenous cell suspension. Red blood cells were lysed for 4 min at room temperature in 1 ml osmotic lysis buffer. For flow cytometry of BAL derived from GM-CSF mice diagnosed with proteinosis, BAL cells were first enriched using a Percoll gradient (Sigma–Aldrich). Fluorescently labeled or biotinylated mAbs were used for mouse CD11c (clone e410), CD14 (clone 145-2C11), CD19 (clone 1D3), Ly-6G (clone 1A8), CD11b (clone M1/70), CD64 (clone X5A-5/7.1), Ly-6C (clone AL21), SiglecF (clone E50-2440), SAV Kr-67 (clone B56), Sca-1 (clone d7), CD45.1 (clone A20), and CD45.2 (clone 104); the corresponding isotypes; and the secondary reagent PE-Texas red-conjugated streptavidin were all purchased from BD or eBioscience. Anti-MHCII (clone M5/114) and anti-EpCam (clone G8.8) were purchased from BioLegend. Anti-F4/80 (clone AB.1) was purchased from Serotec. Neuroglia (Ly-6G/CD11b+CD64+Ly-6C−) cells (SiglecF+CD11b+CD64+Ly-6C− cells), T cells (CD3+CD21+CD4+ cells), and B cells (CD19+CD21+CD64+ cells) were systematically outgated before analysis. Fixable live/dead marker Aqua was purchased from Invitrogen. Dead cells were outgated using the live/marker before analysis. Transfer of sorted cells. Fetal monocytes and fetal MFs were sorted from the lungs of time-mated E17 C57BL/6 CD45.2+ and CD45.1+ embryos. After sorting, fetal monocytes and fetal MFs from different donors were mixed in a 1:1 ratio and administered i.n. into the lungs of day 1 C57BL/6 CD45.1\textsuperscript{+} x CD45.2\textsuperscript{+} recipients under isoflurane anesthesia (4 \times 10^6 cells in 7 \mu l PBS per neonate). Lungs were obtained and analyzed during a follow-up period of 11 wk total. In another experiment, preAMF were sorted from the lungs of homozygous Cd32\textsuperscript{−/−} mice treated for 5 consecutive days with GM-CSF i.n. Sorted preAMF cells were administered i.n. into the lungs of day 1 WT mice (2 \times 10^6 cells in 7 \mu l PBS per neonate). Lungs were obtained and analyzed 2 and 9 d after treatment. RT-PCR and GM-CSF ELISA. For RT-PCR–sorted cells were frozen and cell pellets were homogenized in TrisPro Reagent (Roche). RNA was isolated according to the manufacturer’s protocol. 500 ng RNA was reverse transcribed using the Transcripter High Fidelity cDNA Synthesis kit (Roche) with random hexamers. The obtained cDNA was used for real time quantitative PCR. SYBR Green Master (Roche) was used, and the expression levels were normalized by comparison with hypoxanthine-guanine phosphoribosyl transferase (HPRT) expression. All reactions were performed in a LC480 (Roche). To measure GM-CSF levels in lung lavages, ELISA was performed on lung homogenates. Lung lavage were snap frozen in liquid nitrogen and stored at −80°C. The lungs were then homogenized with a tissue homogenizer in 500 \mu l of cold lysis buffer (20 mM Tris-HCl, pH 8.0, 0.14 M NaCl, 10% glycerol [vol/vol], 1 mM PMSE, 1 mM sodium orthovanadate [Na3VO4], 1 \mu g/ml PAF; 40 \mu g/ml aprotinin, and 20 mg/ml leupeptin), using a tissue homogenizer (Braun) with an addition of 1% agarose after homogenization. Samples were then kept on ice for 30 min before centrifugation at 10,000 rpm, followed by a centrifugation to pellet debris. Supernatants were frozen at −80°C. GM-CSF levels in these supernatants were measured by ELISA (BioSource) according to the manufacturer’s protocol. Concentrations were corrected for the weight of the lungs. Immunohistochemistry. Lungs were inflated with PBS–OCT (3:1) and fixed in 4% paraformaldehyde/PBS, pH 7.4, for 24 h. Tissue was then washed in 70% ethanol, dehydrated in series of alcohol, and embedded in paraffin, followed by sectioning for H&E staining. Separate lung cryosections of 4 \mu m were also made on frozen lungs, and then stained with DAPI and immunostained with Anti-SiglecF (CD170; Antibodies Online GmbH), secondary antibody staining and processing for confocal analysis (LSM710; Carl Zeiss). Electron microscopy. Cells were seeded in 24-well plates (Nunc; CellSeed Inc. Labware). The next day, the cells were washed with PBS and fixed in 0.15 M cacodylate buffer with 2.5% paraformaldehyde and 2% glutaraldehyde for 2 h. After five 3-min washes with 0.15 M cacodylate buffer, the cells were treated with 0.1 osmolar 0.15 M sucrose solution for 2 h. After five 3-min washes with ultrapure water was followed by 5-min incubations in increasing concentrations of EtOH (25, 30, 50, 75, 90, 95, and 100%) and two 5-min incubations in 3-hydroxy-4,5-dimethyl-2(5H)-furanone (HMDF). After removal of HMDF the cells were dried overnight. The plastic wells with the cells were mounted on a stub and coated with 5 nm of platinum in a Quorum sputter coater. The samples were imaged in an Auriga SEM (Carl Zeiss) at 1.5 kV, making use of an InLens secondary electron detector. Statistics. Comparative experiments were tested for statistical significance using the unpaired Student’s t test using Prism software (version 4.0; GraphPad). Differences were considered significant when $ P < 0.05 $. We sincerely thank Saskia Lippins and Anneke Kremer of the VIB Bio-Imaging Core Facility for most valuable help with scanning EM pictures. This work was supported by a European Research Council consolidator grant to B.N. Lambrecht by a University of Ghent Multidisciplinary Research Partnerships grant (GROUP-ID consortium) to B.N. Lambrecht, by a Marie Curie re-integration grant (CIG), a Belgo Return Grant, a Post-Doc FWO grant and a Odyssey Grant to M. Guilliams, and by a FWO project grant to H. Hammond. I. 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2005 WVAD Conference The countdown has begun... 54 Days Left (From June 12th til August 4th) Have you sent in your combo yet?? Deadline for last combo is July 16th After that you must pay at the door Don’t miss this exciting conference and an opportunity to learn new things and meet new people. Come join us and have fun. Information can be found at our website www.wvad.org Did you Know??? The first brick street in the world was laid in Charleston, WV on October 23, 1870 on Summers Street. ~ From WV State Facts WVSD Announces Valedictorians and Salutatorian Lisa Marie Parent and William Benton White have been named Co-Valedictorians of the Class of 2005 by Principal Corbin. Bradley Lee Grey is this year’s Salutatorian. Lisa is the daughter of Mr. and Mrs. Paul Parent, Sr., of Augusta. She will attend New River Community College in the fall, where she will major in Photography and Graphic Arts. William Benton White is the son of Mr. and Mrs. Benton White of Charleston. He will attend NTID in the fall, where he will major in CAD. Bradley Lee Grey is the son of Ms. Kim Grey and stepson of Ronald S. Thompson of Montrose. He will attend Allegheny College in the fall, where he will major in Culinary Arts. ~ From The Lions’ Tale Surprise 75th Birthday Party John Favre of Saucier, MS was honored with a surprise 75th birthday party, which was hosted by his wife, Norma and 9 deaf lady friends at their local deaf clubroom on Saturday, May 21, 2005. Monthly Coffee Chat Gathering Once a month, people gather at Rendezvous Coffee House in Teays Valley for a night of coffee and chatting. What sets this monthly meeting apart is that its participants are deaf. This event, called Deaf Coffee Chat, provides a place for people who are deaf and hard of hearing to socialize. Friends Shelia Evans and Diana Ramsey started it after discovering the lack of social opportunities for the deaf. The idea for the chat came about after Evans encountered one such event while visiting California. “It is one of those things that’s all over the U.S.” Evans said. “They usually hold it in a Starbucks. When I was in San Bernardino, I walked into a Starbucks and they were having one. It’s just all ages. They come in, have coffee and they talk.” Evans and Ramsey created the first Deaf Coffee Chat in West Virginia. The event is held the first Friday of each month from 5 to 10 p.m. at Rendezvous. According to deafcoffee.com, it joins chats in 34 other stats and Washington, D.C. During the chat, members simply discuss whatever is on their minds. “It’s a good time to get together, improve your signing skills, communicate, find out what’s new in the deaf community and be supportive of that,” Evans said. However, the chat is not exclusively for the deaf and hard of hearing. Family members and students who wish to improve their sign language skills are also encourage to attend. For more information, call 201-2204 or 562-5692 or visit www.deafcoffee.com ~ From The Charleston Gazette (4-13-05) Edward and Florence Johnson Celebrate their 50th Anniversary A surprise 50th wedding anniversary party was planned and given to Edward and Florence (Devericks) Johnson by their son, John, and daughter, Rose at the Gathering Place in Pasadena, MD February 26, 2005. The couple had not suspected anything about the party until they took their granddaughter there to watch her play upon her request, but there was no play except the surprise party and lots of beloved guests waiting for them. Florence’s deaf brother, Worthy and his wife, Lois (Uhl) Devericks left their winter home in Florida for the party. Their presence at the party really surprised the couple very much. Ed and Flo said this special event would live within their hearts. Congratulations! Ronald and Janis Williams Celebrate their 50th Anniversary Ronald Lee and Janis (Hill) Williams celebrated their 50th wedding anniversary April 9th at the Hansford Community Center, St. Albans. The party was given by their two daughters, Sandra Snodgrass and Diana Horn. More than 100 people attended the event. Many came from several states and one came from as far away as California. Many of the old schoolmates from West Virginia School for the Deaf in Romney attended the event. A dear friend who had been an interpreter for the deaf for many years, Keith Hamilton, was there, too. The event was interpreted by Connie Pitman for the hearing. Casey Tobia, granddaughter, along with the family members that contributed photos and comments, gave the couple a very special gift of a scrapbook that covered their lives together and the family that has grown from their great love for one another. The beautiful flowers were arranged by Jennifer Dillon and the wonderful food was provided from Angela’s Catering. UPDATES: We (the pageant committee) have been busy the last few months. I wanted to give you a few updates of what has been going on with the pageant. The director and I have traveled to Morgantown and Romney to recruit some young ladies for our pageant. We also had a booth at the Deaf Tech Fair in Charleston on May 21st. We have some exciting news! We officially have six young ladies for the upcoming pageant. All of us are very excited to be working with these wonderful contestants. We are planning a retreat later in June for all the contestants to get together and meet as well as prepare for the pageant. That will be an exciting time for all of us. Also, we have been working very hard getting donations, both money and items needed for the pageant. We are so grateful to the Clarksburg/Bridgeport area as well as the Holiday Inn in Bridgeport. We have managed to get almost all of the items that we need for the pageant donated, not having to pay for anything. The hotel has been wonderful in helping us plan for the event as well. We are still working on getting a few more items, and we still need your donations and support, more now than ever with six contestants! We are planning an exciting pageant for you at the conference so please do not miss it. Send your donations to: Jimmy Harrison, WVAD Treasurer 5 Cordoba Drive Hurricane, WV 25526 Introducing our Contestants for the MDWV 2005 Pageant Laura Ann Crowder - Morgantown, WV Elisha Dillow - Hedgesville, WV Holly Lynn Palmer - Glen Easton, WV Lisa Marie Parent - Augusta, WV Hannah Pauley - Julian, WV Mindy Sue Spencer - Charleston, WV Now Accepting Nominations West Virginia Association of the Deaf, Inc. GENERAL GUIDELINES FOR AWARDS: 1. Must be a resident of West Virginia. 2. When nominating a person, use the last two years to determine his/her qualifications for the award. 3. Each category does not have to be completed, only nominate someone that you feel meets the qualifications for that award. 4. Must be submitted to the WVAD Award Chairperson by July 15, 2005. WVAD Award Chairperson Doug Godfrey PO Box 1764 Martinsburg, WV 25402 304-264-0036 (v/tty) AWARD CATEGORY: The West Virginia Deaf Mountaineer Award: The West Virginia Deaf Mountaineer Award is presented to a deaf, hard-of hearing or normal hearing individual who has volunteered his/her time and energy to provide a service of lasting benefit to the deaf community in West Virginia. The recipient or recipients shall be determined by a committee. Meritorious Award: This award is presented for special services rendered by a deaf, hard-of hearing, or normal hearing individual to the West Virginia Association of the Deaf (WVAD) and its membership. WVAD Member of the Year Award: This award is presented to an individual member of the WVAD who represents the qualities of WVAD through his or her remarkable efforts or activities. Person being nominated must have done his/her service within the last two years. NAD Golden Hand Award: This award is presented to a person or organization who has worked voluntarily to make meaningful changes for the deaf community in West Virginia. The WVAD President’s Award: The Association’s highest honor given to an individual(s) who has generously contributed their time to WVAD and/or the deaf community. The President and another member as needed shall select a recipient. This award shall be presented at the biennial WVAD conference. * All forms can be found at www.wvad.org under Award Nominations. If you do not have internet access, contact the Award Chairperson for the forms needed. * Clyde Swartz from Rupert, WV proudly announces that he has graduated from Deaf Bible Institute. Did you Know?? You can use “Bounce” Sheets to repel mosquitoes. Tie a sheet of “Bounce” through a beet loop when outdoors during mosquito season. ADVOCATE SEEKS 100,000 SIGNATURES ON CAPTIONING PETITION Joseph Brzezowski is tired of renting DVDs and finding that they are not closed-captioned. "It is time to fight back and demand for our rights," he said in the introduction to a petition he posted recently on the website Petition Spot. His goal is to collect 100,000 signatures to share with the entertainment industry, and as of Monday morning he was closing in on the first 1,000. "Movie producers are making millions of dollars and do not care about providing closed captions," he said. "It is our turn now, we need the help." To sign the petition, go to www.petitionspot.com/petitions/ClosedCaptioned. ~ From DeafWeekly MOTOROLA INTRODUCES VIDEOPHONE CALLED OJO Motorola began selling a $798 videophone last month called Ojo (pronounced "oh, joe"). "It's the first videophone to meet expectations," said Mark Sasicki, manager of Abt Electronics in Glenview, Ill. "Ojo is the first innovation in phones in a long, long time. Videophones are finally here." According to the Chicago Sun-Times, AT&T introduced the first videophone 40 years ago at the New York World's Fair. The recent spread of broadband service and improved video displays have made the new videophones possible. Ojo provides TV-quality images on a 7-inch, tiltable color LCD screen when connected to another Ojo user. Motorola charges $14.95 per month for unlimited Ojo calls. Sasicki predicted that the price of the Ojo device will fall, and videophones will hit the mass market within four years. ~ From DeafWeekly Open Captioned Movies The West Virginia Human Rights Commission and the WVCDHH recently met with cinema owners and operators to discuss accommodations for deaf and hard-of-hearing patrons. Several theaters are now offering open-captioned movies, including Regal Cinemas in Vienna and Martinsburg, Park Place Stadium Cinema in Charleston, Tri-Marquee at Southridge, Charleston, and Cinema 4 in Huntington. Our website has links for open-captioned movies and will add other links as they become available. You can view the open captioned movie information on the WVCDHH website at www.wvdhhr.org/wvcdhh. The Commission sincerely thanks Ms. Ivin Lee, executive director, and Ms. Tausha Stigall, investigator, of the West Virginia Human Rights Commission for their advocacy and efforts bring more captioned films to West Virginia residents. We also offer our appreciation to the theater owners and operators. They have responded with enthusiasm by offering a choice of movies at several locations. ~ From WVCDHH Think about this.. INDIA PROHIBITS HEARING IMPAIRED FROM OBTAINING DRIVERS LICENSES The government of India does not allow hearing-impaired citizens to obtain drivers licenses, the Deccan Herald reported Monday, and efforts to change the law have fallen on deaf ears. A government notification dated February 10, 2004 states, "Dumb persons without deafness may be granted a valid driving license for non-transport vehicle." But C. N. Vijayraj, who runs an organization for the deaf and hard of hearing, argues that it is rare for a non-speaking person to have hearing and thus the rule amendment does not serve a purpose. Recently, he took 62 hearing-impaired people to a government office to enable them to get a drivers license. Everyone in the group already rides or drives vehicles without a license. Still, they were turned away because they cannot hear. This issue has been ongoing for some time, the newspaper noted, and some say it is a violation of human rights to prevent hearing-impaired people from holding a drivers license. ~ From DeafWeekly The October 3, 2004 meeting was called to order by President John Burdette at 9:26 a.m. in the conference room in the Administration Office at the West Virginia School for the Deaf in Romney, West Virginia. Members present: John Burdette, Jimmy Harrison, Liz Leisure, Doug Evans, Robyn Guzzi, and Worthy Devericks Member Absent: Charles Tuell Guests present: Marty and Janet Blakely; Molly Simonton, Lois Devericks, and Linda Phillips The minutes from May 8, 2004 board meeting in Alderson, West Virginia, were read and approved as corrected. President’s Report: President Burdette shared the letter he received from Dr. Robert Sanderson advertising a new book “A Brief History of the Robert G. Sanderson Community Center for the Deaf and the Hard of Hearing”, that is available from the Utah Association for the Deaf or Dr. Sanderson for $30.00 which includes shipping. President Burdette received the Spring 2004 issue of Research at Gallaudet on June 7, 2004 which includes a list of twelve proposed research priorities for Gallaudet University. President Burdette recently received an e-mail regarding Grant Proposal Writing Workshop that will be held at the University of Charleston on October 25-27, 2004 from 8:00 a.m. 5:00 p.m. The tuition is $597.00 which includes all materials and certificates. President Burdette attended the statewide RID Chapter meeting at Fairmont State College on August 3, 2004. He reported that there was a small attendance. Dolly Ford is chairperson of WV-RID Chapter. Because of lack of RID member attendance, the state was divided into eight RESA regions. A Region Leader was delegated for each region in the state to hold a similar meeting in order to accommodate those who are unable to travel long distances. The next statewide meeting is scheduled for October 23, 2004 at the West Virginia School for the Deaf in Romney. The West Virginia Commission for the Deaf and Hard of Hearing will hold a workshop on “How to Work with Your Interpreter and How to Work with Your Deaf Client” on November 2, 2004 from 10:00 a.m. to 4:00 p.m. in Princeton, WV. President Burdette gave an update on the letter that Treasurer Harrison received on September 3, 2004, from the Secretary of the State Office requesting a copy of Form 990 or a completed Computation of Fundraising Percentage Form. The former Treasurer Liz Leisure assisted with the required paperwork and faxed it to the State Office. Liz stated that once the certification page is signed by three WVAD officers and mailed to the State Office, the registration requirements will be completed. The WVAD’s Contract with the UDS expires December 31, 2004. President Burdette received a letter from Judy Holt, Account Executive with The Heritage Company, who proposes to extend the contract for one year with an option for one year renewal instead of three year renewal. President Burdette asked Marty Blakely, who was recently promoted to Media Center/Communication Center Coordinator at the West Virginia School for the Deaf, to give a testimony about the Deaf Awareness Week that was held from September 20-24, 2004. Mr. Blakely reported that on the first day, September 20, they had a Mayor’s Proclamation Reading by Mr. Hicks. Deanna Stone, Executive Director for the WV Commission for the Deaf and Hard of Hearing and a proud representative for West Virginia Association of the Deaf, Worthy Devericks, were present on that day. On September 21, they had a “Silent Lunch” which was featured on the Hampshire Review Newspaper. On September 22, The Class of 2005 Seniors gave their presentation about deaf culture/deaf history to 4th, 5th and 6th grade elementary deaf students in the Deaf Chapel and afterwards, they had lunch. On September 23, they held a panel discussion regarding “Deaf President Now” Movement in 1988. The participants were Mary Emnis-Kesler, Pierre Sevingy, Christy Sevingy, and Stan Mals. Marty Blakely was the Moderator. On September 24, they had a workshop on “Interpreters: To better understand their role.” They also had an Arts/Posters Contest. Five winners were chosen: Pam Thompson won 1st place - $40.00 gift certificate (pizza); Hannah Pauley won 2nd place and received $25.00; Matthew Hart won 3rd place and received $20.00; Sarah Abernath won 4th place and received $10.00; and Vanessa Cooley won 5th place and received $5.00. Marty thanked the WVAD board members for the $100 donation and stated that it meant a lot to the winners. Marty is planning to ask a deaf performer (Deafoology 101) to come during the Clerc-Gallaudet Week on the week of December 11, 2004. He asked if the WVAD would consider sponsoring the Deafoology 101. President Burdette thanked Worthy for going to WVSD Deaf Awareness Week as a representative for WVAD. President Burdette reported that the April, May, and June issue of the WVAD newsletter has not been sent out yet because Veronda’s computer crashed. She has to retype everything. Hopefully, it will be sent out next week. Veronda Harrison has resigned as the editor of the WVAD newsletter. Linda Phillips has been selected as the new editor replacing Veronda Harrison. President Burdette gave a report on his attendance to the July 2004 NAD conference that was held in Kansas City. Vice-President’s Report: Vice-President Doug Evans reported that on September 18th, 2004, the 2005 WVAD Committee had a meeting at Regina Jenkins’ residence. President John Burdette was present at the meeting. The committee continued to work on the upcoming conference and covered many issues such as Holiday Inn Contract, Event Fee, Raffle Tickets, and Booster. He said that other ideas were brought up during the meeting with big help and advice from John Burdette. On September 20th, 2004, Miss Deaf West Virginia, Linda Phillips, and her mother, Liz Leisure, were at the Fairmont State University to where the Sign Language Interpreting Program hosted a Deaf Awareness Week during the week of September 20-23, 2004. Linda lectured about her experiences growing up as a deaf child and as Miss Deaf West Virginia. Vice-President Evans reported that he has created a flyer for the WVAD 2005 Biennial Conference and proposed different fees for the conference in which he will hand out and discuss in new business. Secretary’s Report: There was nothing to report. Treasurer’s Report: Jimmy showed the Treasurer’s report from July 1 to September 30, 2004. Total Assets $1,097.45; Total Expenses $2,629.95; Balance in checking account $5,306.27; in savings account $11,109.03; Certificate of Deposits $12,000.00; and in Mingo County Fund $16,035.36. Total Balance is $44,450.66. Jimmy showed the report in Miss Deaf WV Pageant Fund from September 2003 to September 30, 2004. Beginning Balance $1,533.45; Total Expenses $4,031.33; and Ending Balance - $2,497.88. Jimmy showed the report for WVAD picnic on August 7, 2004 at Burnsville Lake. Total Assets $967.00 and Total Expenses $588.34. Trustees’ Report: There was nothing to report. Committees’ Reports: Flora Gervas’ Memorial Scholarship Committee’s Report: Liz reported that she drafted a list of eligibility requirements for the scholarship award – she will meet with the other committee members at a later date to discuss the requirements, changes, and etc. MDWV Pageant Report: Molly R. Simonton, Pageant Director, gave a report on her attendance to the 2004 NAD Convention/Miss Deaf America Pageant in Kansas City from July 5-10, 2004 including the State Pageant Directors’ meetings. She thanked the WVAD for the monetary support upfront. She stated that Linda Phillips represented the state very well and wants to stay involved. She discussed her fundraising plans and efforts by selling ads, T-shirts, and scheduling Linda’s appearances. She also discussed recruitment efforts and plans for the 2005 Miss Deaf WV Pageant. She said it was recommended that a committee be formed to work on the WV Deaf Pageant as she cannot do all the work alone. Ms. Caryn Keller has been chosen to be the Assistant Director. (Ms. Keller was Linda’s chaperone to the NAD conference/Miss Deaf America Pageant and Retreat.) Doug Evans agreed to help advertisement and Robyn Guzzi agreed to serve as the local member on the committee. Lois Devericks agreed to support in committee work in whatever needs to be done. Break at 11:45 a.m. for lunch. The meeting was resumed at 12:40 p.m. MCAD – WVAD Committee Report: Doug Evans gave his report on the flyer that he created. The board was given a drafted WVAD 2005 Biennial Conference Flyer along with the proposed event fees for their review and recommendations. Robyn Guzzi gave a report on the meeting and banquet rooms, hotel rooms, menu selections, and a catering contract with the Holiday Inn in Clarksburg. She will go ahead and make hotel room reservations for the board members. Old Business: None New Business: Jimmy (Robin) moved that the Deaf Pageant Fund debt in the amount of $2,497.88 be written off as if paid in full. The motion was passed. Worthy (Robyn) moved that we delete the $15.00 pageant fee from the WVAD 35th Biennial Conference event fee. The motion was passed. Jimmy (Liz) moved that WVAD accepts the Early Bird Combo Rates Optional A fee proposed by Doug Evans. The motion was passed. Doug (Jimmy) moved that WVAD will not accept personal checks by mail for the conference fees after the deadline on July 16, 2005. The motion was passed. Robyn (Jimmy) moved that the four door prize tickets are to be given to those registrants who buy early bird combo tickets before February 28, 2005. The motion was passed. Jimmy (Doug) moved that the cash prizes to be given away at the 2005 WVAD conference be raised from $1,000.00 to $1,500.00 depending on number of attendees. Robyn (Worthy) moved to amend this motion by raising the cash prizes from $1,500.00 to $3,500.00 based on number of attendees. The motion was passed. Jimmy (Worthy) moved that WVAD invites one of the following as our guest speaker at our 2005 WVAD Conference: Chris Wagner, President of Florida Association of the Deaf, Kelby Brick with the National Association of the Deaf, and Yerker Anderson. The motion was passed. Liz (Jimmy) moved that WVAD reimburses Linda Phillips $254.36 for the editor’s program to create a newsletter. The motion was passed. Jimmy (Liz) moved that WVAD reimburse all officers for mileage and lodging for one night on October 2, 2004. The motion was passed. Robyn (Jimmy) moved that Doug Evans be responsible to create and print flyers for the 2005 WVAD conference. The motion was passed. Liz (Worthy) moved that the WVAD go ahead and sign the one-year extended contract with the United Deaf Services. The motion was passed. Liz (Robyn) moved that WVAD adds couple to the membership form and increase the rate by $5.00. Robyn (Doug) moved to amend that WVAD set the membership fee for a couple at $20.00 for one year. Worthy (Robyn) moved that this motion be tabled until the next conference. It was passed. Jimmy (Doug) moved that WVAD offers an incentive award to new members to draw higher attendance at the conference. The motion was passed. Doug (Robyn) moved that WVAD have the next board meeting in Wheeling, WV, in January 2005. It was passed. Meeting adjourned 4:15 p.m. How well do you know your WVAD Officers? Do you know more than just their name? If so, great. If not, here is your chance to learn more about your officers. Maybe those who already know their officers will learn some more things. Continued from the last issue. John Burdette is currently President for WVAD. Why did you become an officer for WVAD? I have always wanted to be involved in the deaf community. I want to be a good leader to educate and encourage the deaf community as well as to educate the hearing community to understand our rights and needs; to serve the Deaf and hard of hearing people and advocate for their rights in West Virginia. What would you tell people why they should come to the conference? I would tell and encourage them to come and find out what the conference is all about… to learn information from the workshops, voice concerns at meetings, products and services at the exhibitions, and many more as well to learn more about our WVAD organization. How many terms have you served as an officer? Four terms. Three terms as president and one term as vice-president. What do you personally look forward to at this conference? I personally look forward to see 35th biennial conference a success in celebrating a milestone of WVAD’s 90th Anniversary. I also want to see more of the young people to come to be a part of the future generations to continue an advocacy of our needs and rights. As an officer, what goals would you like to see WVAD accomplish? I would like to see and increase WVAD visibility by advocating accessible services and programs across the state of West Virginia, also to recruit more members to join WVAD. I would like for more members to become involved on the committees. What other organizations/activities are you involved in? Secretary/treasurer for GVAD bowling league, Vice-president of WV Deaf Bowling Association, Vice-President of WV Deaf Bass Fishing Tournament, Treasurer of WV Deaf Clubs Christmas Party, former president of Greenbrier Valley Association of the Deaf and Greenbrier Valley Association of the Deaf bowling league. What is your favorite color? Green What are your hobbies? Hunting, fishing, camping, reading, computer, and collectibles. What is your favorite food? Vensions What is your favorite TV show or movie? I like to watch action, martial arts, and comedy movies. What is your favorite sport? Football Jimmy Harrison is currently Treasurer for WVAD. He was born in Man, WV (Logan County). He graduated from West Virginia School for the Deaf in 1978. He has been employed by the United States Postal Service in Charleston, WV for 25 years. He is married to Veronda Harrison and has two wonderful sons, Jason and Dalton. Why did you become an officer for WVAD? I like to be involved in politics and in the deaf community. I also want to teach and encourage young deaf people to become involved in the deaf community too. Continued from page 10 What would you tell people why they should come to the conference? I would tell people that should come and learn new updates in technology. They should also learn how to face new life challenges. How many terms have you served as an officer? Five terms. Three as President, one as Vice President, and one as Treasurer. What do you personally look forward to at this conference? I am looking forward to seeing new faces, attending workshops to gather new information, attending the deaf pageant, banquet, and the ballroom dance. As an officer, what goals would you like to see WVAD accomplish? I would like to see an increase in the WVAD membership, more workshops to teach young people how to become better leaders and advocates for deaf people, and how to work with other organizations. What other organizations/activities are you involved in? President of Charleston Association of the Deaf, West Virginia Deaf Bowling Association, and National Association of the Deaf. What is your favorite color? Blue. What are your favorite hobbies? Football, bowling, Nascar, hunting and fishing. What is your favorite food? Steak and Lasagna. What is your favorite TV show or movie? "Cellular" and "Top Gun" What is your favorite sport? Football, volleyball, and horseshoe. --- ### Obituaries #### Malcolm C. Grabill Malcolm C. Grabill passed away on November 12, 2004. He was a beloved husband of Emma for 47 years, brother of Harry Grabill, loving father to son Norman and daughter-in-law, Margaret. He attended the WV School for the Deaf in Romney. He was active in the local deaf senior centers and loved sports. He played golf locally and in the Northern California Deaf League. Memorial service was held at Lima Family Sunnyvale Mortuary on November 18, 2004. #### Marilyn Venetis Marilyn Venetis, Age 78, of Westerville, Ohio, formerly of North Olmsted, Ohio, passed away on January 16, 2005, at home. She retired from United Stated Postal Service in Cleveland, Ohio. She was a member of Christian Life Deaf Church in Middleburg Heights, Ohio, Columbus Senior Citizens of the Deaf, and Cleveland Association of the Deaf. She was survived by husband of 56 years, Charles Venetis, one daughter, Mabel (Larry) Lloyd of Westerville, Ohio, and one son, Nicholas (Diana) Venetis of Powell, Ohio, five granddaughters, two sisters, one brother, several nieces and nephews. The service was held at the Moreland Funeral Home. Ms. Venetis was buried at Berdon Central Cemetery. West Virginia Association of the Deaf Officers PRESIDENT John Burdette Rt. 1, Box 12-G Ronceverte, WV 24970 (304) 647-3131 (TDD/FAX) firstname.lastname@example.org VICE-PRESIDENT Doug Evans 112 Summit Court Clarksburg, WV 26301 (304) 623-4863 (TDD) (304) 623-9484 (FAX) email@example.com SECRETARY Liz Leisure 3302 Central Avenue Parkersburg, WV 26104 (304) 428-7761 (TDD/FAX) firstname.lastname@example.org TREASURER Jimmy Harrison 5 Cordoba Drive Hurricane, WV 25526 (304) 757-7863 (TDD/FAX) SENIOR TRUSTEE Charles Tuell 60 Franklin Street Welch, WV 24801 (304) 436-4962 (FAX) email@example.com TRUSTEE Robyn Guzzi 112 Summit Court Clarksburg, WV 26301 (304) 623-4863 (TDD) (304) 623-9484 (FAX) firstname.lastname@example.org TRUSTEE Worthy Devericks PO Box 455 Romney, WV 26757 --- WVAD Newsletter Staff EDITOR Linda Phillips 3302 Central Ave. Parkersburg, WV 26104 (304) 428-7761 (TDD/FAX) email@example.com PROOFREADER Liz Leisure The WVAD Newsletter is a publication of the West Virginia Association of the Deaf, Inc., published four times a year. Free subscription with paid membership dues. All advertisements must be paid for in advance. The WVAD Newsletter reserves the right to reject any advertising. Make checks payable to WVAD. Send ads with payment and any news to Linda Phillips. ADVERTISING RATES Full Page (7 5/8”x 10”)........... $100 Half Page (7 5/8”x5”)............$60 1/4 Page (3 5/8”x5”)............$30 1/8 Page (3 5/8”x2 3/8”)..........$20 --- WVAD Membership—Join Now! \| Name \| $15 for one year Regular \| \|------\|--------------------------\| \| Address \| $25 for two years Regular \| \| City/State/Zip \| $20 for two years Senior Citizen (55+) \| \| TTY \| $10 for two years Student (Age 12 to 18) \| \| EMAIL \| Yes! Here is my Donation $________ \| \| Total Membership & Donation & \| Yes! I want to donate to WVAD Deaf Pageant $________ \| Make money order or personal check payable to: WVAD and mail with membership form to West Virginia Association of the Deaf, Inc., Veronda Harrison, Membership Coordinator, 5 Cordoba Dr., Hurricane WV 25526 --- West Virginia Association of the Deaf, Inc. Linda Phillips, Editor 3302 Central Avenue Parkersburg, WV 26104 ADDRESS CORRECTION REQUESTED
α2δ-1 Gene Deletion Affects Somatosensory Neuron Function and Delays Mechanical Hypersensitivity in Response to Peripheral Nerve Damage Ryan Patel,1,* Claudia S. Bauer,1,* Manuela Nieto-Rostro,1,* Wojciech Margas,1 Laurent Ferron,1 Kanchan Chaggar,1 Kasumi Crews,1 Juan D. Ramirez,2 David L. H. Bennett,2 Arnold Schwartz,3 Anthony H. Dickenson,1 and Annette C. Dolphin1 1Department of Neuroscience, Physiology and Pharmacology, University College London, London, WC1E 6BT, United Kingdom, 2Nuffield Department of Clinical Neurosciences, John Radcliffe Hospital, University of Oxford, Oxford, OX1 2JD, United Kingdom, and 3University of Cincinnati, College of Medicine, Cincinnati, Ohio 45229 The α2δ-1 subunit of voltage-gated calcium channels is upregulated after sensory nerve injury and is also the therapeutic target of gabapentinoid drugs. It is therefore likely to play a key role in the development of neuropathic pain. In this study, we have examined mice in which α2δ-1 gene expression is disrupted, to determine whether α2δ-1 is involved in various modalities of nociception, and for the development of behavioral hypersensitivity after partial sciatic nerve ligation (PSNL). We find that naive α2δ-1−/− mice show a marked behavioral deficit in mechanical and cold sensitivity, but no change in thermal nociception threshold. The lower mechanical sensitivity is mirrored by a reduced in vivo electrophysiological response of dorsal horn wide dynamic range neurons. The Ca2.2 level is reduced in brain and spinal cord synaptosomes from α2δ-1−/− mice, and α2δ-1−/− DRG neurons exhibit lower calcium channel current density. Furthermore, a significantly smaller number of DRG neurons respond to the TRPM8 agonist menthol. After PSNL, α2δ-1−/− mice show delayed mechanical hypersensitivity, which only develops at 11 d after surgery, whereas in wild-type littermates it is maximal at the earliest time point measured (3 d). There is no compensatory upregulation of α2δ-2 or α2δ-3 after PSNL in α2δ-1−/− mice, and other transcripts, including neuropeptide Y and activating transcription factor-3, are upregulated normally. Furthermore, the ability of pregabalin to alleviate mechanical hypersensitivity is lost in PSNL α2δ-1−/− mice. Thus, α2δ-1 is essential for rapid development of mechanical hypersensitivity in a nerve injury model of neuropathic pain. Introduction Neuropathic pain can arise after disease or a lesion to the somatosensory system and is characterized by hyperalgesia, allodynia, dysesthesia, paresthesia, and often sensory loss (Costigan et al., 2009). The α2δ-1 ligands gabapentin and pregabalin are effective in the treatment of a range of chronic neuropathic conditions (Moore et al., 2009, 2011). In several different animal models of neuropathic pain caused by peripheral nerve damage, there are many genes, including ion channels, whose expression is altered in injured dorsal root ganglion (DRG) neurons (Wang et al., 2002; Ji and Strichartz, 2004). In particular, there is an upregulation of the calcium channel auxiliary subunit α2δ-1 (Newton et al., 2001; Wang et al., 2002). A corresponding increase in expression of α2δ-1 protein is observed in both the affected ganglia and the spinal cord dorsal horn (Li et al., 2004; Bauer et al., 2009). The increase of α2δ-1 in the spinal cord is the result of an elevation within the presynaptic terminals of the primary afferent neurons, rather than the intrinsic dorsal horn neurons (Bauer et al., 2009), and coincides with the onset of tactile allodynia (Li et al., 2004). In mice engineered to overexpress α2δ-1, mimicking this aspect of sensory nerve damage, tactile allodynia is present in the absence of nerve damage (Li et al., 2006). Thus, there is a substantial body of evidence that the elevation of the α2δ-1 subunit is relevant to the development of neuropathic pain, but it is unknown whether it is essential for this process. One of the main effects of α2δ subunits on Ca2.1 and Ca2.2 calcium channels is to increase their functional expression, as... evidenced by increased calcium current density, and increased channel protein at the plasma membrane (Gurnett et al., 1996; Qin et al., 1998; Wyatt et al., 1998; Barclay et al., 2001; Klugbauer et al., 2003; Canti et al., 2005), and to increase transmitter release at presynaptic terminals (Hoppa et al., 2012). In the present study, we have investigated the function of DRG and spinal neurons from mice with targeted disruption of the $\alpha_3\delta-1$ gene (Fuller–Bicer et al., 2009) to examine whether $\alpha_3\delta-1$ is involved in normal primary afferent function, in terms of thermal and mechanical sensitivity, using behavioral and electrophysiological approaches, and in their response to transient receptor potential (TRP) agonists. An important goal was to determine whether the $\alpha_3\delta-1$ subunit is essential for the initiation and maintenance of behavioral hypersensitivity after sensory nerve injury, to shed light on the molecular mechanism(s) responsible for neuropathic pain. Our main findings are that $\alpha_3\delta-1^{-/-}$ mice show a marked behavioral deficit in mechanical and cold sensitivity, but no change in thermal nociception threshold, together with a reduced sensitivity of their DRG neurons in vitro to TRPM8 agonists. The $\alpha_3\delta-1^{-/-}$ mice also exhibit a marked delay in the development of mechanical hypersensitivity and an insensitivity to pregabalin-mediated analgesia, in a nerve injury model of neuropathic pain. These results identify $\alpha_3\delta-1$ as a key component of the mechanical and cold somatosensory pathways. Materials and Methods Transgenic mice. Conventional $\alpha_3\delta-1$ knock-out C57BL/6 mice were obtained (Fuller–Bicer et al., 2009). All experiments were performed on male 9– to 12-week-old (unless otherwise stated) $\alpha_3\delta-1^{-/-}$ mice and $\alpha_3\delta-1^{+/+}$ littermates, obtained by breeding from heterozygotes. Mice were housed in groups of no more than 5 on a 12 h:12 h light dark cycle; food and water were available ad libitum. All experimental procedures were approved by the Animal Research Committee and followed the guidelines of the International Association for the Study of Pain (Zimmerman, 1983). For the in vivo studies, a total of 62 $\alpha_3\delta-1^{-/-}$ and 53 $\alpha_3\delta-1^{+/+}$ mice were used. All behavioral and in vivo electrophysiological characterizations were performed with the experimenter blind to the genotype and to drug administered. Mechanical sensitivity. Mice were placed in isolation inside Perspex chambers on a wire mesh floor and allowed to acclimatize. Mechanical sensitivity was assessed using von Frey filaments (Touch-Test, North Coast Medical) providing forces of 0.07 g (0.69 mN), 0.16 g (1.57 mN), and 0.4 g (3.92 mN). Hairs were tested in ascending order and applied 10 times across left and right hindpaws. Hairs were applied until they buckled for 3–4 s; lifting, biting, and shaking were considered positive responses. Statistical differences between $\alpha_3\delta-1^{-/-}$ and $\alpha_3\delta-1^{+/+}$ groups were determined with the Mann–Whitney $U$ test. Cold sensitivity. Cold sensitivity was tested by applying a drop of acetone, using a modified 0.5 ml syringe with polythene tubing, to the left and right hindpaws. Acetone was applied 5 times, with at least 5 min recovery between applications. The initial response was disregarded as contact withdrawal. The duration of the delayed response (occurring 2–3 s later) was measured over the next 45 s. Flinching, licking, biting, and shaking were considered to be positive behaviors. Data are presented as mean response duration (in seconds). Statistical differences between $\alpha_3\delta-1^{-/-}$ and $\alpha_3\delta-1^{+/+}$ groups were determined with an unpaired Student’s $t$ test. Withdrawal threshold to noxious heat. Thermal thresholds were determined using an infrared Nd:YAP laser with a wavelength of 1.34 $\mu$m (Electronical Engineering). A He–Ne laser illuminated the area to be stimulated with a 3-mm-wide spot. The pulse time was 4 ms. Mice were lightly anesthetized and maintained on 0.8% v/v isoflurane (Baxter) delivered in a 3:2 ratio of nitrous oxide and oxygen. Body temperature was regulated using a homeothermic blanket (Harvard Apparatus). Reflexes were confirmed before each test by pinching between the toes. The laser was aligned across the footpad of the right hindpaw before applying an incremental thermal stimulus starting at 1 J. If no response was observed, the stimulus was increased by 0.5 J. Mice were allowed 3 min to recover between tests. Once a positive withdrawal was observed, the intensity was reduced by 0.25 J to determine the approximate withdrawal threshold. Thresholds were confirmed by repeating the test on the left hindpaw. The cutoff was set at 3.5 J to prevent tissue damage. Statistical significances were determined using the Mann–Whitney $U$ test. In vivo electrophysiology. In vivo electrophysiology was conducted as previously described (Urch and Dickenson, 2003). Mice were anesthetized with intraperitoneal 2.4 g/kg urethane (Sigma) dissolved in 0.9% saline. Once mice were areflexic, a tracheotomy was performed before securing mice in a stereotaxic frame and performing a laminectomy to expose L3–L5 segments of the spinal cord. Extracellular recordings were made from deep dorsal horn lamina V/VI wide dynamic range (WDR) neurons, at depths of 350–700 $\mu$m (Watson et al., 2009), with receptive fields on the glabrous skin of the toes, using parylene-coated tungsten electrodes ($\lambda$–M Systems). Seventeen neurons were characterized from 14 $\alpha_3\delta-1^{-/-}$ mice. Nineteen neurons were characterized from 15 $\alpha_3\delta-1^{+/+}$ mice. Electrical stimulation of WDR neurons was delivered transcutaneously via needles inserted into the receptive field. A train of 16 electrical stimuli (2 ms pulses, 0.5 Hz) was applied at three times the threshold current for C fiber activation. Responses evoked by A (0–50 ms) and C (50–250 ms) fibers were separated and quantified on the basis of latency. Neuronal responses occurring after the A fiber latency band were classed as wind-up discharge. The “input” (theoretical spontaneous response) and the windup (potentiated response) were calculated as follows: $$\text{Input} = \left( \frac{\text{action potentials evoked by first pulse}}{\times \text{total number of pulses (16)}} \right)$$ $$\text{Wind-up} = \left( \frac{\text{total action potentials after 16 train stimulus}}{- \text{input}} \right)$$ The receptive field was also stimulated using a range of natural stimuli (dynamic brushing, von Frey filaments, Touch-Test, North Coast Medical): 0.4 g (3.92 mN), 1 g (9.81 mN), 4 g (39.23 mN), 8 g (78.45 mN), and 15 g (147.10 mN) and thermal stimuli at 42°C, 45°C, and 48°C applied over a period of 10 s per stimulus and the evoked responses quantified. The thermal stimulus was applied with a constant water jet onto the center of the receptive field. The 35°C response was subtracted as it was considered to be predominantly the mechanical component of the stimulus. An acetone drop was applied as an innocuous cooling stimulus, preceded by a water drop to control for concomitant mechanical stimulation during application. Data were captured and analyzed by a Cambridge Electronic Design 1401 interface coupled to Spike 2 software with after stimulus time histogram and rate functions. Statistical differences in fiber threshold, electrical parameters, neuronal responses to cooling, and dynamic brush stimulation were determined using an unpaired Student’s $t$ test; Welch’s correction was applied where appropriate. Linear regression was performed to examine the difference in the rate of windup and A fiber threshold. Differences in mechanical and thermal coding were determined using a two-way ANOVA, followed by a Bonferroni correction for multiple paired comparisons. Sphericity was tested with Mauchly’s test; Greenhouse–Geisser corrections were used where required. Partial sciatic nerve ligation (PSNL). Surgery was performed based on a method described previously (Selzer et al., 1990). Mice were maintained under 2% v/v isoflurane (Baxter) anesthesia delivered in a 3:2 ratio of nitrous oxide and oxygen. Under aseptic conditions, the left sciatic nerve was exposed through blunt dissection of the biceps femoris above the trifurcation of the nerve. Approximately half of the nerve was ligated with a nonabsorbable 7-0 braided silk thread (Ethicon, VetTech). The surrounding muscle was closed with absorbable 6-0 vicryl sutures (Ethicon, VetTech), and the skin with surgical wound clips. Sham surgery was performed in wild-type mice in an identical manner omitting the nerve ligation step. After surgery, the mice were allowed to recover. Foot posture and general behavior of the operated mice were monitored throughout the postoperative period. Two mice with impaired motor activity were omitted from this study. Mechanical and cold hypersensitivity were tested on postoperative days 3, 7, 9, 11, and 14. Mechanical hypersensitivity was compared with the Kruskal–Wallis test, and paired comparisons were made with Dunn’s post hoc test followed by a Bonferroni correction. Cold hypersensitivity was compared with a two-way repeated-measures ANOVA, followed by a Bonferroni correction for multiple paired comparisons. Behavioral pharmacology was performed 14 d after injury, with the observer blinded to the treatment. α₁-δ⁻/⁻ and α₁-δ⁻/⁺ mice were intraperitoneally administered either vehicle (0.9% saline) or 10 mg/kg pregabalin (gift from Pfizer) in a volume of 5 ml/kg. Mechanical hypersensitivity was tested at 30, 60, and 90 min after dosing. Differences to predrug withdrawal frequencies were compared with a Wilcoxon test, followed by a Wilcoxon–Mann–Haensel–Bonferroni correction for paired comparisons. Differences between vehicle and pregabalin groups were compared with the Mann–Whitney test. DRG cultures. DRGs were removed from the entire spine of α₁-δ⁻/⁺ and α₁-δ⁻/⁻ mice at age 10 weeks, according to Schedule 1 guidelines (Home Office Animals Scientific Procedures Act 1986, United Kingdom). Cell cultures were obtained after enzymatic and mechanical dispersal as described previously (Hendrich et al., 2008). For Ca²⁺ imaging experiments, DRGs were incubated in Hank’s basal salt solution containing 100 U/ml DNase (Invitrogen), 5 mg/ml disape (Invitrogen), and 2 mg/ml collagenase type IA (Sigma) for 18 min at 37°C. The partially digested ganglia were then washed and incubated in growth medium (DMEM/F12 with 10% FBS), 1× GlutaMAX (Invitrogen), 100 U/ml penicillin, 100 μg/ml streptomycin, and 6 g/L glucose, and plated on coverslips coated with poly-L-lysine (Sigma) and laminin (Sigma). For electrophysiological experiments, DRGs were incubated in Hank’s basal salt solution containing 100 U/ml DNase, 5 mg/ml disape, and 2 mg/ml collagenase type IA for 30 min at 37°C; the growth medium had no glucose added, and laminin was not used as a substrate. In vitro electrophysiology. Calcium channel currents in DRG neurons were investigated by whole-cell patch-clamp recording (after 1 DIV). The patch pipette solution contained in mm the following: 140 Cs-aspartate, 5 EGTA, 1 MgCl₂, 0.1 CaCl₂, 2 ATP, 20 HEPEs, pH 7.2, 310 mM with sucrose. The external solution for recording Ba²⁺ currents contained in mm the following: 150 tetraethyl-ammonium chloride, 1 KCl, 10 HEPES, 10 MgCl₂, 10 HEPEs, 10 glucose, 1 BaCl₂, 0.001 TTX, pH 7.4, 320 mM with sucrose. Measurements were made at 30 ms after the start of the voltage step. Analysis was performed as previously described (Catini et al., 2005). Mean I-V relationships were fitted with a modified Boltzmann equation as follows: \[ I = G_{\text{max}} \left( V - V_{\text{rev}} \right) / \left( 1 + \exp \left[ -\left( V - V_{\text{50,act}} \right)/k \right] \right) \] where $ G_{\text{max}} $ is the maximum conductance, $ V_{\text{rev}} $ is the reversal potential, $ k $ is the slope factor, and $ V_{\text{50,act}} $ is the voltage for 50% current activation. In experiments in which N-type calcium currents were blocked, cells were preincubated for 15 min in DMEM/F12 (0% FBS) with αω-conotoxin GVIA (1 pmol), and recorded in the external solution in the presence of the toxin. I-V relationships recorded in cells from α₁-δ⁻/⁻ and α₁-δ⁻/⁺ mice, in the presence of conotoxin GVIA, were compared with two-way ANOVA, followed by post hoc pairwise comparison with Tukey Honest Significant Differences test. Intracellular calcium imaging. Cultures of DRG neurons (1 DIV) were loaded with 5 μM fura-2 AM in growth medium for 15 min and then washed in external solution (145 mm NaCl, 2 mm KCl, 5 mm NaHCO₃, 2.5 mm CaCl₂, 1 mm MgCl₂, 10 mM HEPEs, 10 mM glucose, pH 7.4, adjusted with NaOH) for 20 min at 37°C. Imaging was performed using an Axiovert 200M microscope (Zeiss) with an ORCA-ER camera (Hamamatsu) at 30°C. Images were captured sequentially (0.5 Hz acquisition rate per paired image) at 340 and 380 nm excitation and 510 nm emission, and the ratio (340/380 nm) was calculated offline for subsequent analysis using Velocity 4 software (Improvision). After a 30 s baseline acquisition, agonists were applied in external solution sequentially in two different experimental series. In the first series, the application order was as follows: 100 μM allyl isothiocyanate (mustard oil [MO], 500 mM stock in DMSO, Sigma) for 30 s, followed by 500 μM (1 R, 2S, 5R, (−)−menthol (ME, 500 μM stock in EtOH, Sigma) for 30 s, followed by 1 μM capsaicin (C or CAPS, 10 μM stock in EtOH, Sigma) for 10 s. In the second series, the application order was as follows: 250 μM ME for 30 s, followed by 100 μM trans-cinnamaldehyde (CA, 500 μM in EtOH, Sigma) for 60 s, followed by 1 μM CAPS for 5 s. Agonist applications were separated by 90 s of washing in external solution. In a separate set of experiments, cells were stimulated with 20 μM WS-12 (20 mM stock in DMSO, Sigma) for 30 s followed by 250 μM ME for 30 s with a 3 min washing period between agonist applications. The elevation of intracellular Ca²⁺ in DRG neurons induced by a 10 s high K⁺ application (85 mm NaCl, 60 mm KCl, 5 mm NaHCO₃, 2.5 mm CaCl₂, 1 mm MgCl₂, 10 mM HEPEs, 10 mM glucose, pH 7.4, adjusted with NaOH) 90 s after the last agonist application was used as an indicator of cell viability. Cells not responding to high K⁺ were excluded from the analysis. To quantify, the number of responses for each agonist and coupling were counted and normalized to the number of cells responding to K⁺ (100%). Responses to ME and CAPS were pooled from experiments using both agonist sequences 1 and 2 (see above). Responses to MO (sequence 1) and CA (sequence 2) were analyzed separately. In total, 982 α₁-δ⁻/⁻ and 1151 α₁-δ⁻/⁺ cells were analyzed. Peak ratio amplitudes were determined relative to a normalized fluorescence ratio (R = 1.0) measured before agonist application. Quantitative PCR. DRGs from the lumbar region 3–5 (L3-L5) were dissected as described previously (Bignold et al., 2008), from naive α₁-δ⁻/⁻, P33NSL α₁-δ⁻/⁺ and P33NSL α₁-δ⁻/⁻ mice; 14 d after surgery from both ipsilateral and contralateral sides. DRGs were also taken from three α₁-δ⁻/⁻ and three α₁-δ⁻/⁺ naïve mice in the same manner. For quantitative PCR (Q-PCR) and immunoblot assays, the methods used were essentially as described previously (Baier et al., 2009). Briefly, RNA was extracted from pooled L3-L5 pulverized frozen DRGs using RNasea columns (QIAGEN), including an on-column DNase step. Reverse transcription was performed using Superscript III reverse transcriptase (Invitrogen) and random hexamer primers (Promega). Q-PCR of sample duplicates was performed with an Applied Biosystems 7500/7500 Fast Real-Time PCR system. The following TaqMan assays with TaqMan Gene Expression Master Mix were used according to the manufacturer’s protocol (gene name; assay ID): GAPDH: Mn0049999915_1; CACNA2D1: Mn00486607_m1; CACNA2D2: Mn00457825_m1; CACNA2D3: Mn00486613_m1; ATP3: Mn00476032_m1; TRPM8: Mn0124650_m1; TRPM8: Mn01299593_m1; TRPA1: Mn00422743_m1; PIEZO2: Mn01265861_m1; and CACNB3: Mn00432244_m1. The comparative $ C_p (\Delta \Delta C_p) $ method was used for relative quantification of fold differences (given as the mean ± SEM) of mRNA levels between the ipsilateral and contralateral side from mice that had undergone surgery. For this, data were first normalized for expression of GAPDH mRNA by calculating ΔCp. Statistical significance between α₁-δ⁻/⁻, α₁-δ⁻/⁺, α₁-δ⁻/⁻, and activating transcription factor 3 (ATF3) and Ca₂⁺ mRNA levels in sham and P33NSL α₁-δ⁻/⁻ and α₁-δ⁻/⁺ mice was determined by one-way ANOVA test with Bonferroni’s post hoc test. Statistical significance of differences for TRPM8, TRPA1, TRPV1, and PIEZO2 mRNA levels between α₁-δ⁻/⁻ and α₁-δ⁻/⁺ mice was determined by a one-way ANOVA test (corrected for statistical significance of ΔCp) by unpaired Student’s t test. The ΔCp method was also used for relative quantitation of fold differences of TRP channel mRNA levels from naïve mice. The mean value of the left and right DRG samples of each α₁-δ⁻/⁻ and α₁-δ⁻/⁺ mouse was normalized to the mean value of the α₁-δ⁻/⁺ samples, and statistical analysis was determined by Student’s unpaired t test. Transfection of tsA-201 cells. Cells were transfected with cDNA for N-terminal c-myc tagged mouse TRPM8, TRPV1, or TRPA1, together with either α₁-δ or β1β, at a ratio of 1:1 using FuGENE according to the manufacturer’s protocol (Promega). Myc-TRPM8 was in pcDNA5/FRT, myc-TRPV1 and myc-TRPA1 were in pcMV-myc, and α₁-δ and β1β were in pMT2. Immunoblotting. Proteins were extracted from DRG neurons, brain, and skeletal muscle from hind leg, using a buffer of PBS with 1 mM EDTA and 1 μM DTT in the presence of protease inhibitors (complete EDTA free, Roche Diagnostics) by homogenization, followed by incubation with 0.2% SDS and 1% Igepal for 40 min on ice. Synaptosomes were prepared from whole brain and spinal cord as previously described (Kato et al., 2007) and solubilized in 50 mM Tris, pH 8, 150 mM NaCl, 1% Igepal, 0.5% Na deoxycholate, 0.1% SDS (Ferron et al., 2008). DRG samples were preincubated of IgGs by incubation with Protein-G agarose beads (Santa Cruz Biotechnology) for 1 h at 4°C, and then deglycosylated with 0.1 U/ml endoglycosidase F (PNGase F, Roche) for 1.5 h at 37°C. After centrifugation (20 min at 13,000 × g at 4°C), samples were loaded onto a 3–8% NuPage Tris/acetate gel (Invitrogen) and proteins were separated by SDS-PAGE. Proteins were transferred to PVDF membranes (Bio-Rad) and, after blocking (500 mM NaCl, 10 mM Tris, pH 7.4, with 3% BSA and 0.5% Igepal), blots were probed with the mouse monoclonal anti-dihydropyridine receptor (α₁-1 subunit antibody (α₁-Ab, 1:2000, Sigma) or in-house Ca₂,2 polyclonal Ab (1:500; Raghib et al., 2001) or with the mouse monoclonal anti-GAPDH Ab (1:25,000, Ambion) or 4′,6′-Coumarin. Similar for the detection of NPY, with the GAPDH controls, in-house transfected tsA 201 cells, 60 μg of WCL was separated by SDS-PAGE, transferred to PVDF membrane, and probed with the mouse monoclonal anti-Myc Ab (1:1000, Santa Cruz Biotechnology), or with the mouse monoclonal anti-GAPDH Ab (1:25,000, Ambion) for 1 h. The protein–Ab complexes were then labeled with a HRP-conjugated secondary Ab (1:2000, Sigma) for 1 h at room temperature (RT). Bands were detected using the enhanced ECL Plus reagent (GE Healthcare) visualized with a Typhoon 9410 scanner (GE Healthcare). Densitometric quantification of immunoblot bands was performed with ImageQuant software (GE Healthcare) and normalized to the respective GAPDH loading control. Immunohistochemistry. L-13 DRGs were removed and postfixed for ≥2 h in 0.1 M phosphate buffer (PB), pH 7.4, with 0.1% PFA, followed by incubation in PB with 15% sucrose, 0.05% NaN₃ overnight, and finally frozen in optimal cutting temperature (OCT) compound (VWR) before sectioning at 10 μm using a cryostat. Immunofluorescence labeling for α₁-δ-1 (mouse monoclonal anti-dihydropyridine receptor Ab (α₁-1 subunit), 1:100, Sigma) and neuropeptide Y (NPY, rabbit polyclonal Ab, 1:1000, Abcam) was performed as described previously (Bauer et al., 2009) with the following alterations. After heat-induced epitope retrieval (10 mM citrate buffer, pH 6.0, 0.05% Tween 20, 95°C for 10 min), the sections were incubated in 1% Triton X-100 in PBS for 1 h at RT and blocking with 10% goat serum in PBS containing 0.1% Triton X-100 for >1 h at RT; and to reduce the background signal resulting from the use of a mouse Ab on mouse tissue, endogenous IgGs were blocked by incubation with the untagged goat Fab anti-mouse IgG (α₁-1) (0.1 mg/ml in PBS, Jackson ImmunoResearch Laboratories) for 1 h at RT. Primary Abs were applied for 2 or 3 d at 4°C. After extensive washes, the samples were incubated with biotin-conjugated goat Fab fragment anti-mouse for 2 h at 4°C (1:500, Jackson ImmunoResearch Laboratories), followed by washes and streptavidin-AlexaFluor-488 and anti-rabbit-AlexaFluor-594 for 1 h at RT (both at 1:500, Invitrogen). Nuclei were stained with DAPI (500 nm) before mounting in Vectashield (Vector Laboratories). Staining with the neuronal markers peripherin (mouse monoclonal Ab, 1:500, Sigma) and neurofilament 200 (NF200, rabbit polyclonal Ab, 1:200, Sigma) was performed on sections of L4 DRGs, which were either washed with PB, followed by incubation in PB with 15% sucrose and 0.05% NaN₃ overnight, and finally frozen in OCT or immediately frozen in OCT before being submerged to a thickness of 10 μm. After washing, sections were stained with NF200, sections were blocked in 10% goat serum in the presence of 0.3% Triton X-100 for at least 2 h. Primary Abs were applied at 4°C overnight in blocking solution. Sections were then washed with PBS + 0.3% Triton X-100, incubated with biotin-conjugated goat anti-rabbit IgG (1:500, Sigma) in blocking buffer for 2 h at RT, washed with PBS + 0.3% Triton X-100 before incubation with anti-mouse FITC (1:500, Sigma) and streptavidin AlexaFluor-594 (1:500, Invitrogen) for 1 h. After washing, sections were stained with DAPI (500 nm) before the samples were mounted in Vectashield (Vector Laboratories). Image acquisition and analysis. Immunofluorescence labeling of peripherin and NF200 was detected with a Zeiss Axiovert 200M microscope. Images of 14 sections from four α₁-δ-1−/− and 13 sections from three α₁-δ-1+ mice were analyzed. For this, the percentage of cells positive for NF200, peripherin, or both neuronal markers was calculated per section. Only intact cells with a clearly visible nucleus were counted. Statistical analysis (Student’s unpaired t test) was performed after arcsin transformation of the data. Immunostaining for α₁-δ-1 and NPY was visualized using an LSM 510 Meta (Zeiss) confocal microscope. To quantify the NPY staining, images were acquired with constant settings from at least 8 sections (with a minimum distance between sections from the same DRG of 20 μm) from at least three mice. Only cells with a visible nucleus were used for analysis. Images were converted to gray levels using ImageJ software (http://rsb.info.nih.gov/ji/) and a threshold determined by using images taken from negative control sections were the primary Ab was omitted during the immunohistochemical procedure. Cells with a gray level intensity higher than the threshold were counted as NPY-positive cells, and the number of NPY-positive cells per section was established. Statistical significance was determined with Student’s unpaired t test. Immunohistochemistry of skin. Skin biopsies were taken from the left hindpaw of α₁-δ-1−/− and α₁-δ-1+ mice. Skin samples were fixed using 4% PFA in 0.1 M PB and then preserved in 15% sucrose before being blocked and further processed into 14 μm sections. nerve fibers were stained using rabbit anti-PGP 9.5 Ab (1:2000, Ultracron) and Cy3 anti-rabbit Ab (1:500, Jackson ImmunoResearch Laboratories). Images were acquired using a Zeiss LSM 710 upright confocal microscope, with an EC Plan-Neofluar objective at 40× magnification. The 2 μm interval images were acquired for each section, and the maximum intensity projection tool was used. The samples were processed and analyzed blind with respect to the genotype. The samples were analyzed by the same investigator (I.D.R.), and analysis was performed as explained previously (Ramirez et al., 2012). Briefly, PGP9.5-positive nerve fibers crossing the epidermis were counted, and measurement of the length of the sample was then obtained. Interindividual nerve fiber density counts are given in number of fibers per millimeter length of epidermis. Statistics. Statistical analyses were performed using GraphPad Prism 4.03, SPSS version 20 (IBM) or R (R Development Core Team, 2012). For all statistical tests: ** p < 0.001, p < 0.01, p < 0.05, not significant p > 0.05, except where actual p values given. Results α₁-δ-1 protein is not expressed in tissue from α₁-δ-1 knock-out mice We confirmed that α₁-δ-1 protein was absent from brain and skeletal muscle of α₁-δ-1−/− mice (Fig. 1A). In L-4 L5 DRGs, α₁-δ-1 was present in +/+ mice, and absent from α₁-δ-1−/− littermates, a result confirmed by deglycosylation of the samples, where the expected reduction in MW of the α₁-δ-1-immunoreactive band was seen in +/+ DRGs from ~150 kDa to ~105 kDa (Fig. 1B, lanes 2 and 4). In brain synaptosomes from α₁-δ-1−/− mice at 10 weeks old, we also found a reduced level of Ca₂,2 protein compared with littermate α₁-δ-1+/- tissue (a 25.4 ± 5.8% reduction from four independent experiments, p = 0.022), although this was not evident in whole brain (Fig. 1C). This result is indicative of reduced presynaptic levels of this channel in the absence of α₁-δ-1. A similar result was obtained in spinal cord synaptosomes, in which there was a reduction of Ca₂,2 protein in α₁-δ-1−/− compared with α₁-δ-1+/- tissue by 56.8 ± 9.9% (from four independent experiments, p = 0.0107; Fig. 1D). Deficits in behavioral responses to mechanical and innocuous cooling stimuli in α₁-δ-1−/− mice α₁-δ-1−/− mice and wild-type littermate controls were initially examined for behavioral differences in mechanical, cold, and thermal sensitivity. Mechanical sensitivity was tested using von Frey filaments, which were applied across the hindpaws. Significantly fewer withdrawals were observed in α₁-δ-1−/− mice in response to 0.16 g and 0.4 g filaments but not 0.07 g, the lowest weight tested (Fig. 2A). The α₁-δ-1−/− mice also displayed significantly fewer nocifensive behaviors in response to acetone application to the hindpaws as an evaporative cooling stimulus (Fig. 2B). Nociceptive reflexes to thermal stimulation were conducted... in lightly anesthetized mice, using infrared laser stimulation, which has been previously demonstrated to stimulate Aδ and C fibers selectively (Sikandar et al., 2013). There was no significant difference in noxious thermal withdrawal thresholds, as determined by infrared laser stimulation, between $\alpha_2\delta-1^{+/+}$ mice ($1.60 \pm 0.19$ s, $n = 10$) and $\alpha_2\delta-1^{-/-}$ mice ($1.89 \pm 0.20$ s, $n = 9$) ($p = 0.319$, Mann–Whitney $U$ test). Deficits in sensory coding of lamina V/VI dorsal horn neurons In vivo electrophysiology was performed to assess the impact of $\alpha_2\delta-1$ deletion on the spinal processing of a range of thermal and mechanical stimuli. All neurons characterized had receptive fields on the glabrous skin of the hind toes and were identified as WDR by confirming responses to light brushing, noxious punctate mechanical stimulation, and thermal stimulation. Neurons were characterized from similar depths, corresponding to deep dorsal horn laminae ($\alpha_2\delta-1^{+/+}$, $516 \pm 26 \mu$m; $\alpha_2\delta-1^{-/-}$, $542 \pm 25 \mu$m). Deep dorsal horn neurons responded to mechanical and thermal stimulation in an intensity-dependent manner. The reduced behavioral response to punctate mechanical stimulation in $\alpha_2\delta-1^{-/-}$ mice (Fig. 2A) is corroborated by a deficit in mechanical --- Figure 1. Immunoblotting for $\alpha_2\delta-1$ and Ca$_{2.2}$ in $+/+$ and $-/-$ mice tissues. A, Comparison of $\alpha_2\delta-1$ levels in brain (left panel) and skeletal muscle (right panel) in $\alpha_2\delta-1^{-/-}$ (lanes 1, 3) and $\alpha_2\delta-1^{+/+}$ (lanes 2, 4). A total of 20 $\mu$g of protein was loaded/lane. No $\alpha_2\delta-1$ is observed in $\alpha_2\delta-1^{-/-}$ mice. Immunoblot for GAPDH (bottom panel) provides the loading control. B, $\alpha_2\delta-1$ levels in DRGs from $\alpha_2\delta-1^{-/-}$ (lanes 1, 3) and $\alpha_2\delta-1^{+/+}$ (lanes 2, 4) mice. Material (30 $\mu$g of protein/lane) in lanes 3 and 4 has been deglycosylated with PNGase F, showing the characteristic decrease in MW of $\alpha_2\delta-1$ from $\sim 150$ kDa (lane 2) to $\sim 105$ kDa (lane 4). No corresponding bands are observed in $\alpha_2\delta-1^{-/-}$ ganglia. GAPDH (bottom) provides a loading control. Data are representative of $n = 3$ experiments. C, Ca$_{2.2}$ levels in cerebral synaptosomes (left) and brain WCL (right) from $\alpha_2\delta-1^{-/-}$ (lanes 1, 3) and $\alpha_2\delta-1^{+/+}$ (lanes 2, 4) mice. GAPDH (bottom) provides a loading control for Ca$_{2.2}$ quantification. Data are representative of $n = 4$ experiments. D, Ca$_{2.2}$ levels in spinal cord synaptosomes (top) from $\alpha_2\delta-1^{-/-}$ (lane 1) and $\alpha_2\delta-1^{+/+}$ (lane 2) mice. GAPDH (bottom) provides a loading control for Ca$_{2.2}$ quantification. Data are representative of $n = 4$ experiments. Figure 2. Behavioral responses of $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ mice to mechanical, cooling, and thermal stimuli applied to the hindpaws. A, Withdrawal frequency to punctate mechanical stimulation applied using von Frey filaments. L, Left hindpaw; R, right hindpaw. $n = 14$. Data are semiquantitative between paw responses to acetone application (unpaired Student’s $t$ test with Welch’s correction, $df = 12$). No significant differences were observed between left and right responses within genotypes. $p < 0.05$; significant differences between respective paws between genotypes (Mann–Whitney $U$ test). $p < 0.01$; significant differences between respective paws between genotypes (Mann–Whitney $U$ test). Data represent mean ± SEM. coding of lamina V/VI neurons with significantly reduced neuronal responses to 1, 8, and 15 g stimulation (Fig. 3A). In addition, neuronal responses to dynamic brush stimulation were also attenuated (Fig. 3B, left). In contrast to the behavioral response to acetone-induced cooling (Fig. 2B), deep dorsal horn neuronal responses in $\alpha_6\delta-1^{-/-}$ mice were not different from the $\alpha_6\delta-1^{+/+}$ controls (Fig. 3B, right). However, only 5 of 17 $\alpha_6\delta-1^{+/+}$ neurons and 5 of 19 $\alpha_6\delta-1^{-/-}$ neurons were responsive to cooling, consistent with previous reports of minimal cold sensitivity in this temperature range in rat deep dorsal horn neurons (Khasabov et al., 2001). No significant difference in thermal coding of lamina V/VI neurons was observed in $\alpha_6\delta-1^{-/-}$ mice (Fig. 3C), supporting our earlier observation of unaltered thermal withdrawal thresholds. Electrical thresholds for activation of A and C fibers were indistinguishable between the genotypes (Fig. 3D). After repeated suprathreshold electrical stimulation of the receptive field (16 stimuli, 2 ms pulse, 0.5 Hz), the cumulative total of neuronal events evoked by A and C fiber stimulation was not affected in $\alpha_6\delta-1^{-/-}$ mice (Fig. 3E,F). Lamina V/VI neurons from $\alpha_6\delta-1^{+/+}$ and $\alpha_6\delta-1^{-/-}$ exhibited a similar rate of windup (Fig. 3E), in addition to a similar total windup (Fig. 3F). Windup is an NMDA-dependent phenomenon where dorsal horn neurons become hyperexcitable after repeated C fiber stimulation (Dickenson and Sullivan, 1987). However, “input,” the nonpotentiated response, more indicative of presynaptic events, and the post-discharge, a property of spinal neurons, were significantly decreased in $\alpha_6\delta-1^{-/-}$ mice (Fig. 3F). DRG neurons from $\alpha_6\delta-1^{+/+}$ and $\alpha_6\delta-1^{-/-}$ mice are not different in their expression of neurofilaments* DRG neurons are highly heterogeneous in their sensory properties and physiological function. They can be grouped into distinct subpopulations by many different criteria, for example, according to their differential expression of neurofilaments, a component of the cytoskeleton (Goldstein et al., 1991; Ruscheweyh et al., 2007). We used immunohistochemical methods to visualize the expression of the intermediate filaments peripherin and NF200 in DRG sections from $\alpha_6\delta-1^{+/+}$ and $\alpha_6\delta-1^{-/-}$ mice. Peripherin is expressed in nonmyelinated nociceptive C fibers, whereas NF200 is expressed in myelinated nociceptive and non-nociceptive A fibers (Ruscheweyh et al., 2007). The majority of cell bodies in $\alpha_6\delta-1^{-/-}$ L4 DRG sections showed positive staining for either peripherin or NF200, with a small number of cells showing staining for both intermediate filaments (Fig. 4A). The proportion of cells that were peripherin-positive (~60%), NF200-positive (~40%), or positive for both neurofilaments (~4%) was not significantly different in L4 DRG sections from $\alpha_6\delta-1^{+/+}$ compared with $\alpha_6\delta-1^{-/-}$ mice (Fig. 4B), and is similar to the proportional staining reported by others for mice (Quick et al., 2012). These results show that the proportion of unmyelinated C-fibers and myelated A-fibers is unchanged by the ablation of $\alpha_6\delta-1$. Normal numbers of sensory neuron axons in the skin of $\alpha_6\delta-1^{-/-}$ mice We examined the peripheral innervation of sensory fibers and observed no difference in density of PGP 9.5-positive axons crossing the dermal–epidermal boundary, in agreement with the lack of gross differences between DRG neurons in $\alpha_6\delta-1^{+/+}$ and $\alpha_6\delta-1^{-/-}$ mice. For $\alpha_6\delta-1^{+/+}$ mice, there were $30.4 \pm 1.7$ axons/mm of epidermis; and for $\alpha_6\delta-1^{-/-}$ mice, there were $28.6 \pm 5.4$ axons/mm, crossing the dermal–epidermal boundary ($n = 4$ mice, 3 sections per mouse; Fig. 4C,D). DRG neurons from $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ mice differ in their responsiveness to TRP channel agonists Sensory neurons are broadly divided into mechanoreceptors, thermoreceptors, and nociceptors, and the differential expression of TRP channels is responsible for many of their distinctive somatosensory properties (Hjerling-Leffler et al., 2007). As shown in Figure 5A, we examined these properties by using Ca$^{2+}$ imaging while exposing DRG neurons from $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ mice to sequential application of different TRP channel agonists. In the first set of experiments, MO (100 $\mu$M, 20 s) was applied to activate TRPA1, followed by menthol (ME, 500 $\mu$M, 30 s) to activate TRPM8, and finally capsaicin (CAPS or C, 1 $\mu$M, 10 s) to activate TRPV1. After the final agonist application, cells were stimulated with high potassium (K, 60 mM, 10 s) to assess cell viability. In a second set of experiments, another TRPA1 agonist CA was also applied. The agonist sequence in the second set was 250 $\mu$M ME for 30 s, followed by 100 $\mu$M CA for 60 s, followed by 1 $\mu$M CAPS for 5 s. As shown in Figure 5B, the proportion of $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ cells responding to MO (applied in the first agonist sequence) was not significantly different. Furthermore, the proportion of $\alpha_2\delta-1^{+/+}$ cells and $\alpha_2\delta-1^{-/-}$ cells responding to 100 $\mu$M CA in the second agonist sequence was also not significantly different (49.6 ± 4.6% of $\alpha_2\delta-1^{+/+}$ cells; $n = 17$ coverslips), compared with 50.6 ± 3.4% of $\alpha_2\delta-1^{-/-}$ cells ($n = 19$ coverslips). In contrast, a significantly higher proportion of $\alpha_2\delta-1^{-/-}$ cells responded to CAPS (Fig. 5B; a 27% increase, data pooled from both agonist sequences). Furthermore, a significantly lower proportion of $\alpha_2\delta-1^{-/-}$ cells responded to ME (250 or 500 $\mu$M for 30 s) compared with $\alpha_2\delta-1^{+/+}$ cells (Fig. 5B; a 33% decrease, data pooled from both agonist sequences). To determine whether the changes in proportion of cells responding to CAPS and ME reflected an altered sensitivity to agonist, or a change in the number of DRG neurons expressing these receptors, we next compared the amplitude of TRP channel agonist responses measured in $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ DRG neurons. As shown in Figure 5C, MO, CA, and CAPS all evoked a significantly higher fura-2 AM ratio peak in $\alpha_2\delta-1^{-/-}$ compared with $\alpha_2\delta-1^{+/+}$ cells. In contrast, there was no significant difference in the peak response between $\alpha_2\delta-1^{-/-}$ and $\alpha_2\delta-1^{+/+}$ cells evoked by either 250 $\mu$M ME (Fig. 5C) or 500 $\mu$M ME (ratio in $\alpha_2\delta-1^{+/+}$ cells: 2.28 ± 0.14, $n = 33$; ratio in $\alpha_2\delta-1^{-/-}$ cells: 2.51 ± 0.31, $n = 21$). There was also no significant difference in the peak response between $\alpha_2\delta-1^{-/-}$ and $\alpha_2\delta-1^{+/+}$ DRGs evoked by 30 s application of 20 $\mu$M WS-12, a menthol derivative (Bodding et al., 2007). The ratio was 2.21 ± 0.28 ($n = 9$) and 2.66 ± 0.13 ($n = 19$) in $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ cells, respectively ($p = 0.11$). This suggests that the loss of $\alpha_2\delta-1$ does not affect the function of TRPM8 channels and is not the reason for the smaller number of cells responding to ME. Furthermore, we found no significant change in TRPM8, TRPA1, or TRPV1 mRNA levels, in $\alpha_2\delta-1^{-/-}$ compared with $\alpha_2\delta-1^{+/+}$ DRGs (Fig. 6A), suggesting that compensatory changes in receptor expression are not responsible for the differences between $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ cells observed in the Ca$^{2+}$ imaging experiments. In Figure 4. Sensory neuronal subpopulations and terminals in the skin are not different between $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ DRGs. A, Representative double immunofluorescence staining for the neuronal intermediate filaments peripherin (green) and NF200 (red) in an L4 DRG section from an $\alpha_2\delta-1^{-/-}$ mouse. The majority of cell bodies are positive for peripherin or NF200, with a small number of cells showing staining for both intermediate filament types (yellow). B, Quantification of peripherin (black bars), NF200 (white bars), and staining for both intermediate filament types (both, gray) in L4 DRGs from $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ mice, shown as percentage of cells stained per section. Data represent mean ± SEM. Statistical analysis was as follows: unpaired Student’s t test comparing $n = 14$ $+/+$ with $n = 13$ $-/-$ sections from four mice, respectively; $p = 0.727$ for peripherin, $p = 0.073$ for NF200, $p = 0.70$ for both. C, D, Images of PGP 9.5-positive axons crossing the dermal–epidermal boundary of glabrous skin in an $\alpha_2\delta-1^{+/+}$ (C) and $\alpha_2\delta-1^{-/-}$ (D) mice. The dermal–epidermal junction is represented by the dotted line. Positive nerve profiles (stained with PGP 9.5 in red) crossing the dermal–epidermal junction are counted (arrows). Scale bar, 20 $\mu$m. Figure 5. TRPA1, TRPV1, and TRPM8 responses in $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ DRG neurons. A, Representative traces showing changes in cytoplasmic Ca$^{2+}$ activity (fura-2 AM fluorescence ratio ($F_{340}/F_{380}$)) in response to the TRPA1 agonist MO (100 $\mu$M, applied for 20 s), the TRPM8 agonist ME (500 $\mu$M, 30 s), the TRPV1 agonist CAPS (1 $\mu$M, 10 s), and 60 mM K$^+$ (K, 10 s) in $\alpha_2\delta-1^{+/+}$ neurons. B, Quantification of percentage of $\alpha_2\delta-1^{+/+}$ (black bars) and $\alpha_2\delta-1^{-/-}$ (white bars) DRG neurons responding to MO (100 $\mu$M for 20 s, left), CAPS (1 $\mu$M for 5 or 10 s, middle), and ME (250 or 500 $\mu$M for 30 s, right). The number of responses to each agonist was normalized to number of responses to 60 mM K$^+$ per overslip. Error bars indicate SEM. Statistical analysis was as follows: unpaired Student’s t test comparing $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ responses: MO response, $p = 0.93$ ($n = 13$ $\alpha_2\delta-1^{+/+}$ and $n = 18$ $\alpha_2\delta-1^{-/-}$ overslips); CAPS response, $p = 0.005$ ($n = 29$ $\alpha_2\delta-1^{+/+}$ and $n = 36$ $\alpha_2\delta-1^{-/-}$ overslips); ME response, $p = 0.028$ ($n = 30$ $\alpha_2\delta-1^{+/+}$ and $n = 37$ $\alpha_2\delta-1^{-/-}$ overslips). In total, $n = 308$ $\alpha_2\delta-1^{+/+}$ cells and $n = 341$ $\alpha_2\delta-1^{-/-}$ cells were analyzed. C, Peak fura-2 AM fluorescence ratio (peak ratio; $(F_{340}/F_{380})$) for MO, CA, CAPS, and ME response. Error bars indicate SEM. Statistical analysis was as follows: unpaired Student’s t test, comparing $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ neurons: MO peak response, $p = 0.003$ ($n = 290$ $\alpha_2\delta-1^{+/+}$, $n = 247$ $\alpha_2\delta-1^{-/-}$ neurons); CA peak response, $p = 0.0002$ ($n = 230$ $\alpha_2\delta-1^{+/+}$, $n = 325$ $\alpha_2\delta-1^{-/-}$ neurons); CAPS peak response, $p = 0.011$ ($n = 189$ $\alpha_2\delta-1^{+/+}$, $n = 191$ $\alpha_2\delta-1^{-/-}$ neurons); ME peak response (250 $\mu$M), $p = 0.98$ ($n = 55$ $\alpha_2\delta-1^{+/+}$, $n = 49$ $\alpha_2\delta-1^{-/-}$ neurons). * $p < 0.05$, $p < 0.01$, * $p < 0.001$. Figure 6. TRP channel mRNA and protein expression. A, TRPM8, TRPA1, and TRPV1 mRNA levels in $\alpha_2\delta-1^{-/-}$ (white bar) and $\alpha_2\delta-1^{+/+}$ (black bar) DRGs ($n = 3$), normalized to the mean $\alpha_2\delta-1^{-/-}$ mRNA values. B, C, TRPM8 (B) and TRPV1 (C) expression, after transfection in tsA-201 cells, detected by their associated myc tag (top), was not affected by coexpression of $\alpha_2\delta-1$ (lane 1), compared with a control protein $\beta$-tubulin (lane 2). No signal was observed in WCL from untransfected (U/T) tsA-201 cells (lane 3). Bottom, GAPDH loading controls. C, $\alpha_2\delta-1$ expression is also shown (middle). All lanes are from the same gel. Data are representative of $n = 2$ experiments. In addition, there was no effect of $\alpha_2\delta-1$ coexpression on TRPM8 or TRPV1 expression levels when they were coexpressed in tsA-201 cells (Fig. 6 B,C). Piezo2 has been shown to be involved in mechanosensation (Coste et al., 2012) and in mechanical allodynia (Eijkelkamp et al., 2013). However, we found that the Piezo2 mRNA levels were not altered in DRGs from $\alpha_2\delta-1^{-/-}$ mice, the level being 94.7 ± 7.8% in $\alpha_2\delta-1^{-/-}$ DRGs, relative to $\alpha_2\delta-1$ DRGs ($n = 3$; unpaired t test, $p = 0.62$). Calcium channel currents are reduced in DRGs from $\alpha_2\delta-1^{-/-}$ compared with $\alpha_2\delta-1^{+/+}$ mice Calcium channel currents were recorded using 2 mm Ba$^{2+}$ as the charge carrier, from small and medium DRG neurons, cultured... from $\alpha_2\delta-1^{-/-}$ and $\alpha_2\delta-1^{+/+}$ mice (Fig. 7). Current density–voltage (I–V) relationships were measured 30 ms after the start of depolarization (Fig. 7A,B). The peak current density was 27% smaller at 0 mV and 30% smaller at 10 mV, in $\alpha_2\delta-1^{-/-}$ compared with $\alpha_2\delta-1^{+/+}$ DRG neurons, but there was no significant shift in the voltage dependence of activation of the currents. In experiments using $\omega$-conotoxin GVIA (1 μM) to block N-type currents (Fig. 7C,D), this toxin inhibited the peak Ba$^{2+}$ currents in $\alpha_2\delta-1^{+/+}$ DRGs by 51% at 0 mV, (54% at 10 mV), and that in $\alpha_2\delta-1^{-/-}$ DRGs by 55% at 0 mV (52% at 10 mV) (compare Fig. 7A with Fig. 7C), indicating that there is a similar component of N-type current in $\alpha_2\delta-1^{-/-}$ and $\alpha_2\delta-1^{+/+}$ DRG somata. $\alpha_2\delta-1^{-/-}$ mice develop delayed mechanical hypersensitivity after PSNL We next sought to examine the development of mechanical and cold hypersensitivity in the absence of $\alpha_2\delta-1$, as the upregulation of this subunit has been shown to correlate with the development of neuropathic-like behaviors (Li et al., 2004). Baseline testing was performed 5 d before PSNL surgery and then repeated on postoperative days 3, 7, 9, 11, and 14. After surgery, mice groomed normally and maintained presurgery body weights. The $\alpha_2\delta-1^{+/+}$ mice developed rapid mechanical hypersensitivity on the injured side after PSNL, with significant increases in withdrawal frequency to the 0.4 g von Frey filament, compared with contralateral responses from day 3 onwards, and to $\alpha_2\delta-1^{+/+}$ sham responses from day 7 onwards (Fig. 8A). The ipsilateral withdrawal frequencies for $\alpha_2\delta-1^{-/-}$ mice were reduced compared with $\alpha_2\delta-1^{+/+}$ mice at days 3, 7, 9, and 11 and only differed from contralateral responses from day 11 onwards (Fig. 8B). The $\alpha_2\delta-1^{+/+}$ sham mice did not display any behavioral changes after surgery for the duration of the 2 week observation period (Fig. 8C). Cold hypersensitivity after PSNL was not markedly altered in $\alpha_2\delta-1^{-/-}$ mice, and was an infrequent occurrence after surgery in both genotypes. The $\alpha_2\delta-1^{+/+}$ ipsilateral responses differed significantly from the contralateral responses on days 11 and 14 (Fig. 8D), $\alpha_2\delta-1^{-/-}$ ipsilateral responses differed significantly from the contralateral responses on days 3, 7, and 9 (Fig. 8E); however, no significant difference was observed between the $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ ipsilateral responses. The $\alpha_2\delta-1^{+/+}$ sham ipsilateral responses did not differ from the contralateral side (Fig. 8F). Anti-hyperalgesic efficacy of pregabalin is lost in $\alpha_2\delta-1^{-/-}$ mice after PSNL The ability of pregabalin to attenuate mechanical hypersensitivity was examined in $\alpha_2\delta-1^{+/+}$ and $\alpha_2\delta-1^{-/-}$ 14 d after PSNL. Mechanical hypersensitivity was tested before administration of either vehicle or 10 mg/kg pregabalin, and repeated 30, 60, and 90 min after dosing. In $\alpha_2\delta-1^{-/-}$ mice, pregabalin reduced withdrawal frequency on the injured ipsilateral side compared with predrug values at 30 min after dosing, and to the vehicle-treated group at 30 and 60 min after dosing. Contralateral responses were not altered by vehicle or pregabalin treatment (Fig. 8G). In $\alpha_2\delta-1^{-/-}$ mice, pregabalin did not affect mechanical hypersensitivity compared with predrug withdrawal frequencies or the vehicle-treated group. Contralateral responses were also unaffected by both treatments (Fig. 8H). $\alpha_2\delta-1$ mRNA is upregulated after PSNL in $\alpha_2\delta-1^{+/+}$ DRGs, but other Ca$_{v}$ auxiliary subunits do not compensate for $\alpha_2\delta-1$ in $-/-$ DRGs Nerve injury in animal models of chronic pain causes changes in the expression of a plethora of genes and their gene products (Costigan et al., 2002). These changes include the upregulation of $\alpha_2\delta-1$ (Newton et al., 2001). Using quantitative PCR... 14 d after PSNL, we found that the $\alpha_2\delta-1$ mRNA level was significantly increased by >100% in ipsilateral L3–L5 DRGs from $\alpha_2\delta-1^{+/+}$ mice compared with sham–operated $\alpha_2\delta-1^{+/+}$ mice (Fig. 9A). We next investigated the expression of the other two $\alpha_2\delta$ isoforms present in DRGs (i.e., $\alpha_2\delta-2$ and $\alpha_2\delta-3$). We found that their expression level did not change in $\alpha_2\delta-1^{+/+}$ mice after PSNL compared with $\alpha_2\delta-1^{+/+}$ mice after sham surgery (Fig. 9B,C, black bars). Moreover, the expression levels of $\alpha_2\delta-2$ and $\alpha_2\delta-3$ mRNA in $\alpha_2\delta-1^{-/-}$ PSNL mice were not significantly different from the levels found in $\alpha_2\delta-1^{+/+}$ sham and PSNL mice (Figs. 9B,C, white bar compared with black PSNL bar). This indicates that neither of the Figure 8. Development of mechanical and cold hypersensitivity after PSNL. The same legend applies for all data. ■ represents the ipsilateral side; and □ represents the contralateral side. A, Increased frequency of ipsilateral withdrawals to mechanical stimulation (0.4 g von Frey) compared with contralateral for $\alpha_2\delta-1^{-/-}$ group. B, Delayed increase in frequency of ipsilateral withdrawals with mechanical stimulation compared with contralateral for $\alpha_2\delta-1^{-/-}$ group. C, Unaltered frequency of ipsilateral withdrawals to mechanical stimulation compared with contralateral for $\alpha_2\delta-1^{+/+}$ sham group (Kruskal–Wallis, paired comparisons made with Dunn’s post hoc test and Bonferroni correction), $n$ for +/+ = 16, $n$ for −/− = 16, $n$ for +/+ sham-operated = 10. D, Increased duration of $\alpha_2\delta-1^{+/+}$ ipsilateral response to cooling stimulation compared with contralateral. E, Increased duration of $\alpha_2\delta-1^{-/-}$ ipsilateral response to cooling stimulation compared with contralateral. F, Unaltered duration of $\alpha_2\delta-1^{+/+}$ sham ipsilateral response to cooling stimulation compared with contralateral (two-way repeated measures ANOVA, paired comparisons made with Bonferroni’s post hoc test), $n$ for +/+ = 11, $n$ for −/− = 13, $n$ for +/+ sham = 7. Statistically significant differences between ipsilateral and contralateral. G, Statistically significant differences between ipsilateral and contralateral in $\alpha_2\delta-1^{+/+}$ mice. H, Statistically significant differences between ipsilateral and contralateral in $\alpha_2\delta-1^{-/-}$ mice (symbols given in key above). I, Friedman test $p < 0.01$, paired comparisons made with Wilcoxon test, $n = 6$ for all groups. Statistically significant difference of response in pregabalin-treated mice, compared with predrug withdrawal frequency. J, Statistically significant differences between ipsilateral vehicle-treated and ipsilateral pregabalin-treated responses; $p < 0.05$. $p < 0.01$. $p < 0.001$. Data represent mean ± SEM. PGB, Pregabalin; Ipsi, ipsilateral; Contra, contralateral. K, Efficacy of pregabalin is lost in $\alpha_2\delta-1^{-/-}$ mice; $n$ for vehicle = 6, $n$ for pregabalin-treated = 7. other two $\alpha_3\delta$ isoforms compensates for the absence of $\alpha_3\delta-1$ upregulation after PSNL in $\alpha_3\delta-1^{-/-}$ mice. Ca$_{v}$$\beta 3$, which is the main $\beta$ subunit in rat DRGs, and has been found in one study to be upregulated in rat DRGs after SNL (Li et al., 2012); however, here we found the $\beta 3$ mRNA level was not altered in DRGs by PSNL, either in $\alpha_3\delta-1^{+/+}$ or $\alpha_3\delta-1^{-/-}$ mice (Fig. 9D). Investigation of TRP channel mRNA levels in $\alpha_3\delta-1^{+/+}$ and $\alpha_3\delta-1^{-/-}$ DRGs after PSNL We compared mRNA levels for TRPM8, TRPA1, and TRPV1 in $\alpha_3\delta-1^{+/+}$ and $\alpha_3\delta-1^{-/-}$ DRGs, normalizing the data on the ipsilateral side after PSNL to that on the corresponding contralateral side. We found that TRPM8 mRNA was significantly reduced ipsilateral to PSNL compared with the level in the corresponding contralateral DRGs, as previously observed for another nerve injury model (Caspani et al., 2009), but there was a smaller reduction in the $\alpha_3\delta-1^{-/-}$ than in $\alpha_3\delta-1^{+/+}$ DRGs (Fig. 9E). ATF3 mRNA and NPY protein are upregulated normally after PSNL in $\alpha_3\delta-1^{-/-}$ DRGs We next compared the mRNA levels of ATF3, a neuronal marker for nerve injury (Tsujino et al., 2000), in $\alpha_3\delta-1^{+/+}$ and $\alpha_3\delta-1^{-/-}$ DRGs. We found that, 14 d after PSNL, ATF3 mRNA was significantly upregulated in both $\alpha_3\delta-1^{+/+}$ and $\alpha_3\delta-1^{-/-}$ DRGs compared with DRGs taken from $\alpha_3\delta-1^{+/+}$ sham-operated mice (Fig. 10A). Moreover, the upregulation of ATF3 in $\alpha_3\delta-1^{-/-}$ DRGs was not significantly different from the upregulation in $\alpha_3\delta-1^{+/+}$ tissue. Immunofluorescence staining in DRGs 14 d after PSNL confirmed the ipsilateral upregulation of $\alpha_3\delta-1$ (green) in $\alpha_3\delta-1^{+/+}$ L4 DRGs compared with the contralateral side (Fig. 10B, upper row, first and third panels). There was no detectable $\alpha_3\delta-1$ staining in sections of ipsilateral or contralateral L4 DRGs from $\alpha_3\delta-1^{-/-}$ mice (Fig. 10B, upper row, second and fourth panels). Staining for neuropeptide Y (NPY, red), another marker for nerve injury (Wakisaka et al., 1992; Ruscheweyh et al., 2007) in the same sections, showed that NPY was upregulated in the ipsilateral DRGs from both $\alpha_3\delta-1^{+/+}$ and $\alpha_3\delta-1^{-/-}$ mice (Fig. 10B, lower row, first and second panels), whereas the staining was virtually absent from the contralateral side (Fig. 10B, lower row, third and fourth panels). We then quantified the NPY staining by counting the number of NPY-positive cells per section (Fig. 10C). There was no significant difference in the number of NPY-positive cells in ipsilateral and contralateral sections from L3–L5 DRGs from $\alpha_3\delta-1^{+/+}$ compared with $\alpha_3\delta-1^{-/-}$ mice 14 d after PSNL. The quantification also showed that PSNL mainly affected the L3 and L4 DRG neurons and axons. Discussion This study examined whether $\alpha_3\delta-1$ is involved in baseline somatosensory functions and in development of neuropathic pain. We found that $\alpha_3\delta-1$ knock-out mice show markedly reduced behavioral sensitivity to mechanical and cold stimuli, with no change in withdrawal threshold for noxious heat. $\alpha_3\delta-1$ is expressed in most excitable tissues, including peripheral and central neurons (Cole et al., 2005; Taylor and Garrido, 2008). In this global $\alpha_3\delta-1$ knock-out model, altered behavioral sensitivity could therefore be attributed to differences in supraspinal circuits as well as spinal and somatosensory neurons. Our data strongly support a peripheral and spinal role for $\alpha_3\delta-1$ in modulating sensitivity to these stimuli. The behavioral profile was, in part, reflected by attenuated mechanical responses of dorsal horn neu- --- Figure 9. PSNL-mediated ipsilateral changes of mRNA of neuropeathy markers in $\alpha_3\delta-1^{+/+}$ and $\alpha_3\delta-1^{-/-}$ DRGs. The legend applies to all parts of the figure. A, Q-PCR results for $\alpha_3\delta-1$ mRNA levels (fold expression (norm$_{\text{contra}}$)) in pooled L3–L5 ipsilateral DRGs from sham-operated ($n = 9$) or PSNL-operated ($n = 7$) $\alpha_3\delta-1^{+/+}$ mice (black bars) or PSNL-operated $\alpha_3\delta-1^{-/-}$ mice (white bar, $n = 7$), 14 d after surgery. Data are normalized to the respective contralateral side. Error bars indicate SEM. Statistical analysis was performed using one-way ANOVA with $p = 0.005$ using Bonferroni’s post test. No data are included for the $\alpha_3\delta-1^{-/-}$ DRGs because of the gene disruption. B, Q-PCR results for $\alpha_3\delta-2$ mRNA levels (fold expression (norm$_{\text{contra}}$)) in pooled L3–L5 ipsilateral DRGs from sham-operated ($n = 9$) or PSNL-operated ($n = 7$) $\alpha_3\delta-1^{+/+}$ mice (black bars) or PSNL-operated $\alpha_3\delta-1^{-/-}$ mice (white bar, $n = 7$), 14 d after surgery. Data are normalized to the respective contralateral side. Error bars indicate SEM. Statistical analysis: one-way ANOVA with $p = 0.11$. C, Q-PCR results for $\alpha_3\delta-3$ mRNA levels (fold expression (norm$_{\text{contra}}$)) in pooled L3–L5 ipsilateral DRGs from sham-operated ($n = 9$) or PSNL-operated ($n = 7$) $\alpha_3\delta-1^{+/+}$ mice (black bars) or PSNL-operated $\alpha_3\delta-1^{-/-}$ mice (white bar, $n = 7$), 14 d after surgery. Data are normalized to the respective contralateral side. Error bars indicate SEM. Statistical analysis: one-way ANOVA with $p = 0.21$. D, Q-PCR results for $\beta 3$ mRNA levels (fold expression (norm$_{\text{contra}}$)) in pooled L3–L5 ipsilateral DRGs from sham-operated ($n = 9$) or PSNL-operated ($n = 7$) $\alpha_3\delta-1^{+/+}$ mice (black bars) or PSNL-operated $\alpha_3\delta-1^{-/-}$ mice (white bar, $n = 6$), 14 d after surgery. Data are normalized to the respective contralateral side. Error bars indicate SEM. Statistical analysis: one-way ANOVA with Bonferroni’s multiple-comparison test, $p > 0.05$ for all comparisons. E, Q-PCR results for TRPM8, TRPA1, and TRPV1 mRNA levels (fold expression) in pooled L3–L5 ipsilateral DRGs from PSNL-operated $\alpha_3\delta-1^{+/+}$ mice (black bars, $n = 3$) or PSNL-operated $\alpha_3\delta-1^{-/-}$ mice (white bars, $n = 3$), 14 d after surgery. Data are normalized to the respective contralateral side. Error bars indicate SEM. Statistical analysis shows that TRPM8 mRNA ratios for $\alpha_3\delta-1^{+/+}$ and $\alpha_3\delta-1^{-/-}$ DRGs are significantly less than a theoretical value of 1; $tp = 0.0002$ and $p = 0.0142$, respectively (one-sample t test). The difference between $\alpha_3\delta-1^{+/+}$ and $\alpha_3\delta-1^{-/-}$ TRPM8 ratios is also statistically significant: $tp = 0.008$ (Student’s t test). Figure 10. PSNL-mediated ipsilateral changes of mRNA and protein levels of neuropathy markers in $\alpha_5\delta-1^{+/+}$ and $\alpha_5\delta-1^{-/-}$ DRGs. A, qPCR results for ATF3 mRNA levels (fold expression) in pooled L3-L5 ipsilateral DRGs from sham-operated ($n = 9$) or PSNL-operated ($n = 7$) $\alpha_5\delta-1^{+/+}$ mice (black bars) or PSNL-operated $\alpha_5\delta-1^{-/-}$ mice (white bar; $n = 7$) 14 d after surgery. Data are normalized to the respective contralateral side. $p < 0.001$ (one-way ANOVA and Bonferroni’s post hoc test). ATF3 mRNA levels in PSNL-operated $\alpha_5\delta-1^{-/-}$ were not significantly different from PSNL-operated $\alpha_5\delta-1^{+/+}$ mice. B, Representative immunofluorescence images of ipsilateral (ipsi) and contralateral (contra) L4 DRG sections from $\alpha_5\delta-1^{+/+}$ and $\alpha_5\delta-1^{-/-}$ mice after PSNL. Double immunofluorescence staining for $\alpha_5\delta-1$ (green) and NPY (red); blue represents nuclear staining. Scale bar, 100 $\mu$m. C, Quantification of NPY-positive cells per section (number of NPY-positive cells/section) in ipsilateral and contralateral $\alpha_5\delta-1^{+/+}$ (black bars) and $\alpha_5\delta-1^{-/-}$ (white bars) L4-L5 DRGs 14 d after PSNL. Error bars indicate SEM. Statistical analysis was as follows: Student’s t-test comparing number of NPY-positive cells, $\alpha_5\delta-1^{+/+}$ vs $\alpha_5\delta-1^{-/-}$, L3 ipsi, $p = 0.97$; L3 contra, $p = 0.81$; L4 ipsi, $p = 0.97$; L4 contra, $p = 0.96$; L5 ipsi, $p = 0.92$; L5 contra, $p = 0.97$. D, Representative immunofluorescence images of ipsilateral (ipsi) L3, $p = 0.84$ ($n = 22$ $\alpha_5\delta-1^{+/+}$ sections; $n = 20$ $\alpha_5\delta-1^{-/-}$ sections); ipsilateral L5, $p = 0.37$ ($n = 13$ $\alpha_5\delta-1^{+/+}$ sections; $n = 13$ $\alpha_5\delta-1^{-/-}$ sections); contralateral L5, $p = 0.22$ ($n = 11$ $\alpha_5\delta-1^{+/+}$ sections; $n = 13$ $\alpha_5\delta-1^{-/-}$ sections); contra L4 contra, $p = 0.94$ ($n = 13$ $\alpha_5\delta-1^{+/+}$ sections; $n = 12$ $\alpha_5\delta-1^{-/-}$ sections); and contra L5, $p = 0.39$ ($n = 8$ $\alpha_5\delta-1^{+/+}$ sections; $n = 10$ $\alpha_5\delta-1^{-/-}$ sections). Rons, whereas thermal responses were unaffected. The lower presynaptic “input” after electrical stimulation in $\alpha_5\delta-1^{-/-}$ mice likely represents a decrease of synaptic transmitter release from primary afferents projecting to dorsal horn neurons, and the lack of change in windup also supports presynaptic alterations. However, there was no global reduction in primary afferent transmission via A and C-fibers, in terms of evoked responses and thresholds, suggesting no major changes in conduction of afferent nerves. In addition to its association with calcium channels, $\alpha_5\delta-1$ has also been shown to mediate excitatory synaptogenesis via interaction with thrombospondin (Eroglu et al., 2009). At the spinal level, $\alpha_5\delta-1$ is strongly expressed in presynaptic terminals of primary afferents terminating in the superficial laminae (Bauer et al., 2009), whereas lamina V/VI dorsal horn neurons receive both direct and indirect input from AB, Aδ, and C fibers. The present study does not directly address whether there are differences between $\alpha_5\delta-1^{+/+}$ and $\alpha_5\delta-1^{-/-}$ mice in primary afferent synapse numbers. This hypothesis is certainly feasible and will be examined in the future, although the modality-specific deficits argue against global synaptic dysregulation in the dorsal horn. It is of interest that the phenotype shown by $\alpha_5\delta-1^{-/-}$ mice (reduced mechanical and cold sensitivity, with no change in sensitivity to noxious heat) shows similarities with that observed in Na$_v$.1.7 knock-out mice (Abrahamsen et al., 2008), and when Na$_v$.1.7 is deleted selectively in Na$_v$.1.8-positive nociceptors (Minnett et al., 2012), TRPM8 is the principal detector of cold temperatures in mouse (Bautista et al., 2007; Colburn et al., 2007; Dhaka et al., 2007; Knowlton et al., 2013). Although these neurons constitute a minor proportion of all primary afferents, synaptic transmission in this population may be particularly dependent on $\alpha_5\delta-1$. To examine the basis for the observed modality-specific differences in response between the $\alpha_5\delta-1^{+/+}$ and $\alpha_5\delta-1^{-/-}$ mice, we examined the properties of the DRG neurons. Although gross differences were absent, when examining responses to TRP agonists, we found that the proportion of cultured DRG neurons responding to ME was significantly reduced in $\alpha_5\delta-1^{-/-}$ mice, agreeing with the marked reduction in behavioral response to acetone cooling in naive $\alpha_5\delta-1^{-/-}$ mice. Nevertheless, our experiments do not provide evidence that his effect was the result of a reduction in TRPM8 mRNA. Mechanoreceptors have recently been shown to be made up of Piezo proteins (Coste et al., 2012); however, the reduced baseline response to mechanical stimuli in $\alpha_5\delta-1^{-/-}$ mice was not a result of reduced Piezo2 mRNA. The sensor for noxious heat, TRPV1, is selectively expressed in small–medium DRG neurons (Kobayashi et al., 2005), which also express $\alpha_5\delta-1$ most strongly (Newton et al., 2001; Bauer et al., 2009). Surprisingly, we found an increase in the proportion of DRG neurons in $\alpha_5\delta-1^{-/-}$ mice responding to activation of TRPV1 receptors by CAPS in vitro and a small increase in the peak Ca$^{2+}$ response to CAPS. This difference is in contrast to the lack of change in behavioral threshold for elevated temperatures, and the lack of significant difference in AP response of WDR neurons to thermal stimulation. We hypothesize that this might represent a compensatory upregulation at the cellular level of TRPV1 receptor function in $\alpha_5\delta-1^{-/-}$ DRG neurons, to counteract the reduction in primary afferent transmission resulting from the loss of $\alpha_5\delta-1$ at central terminals. However, we found no change in TRPV1 mRNA level in $\alpha_5\delta-1^{-/-}$ DRGs, suggesting that there is no difference at the level of transcription, indicating that the basis for the increased response to CAPS in vitro may have a translational or post-translational basis. Interestingly, TRPV1 protein has been found to be upregulated in uninjured sensory neurons, after partial nerve injury (Kim et al., 2008). An alternative hypothesis to explain the reduction in baseline response to cooling and mechanical stimulation is that $\alpha_5\delta-1$ is involved directly in the function of TRPM8 receptors and mechanoreceptors. Whether $\alpha_2\delta-1$, which is transported to peripheral as well as central terminals of DRG neurons (Bauer et al., 2009), is associated directly with any of the channels involved in peripheral mechanosensation or cold sensation will be the subject of future experiments. We found, as expected, that $\alpha_2\delta-1^{-/-}$ DRG neurons exhibit significantly smaller calcium channel currents, but the proportion of N-type currents in the soma was similar between the genotypes, being 52–55%. DRG neurons have been found to contain a high proportion of N-type currents (50–70%) (Regan et al., 1991; Bell et al., 2004), together with I-type (Scroggs and Fox, 1991), T-type (in some subclones, Carbone and Lux, 1984; Scroggs and Fox, 1992; Bell et al., 2004), and a small amount of P-type (Saugusa et al., 2001). We also found a reduced level of Ca$_{v}$.2.2 protein in brain and spinal cord synaptosomes, in agreement with the hypothesis that $\alpha_2\delta$ is important for trafficking Ca$_{v}$ channels to presynaptic terminals (Hoppa et al., 2012). We have recently found that $\alpha_2\delta$ subunits play a key role in shaping DRG neuronal action potentials, with overexpression of $\alpha_2\delta-1$ shortening action potential duration (Hoppa et al., 2012). The mechanism may involve the known ability of $\alpha_2\delta-1$ to influence calcium current kinetics (Félix et al., 1997; Cantí et al., 2003; Tuluc et al., 2007) or the coupling of calcium channels to particular K$^+$ channels associated with action potential repolarization (Hoppa et al., 2012). DRG neurons show a spectrum of action potential duration, C-nociceptors showing the longest and A$\alpha/\beta$ fibers the shortest duration. Action potential duration is inversely correlated with maximal firing frequency (Lawson, 2002). Thus upregulation of $\alpha_2\delta-1$ after nerve injury may allow DRGs to support an increased spontaneous action potential firing frequency and increased transmitter release in a DRG subtype-selective manner, an adaptive response that would be absent from $\alpha_2\delta-1^{-/-}$ mice. After chronic sensory nerve injury, the $\alpha_2\delta-1^{-/-}$ mice show a marked delay in the development of mechanical hypersensitivity in the affected limb, with a significant difference between the ipsilateral and contralateral side only being observed at 11 d after PSNL, whereas for WT mice this difference was evident at the first time point measured (3 d). This implicates $\alpha_2\delta-1$ in the early establishment of chronic pain, but that other factors must also be involved in the development of central neuroplasticity leading to a long-term neuropathic state, Together with the deficit in baseline mechanical responses in naive $\alpha_2\delta-1^{-/-}$ mice, this suggests that synaptic transmission between the mechanosensitive DRG neurons and dorsal horn neurons is particularly sensitive to the loss of $\alpha_2\delta-1$ from primary afferent terminals. We previously identified two mechanisms whereby $\alpha_2\delta$ subunits increase synaptic transmission (Hoppa et al., 2012). In hippocampal neurons, $\alpha_2\delta$ subunits increased the trafficking of Ca$_{v}$.2.1 from cell body to synaptic boutons, although it was not determined whether more channels were inserted into the plasma membrane, as occurs in expression systems (Hendrich et al., 2008). Second, $\alpha_2\delta$ subunits increased synaptic vesicle release probability after an action potential, interpreted as increasing the proximity of channels to active zone release sites, involving local channel organization into slots associated with vesicular release (Hoppa et al., 2012). There is an increasing body of evidence that the elevation of the $\alpha_2\delta-1$ subunit after nerve injury is key to the mechanism of action of the gabapentinoid drugs in neuropathic pain (Field et al., 2006; Dolphin, 2012). It is therefore likely that these drugs act on multiple $\alpha_2\delta$-mediated trafficking processes (Hendrich et al., 2008; Tran-Van-Minh and Dolphin, 2010), which have different time courses \textit{in vivo}, an effect on $\alpha_2\delta-1$-associated channel trafficking from DRG somata to presynaptic terminal (Bauer et al., 2009), being a slower process than modification of channel localization/recycling at the active zone. Another action of gabapentin is to inhibit synaptogenesis via interference with $\alpha_2\delta-1$-thrombospondin interactions (Eroglu et al., 2009), although it is unclear how this mechanism would participate in the observed rapid reduction in mechanical hypersensitivity. In addition, there are other permissive processes for the actions of gabapentinoids (Fehrenbacher et al., 2003; Suzuki et al., 2005; Doyon et al., 2013). 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Chevallard, J, Curtis-Lake, E, Charlot, S, Ferruit, P, Giardino, G, Franx, M, Maseda, MV, Amorin, R, Arribas, S, Bunker, A, Carniani, S, Husemann, B, Jakobsen, P, Maiolino, R, Pforr, J, Rawle, TD, Rix, H-W, Smit, R and Willott, CJ Simulating and interpreting deep observations in the Hubble Ultra Deep Field with the JWST/NIRSpec low-resolution 'prism' http://researchonline.ljmu.ac.uk/id/eprint/13157/ Article Citation (please note it is advisable to refer to the publisher's version if you intend to cite from this work) Chevallard, J, Curtis-Lake, E, Charlot, S, Ferruit, P, Giardino, G, Franx, M, Maseda, MV, Amorin, R, Arribas, S, Bunker, A, Carniani, S, Husemann, B, Jakobsen, P, Maiolino, R, Pforr, J, Rawle, TD, Rix, H-W, Smit, R and Willott, CJ (2018) Simulating and interpreting deep observations in the Hubble Ultra LJMU has developed LJMU Research Online for users to access the research output of the University more effectively. 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For more information please contact email@example.com http://researchonline.ljmu.ac.uk/ http://researchonline.ljmu.ac.uk/ Simulating and interpreting deep observations in the Hubble Ultra Deep Field with the JWST/NIRSpec low-resolution ‘prism’ Jacopo Chevallard$^1$, Emma Curtis-Lake,$^2$ Stéphane Charlot,$^2$ Pierre Ferruit,$^1$ Giovanna Giardino,$^1$ Marijn Franx,$^3$ Michael V. Maseda,$^3$ Ricardo Amorin$^4,5$ Santiago Arribas,$^6$ Andy Bunker,$^7$ Stefano Carniani,$^5,6$ Bernd Husemann$^8$ Peter Jakobsen,$^9$ Roberto Maiolino,$^5,6$ Janine Pforr,$^1$ Timothy D. Rawle,$^10$ Hans-Walter Rix,$^8$ Renske Smit$^5,6$ and Chris J. Willott$^{11}$ $^1$Scientific Support Office, Directorate of Science and Robotic Exploration, ESA/ESTEC, Keplerlaan 1, NL-2201 AZ Noordwijk, the Netherlands $^2$Sorbonne Universités, UPMC-CNRS, UMR7095, Institut d’Astrophysique de Paris, F-75014 Paris, France $^3$Leiden Observatory, Leiden University, NL-2380 RA Leiden, the Netherlands $^4$Cavendish Laboratory, University of Cambridge, 19 J J Thomson Ave, Cambridge CB3 0HE, UK $^5$Kavli Institute for Cosmology, University of Cambridge, Madingley Road, Cambridge CB3 0HA, UK $^6$Departamento de Astrofísica, Centro de Astrobiología, CSIC-INTA, Cra. de Ajalvir, E-28850 Madrid, Spain $^7$Department of Physics, University of Oxford, Oxford OX1 3PU, UK $^8$Max Planck Institute for Astronomy, Königstuhl 17, D-69117 Heidelberg, Germany $^9$Dark Cosmology Centre, Niels Bohr Institute, University of Copenhagen, Juliane Maries vej 30, DK-2100 Copenhagen, Denmark $^10$European Space Agency, c/o STScI, 3700 San Martin Drive, Baltimore MD 21218, USA $^11$NRC Herzberg, 5071 West Saanich Rd, Victoria, BC V9E 2E7, Canada Accepted 2018 August 30. Received 2018 July 12; in original form 2017 November 19 ABSTRACT The James Webb Space Telescope (JWST) will enable the detection of optical emission lines in galaxies spanning a broad range of luminosities out to redshifts $z \gtrsim 10$. Measurements of key galaxy properties, such as star formation rate and metallicity, through these observations will provide unique insight into, e.g. the role of feedback from stars and active galactic nuclei (AGNs) in regulating galaxy evolution, the co-evolution of AGNs and host galaxies, the physical origin of the ‘main sequence’ of star-forming galaxies, and the contribution by star-forming galaxies to cosmic reionization. We present an original framework to simulate and analyse observations performed with the near-infrared spectrograph (NIRSpec) on board JWST. We use the BEAGLE tool (Bayesian Analysis of GaLaxy sEds) to build a semi-empirical catalogue of galaxy spectra based on photometric spectral energy distributions of dropout galaxies in the Hubble Ultra Deep Field (HUDF). We demonstrate that the resulting catalogue of galaxy spectra satisfies different types of observational constraints on high-redshift galaxies, and use it as an input to simulate NIRSpec/prism ($R \sim 100$) observations. We show that a single ‘deep’ ($\sim 100$ ks) NIRSpec/prism pointing in the HUDF will enable S/N > 3 detections of multiple optical emission lines in $\sim 30$ ($\sim 60$) galaxies at $z \gtrsim 6$ ($z \sim 4–6$) down to $m_{F160W} \lesssim 30$ AB mag. Such observations will allow measurements of galaxy star formation rates, ionization parameters, and gas-phase metallicities within factors of 1.5, mass-to-light ratios within a factor of 2, galaxy ages within a factor of 3, and V-band attenuation optical depths with a precision of 0.3. Key words: telescopes – galaxies: evolution – galaxies: formation – galaxies: ISM – dark ages, reionization, first stars. 1 INTRODUCTION Our picture of the formation and evolution of galaxies across cosmic time has improved significantly in the past 15 yr. Galaxy surveys have provided researchers with a wealth of spectrophotometric data, at both low (e.g. SDSS, York et al. 2000) and high (e.g. GOODS, Stanway, Bunker & McMahon 2003; GLARE, Stanway et al. 2004, 2007; COSMOS, Scoville et al. 2007; HUDF, Bunker et al. 2004; Beckwith et al. 2006; Bouwens et al. 2010; Bunker et al. 2010; McLure et al. 2010; Ellis et al. 2013; Illingworth et al. 2013; CANDELS, Grogin et al. 2011; Koekemoer et al. 2011; VUDS, Le Fèvre et al. 2015; VANDELs, McLure, Pentericci & VANDELs Team 2017) redshifts. On the theoretical front, computer simulations of galaxy formation (e.g. EAGLE, Schaye et al. 2015; IllustrisTNG, Pillepich et al. 2018) can now accurately predict several key galaxy properties, such as the redshift evolution of the galaxy stellar mass function and star formation rate density (e.g. Genel et al. 2014; Furlong et al. 2015). Yet, many details of the physical processes driving the evolution of galaxies remain unknown. AGN feedback is a key ingredient of galaxy formation models (see Somerville & Davé 2015 and references therein), but observational evidence for AGN-driven ‘quenching’ of star formation is ambiguous (e.g. Carniani et al. 2016; Suh et al. 2017). Similarly, although several correlations exist between the physical properties of AGNs and their host galaxies (see Kormendy & Ho 2013 and references therein), a causal connection among these properties indicating a ‘co-evolution’ of galaxies and AGNs has not been clearly demonstrated. The apparent existence of a tight relation between galaxy masses and star formation rates (i.e. ‘main sequence’, Brinchmann et al. 2004; Noeske et al. 2007), and perhaps of a more ‘fundamental’ relation involving gas-phase metallicity as well (Mannucci et al. 2010), can be an indication of self-regulation of star formation within galaxies (e.g. Lilly et al. 2013), but the significance and redshift evolution of these relations remains unclear (e.g. Yabe et al. 2015; Telford et al. 2016). The increasing relative abundance of UV-faint galaxies at redshift $z \gtrsim 6$ (e.g. Bouwens et al. 2015a; Finkelstein et al. 2015) would support a picture in which low-mass star-forming galaxies provide the bulk of H-ionizing (Ly$\alpha$) photons required for cosmic reionization (e.g. Wilkins et al. 2011; Finkelstein et al. 2012; Robertson et al. 2013; Bouwens et al. 2015b), but this conclusion relies on several assumptions about the ionizing emissivity of galaxies and escape fraction of LyC photons from galaxies. Advancing our understanding of the above processes, and of many others, that drive the evolution of galaxies from the reionization epoch to the present day, requires measuring physical properties – such as stellar masses, star formation rates, stellar and gas metallicities, stellar ages, gas ionization state, the dynamics of gas and stars – for large samples of galaxies, across a broad range of redshifts and galaxy stellar masses. While multiband photometric campaigns have collected high-quality spectral energy distributions (SEDs) for thousands of galaxies spanning a wide range of masses out to $z \gtrsim 8$ (e.g. HUDF, CANDELS), the availability of spectroscopic observations at $z \gtrsim 1$ is much more limited. At those redshifts, the strongest optical emission lines (e.g. [O\text{II}] $\lambda\lambda$3726, 3729, H$\beta$, [O\text{I}] $\lambda\lambda$4959, 5007, H$\alpha$) are shifted to near-infrared wavelengths, where observations with ground-based telescopes are challenging because of regions of low atmospheric transmittance, bright sky background and contamination from bright, variable sky lines. Optical emission lines have been measured out to $z \sim 3$ for large samples of galaxies using low-resolution slitless spectroscopy with \textit{HST} (e.g. WISP, Atek et al. 2010; 3D-\textit{HST}, Brammer et al. 2012; GLASS, Treu et al. 2015; FIGS, Pirzkal et al. 2017). Higher-resolution spectroscopic surveys from the ground (e.g. VUDS, VANDELs) have mainly relied on multi-object spectrographs operating at optical wavelengths (e.g. VIMOS at VLT, Le Fèvre et al. 2003), hence are limited, at high redshift, to the measurement of rest-frame UV emission lines. These lines are intrinsically weaker than the optical ones (e.g. see table 5 of Steidel et al. 2016), and their interpretation is complicated by radiative transfer effects, dust attenuation, and potential contamination from outflows.\footnote{The Ly$\alpha$ line is theoretically the most luminous emission line at UV and optical wavelengths, but being a resonant line it suffers from radiative transfer effects that affect its visibility and make its physical interpretation extremely challenging.} Multi-object, ground-based spectrographs operating at near-infrared wavelengths (e.g. MOSFIRE at Keck, McLean et al. 2008; KMOS at VLT, Sharples et al. 2013) permit the extension of rest-frame optical emission line measurements out to $z \sim 4$, albeit only for galaxies with relatively bright emission lines (e.g. MOSDEF, Kriek et al. 2015; KBSS, Steidel et al. 2014). These measurements enabled, for example, new constraints on the dust attenuation properties of galaxies at $z \sim 2$ (e.g. Reddy et al. 2015) and on the conditions of ionized gas (metal abundances, ionization state) at $z \sim 2–4$ (e.g. Shapley et al. 2017; Ström et al. 2017). In the near future, the limitations of existing observatories to study the high-redshift Universe will largely be overcome by the launch of the \textit{James Webb Space Telescope} (\textit{JWST}, Gardner et al. 2006). \textit{JWST} is expected to revolutionize our view of galaxies at $z \gtrsim 4$, and of low-mass galaxies at $1 \leq z \leq 4$, by providing a wide range of imaging and spectroscopic capabilities in the wavelength range $\lambda \sim 0.6–28$ µm. In particular, the near-infrared spectrograph (NIRSpec, Bagnasco et al. 2007; Birkmann et al. 2016) onboard \textit{JWST} will increase by more than an order of magnitude the emission line sensitivity in the wavelength region $\lambda \sim 1–2.5$ µm covered by existing ground-based instruments, while reaching an even greater sensitivity at wavelengths $\lambda \gtrsim 2.5$ µm inaccessible with existing observatories. The multi-object spectroscopic capabilities of NIRSpec will enable the simultaneous measurement of up to $\sim 200$ galaxy spectra, allowing the observation of standard optical emission lines for large samples of galaxies out to $z \gtrsim 10$ (see Section 2.4). Combined with stellar mass measurements based on \textit{JWST}/NIRCam imaging (near-infrared camera, Horner & Rieke 2004), this will provide researchers with unique data to constrain the physical processes driving the evolution of galaxies at $z \gtrsim 4$, the formation of the first galaxies at $z \gtrsim 10$, the way cosmic reionization proceeded in space and time and the contribution of different sources to the cosmic reionization budget. The uniqueness of \textit{JWST}/NIRSpec, however, also poses new challenges for the planning and interpretation of observations of high-redshift galaxies. Unlike ground-based multi-object spectrographs, which typically require the user to define a ‘mask’ of apertures in the sky, NIRSpec is equipped with a microshutter array (MSA, Kutryk et al. 2008) providing a fixed grid of apertures in the sky. Optimizing the NIRSpec MSA usage for a given scientific goal therefore requires a careful prioritization of the targets, as well as calculations to study spectral overlaps and truncations. The different filters and dispersers available on NIRSpec, covering the wavelength range $\lambda \sim 0.6–5.3$ µm and spectral resolutions $R \sim 100$, $\sim 1000$, and $\sim 2700$, provide complementary information, but the optimal choice of filters, dispersers, and exposure times depends on the scientific case, target properties, and redshift range. Given the paucity of high-quality galaxy spectra at $z \gtrsim 4$, NIRSpec data will open a largely unexplored space of observables, for both emission lines and stellar continuum studies. Maximizing the information extracted from such data therefore requires models and approaches adapted to describing galaxies with a wide range of stellar populations and interstellar medium properties, likely extending well... beyond those measured with existing observatories. Having adequate models and simulations is therefore critical, especially for the planning of Cycle 1 and Cycle 2 observations, as these will be largely based on spectroscopic follow-up of existing, pre-\textit{JWST} imaging data. In this paper, we build a physically motivated, semi-empirical framework to simulate integrated galaxy spectra as could be observed at low spectral resolution with \textit{JWST}/NIRSpec in the \textit{Hubble} Ultra Deep Field (HUDF). We then use these simulated spectra to study our ability to constrain different galaxy physical parameters, such as star formation rates, ages, mass-to-light ratios, metallicities, and properties of dust attenuation and ionized gas, for objects at redshift $z \sim 4 - 8$. We adopt a self-consistent physical model that accounts for stellar and ionized gas emission, integrated in the state-of-the-art BEAGLE tool (Chevallard & Charlot 2016), to generate the input mock catalogue of galaxy spectra and to fit the simulated observed spectra to retrieve the galaxy properties. In Section 2, we describe the catalogue of $z \gtrsim 3$ dropouts of Bouwens et al. (2015a) and our approach to fit the UV-to-near-infrared photometry of these sources with the BEAGLE tool. We also present our method for associating model spectra with each dropout galaxy, and demonstrate how such a method produces spectra consistent with several, independent observables. In Section 3 we present our simulations of \textit{JWST}/NIRSpec observations and the full-spectrum fitting of these simulations with BEAGLE. In Section 4 we examine the constraints on different galaxy physical parameters obtained by fitting the simulated NIRSpec data. In Section 5 we discuss our results in the light of NIRSpec observational programs, in particular of the NIRSpec Guaranteed Time Observations program, and future extensions of this work to cover a broader range of NIRSpec observing modes. Finally, we summarize our conclusions in Section 6. Throughout the paper, we express magnitudes in the AB system, adopt a zero-age solar metallicity $Z_\odot = 0.017$ (corresponding to a present-day metallicity of 0.01524, see table 3 of Bressan et al. 2012) and the latest constraints on cosmological parameters from \textit{Planck}, i.e. $\Omega_\Lambda = 0.6911$, $\Omega_m = 0.3089$, and $H_0 = 67.74$ (see last column 'TT,TE,EE+lowP+lensing+ext' of table 4 of Planck Collaboration 2016). All the emission line equivalent widths in the text refer to rest-frame values. ### 2 A SEMI-EMPIRICAL CATALOGUE OF GALAXY SPECTRA IN THE HUDF In this section we detail our approach to create a semi-empirical catalogue of high-redshift galaxy spectra. This catalogue is constructed by matching the predictions of a spectral evolution model to a large sample of $z \gtrsim 3$ galaxies with multiband \textit{HST} photometry, and represents the first of several steps involved in the process of creating and interpreting simulated NIRSpec observations. The adoption of a semi-empirical approach is motivated by the need to minimize the model dependence of our analysis, decoupling it from a particular theoretical approach (e.g. hydrodynamic simulation versus semi-analytic model) and its specific implementation. Also, anchoring our simulations to existing \textit{HST} photometry allows us to create and study NIRSpec observations which more closely resemble those that will be obtained early on in the \textit{JWST} mission, i.e. based on \textit{HST}-selected targets. Adopting a purely empirical approach based on existing spectroscopic observations, on the other hand, is not viable because of the widely different wavelength coverage and sensitivity of current observatories compared to \textit{JWST}/NIRSpec. Existing spectroscopic surveys targeting high-redshift galaxies are often limited to observed wavelengths $\lambda \lesssim 1\,\mu$m (e.g. VVDS, Le Fèvre et al. 2013, VUDS, VANDELS), while surveys extending to $\lambda \sim 2.5\,\mu$m (e.g. MOSDEF) target relatively bright ($m_{UVW} \lesssim 25$) galaxies. We note that the semi-empirical approach adopted here, which relies on observations of UV-selected galaxies, can miss populations of galaxies with little UV emission, such as very dusty star-forming galaxies and passively evolving ones. This UV selection reflects what will actually be used to prepare early \textit{JWST}/NIRSpec observations, before NIRCam observations of depth comparable to that of existing \textit{HST} observations become available. In future work, we will use the recently published mock galaxy catalogue of Williams et al. (2018) to analyse NIRSpec targets selected from deep NIRCam observations. #### 2.1 Multiband \textit{HST} photometry of dropout galaxies in the HUDF In this work, we focus on galaxies at redshift $z \gtrsim 3$, for which \textit{JWST}/NIRSpec will enable measurements of standard optical emission lines (e.g. H$\beta$, [O III] $\lambda\lambda$4959,5007, H$\alpha$, [N II] $\lambda\lambda$6548,6584, [S II] $\lambda\lambda$6716,6731), which are largely inaccessible with existing ground-based telescopes. As shown by the initial works of Steidel et al. (1996) and Madau et al. (1996), high-redshift star-forming galaxies can be effectively selected from broad-band photometric data by using the Lyman break ‘dropout’ technique. This technique exploits the (nearly) complete absorption by neutral hydrogen of any light emitted by a galaxy bluewards the Lyman limit (91.2 Å). As the Lyman limit is redshifted to redder wavelengths with increasing redshift, this makes an object become undetectable (‘drop-out’) from a given optical/near-infrared band. Several groups over the years have used this technique to identify high-$z$ star-forming galaxies, initially using optical data from the \textit{HST} Advanced Camera for Surveys (ACS) to select objects out to $z \sim 6$ (e.g. Steidel et al. 1999; Bunker et al. 2004; Dickinson et al. 2004), and later exploiting near-infrared observations with the Wide Field Camera 3 (WFC3) to obtain large samples of $z \gtrsim 6$ galaxies (e.g. Wilkins et al. 2010; Bouwens et al. 2011; McLure et al. 2013; Schenker et al. 2013). Here we use the high-$z$ galaxy candidates selected with the dropout technique by Bouwens et al. (2015a) in the HUDF. Since we are interested in galaxies out to the highest redshifts, we only consider sources selected from the 4.7 arcmin$^2$ region in the HUDF with deep \textit{HST}/WFC3 near-infrared observations. We adopt the multiband \textit{HST} catalogue of Illingworth et al. (2013), built from a combination of all available \textit{HST}/ACS and WFC3 observations in the HUDF (for a complete list see table 2 of Illingworth et al. 2013), and refer to this as the ‘eXtreme Deep Field’ (XDF) catalogue. The XDF catalogue includes observations in nine bands, five in the optical, based on the ACS/WFC filters F435W, F606W, F775W, F814W, and F850LP, and four in the near-infrared, taken with the WFC3 filters F105W, F125W, F140W, and F160W. The 5σ depth of a point source is $m_{F160W} \sim 29.8$, computed within a circular aperture of 0.35 arcsec diameter, while the ACS + WFC3 combined image used for the source extraction reaches a 5σ depth of 31.2 within the same circular aperture (Illingworth et al. 2013). We do not use \textit{Spitzer}/IRAC data, since the vast majority of our galaxies are too faint to be detected in existing \textit{Spitzer} images. We consider dropout galaxies in the filters $B_{435}$ ($z \sim 4$), $V_{606}$ ($z \sim 5$), $I_{775}$ ($z \sim 6$), $Z_{850}$ ($z \sim 7$), and $Y_{105}$ ($z \sim 8$), which we will indicate as $B$, $V$, $I$, $Z$, and $Y$ dropouts in the remainder of this paper. Details on the Lyman break selection in each band can be found in section 3.2 of Bouwens et al. (2015a; see also their table 2). Fig. 1 shows the F160W magnitude distribution of galaxies selected in the different dropout bands. The vast majority ($\sim 80$ per cent) of the galaxies at $z \gtrsim 4.5$ (V dropouts and above) have $m_{F160W} > 28$, while the 50 per cent completeness magnitude varies between a minimum of $\sim 29.3$ (F105W filter, I dropouts) to a maximum of $\sim 29.7$ (F160W filter, Y dropouts). The adopted Lyman break selection produces, for each dropout band, the redshift distributions shown in Fig. 2. Galaxy redshifts are centred around the average values reported above, with full width half-maximum (FWHM) of the redshift distribution set by the filter widths, i.e. $\delta z \sim 1$ for the B, V, I, and Z dropouts, increasing to $\delta z \sim 2$ for the Y dropouts. The absolute UV magnitude of the sources, computed from the median $m_{F160W}$ magnitude in each dropout class, assuming a flat $f_\nu$ spectrum, and using the central redshift of each dropout band, varies from $\sim -19.1$ (B dropouts), to $\sim -19.5$ (V), $\sim -19.65$ (I), $\sim -19.75$ (Z), $\sim -20.3$ (Y). ### 2.2 Broad-band SED fitting of high-redshift galaxies in the HUDF Similar to Chevallard & Charlot (2016, see their section 4), we use the BEAGLE tool to fit the XDF photometry of 715 dropout galaxies with a self-consistent physical model that includes stellar emission, continuum+line emission from H II regions, and diffuse ionized gas and dust attenuation. We do not model the emission from an AGN potentially contaminating the HST photometry, as the expected number of $z > 3$ type-I AGNs in the 4.7 arcmin$^2$ field here considered is consistent with zero (e.g. see section 4.2.5 of Grazian et al. 2015). We let the redshift free to vary, and adopt a two-component star formation history constituted by a ‘smooth’ function and a burst. The smooth component is described by a delayed exponential function $\psi(t') \propto t' \exp(-t'/\tau_{\text{SFR}})$, where $\tau_{\text{SFR}}$ is the star formation time-scale and $t'$ the age of the galaxy, taken to lie between $10^7$ yr and the maximum time allowed since the onset of star formation at the galaxy redshift (see below). The burst (with constant star formation rate) covers the last $10^7$ yr of star formation, the time-scale over which $\sim 99.9$ per cent of the H-ionizing photons are emitted (e.g. Charlot & Fall 1993; Binette et al. 1994), and it is parametrized in terms of the ‘current star formation rate’ $\dot{\Phi}$, i.e. the SFR averaged over the past 10 Myr. Decoupling the ‘past’ star formation history and the ‘current’ star formation rate allows us to obtain galaxy spectra with any contribution of emission lines relative to stellar continuum. We fix the maximum redshift for the formation of the first stars in a galaxy at $z_{\text{form}}^{\text{max}} = 15$, so that at any redshift $z$ the maximum allowed time since the onset of star formation is $t_{\text{form}}^{\text{max}}(z) = t_{\text{U}} - t(z_{\text{form}}^{\text{max}})$, where $t_{\text{U}}$ and $t(z_{\text{form}}^{\text{max}})$ refer to the age of the Universe at redshift $z$ and $z_{\text{form}}^{\text{max}}$, respectively. We approximate the distribution of stellar metallicities in a galaxy, including the metallicity of young stars (with ages $t' < 10^7$ yr, $Z_{\text{young}}$) and the interstellar metallicity ($Z_{\text{ISM}}$), with a single metallicity $Z$, i.e. $Z_{\text{young}} = Z_{\text{ISM}} = Z$. Following Gutkin et al. (2016, see also Charlot & Longhetti 2001), we describe the properties of gas ionized by young stars by means of galaxy-wide (‘effective’) parameters. The ionization parameter $\log U_S$ determines the ratio of H-ionizing photons to gas density at the Strömgren radius of an effective star cluster, while the dust-to-metal mass ratio $\xi_d$ (‘depletion factor’) sets the amount of depletion of heavy elements onto dust grains (see section 2.3 of Gutkin et al. 2016 for a discussion of depletion factors). We model the effect of dust attenuation on stellar and gas emission by appealing to the two-component model (diffuse ISM + birth clouds) of Charlot & Fall (2000), parametrized in terms of the total attenuation optical depth $\tau_V$ and the fraction of attenuation arising in the diffuse interstellar medium (ISM) $\mu$. We account for the effect of absorption from the intergalactic medium by means of the average prescription of Inoue et al. (2014). Following the Bayesian approach adopted in BEAGLE, we define the posterior probability distribution of the model-free parameters $\Theta$ as $$P(\Theta \mid D, H) \propto \pi(\Theta) L(\Theta),$$ (1) --- 2The interstellar metallicity was indicated as $Z_{\text{ISM}}$ in the original paper describing the BEAGLE tool (Chevallard & Charlot 2016), while here we follow the nomenclature adopted in Gutkin, Charlot & Bruzual (2016). 3Our definition of $\log U_S$ implies a volume-averaged ionization parameter $\langle U \rangle = 3/4 \ U_S$ (see equation 1 of Hirschmann et al. 2017). where $ D $ indicates the data, $ H $ the adopted model, $ \pi(\Theta) $ the prior distribution, and $ L(\Theta) $ the likelihood function. We adopt independent priors for all parameters, uniform for the parameters $ z, \log(M/M_\odot), \log(\tau_{\text{UVB}}/\text{yr}), \log(Z/Z_\odot), \log U_S $ and $ \xi_d $, Gaussian for $ \log(t/\text{yr}) $ and $ \log(y/(M_\odot \text{ yr}^{-1})) $, and exponential for $ \hat{\tau}_Y $ (see Table 1).$^4$ We consider a multivariate Gaussian likelihood function with independent errors $ \sigma_i $ on each measurement $ y_i $ \[ -2 \ln L(\Theta^k) = \sum_i \left[ \frac{y_i - \hat{y}_i(\Theta^k)}{\sigma_i} \right]^2, \] (2) where the summation index $ i $ runs over all observed bands (i.e. bands with positive errors, and negative or positive fluxes), $ y_i $ is the observed flux, $ \sigma_i = \sqrt{\sigma_{\text{obs},i}^2 + (\sigma_0)_i^2} $, where $ \sigma_{\text{obs},i} $ is the observational error and $ \sigma_0 = 0.02 $ is an additional error term that we add to avoid obtaining results dominated by systematic uncertainties (see section 4.2 of Chevallard & Charlot 2016) and $ \hat{y}_i(\Theta^k) $ indicates the fluxes predicted by our model for a set of parameters $ \Theta^k $. We adopt the nested sampling algorithm (Skilling et al. 2006) as implemented in MULTINEST (Feroz, Hobson & Bridges 2009) to sample the posterior probability distribution of the nine free parameters $ \Theta_{\text{free}} = [z, \log(M/M_\odot), \tau_{\text{UVB}}, t, Z, \psi, \log U_S, \xi_d, \hat{\tau}_Y] $. It is worth briefly pausing to discuss the potential risk of overfitting our data by using such a flexible physical model. The nine photometric bands used in the fitting cover the wavelength range $ 0.4 \lesssim \lambda/\mu \text{m} \lesssim 1.6 $, hence they mainly probe the rest-frame UV emission of $ z \gtrsim 3 $ galaxies, and only bands redwards the Lyman break (four bands for the $ Y $ dropouts) provide constraints on the galaxy physical properties. In star-forming galaxies, the UV continuum emission is mostly sensitive to the recent ($ \lesssim 10^8 \text{ yr} $) star formation history and to dust attenuation, while other parameters, such as the mass of older stars and the physical conditions of gas, have little influence on the emission at these wavelengths. Since in this work we aim at simulating NIRSpec observations covering a large variety of intrinsic galaxy spectra, extending beyond those observed in relatively bright galaxies at $ z \lesssim 4 $, we must also account for the variation of model parameters largely unconstrained by existing photometric observations. For this reason we adopt the flexible, nine-parameters model described above, and combine the weak constraints provided by $ HST $ photometry on some model parameters with well-established relations among galaxy physical quantities to obtain physically motivated combinations of parameters (see Section 2.3). We then validate this approach by comparing our model predictions with external (photometric and spectroscopic) data sets at redshift $ z \sim 2–8 $ (Section 2.4). The results of the BEAGLE fitting of the XDF data are summarized in Fig. 2 in terms of the stacked posterior probability distribution of redshift. This is computed by combining the redshift probability distribution of each galaxy using a kernel density estimator. Similar to an histogram, Fig. 2 represents a density plot, where the solid curves depend on both the density of galaxies at each redshift and on the redshift probability distribution of each individual source. Fig. 2 provides an interesting visual comparison among the redshift distributions obtained by Bouwens et al. (2015a) from the analysis of Monte Carlo simulations of artificial sources (see their section 4.1) and those computed in this work. Given the very different approaches adopted to compute the two sets of lines of Fig. 2, the figure highlights a good agreement between the two methods. The differences among the two approaches are larger for the $ Y $ dropouts, for which the peaks of the two distributions are separated by $ (\delta z \sim 0.5) $, possibly because of the low constraining power of data for the $ Y $ dropouts (low S/N, few bands redwards the continuum break) combined with a low number of sources ($ N_Y = 34 $). ### 2.3 Linking model spectra and observed galaxies in the HUDF The BEAGLE tool provides us with the posterior probability distribution of the nine free parameters of the model (reported in column 5 of Table 1), along with sets of selected observables (e.g. full spectrum, absolute and apparent magnitudes) and derived quantities (e.g. rates of H- and He-ionizing photons). These are obtained by sampling the posterior probability distribution of model parameters using the MULTINEST algorithm (see section 3.3 of Chevallard & Charlot 2016 for more information on the BEAGLE output). From a purely statistical perspective, we could associate with a given XDF source any spectrum from the set drawn using MULTINEST in this way. However, since the data are consistent with a broad range of model spectra, and a correspondingly broad range of model parameters, this approach would not ensure that the model spectra match other, independent observables (e.g. galaxy colours at longer wavelengths, emission line measurements), nor that the selected combinations of model parameters are consistent with measured relations among galaxy physical quantities (e.g. the mass–metallicity relation). Obtaining a physically motivated distribution of emission line strengths is particularly relevant for XDF galaxies, which exhibit faint continuum emission and will likely be detected only via emission lines with JWST/NIRSpec. By obtaining such a physically motivated distribution of emission lines, we can produce simulated NIRSpec observations with realistic S/N ratios. This, in turn, should ensure that the constraints on the galaxy physical parameters derived in Section 3 can be applied to future ‘deep’ NIRSpec observations of $ HST $-selected high-redshift galaxies. After some experimentation, we find that requiring for the fitted galaxies to follow three well-established relations between galaxy physical parameters produces observables in agreement with different types of observations. These relations include a relation between (i) stellar mass and star formation rate (‘main sequence’ of star-forming galaxies); (ii) stellar mass, star formation rate, and gas-phase metallicity (‘fundamental’ metallicity relation); (iii) interstellar metallicity and ionization parameter. We adopt the (redshift-dependent) relation between stellar mass and star formation rate of Speagle et al. (2014), which they derive from a broad compilation of stellar mass and star formation rate measurements at redshift $ z \sim 0–6 $. Their relation (see their equation 28) can be expressed as \[ \log(\psi/M_\odot \text{ yr}^{-1}) = [0.84 - 0.026 (t'/\text{Gyr})] \log(M_\star/M_\odot) \\ - [6.51 - 0.11 (t'/\text{Gyr})], \] (3) where $ t' $ indicates the age of the Universe at redshift $ z $. Following Williams et al. (2018), we consider the relation between stellar mass, star formation rate, and gas-phase metallicity of Hunt et al. (2016), which they obtain from the analysis of the UV-to-infrared photometry and optical emission lines of a sample of $ \sim 1000 $ star-forming galaxies at redshift $ z \sim 0–3.7 $. The relation of Hunt et al. (2016) can be expressed as \[ 12 + \log(O/H) = -0.14 \log(\psi/M_\odot \text{ yr}^{-1}) \\ + 0.37 \log(M_\star/M_\odot) + 4.82. \] (4) --- $^4$We note that the adopted prior for $ \hat{\tau}_Y $ would correspond to the non-informative, scale-invariant Jeffreys prior for a 1D Gaussian likelihood function depending only on $ \hat{\tau}_Y $. Table 1. Priors relative to the different free parameters used in the BEAGLE tool for the broad-band SED fitting of HST/XDF photometry and for the full-spectrum fitting of JWST/NIRSpec–simulated spectra. The symbol $ \mathcal{N}(\text{mean}; \text{sigma}) $ indicates a Gaussian (Normal) distribution. \| Parameter \| Prior \| Description \| XDF photometry \| NIRSpec spectra \| \|--------------------\|---------------------------------------------\|-----------------------------------------------------------------------------\|----------------\|-----------------\| \| $ z $ \| Uniform $ \in [0, 15] $ \| Redshift \| × \| – \| \| log(M/M$_\odot$) \| Uniform $ \in [5, 12] $ \| Stellar mass (does not account for fraction of mass returned to the ISM by stellar mass loss) \| × \| × \| \| log($ \tau_{\text{SFH}}/\text{yr} $) \| Uniform $ \in [7, 10.5] $ \| Time-scale of star formation in an SFH described by a delayed exponential function. \| × \| × \| \| log(t/\text{yr}) \| Gaussian $ \mathcal{N}(8.5; 0.5) $ truncated $ \in [7, t^{\text{max}}_{\text{form}}(z)] $ \| Age of onset of star formation in the galaxy \| × \| × \| \| log(Z/Z$_\odot$) \| Uniform $ \in [-2.2, 0.25] $ \| Stellar metallicity \| × \| × \| \| log(Z$_{\text{ISM}}$/Z$_\odot$) \| Uniform $ \in [-2.2, 0.25] $ \| Interstellar metallicity \| – \| × \| \| \| Gaussian $ \mathcal{N}(0; 2) $ \| Star formation rate averaged over the last 10$^7$ yr \| × \| × \| \| log($ \psi/M_\odot \text{ yr}^{-1} $) \| Truncated $ \in [-4, 4] $ \| \| – \| – \| \| log U_S \| Uniform $ \in [-4, -1] $ \| Effective gas ionization parameter \| × \| × \| \| $ \xi_d $ \| Uniform $ \in [0.1, 0.5] $ \| Dust-to-metal mass ratio \| × \| × \| \| $ \tilde{\tau}_V $ \| Exponential $ \exp(-\tilde{\tau}_V) $ truncated $ \in [0, 5] $ \| V-band attenuation optical depth \| × \| × \| \| $ \mu $ \| Uniform $ \in [0, 1] $ \| Fraction of V-band attenuation arising in the diffuse ISM \| – \| × \| Finally, we adopt the relation between interstellar metallicity and ionization parameter of Carton et al. (2017), which they derive by adopting the ‘theoretical’ dependence of ionization parameter on interstellar metallicity of Dopita et al. (2006) ($ \log U_S \propto 0.8 \log Z_{\text{ISM}} $), and computing the zero-point of this relation by using metallicities and ionization parameters of SDSS DR7 galaxies estimated by Brinchmann et al. (2004). The relation between $ \log U_S $ and $ Z_{\text{ISM}} $ can then be expressed as \[ \log U_S = -0.8 \log (Z_{\text{ISM}}/Z_\odot) - 3.58. \] In practice, we enforce these relations by multiplying the posterior probability distribution of equation (1) by three ‘weight’ functions which depend on the above parameters. In order to more densely populate the tails of these relations, we adopt a Student’s $ t $ weight function with three degrees of freedom, which is significantly broader than a Gaussian function. The Student’s $ t $ function is expressed as \[ f(x) = \frac{6\sqrt{3}}{\pi (3 + x^2)^{3/2}} \frac{1}{\sigma_x}, \] where $ x $ is the standardized variable \[ x = \frac{x' - \bar{x}}{\sigma_x}, \] and $ x' $ indicates the value of the model parameter in the posterior distribution computed with BEAGLE and $ \bar{x}' $ the value of the parameter predicted by equations (3)–(5). We fix the scatter to $ \sigma_x = 0.3 $ for the mass–star formation rate relation (see, e.g. Speagle et al. 2014; Shivaei et al. 2015), and to $ \sigma_x = 0.2 $ for the ‘fundamental’ metallicity relation and for the metallicity–ionization parameter relation. Equations (3)–(6) provide the conditional distribution of a model parameter (star formation rate, gas–phase metallicity, ionization parameter) given other model parameters, for example equations (3) and (6) define the conditional probability $ P(\psi \mid M_, z) $. This conditional distribution does not depend on the data $ D $, hence it can be readily interpreted as a conditional prior distribution linking different model parameters. It is well known that the photometric degeneracy between the Lyman and Balmer breaks can make a galaxy photometric SED be equally well described by two different models with widely different redshifts (e.g. Ilbert et al. 2006). As the BEAGLE tool can identify these multiple redshift solutions, in this work we restrict the analysis to redshifts consistent with the expected dropout redshift of Bouwens et al. (2015a). To achieve this, among the combinations of model parameters $ \Theta $ obtained with BEAGLE, we only consider those satisfying the condition $ z > z_{\text{min}} $, where $ z_{\text{min}} = 2 $ for the B dropouts, $ z_{\text{min}} = 3 $ for the V, $ z_{\text{min}} = 4 $ for the I, and $ z_{\text{min}} = 5 $ for the Z and Y ones (Fig. 2). We then randomly draw, for each galaxy, a set of parameters among those sampled by MULTINEST, where the probability of drawing any set is proportional to the reweighted posterior probability distribution. We can repeat the random draw (with replacement) $ N $ times to obtain $ N $ model spectra consistent with the observed HST photometry, and corresponding to combinations of $[M_, \psi]$ satisfying the adopted mass–star formation rate relation. This is particularly relevant to evaluate selection effects and to study the consequences of deriving population-wide relations among physical parameters (e.g. mass–metallicity, mass–star formation rate) from a finite number of observations. Both applications will be part of successive works, while in the remainder of this paper we consider a single random draw to associate a model spectra to each XDF source, and refer to the ensemble of 715 model spectra as a ‘mock catalogue’. We show in Fig. 3 by means of (grey) density contours on a logarithmic scale the 2D stacked posterior probability distribution Figure 3. Stacked 2D posterior probability distribution of mass and star formation rate for the $B$, $V$, $I$, $Z$, and $Y$ dropouts (grey density contours, plotted on a logarithmic scale). Circles, colour coded as in Fig. 1, indicate the pairs [M$_\star$, $\psi$] corresponding to a random realization of model parameters drawn from the reweighted posterior probability distribution. The solid yellow line indicates the mass–star formation rate relation measured by Santini et al. (2017) at $z \sim 6$, from $\sim 50$ galaxies selected from four gravitationally lensed HST Frontier Fields; while the dashed line is an extrapolation of this relation at lower stellar masses. of stellar mass M$_\star$ and star formation rate $\psi$, along with the pairs [M$_\star$, $\psi$] drawn from the reweighted posterior probability distribution (circles of different colours). By analogy with the 1D stacked posterior probability distribution of redshift (see Section 2.2), we compute the 2D stacked posterior probability distribution of M$_\star$ and $\psi$ summing the individual probability distributions computed with a kernel density estimator. Fig. 3 shows the effect of varying in our model both the current star formation rate and total stellar mass when only rest-frame UV observations are available. The observed HST photometry of a large fraction of XDF galaxies can be reproduced equally well by our model for widely different combinations of M$_\star$ and $\psi$, which makes the stacked distribution occupy a broad region of Fig. 3. We note that the sharp upper envelope created by the coloured circles in Fig. 3 is caused by the fixed duration (10 Myr) of the current burst of constant SF, which limits the maximum $\psi$ attainable at fixed M$_\star$. Fig. 4 shows the distribution of the main model-free parameters of the mock catalogue. The low constraining power of HST photometry with respect to most model parameters makes these distributions reflect the adopted priors, i.e. Gaussian for $\psi$, exponential for $\tau_v$ and uniform for the other parameters (see Table 1). Also, no strong correlations are visible except for the relation between log M$_\star$ and log $\psi$ that we enforced. It is worth briefly discussing the absence in Fig. 4 of a correlation between mass and metallicity, and metallicity and ionization parameter. The mass–metallicity relation is well-established at low redshift (e.g. from SDSS data, Tremonti et al. 2004), while observations targeting galaxy populations similar to those used in our analysis, i.e. faint high-redshift galaxies, depict a less clear picture. Recent results from the VUDS survey suggest that highly star-forming galaxies with stellar masses comparable to those of our mock galaxies (log M/M$_\odot \sim 6.5 - 9.5$) span a broad range of gas-phase metallicities $12 + \log(\text{O/H}) \sim 7.5 - 8.5$ at fixed stellar mass (Calabrò et al. 2017). Similar results have been obtained by Izotov et al. (2015) and Jimmy et al. (2015) from the analysis of low-mass local ‘analogues’ of high-redshift galaxies. These findings can have a physical origin, since the metal content of star-forming gas results from the complex interaction between enrichment from previous stellar generations, AGN and stellar feedback and gas accretion, or can be driven by systematic uncertainties in the metallicity estimators (e.g. Kewley & Ellison 2008). Similarly, an anticorrelation between gas-phase metallicity and ionization parameter has been observed at low redshift (Carton et al. 2017), and can be expected on theoretical grounds (e.g. Dopita et al. 2006), but the redshift evolution and dispersion of the relation for galaxy populations as those considered in this work are largely unknown. While future observations may show that certain combinations of model parameters (e.g. high metallicity and large ionization parameter) are not well suited to describe the conditions of photoionized gas in high-redshift star-forming galaxies, we have decided not to impose any relation between these parameters in our mock galaxy catalogue. This will enable users to adopt any relation between mass–metallicity and metallicity–ionization parameter to select subsamples of sources from the different realizations of the mock catalogue. 2.4 Comparison of model spectra with independent data Our approach to build a catalogue of mock galaxy spectra guarantees, by construction, that these match the HST photometry of XDF dropouts. In this section, we compare the mock spectra with other observables, namely near-infrared photometry from the infrared array camera (IRAC) onboard the Spitzer Space Telescope, and measurements of the [C\text{II}]$\lambda$1907+[C\text{III}]$\lambda$1909 emission line performed with different instruments. The lower sensitivity of Spitzer with respect to HST only enables the detection in the IRAC band 1 (3.6 $\mu$m filter, IR$_1$) and band 2 (4.5 $\mu$m filter, IR$_2$) of a minority of XDF dropouts with $m_{\text{UV}} \lesssim 27$ (see Fig. 1). For this reason, we have to rely on Spitzer observations of stacked galaxies and of individual (brighter) galaxies over a much wider area than the XDF region. We compare in Fig. 5 the predicted optical-to-near-infrared SEDs (HST + Spitzer bands) of our mock catalogue with the stacked SEDs computed by González et al. (2012) at $z \sim 4$ and $z \sim 5$ galaxies. González et al. (2012) consider HST/ACS, HST/WFC3 and Spitzer/IRAC observations in the GOODS-South region (Giavalisco et al. 2004; Bouwens et al. 2012), and compute the median SEDs of $B$, $V$, $I$, and $Z$ dropouts in bins of observed UV luminosity. In practice, they compute the median HST fluxes of the sources in each UV luminosity bin, and perform aperture photometry on the median-combined image in each IRAC band. They evaluate the uncertainties on the median fluxes through bootstrap resampling. We note that when comparing model predictions with Spitzer/IRAC fluxes of $z \gtrsim 4$ galaxies, one must consider the effect of optical emission lines contaminating the IR$_1$ and IR$_2$ bands. At $z \sim 3 - 5$ ($B$ dropouts), H$\alpha + [\text{N II}] + [\text{S II}]$ contaminates the IR$_1$ band, while at $z \gtrsim 5$ both IRAC bands can be contaminated by either H$\beta + [\text{O III}]$ or H$\alpha + [\text{N II}] + [\text{S II}]$. This makes the IRAC colours computed from the stacked SEDs of $z \gtrsim 5$ galaxies highly dependent on the emission line properties and redshift distribution of the sources entering the stacks, and this dependence is exacerbated in stacks computed from a low number of sources (e.g. see fig. 7 of González et al. 2012). For this reason, we only consider the $z \sim 4$ and $z \sim 5$ stacked SEDs of González et al. (2012) computed from a minimum of 15 individual sources. Figs 5(a) and (b) show a good agreement among the SEDs of our mock catalogue and the median SEDs González et al. (2012) in all the UV luminosity bins considered. This test is particularly important since the IRAC fluxes, unlike... Figure 4. Distribution of model-free parameters of the mock catalogue of galaxy spectra computed as detailed in Sections 2.2 and 2.3. The colour coding indicates mock galaxies at different redshifts, and it is the same as in Fig. 1. The off-diagonal panels show the relation between each pair of parameter $[\log(M/M_\odot), \psi, \log U_S, 12 + \log(O/H), \xi_d, \tilde{\tau}_V]$, while the diagonal panels display, by means of histograms, the distribution of each parameter. The Spitzer/IRAC colour IR$_1$ − IR$_2$ can be used to further test the agreement between observations and mock spectra. As we noted above, the redshift evolution of this colour is sensitive to the presence of optical emission lines, especially the two groups H$\beta$ + [O III] and H$\alpha$ + [N II] + [S II], contaminating the IR$_1$ and IR$_2$ bands (e.g. observationally, Stark et al. 2013; de Barros, Schaerer & Stark 2014; theoretically, Wilkins et al. 2013). We therefore compare in Fig. 6 the evolution of the IR$_1$ − IR$_2$ colour in the redshift range $2 \lesssim z \lesssim 8$ predicted by our mock catalogue with data from different sources. These include, from low to high redshift, observations from 3D-HST (Skelton et al. 2014), from the spectroscopic sample of Smit et al. (2016) and from the photometric samples of Rasappu et al. (2016), Smit et al. (2015), and Smit et al. (2014). Since our mock catalogue is based on observations from the small, 4.7 arcmin$^2$ XDF area, while data are drawn from much larger areas ($\gtrsim 100$ arcmin$^2$), we encode in the circle sizes the rest-frame UV luminosity $M_{UV}$ of each object: the larger the circle, the more luminous the galaxy. Fig. 6 highlights the ability of the mock spectra to reproduce the sharp IRAC colour change at $z \sim 3.8$ ($z \sim 5$) caused by the entry of H$\alpha$ in the IR$_1$ (IR$_2$) band, including the most extreme blue and red colours, which are caused by EW(H$\alpha$ + [N II] + [S II]) $\sim 1000$. We note that the different extremes reached by the IRAC colours at $z \sim 3.8–5$ (IR$_1$ − IR$_2 \sim -1$) and at $z \sim 5–6$ (IR$_1$ − IR$_2 \sim 0.8$) are likely caused by the different widths of the IRAC filters, $\sim 0.75$ µm for IR$_1$ filter and $\sim 1$ µm for IR$_2$ one. This difference translates into a different contamination of the integrated broad-band flux of each band, at fixed emission line equivalent width (EW). At redshifts $z \sim 5.5–6.6$ the IR$_1$ band is contaminated by the group of lines H$\beta$ + [O III] and the IR$_2$ band by H$\alpha$ + [N II] + [S II], therefore the IR$_1$ − IR$_2$ colour depends on the relative intensities of H-Balmer lines versus [O III] $\lambda\lambda 4959, 5007$, i.e. on the physical conditions of ionized gas, especially metallicity and ionization parameter. In the narrow redshift window $z \sim 6.6–6.9$, the IR$_2$ band is free of strong emission lines, while IR$_1$ is contaminated by H$\beta$ + [O III]. Smit et al. (2015) exploit this property to select extreme emission lines galaxies with accurate photometric redshifts. They search for such extreme objects in the five CANDELS fields ($\sim 900$ arcmin$^2$), and find $\sim 20$ sources with IR$_1$ − IR$_2 \lesssim -1$. These are relatively bright galaxies falling in a narrow redshift range, hence, not surprisingly, they do not appear in our mock catalogue, which reaches at most IR$_1$ − IR$_2 \sim -0.6$ at $z \sim 6.6–6.9$. Overall, Fig. 6 indicates that the strengths of the H$\alpha$ + [N II] + [S II] and Figure 5. (a) In the top panel, diamonds with (1 $\sigma$) error bars indicate the stacked photometric SEDs of redshift $\sim4$ galaxies ($B$ dropout) of González et al. (2012) in three bins of observed F775W magnitudes, used as a proxy for the rest-frame UV luminosity. Shaded ‘violins’ indicate the magnitude distribution (95 per cent interval) covered by our mock spectra based on $B$ dropouts in the XDF, split in the same UV luminosity bins as in González et al. (2012). We indicate in the inset legend the number of objects in each González et al. (2012) stack, and in parenthesis the number of objects in our mock catalogue entering each bin. In the bottom panel we show the distribution of the flux differences between the González et al. (2012) stacks and our mock spectra. For each band, the shaded regions of different colours are slightly shifted horizontally for clarity. (b) Same as (a), but for $V$ dropout galaxies (redshift $\sim5$). We did not plot the median SED for the F850W $\sim 26$ bin because of the low (4) number of galaxies in our mock catalogue falling in the bin. Figure 6. Comparison of the Spitzer/IRAC colour 3.6$\mu$m – 4.5$\mu$m at $2 \lesssim z \lesssim 8$ from the literature (coloured circles) with that of the galaxies in our mock catalogue (grey circles). In the order of increasing redshift, we show galaxies with spectroscopic redshifts at $2 \leq z_{\text{spec}} \leq 4$ from 3D-HST/GOODS-North and GOODS-South (cyan circles, Skelton et al. 2014), objects from the spectroscopic sample of Smit et al. (2016) (light green) and from the photometric samples of Rasappu et al. (2016) (dark green), Smit et al. (2015) (orange) and Smit et al. (2014) (red). We only plot objects for which the quoted uncertainty on the IRAC colour is $\leq 0.30$. For clarity, we only show error bars when these are $\geq 0.05$. As indicated in the inset legend, the area of the circles is proportional to the absolute UV magnitude of each galaxy $M_{UV}$. H$\beta + [\text{O III}]$ lines in our mock catalogue are consistent with those inferred from Spitzer/IRAC colours of $z \sim 2–8$ galaxies. This validation is particularly important since the strength of the optical emission lines in our mock catalogue will translate into a distribution of S/N in the NIRSpec simulations (see Section 3.2), therefore directly affecting the constraints on galaxy physical parameters form NIRSpec spectra discussed in Section 4. The above tests only provide indirect constraints on spectroscopic features through the contamination of broad-band filters by emission lines. As we have already noted, existing observatories do not allow the detection of optical emission lines at $z \gtrsim 4$, hence to study the evolution of galaxy spectral features across the widest redshift range one must rely on UV emission lines. The Ly $\alpha$ line is the most luminous emission line at UV wavelengths, but radiative transfer effects caused by its resonant nature make the comparison of model predictions and observations non-trivial (e.g. Verhamme, Schaerer & Maselli 2006). We therefore consider another bright UV line, the doubly ionized carbon line [C III]$\lambda 1907 +$ C III]$\lambda 1909$, which has been observed both at low (e.g. Berg et al. 2016; Schenycha et al. 2017) and high redshift (e.g. Erb et al. 2010; Stark et al. 2015). We compare in Fig. 7 the redshift evolution of the [C III]$\lambda 1907 +$ C III]$\lambda 1909$ equivalent width from literature with that predicted by our mock catalogue. In the same figure, we also show with a histogram the distribution of [C III]$\lambda 1907 +$ C III]$\lambda 1909$ equivalent widths in our mock catalogue, and the distribution derived by Le Fèvre et al. (2017) from observations at redshifts $z \sim 2–3.8$. Fig. 7 indicates that while most galaxies in our catalogue exhibit $W_{\text{C III}} \lesssim 5$ Å, a significant number of mock spectra attain substantially larger $W_{\text{C III}}$ values, reaching the most extreme $W_{\text{C III}} \gtrsim 20$ Å found by Stark et al. (2015, 2017) and Amorín et al. (2017). Interestingly, Fig. 7 also reveals a larger fraction of galaxies with [C III]$\lambda 1907 +$ C III]$\lambda 1909$ equivalent widths $\gtrsim 10$ Å in our catalogue relative to that in the sample of Le Fèvre et al. (2017). This is likely a consequence of the higher redshifts and lower luminosities of our mock galaxies with respect to the sample of Le Fèvre et al. (2017) ($z \lesssim 4$, $i_{AB} \lesssim 25$), which imply, on average, younger and more metal-poor stellar populations, able to power stronger [C III]$\lambda 1907 +$ C III]$\lambda 1909$ emission. The comparisons of our mock spectra with external observables presented in this section validate our semi-empirical approach to Figure 7. Left: comparison of the [C\text{III}]$\lambda$1907+C\text{III}]$\lambda$1909 (rest-frame) equivalent widths $W_{\text{C III}}$ from literature (coloured circles) with those measured from the spectra of our mock catalogue (grey circles). Literature values are taken, in order of increasing redshift, from Stark et al. (2014, cyan circles), Maseda et al. (2017, light green), Amorin et al. (2017, blue), Ding et al. (2017, dark green), Stark et al. (2015, orange), and Stark et al. (2017, red). The upper limits indicate 3σ limits. As in Fig. 6, the area of the circles is proportional to the absolute UV magnitude $M_{UV}$ of each galaxy. Right: distribution of [C\text{III}]$\lambda$1907+C\text{III}]$\lambda$1909 equivalent widths in our mock catalogue and in the sample of $z \sim 2–3.8$ star-forming galaxies of Le Fèvre et al. (2017). As Le Fèvre et al. (2017) consider only galaxies with $W_{\text{C III}}/\AA \geq 3$, we renormalize the distribution of Le Fèvre et al. (2017) to the total number of objects in our sample with $W_{\text{C III}}/\AA \geq 3$. build a mock galaxy catalogue based on HST photometry in the HUDF. In particular, the above tests demonstrate the ability of our catalogue to match the rest-frame optical continuum emission of $z \sim 4$ and $z \sim 5$ galaxies (Fig. 5), the contamination of the strongest optical emission lines to Spitzer/IRAC bands (Fig. 6), and the observed range of [C\text{III}]$\lambda$1907+C\text{III}]$\lambda$1909 equivalent widths at $z \sim 1–8$ (Fig. 7). 3 SIMULATING AND FITTING JWST/NIRSPEC OBSERVATIONS In this study, we focus on simulations of deep (100 ks) observations performed with JWST/NIRSpec. We consider the multi-object spectroscopy (MOS) mode and adopt the low spectral resolution configuration NIRSpec/prism (PRISM/CLEAR spectral configuration), which enables the simultaneous observation of up to $\sim 200$ objects over the full spectral range $\lambda \sim 0.6–5.3 \mu$m. 3.1 Simulating JWST/NIRSpec spectra A detailed description of the approach adopted to simulate NIRSpec spectra can be found in Appendix A. Here, we only provide an overview of our approach and highlight a few key features of the simulations. For each galaxy, we start from the (noiseless) mock spectrum obtained using the procedure described in Section 2. This high-resolution spectrum is redshifted to the photometric redshift obtained with the BEAGLE analysis and then rebinned to the spectral pixel size of the NIRSpec/prism configuration. We then use an idealized model accounting for the response of the telescope and of the instrument to derive the number of electrons per-second generated at detector level in each pixel. Combined with a noise model, this allows us to generate a simulated (noisy) spectrum. This approach is very similar to the one used by many exposure-time calculators (ETCs), but simpler than the elaborate 2D scheme used by JWST’s official ETC ‘Pandieia’ (Pontoppidan et al. 2016). In our simulations, we also account for the fact that a significant fraction of the object light may fall outside of the standard 3-shutter slitlet, especially for extended objects (the projected size of the aperture of an individual microshutter is $0.20 \times 0.42$ arcsec). In practice, we compute the (wavelength-dependent) throughput of an extended source with effective radius $r_e$, described as an exponential profile with Sersic index 1.5 (Shibuya, Ouchi & Harikane 2015), and average over all source positions within the aperture of the central shutter of the slitlet. Averaging over random ellipticities and position angles produces small corrections ($\lesssim$few per cent), which we therefore ignore. Following the approach of Williams et al. (2018) (see their section 5.2), we associate an effective radius to each galaxy in the catalogue by adopting the (redshift-dependent) relation between galaxy UV luminosity and galaxy size of Shibuya et al. (2015) $$r_e = r_e^0 \left( \frac{L_{UV}}{L_{UV}^0} \right)^{0.27},$$ where $r_e^0 = 6.9 \times (1 + z) - 1.2$ kpc and $L_{UV}^0$ is the UV luminosity corresponding to a UV magnitude $M_{UV}^0 = -21$. This leads to median sizes of 0.9 (0.13), 0.75 (0.12), 0.63 (0.11), 0.54 (0.10), and 0.48 (0.10) kpc (arcsec) for the $B$, $V$, $R$, $Z$, $Y$ dropouts, respectively. The total throughput at $\lambda = 2.5 \mu$m corresponding to the median sizes above is between 34 per cent ($B$ dropouts) and 38 per cent ($Y$ dropouts) for the aperture and light profile adopted. The resolution $R = \lambda / \Delta \lambda$ of the NIRSpec prism has a strong wavelength dependence, from a minimum of $R \sim 30$ at $\lambda = 1.2 \mu$m to a maximum of $R \sim 300$ at $\lambda = 5 \mu$m. This makes groups of neighbouring emission lines appear blended or unblended depending on a galaxy redshift. Since UV and optical emission lines will provide the firmest constraints on the physical parameters of faint galaxies at high redshift, we have summarized in Fig. 8 the visibility and blending/unblending of different lines as a function of redshift. Emission lines in Fig. 8 are considered unblended when their redshifted wavelengths are separated by a $\Delta \lambda$ corresponding to 2.2 detector pixels, i.e. the typical instrumental spectral resolution element size of an extended source that uniformly fills the microshutter aperture of width $\sim 0.2$ arcsec (along the spectral direction). We note that the ETC simulations performed here do not account for the impact of the object size on the spectral response, implying that emission lines always fall into a single detector pixel (see Appendix A3). This approximation has a minor impact on the results of our analysis, as the only strong lines potentially affected are the two components of [O\text{III}]$\lambda\lambda4959,5007$, whose ratio is fixed by atomic physics, and the H $\alpha$ and [N\text{II}]$\lambda\lambda6548,6584$ lines. The low metallicity of our galaxies and absence of an AGN component in our models imply that [N\text{II}]$\lambda\lambda6548,6584$ is in any way too weak to provide any constraint on the physical properties of mock galaxies. Fig. 8 indicates that groups of emission lines in the UV such as He\text{II} $\lambda\lambda1640 + \text{O III}] \lambda\lambda1660,1666$ and Si\text{II}] $\lambda\lambda1883,1892 + [\text{C III}] \lambda\lambda1907 + \text{C III}] \lambda\lambda1909$ are blended at all redshifts, while at $z \gtrsim 4$ H $\beta$ is unblended with respect to [O\text{III}]$\lambda4959$ and [O\text{III}]$\lambda5007$, and these [O\text{III}] lines are unblended at $z \gtrsim 5$. The H $\alpha$ line is blended with [N\text{II}]$\lambda\lambda6548,6584$ at $2 \lesssim z \lesssim 6.5$, while H $\gamma$ is blended with [O\text{I}]$\lambda4365$ up to $z \sim 8$. Note also that all the lines in Fig. 8 but [C\text{III}]$\lambda1907 + \text{C III}] \lambda1909$ and [O\text{II}]$\lambda3726 + \text{O II}] \lambda3729$ are unblended when using the $R \sim$ 1000 disperser, while the $R \sim 2700$ disperser allows one to resolve also those doublets at most redshifts. Fig. 8 also highlights the ability of NIRSpec/prism observations to provide the simultaneous measurement of the main UV and optical emission lines for galaxies at $z \sim 3–10$: H $\alpha$ is accessible up to $z \sim 7$, H $\beta$ to $z \sim 10$ and [O III] $\lambda\lambda4959,5007$ to $z \sim 9.5$. We show in Figs 9 and 10 a few examples of simulated NIRSpec/prism spectra. Fig. 9(a) shows a $z = 5.072$ galaxy with $m_{F160W} = 27.70$, and Fig. 9(b) one at $z = 7.176$, with $m_{F160W} = 28.74$. Fig. 9(a) shows a high signal-to-noise detection ($S/N_{H\beta} \sim 8$) of the Balmer lines H $\alpha$ and H $\beta$, and of the oxygen lines [O III] $\lambda4959$ and [O III] $\lambda5007$. Fig. 9(b) illustrates that the sensitivity of JWST/NIRSpec will allow us to obtain highly significant detections ($S/N_{H\beta} \sim 10$) of emission lines (H $\gamma$, H $\beta$, [O III] $\lambda4959$, and [O III] $\lambda5007$) even for a fainter galaxy at redshift $z \sim 7$. The inset of Fig. 9(b) shows a flux excess in the HST F140W band, but no strong emission line that can cause such an excess falls in the F140W band at $z \sim 7$, making the origin of the observed flux excess unclear. Fig. 10 provides an overview of NIRSpec/prism observations of 10 galaxies at $z \sim 4–8$ covering a broad range of continuum luminosities $m_{F160W} \sim 27.9–29.7$. The figure highlights how the large star formation rates per unit stellar mass and young ages of high-redshift galaxies should enable statistically significant detections of emission lines even in $m_{F160W} \gtrsim 29$ galaxies out to $z \sim 9$. ### 3.2 Equivalent width and S/N distribution of emission lines We show in Fig. 11 the distribution of equivalent widths of H $\beta$ and of the two groups of lines H $\beta +$ [O III] and H $\alpha +$ [N II] + [S II] computed from the mock spectra. The mean (median) redshift of the galaxies in the mock catalogue is $z \sim 4.8$ ($\sim 4.5$), and the mean (median) equivalent width of H $\alpha +$ [N II] + [S II] $\sim 450$ Å ($\sim 600$ Å), which compares favourably with the value $\sim 400$ Å found by Smit et al. (2016) at redshift $z \sim 3.8–5.0$, and of $\sim 550$ Å and $\sim 600$ Å found by Rasappu et al. (2016) at redshift $5.1 \lesssim z \lesssim 5.4$ in their photometric and spectroscopic samples, respectively. Fig. 12 shows the relation between the signal-to-noise ratio of the H $\beta$ line $S/N_{H\beta}$ and the observed F160W magnitude for all galaxies in the mock catalogue, while Table 2 indicates the fraction of galaxies in bins of F160W magnitude with $S/N_{H\beta} > 3$, 5, and 10. The S/N reported in Fig. 12 and Table 2 accounts for the effect of the instrumental spectral response, while our simulations do not account for this effect. The consequence is, on average, an $\sim 35$ per cent larger emission line $S/N$ in our simulated spectra with respect to a computation accounting for the spectral response (see Appendix A). Fig. 12 and Table 2 indicate that NIRSpec/prism ‘deep’ observations will detect most $z \geq 4$ galaxies in the HUDF through their emission lines, with typical $S/N_{H\beta} \sim 3–30$. We expect more than 40 per cent of the XDF dropouts with $m_{F160W} < 28.5$ to exhibit $S/N_{H\beta} > 5$, and to detect with $S/N_{H\beta} > 3$ about one-third of the faintest ($m_{F160W} > 30$) galaxies. The reported $S/N_{H\beta}$ values imply an even larger $S/N$ of H $\alpha$ (visible out to $z \sim 7$), and likely of [O III] $\lambda5007$ (out to $z \sim 9.5$), given the large [O III]/H $\beta$ ratios observed at high redshift (e.g. Strom et al. 2017). As we will discuss in Section 4, the simultaneous detection at high $S/N$ of several hydrogen and metal emission lines enables tight constraints on several key galaxy properties, such as star formation rates and gas-phase metallicities. ### 3.3 Spectroscopic redshifts determination In the fitting of the simulated NIRSpec spectra, which we describe in the next section, we assume a perfect knowledge of the spectroscopic redshift of the galaxies. Here we therefore discuss how well spectroscopic redshifts can be measured from deep NIRSpec/prism observations. To achieve this, we compute for each simulated spectrum the signal-to-noise ratio of the main UV and optical emission lines that NIRSpec can observe (see Fig. 8 for a list of lines). We then split the galaxies in the redshift and magnitude bins reported in Table 3, and report in the same table the fraction of objects in each bin for which we detect at least 1 or 2 emission lines with $S/N \geq 3$ and $\geq 5$. We consider that objects with at least two emission line detections with $S/N \geq 3$ or with at least one emission line detection with --- 5 Detector noise dominates the noise budget of NIRSpec observations of faint targets at the wavelengths relevant for this analysis. This causes a nearly linear increase of the line $S/N$ with increasing received flux, at fixed observed wavelength (see also Appendix A). Assuming a constant photon conversion efficiency of the instrument, standard emission line intensities $I_{H\alpha} : I_{H\beta}$ and $I_{[O III]}$ (Steidel et al. 2016), and ignoring the effect of dust attenuation, the $S/N$ distribution in Fig. 12 would increase by a factor $\lambda_{H\beta} : \lambda_{H\alpha} : \lambda_{[O III]} / \lambda_{H\beta} \sim 3.89$ for H $\alpha$ and $I_{[O III]} / I_{H\beta} : I_{[O III]} / \lambda_{H\beta} \sim 4.36$ for [O III] $\lambda5007$. The factors $\lambda_{H\alpha} / \lambda_{H\beta}$ and $\lambda_{[O III]} / \lambda_{H\beta}$ account for the different number of photons, and hence of photoelectrons, generated at different wavelengths at fixed emitted energy. Figure 9. (a) Simulated NIRSpec/prism spectrum (thick grey line, corresponding to a $\sim 100$ ks exposure) of a $V$ dropout (XDFV-3948262597, $m_{F160W} = 27.70$) placed at redshift $z = 5.072$, with stellar mass $\log(M_/M_\odot) \sim 8.18$, star formation rate $\psi/M_\odot\,\text{yr}^{-1} \sim 0.7$, and specific star formation rate $\log(\psi_S/\text{yr}^{-1}) \sim -8.4$. The red line and red shaded region indicate the posterior median and 95 per cent credible interval, respectively, from the BEAGLE fit of the simulated spectrum. (b) same as (a), but for a $Z$ dropout (XDFZ-3312565447, $m_{F160W} = 28.74$), with $z = 7.176$, $\log(M_/M_\odot) \sim 8.9$, $\psi/M_\odot\,\text{yr}^{-1} \sim 5.4$ and $\log(\psi_S/\text{yr}^{-1}) \sim -8.3$. The small inset in each panel shows the observed XDF photometry (blue diamonds, from Bouwens et al. 2015a) along with the model photometry predicted by BEAGLE for the set of physical parameters associated to these sources with the procedure outlined in Section 2.3 (orange stars). Figure 10. Illustration of simulated NIRSpec/prism spectra (corresponding to an $\sim 100$ ks exposure) of 10 galaxies at $z \sim 4–8$. The grey line indicates the noiseless input spectrum, while the blue line shows the simulated one. Each spectrum is normalized to its maximum value, then shifted vertically for clarity. The magnitudes reported in the figure are observed ones and refer to the HST/WFC3 F160W filter, while the redshift is the BEAGLE-based photo-$z$ of the mock galaxy. Shaded regions indicate the location of the main optical emission lines [O\text{ii}] (blue), H$\beta + [\text{O III}]$ (green) and H$\alpha + [\text{N II}] + [\text{S II}]$ (red). S/N $\geq 5$ will have secure spectroscopic redshifts, since in most cases HST photometry will enable us to distinguish single line detections as being either [O\text{iii}] $\lambda\lambda 4959,5007$ or H$\alpha$. Table 3 hence shows that out of redshift $z \sim 7$ the vast majority ($\gtrsim 90$ per cent) of the galaxies with $m_{F160W} \leq 30$ will have secure spectroscopic redshifts, while this fraction drops to $\sim 70$ per cent for fainter objects with $m_{F160W} > 30$. At $z \gtrsim 7$ the H$\alpha$ line is shifted outside the NIRSpec range, hence the fraction of galaxies with secure spectroscopic Figure 11. Distribution of equivalent widths of H$\beta$ (short-dashed line), H$\beta + [O\text{III}] \lambda\lambda4959,5007$ (solid line) and H$\alpha + [N\text{II}] \lambda\lambda6548,6584 + [S\text{II}] \lambda\lambda6716,6731$ (long-dashed line), in our simulated galaxies. Figure 12. Relation between S/N of the H$\beta$ emission line and observed F160W magnitude. The colour coding is the same as in Fig. 1 and reflects galaxies in different dropout classes. Table 2. Fraction of objects in different bins of observed F160W magnitude with $S/N_{H\beta} > 3$, 5, and 10 (in parentheses the number of objects in each magnitude bin). \| $m_{F160W}$ \| $S/N \geq 3$ \| $S/N \geq 5$ \| $S/N \geq 10$ \| \|-------------\|--------------\|--------------\|---------------\| \| $m \leq 28$ (199) \| 0.51 \| 0.42 \| 0.29 \| \| $28.0 < m \leq 28.5$ (78) \| 0.65 \| 0.49 \| 0.17 \| \| $28.5 < m \leq 29.0$ (104) \| 0.49 \| 0.33 \| 0.07 \| \| $29.0 < m \leq 29.5$ (160) \| 0.39 \| 0.14 \| 0.02 \| \| $29.5 < m \leq 30$ (124) \| 0.40 \| 0.13 \| 0.02 \| \| $m > 30$ (44) \| 0.27 \| 0.16 \| 0.00 \| redshifts drops to $\sim 70$ per cent for objects with $m_{F160W} \leq 30$, while the number of galaxies in our catalogue with $m_{F160W} > 30$ and $z > 7$ is too low to provide a meaningful estimate of this fraction. Overall, Table 3 demonstrates that only a few tens of objects in our catalogue may not have secure spectroscopic redshifts, i.e. $\sim 30$ per cent of $m_{F160W} > 30$ galaxies at $z \leq 7$ and $\sim 30$ per cent of $m_{F160W} > 28$ galaxies at $z > 7$. Table 3. Fraction of objects in different bins of redshift and observed F160W magnitude for which the deep NIRSpec/PRISM observations considered in this work would allow the detection of at least 1 or 2 emission lines with S/N $\geq 3$ and S/N $\geq 5$. The number of objects in each bin is given in parentheses. \| Redshift \| $m_{F160W}$ \| $S/N \geq 3$ \| $S/N \geq 5$ \| \|----------\|-------------\|--------------\|--------------\| \| \| \| N $\geq 1$ \| N $\geq 2$ \| \| $z \leq 5$ \| $m \leq 28$ (147) \| 0.98 \| 0.95 \| 0.95 \| 0.90 \| \| \| $28 < m \leq 29$ (108) \| 0.99 \| 0.94 \| 0.93 \| 0.80 \| \| \| $29 < m \leq 30$ (158) \| 0.96 \| 0.84 \| 0.91 \| 0.68 \| \| \| $m > 30$ (19) \| 0.84 \| 0.68 \| 0.68 \| 0.26 \| \| $5 < z \leq 7$ \| $m \leq 28$ (45) \| 0.96 \| 0.89 \| 0.87 \| 0.87 \| \| \| $28 < m \leq 29$ (62) \| 1.00 \| 0.97 \| 0.93 \| 0.87 \| \| \| $29 < m \leq 30$ (98) \| 0.95 \| 0.87 \| 0.83 \| 0.66 \| \| \| $m > 30$ (20) \| 0.95 \| 0.75 \| 0.70 \| 0.40 \| \| $z > 7$ \| $m \leq 28$ (7) \| 1.00 \| 1.00 \| 1.00 \| 0.70 \| \| \| $28 < m \leq 29$ (12) \| 0.83 \| 0.75 \| 0.75 \| 0.42 \| \| \| $29 < m \leq 30$ (28) \| 0.89 \| 0.68 \| 0.71 \| 0.32 \| \| \| $m > 30$ (5) \| 0.60 \| 0.40 \| 0.20 \| 0.00 \| 3.4 Fitting simulated JWST/NIRSpec spectra We use the BEAGLE tool to perform a full, pixel-by-pixel fitting of each simulated NIRSpec spectrum. We adopt a model similar to the one used to fit the HST/XDF photometry (see Section 2.2), but fixing the redshift to the estimated value to mimic the way data will be analysed, i.e. with redshift being determined directly from the position of the spectral lines, or by combining single line detections with photometric redshifts (see Section 3.3 above). Unlike in the HST broad-band fitting, we let the interstellar metallicity $Z_{\text{ISM}}$ and fraction of V-band attenuation arising in the diffuse ISM, $\mu$, free to vary. We adopt the same independent priors as in Section 2.2, i.e. uniform for $\log(M/M_\odot)$, $\log(\tau_{\text{SFR}}/\text{yr})$, $\log(Z/Z_\odot)$, $\log U_S$, $L_{\text{IR}}$, $\log(Z_{\text{ISM}}/Z_\odot)$ and $\mu$, exponential for $\tau_V$ and Gaussian for $\log(t/\text{yr})$ and $\log(4\pi/M_\odot\,\text{yr}^{-1})$ (see Table 1). As in Section 2.2, we consider a multivariate Gaussian likelihood function, assuming independent errors in each pixel (see however Appendix A6). The likelihood function can therefore be described by equation (2), considering the summation over all spectral pixels, and assuming $\sigma_i = \sigma_{\text{obs},i}$, i.e. removing any additional error term since, by construction, we have a perfect knowledge of the noise properties of the simulated spectra. We defer to a future work, based on the NIRSpec instrument performance simulator, a more detailed analysis of other sources of random and systematic uncertainties in JWST/NIRSpec data, related, for instance, to detector defects, flat-fielding and spectrophotometric calibration (see Appendix A6). We show in Fig. 9 two examples of the BEAGLE fitting of the simulated spectra. The red lines indicate the spectra obtained by computing, in each pixel, the median of the posterior distribution of predicted fluxes, while the red shaded regions show the 95 per... cent central credible interval computed from the same distribution of fluxes. Figs 9(a) and (b) show how the high-S/N detections of several emission lines constrain the model predictions to high precision. As we will discuss in the next section, this in turn induces tight constraints on several physical quantities describing the conditions of photoionized gas in these galaxies. 4 JWST/NIRSPEC CONSTRAINTS ON GALAXY PROPERTIES We summarize in Fig. 13 and Table 4 the main results of our analysis of simulated ‘deep’ NIRSpec observations of high-redshift galaxies. We report the constraints on the six quantities: stellar mass $\log(M/M_\odot)$, galaxy age $\log(t/\text{yr})$, current star formation rate $\log(\dot{\Psi}/M_\odot\,\text{yr}^{-1})$, ionization parameter $\log U_S$, gas-phase metallicity $12 + \log(O/H)$, and $V$-band attenuation optical depth $\tau_v$. Fig. 13 shows in different panels the relation between retrieved and input value for the six quantities above. The large error bars visible in Fig. 13(a) in galaxies with $\log(M/M_\odot) \lesssim 8$, along with the ‘flattening’ of the relation between input and retrieved value, highlight the large uncertainty affecting the determination of the stellar masses, for which the posterior distribution is dominated by the prior. The stellar continuum emission in these galaxies, related to the stellar mass, is in fact too faint to be detected in our simulated spectra. Similarly, the large error bars and spread of the points in Fig. 13(b) show the difficulty of determining the age of the oldest stars from our simulated NIRSpec spectra. The reason is that the UV-to-optical spectra of galaxies with large specific star formation rates are dominated by the emission from young stars, which outshine the older ones. Figs 13(c)–(f) show that the star formation rate, ionization parameter, gas-phase metallicity, and attenuation optical depth can be constrained across the entire range spanned by the input parameters. The constraints on these quantities come from emission lines ratios, and are therefore largely unaffected by our ability to detect the stellar continuum emission in faint, high-redshift galaxies. We quantify in Table 4 the precision of the constraints on the six physical parameters shown in Fig. 13. For this, we compute for each parameter the cumulative distribution of the errors $\sigma_{\theta}$, and report in Table 4 the errors $s_{\theta}$ corresponding to 0.2, 0.5, and 0.9 of the inverse cumulative distribution $C^{-1}$, i.e. $s_{\theta}^{0.2}$, $s_{\theta}^{0.5}$, and $s_{\theta}^{0.9}$. The values $s_{\theta}$ therefore indicate the error on the parameter such that 20, 50, or 90 per cent of the objects exhibit errors $\sigma_{\theta} \leq s_{\theta}$. The central column of Table 4 indicates that for $\sim 50$ per cent of the simulated galaxies the stellar masses (or mass-to-light ratios) can be constrained within a factor of $\sim 2.5$ ($\sim 0.4$ dex), the age of onset of star formation within a factor of $\sim 3.5$ ($\sim 0.55$ dex), the star formation rate, ionization parameter, and gas-phase metallicity within a factor of $\sim 1.5$ ($\sim 0.2$ dex), albeit the precision worsens for galaxies at $z \gtrsim 7$ (Z and Y dropouts). The V-band dust attenuation optical depth can be constrained with a precision $\sigma_{\tau_V} \lesssim 0.4$. The model parameters not reported in Fig. 13 and Table 4, namely the time-scale of star formation $\log(t_{\text{SF}}/\text{yr})$, dust-to-metal mass ratio $\xi_{\text{dust}}$, and fraction of dust attenuation arising in the diffuse ISM $u_d$ are largely unconstrained by this analysis. As for the age of the oldest stars, constraining $\tau_{\text{SFIR}}$ and $\mu$ would require detecting at high S/N the rest-frame optical-to-near-infrared (stellar) continuum emission of the galaxies, which traces older stellar populations. Since the NIRSpec observations here considered mainly provide high-S/N detections of optical emission lines, a way to better constrain these parameters would be to combine NIRSpec spectra with JWST/NIRCam and MIRI photometry. This type of analysis will be included in a future study. Constraining $\xi_{\text{dust}}$, on the other hand, requires measuring, with high S/N, emission lines of refractory and non-refractory elements, such as oxygen ([O II] $\lambda\lambda 3726, 3729$, [O III] $\lambda\lambda 4959, 5007$), and nitrogen and/or sulphur ([N II] $\lambda\lambda 6548, 6584$, [S II] $\lambda\lambda 6716, 6731$, e.g. see fig. 3 of Gutkin et al. 2016). The emission lines of non-refractory elements, however, are too weak to be detected in the galaxies studied in this work. We note that although $\tau_{\text{SFIR}}$, $\mu$, and $\xi_{\text{dust}}$ are unconstrained by the simulated data, their inclusion in the fitting allows us to appropriately propagate into the constraints on the other physical parameters the uncertainty deriving from their poor knowledge, i.e. $\tau_{\text{SFIR}}$, $\mu$, and $\xi_{\text{dust}}$ in this analysis play the role of ‘nuisance’ parameters. We now discuss the effect on the precision of the physical parameters retrieval of the H $\alpha$ line moving beyond the spectral coverage of NIRSpec at $z \gtrsim 7$ (see Fig. 8). Table 4 shows that the error threshold $s_{\theta}^{0.5}$ for the parameters log $\psi$ and $12 + \log(O/H)$ remains constant or slowly increases from the B, to V, to I dropouts, reflecting the presence of fainter objects, on average, when moving from lower to higher redshift sources (see Fig. 1). The Z and Y dropouts, on the other hand, exhibit significantly larger $s_{\theta}^{0.5}$ values, likely because of the disappearance of the H $\alpha$ line from the NIRSpec data at those redshifts. These parameters are in fact mainly constrained by Balmer lines ($\psi$) or line ratios involving such lines [$12 + \log(O/H)$], and given that H $\alpha$ is intrinsically more luminous than H $\beta$, and that it suffers less attenuation, the constraining power of NIRSpec data suddenly drops as H $\alpha$ is shifted outside the NIRSpec range. The constraints on the ionization parameter log $U_S$, on the other hand, suffer less from the disappearance of H $\alpha$, since the [O II] $\lambda\lambda 3726, 3729$ line also provides constraints on this parameter. The NIRSpec constraints on the stellar mass (or mass-to-light ratio) do not significantly evolve with redshift, since most galaxies in our catalogue exhibit low S/N in the continuum at all redshifts. A similar behaviour is observed for $\tau_{\text{SFIR}}$, likely because of the small absolute values of this parameter, and comparatively large retrieval errors, in our simulations. The age of onset of star formation $\log(t_{\text{SF}}/\text{yr})$ is the parameter with the poorest constraints: as for $\tau_{\text{SFIR}}$, constraining the galaxy age requires high S/N detections of the stellar continuum of evolved stellar populations, which is only possible for the brightest galaxies in the sample. We note that the constraints on galaxy physical parameters discussed in this section do not account for model systematic uncertainties, since we have adopted the same physical model to create the mock spectra used as inputs for the NIRSpec simulations and to fit the simulated spectra. Physical models describing galaxy emission (e.g. stellar population and photoionization models) are built from the combination of several (uncertain) ingredients and assumptions, whose effect on the model predictions is difficult to quantify (e.g. see Conroy 2013, and references therein). The constraints reported in Fig. 13 and Table 4 hence must be considered as lower limits on the precision with which fundamental galaxy properties can be measured with deep JWST/NIRSpec observations. 5 DISCUSSION The results presented in the previous section demonstrate how the unique combination of sensitivity and wavelength coverage of the NIRSpec/prism configuration will allow the precise characterization of the physical properties of star-forming galaxies across a wide range of redshifts and luminosities. Specifically, the ability to observe multiple optical emission lines at high S/N should enable precise measurements of the gas-phase metallicity and star-formation rate, which, combined with stellar mass constraints from NIRCam, should significantly boost our ability to understand the Figure 13. Comparison between the input physical parameter (on the x-axis) and the value retrieved by fitting the full NIRSpec/prism simulated spectra with BEAGLE (on the y-axis) for the six model parameters stellar mass $\log(M/M_\odot)$, $\log(t/\text{yr})$, current star formation rate $\log(\psi/M_\odot\,\text{yr}^{-1})$, ionization parameter $\log U_S$, gas-phase metallicity $12 + \log(O/H)$, and attenuation optical depth $\tau_V$. The different colours correspond to the different dropout classes and follow the colour coding of Fig. 1. The retrieved parameter value corresponds to the posterior median of the marginal posterior distribution, while the error bars correspond to the 68 per cent central credible region. To avoid overcrowding the plot, we only show error bars for 20 randomly selected objects. Table 4. Error thresholds on the retrieved model parameters corresponding to 0.2, 0.5, and 0.9 of the inverse cumulative distribution function (quantile function) of the errors $\sigma_\theta$, for the different dropout classes. The error $\sigma_\theta$ is defined as half of the 68 per cent central credible interval (1$\sigma$ for a Gaussian distribution). Each cell indicate the error threshold $s_\theta$ on the parameter $\theta$ such that the cumulative distribution $C(\sigma_\theta \leq s_\theta) = 0.2, 0.5,$ and $0.9$. \| Parameter \| $B$ \| $V$ \| $I$ \| $Z$ \| $Y$ \| $B$ \| $V$ \| $I$ \| $Z$ \| $Y$ \| $B$ \| $V$ \| $I$ \| $Z$ \| $Y$ \| \|----------------------------\|-------\|-------\|-------\|-------\|-------\|-------\|-------\|-------\|-------\|-------\|-------\|-------\|-------\|-------\|-------\| \| $\log(M/M_\odot)$ \| 0.18 \| 0.18 \| 0.27 \| 0.28 \| 0.15 \| 0.36 \| 0.34 \| 0.42 \| 0.38 \| 0.35 \| 0.65 \| 0.59 \| 0.55 \| 0.54 \| 0.49 \| \| $\log(t/\text{yr})$ \| 0.32 \| 0.38 \| 0.33 \| 0.29 \| 0.31 \| 0.56 \| 0.55 \| 0.55 \| 0.50 \| 0.43 \| 0.90 \| 0.86 \| 0.79 \| 0.77 \| 0.68 \| \| $\log(\psi/M_\odot\,\text{yr}^{-1})$ \| 0.06 \| 0.05 \| 0.07 \| 0.14 \| 0.20 \| 0.10 \| 0.10 \| 0.14 \| 0.22 \| 0.33 \| 0.36 \| 0.39 \| 0.51 \| 0.93 \| 1.27 \| \| $\log U_S$ \| 0.05 \| 0.05 \| 0.05 \| 0.07 \| 0.05 \| 0.15 \| 0.18 \| 0.12 \| 0.15 \| 0.16 \| 0.50 \| 0.59 \| 0.47 \| 0.74 \| 0.73 \| \| $12 + \log(O/H)$ \| 0.04 \| 0.04 \| 0.05 \| 0.07 \| 0.06 \| 0.09 \| 0.10 \| 0.09 \| 0.13 \| 0.19 \| 0.23 \| 0.37 \| 0.33 \| 0.49 \| 0.58 \| \| $\tau_V$ \| 0.23 \| 0.22 \| 0.20 \| 0.27 \| 0.22 \| 0.41 \| 0.34 \| 0.32 \| 0.38 \| 0.33 \| 0.98 \| 0.92 \| 0.83 \| 0.94 \| 0.70 \| mass and metal assembly in galaxies at redshift $z \sim 3–10$. We note that a way to improve the precision of the physical parameter estimates of objects with low S/N emission line detections would be to combine them with galaxies with higher S/N measurements into a Bayesian hierarchical framework. This would enable population-wide constraints on the parameters \textit{and} to increase the precision of individual constraints. An ongoing effort to study such an approach is currently underway (Curto-Lake et al., in preparation). The analysis presented so far illustrates the statistical constraints on several galaxy properties that can be obtained from 100 ks NIRSpec/prism observations of high-redshift sources, but it does not provide any insight on the actual number of sources that will be observed with a NIRSpec pointing. Here, we therefore discuss the number of \textit{HST}-selected galaxies expected to be observed in a single NIRSpec/prism pointing centred on the HUDF. Fig. 14 shows the HUDF/GOODS-South area along with the four NIRSpec MSA quadrants, where we centred one quadrant on the 4.6 arcmin$^2$ area of the HUDF with deep WFC3 observations. Fig. 14 shows how HUDF sources will only be observable from one MSA quadrant, while for the remaining three quadrants galaxies will have to be selected from shallower data in GOODS-South.\footnote{The HUDF/XDF area is larger than the on-sky area of a single MSA quadrant (1.58 × 1.40 arcmin, excluding vigneted shutters), but the separation between quadrants (0.38 arcmin along one axis, 0.62 arcmin along the other) and unknown telescope roll-angle will in practice limit the possibility of selecting HUDF/XDF targets in more than one quadrant.} We report in Table 5 the expected number $n_p$ of galaxies at $z \sim 4–5$ and $z \gtrsim 6$ that can be observed with a single NIRSpec pointing in the HUDF/GOODS-South area, along with the on-sky density of galaxies in the HUDF/XDF and GOODS-South regions. Because the faintest targets in the HUDF/XDF may not be detected at a significant level in our deep NIRSpec/prism observations, we also report the expected number of targets observed in the HUDF/XDF with $m_{1450W} < 29.5$ and $< 29$. From the on-sky density of the targets, and assuming Poisson-distributed sources, a three shutters... Figure 14. The four quadrants of the NIRSpec microshutter array (MSA) overplotted on galaxies at redshift $4 \lesssim z \lesssim 6$ (blue symbols) and $z \gtrsim 6$ (orange symbols) selected by Bouwens et al. (2015a) in the HUDF/XDF (circles) and CANDELS/GOODS-South ‘deep’ (stars) regions. Table 5. Number of galaxies at $z \sim 4–6$ and $z \gtrsim 6$ expected to be observed with a single NIRSpec/prism pointing centred on the HUDF. \| Catalogue \| $m_{F160W}$ \| $N_{\text{obj}}$ \| $\sigma_{\text{obj}}$ \| $n_p$ \| $N_{\text{obj}}$ \| $\sigma_{\text{obj}}$ \| $n_p$ \| \|-----------\|-------------\|-----------------\|---------------------\|------\|-----------------\|---------------------\|------\| \| XDF$^b$ \| <29 \| 304 \| ~65 \| ~18 \| 80 \| ~17 \| ~11 \| \| \| <29.5 \| 413 \| ~88 \| ~17 \| 132 \| ~28 \| ~16 \| \| \| all \| 513 \| ~110 \| ~15 \| 202 \| ~43 \| ~21 \| \| GOODS-S$^c$ \| all \| 2061 \| ~32 \| ~46 \| 303 \| ~4.7 \| ~10 \| Notes. $^a$For XDF, we include the $B$ and $V$ dropouts. For CANDELS, we consider galaxies at $z \sim 4$ and $z \sim 5$ from table 4 of Bouwens et al. (2015a). $^b$For XDF, we include the $I$, $Z$, and $Y$ dropouts. For CANDELS, we consider galaxies at $z \gtrsim 6$ from the same table as in $^a$. $^c$On-sky target density of the objects in units of arcmin$^{-2}$. $^d$Average number of non-overlapping spectra observed with the NIRSpec/prism in a single pointing. $^e$The number of objects $N_{\text{obj}}$ refers to the entire XDF area of $\sim 4.7$ arcmin$^2$, while to compute $n_p$ we consider 1 MSA quadrant. $^f$We consider the total number of objects $N_{\text{obj}}$ in CANDELS/GOODS-South ‘deep’, corresponding to an area of $\sim 64.5$ arcmin$^2$. slitlet configuration, and allowing targets to occupy any position within the open area of a shutter (Ferruit et al., in preparation), we can compute the number of expected sources observed in a single NIRSpec pointing. At $z \gtrsim 6$, we consider $\sim 200$ potential targets in the HUDF/XDF and $\sim 300$ in CANDELS/GOODS-South, which implies $\sim 30$ non-overlapping galaxy spectra observed, on average, in a single pointing. At $z \sim 4–6$, the larger number of targets, $\sim 500$ in the XDF and $\sim 2000$ in CANDELS/GOODS-South, translates into $\sim 60$ spectra observed in a single pointing. This will leave $\sim 100$ unused slits which will be occupied by galaxies at lower redshift. Table 5 also indicates that restricting the $z \gtrsim 6$ targets in the HUDF/XDF to $\sim 80$ galaxies with $m_{F160W} \leq 29$ (which should exhibit $S/N_{H\beta} > 5$, see Table 2), reduces by 1/3 (from $\sim 30$ to $\sim 20$) the number of observed galaxies in a pointing. Given the paucity of $z \gtrsim 6$ targets, it is therefore advisable to prioritize the brighter targets without excluding the fainter ones, as we have previously shown that a significant fraction of $m_{F160W} > 29$ galaxies should show $S/N \sim 3$ detections of $H\beta$ (see Table 2). We note that the main factor limiting the NIRSpec multiplexing of $z \gtrsim 6$ galaxies is their on-sky density outside the HUDF/XDF region, as this density is only $\sim 5$ arcmin$^{-2}$ in the CANDELS/GOODS-South ‘deep’ area, where data reach a 5 $\sigma$ depth of $m_{F160W} \sim 27.5$. Our previous analysis has shown that ‘deep’ NIRSpec/prism observations will be able to constrain fundamental properties of $z \gtrsim 6$ galaxies, such as their gas-phase metallicities and star formation rates (Section 4). The above discussion indicates, however, that obtaining a statistically significant sample of objects with precise measurements of these properties will require several ‘deep’, 100 ks, pointings centred on the deepest HST/WFC3 fields, later exploiting targets selected from JWST/NIRCam imaging. 6 SUMMARY AND CONCLUSIONS In this work, we have presented statistical constraints on different galaxy physical properties obtained from the analysis of simulated NIRSpec/prism observations of high-redshift sources. We have introduced an original approach to build a semi-empirical ‘mock’ catalogue of $z \gtrsim 3$ galaxy spectra, based on observed photometric SEDs of a sample of $\sim 700$ galaxies identified as $B_-$, $V_-$, $I_-$, $Z$- and $Y$-band dropouts in the HUDF. We used the state-of-the-art BEAGLE tool to match the observed UV-to-near-infrared broad-band SED of each galaxy with a diversity of model spectra statistically consistent with the HST photometry. We showed how additionally requiring that the models follow a (redshift-dependent) relation between stellar mass and star formation rate reduces degeneracies among model parameters, allowing us to relate, in a statistical way, model spectra with HST-selected galaxies. We validated the above approach by comparing the predicted Spitzer/IRAC band-1 (3.6 $\mu$m, IR$_1$) and band-2 (4.5 $\mu$m, IR$_2$) fluxes of the resulting mock catalogue of galaxy spectra with observed stacked photometry of galaxies at $z \sim 4$ and $z \sim 5$, and with the evolution of the IRAC colour IR$_1 - IR_2$ at redshift $z \sim 2–7$. We also showed that our model predictions cover the entire observed range of [C III]$\lambda 9707 +$[C III]$\lambda 909$ equivalent widths at $z \sim 1–8$. We have exploited the mock galaxy catalogue described above to simulate JWST/NIRSpec spectra using an ‘Exposure Time Calculator’-like (ETC-like) approach. Specifically, we considered NIRSpec observations performed with the low-resolution prism, which covers the wavelength range $\lambda \sim 0.6 – 5.3$ $\mu$m, assuming a total integration time of $\sim 100$ ks. Such an observational strategy is tailored to the detection of faint, distant galaxies out to $z \sim 10$. Our simulations show that this strategy enables the detection of several optical emission lines (e.g. H $\delta$, H $\alpha$, [O III]$\lambda \lambda 4959,5007$) for the majority of HST-selected targets out to $z \gtrsim 8$. In particular, we expect an $S/N > 3$ detection of the $H\beta$ line in most $z \gtrsim 3$ galaxies brighter than $m_{F160W} \sim 30$, and a significant fraction of detections of $H\beta$ in $m_{F160W} > 30$ objects. Our calculations also imply $S/N \gtrsim 20$ detections of the H $\alpha$ and [O III]$\lambda \lambda 4959,5007$ lines for most sources in the HUDF. We also used the BEAGLE tool to analyse the simulated NIRSpec spectra. We could show in this way that the simultaneous detection of several optical emission lines enables tight constraints on the star formation rate, dust attenuation, and ionized-gas properties in $z \gtrsim 3$ galaxies. Our analysis indicates that such observations will allow measurements of star formation rates, ionization parameters, and gas-phase metallicities within a factor of $\sim 1.5$, mass-to-light ratios within a factor of $\sim 2$, galaxy ages within a factor of $\sim 3$, and V-band attenuation optical depths with a precision of $\sim 0.3$. We also showed how the shift of the H$\alpha$ line outside the NIRSpec wavelength range at $z \gtrsim 6$ lowers the precision of the constraints on most physical parameters, especially star formation rate, gas-phase metallicity, and ionization parameter. Finally, we have discussed our findings in the context of a NIRSpec/prism pointing centred on the HUDF. We showed that the small area covered by deep HST/WFC3 observations (4.7 arcmin$^2$) and the low on-sky density of high-redshift targets in the CANDELS/GOODS-South region limit the expected number of $z \gtrsim 6$ galaxies that can be observed in a single NIRSpec pointing. We have shown that, on average, a single NIRSpec pointing, covering an effective (non-contiguous) area of $\sim 9.8$ arcmin$^2$, will enable the observation of $\sim 20$ ($\sim 15$) galaxies at $z \gtrsim 6$ ($z \sim 4 - 6$) selected from the HUDF/XDF region, and $\sim 10$ ($\sim 45$) galaxies at $z \gtrsim 6$ ($z \sim 4 - 6$) from the shallower CANDELS/GOODS-South area. This therefore indicates that multiple ‘deep’ NIRSpec/prism pointings targeting known high-redshift galaxies will be necessary to assemble a statistically significant sample of $z \gtrsim 6$ galaxy spectra with high S/N emission-line detections. In the future, we plan to extend our simulations to account for different observational strategies, in particular considering the combination of low-, medium-, and high-spectral resolution configurations used in the NIRCam and NIRSpec Guaranteed Time Observer teams for their galaxy assembly survey (Rieke et al. 2017). The simulations presented in this work will be made public on the Github repository https://github.com/jacopo-chevallard/Simulating-deep-NIRSpec-observations-in-the-Hubble-Ultra-Deep-Field. ACKNOWLEDGEMENTS The authors thank the anonymous referee for a careful reading of the manuscript which significantly improved the final version of the paper. JC, ECL, and S. Charlot acknowledge support from the European Research Council (ERC) via an Advanced Grant under grant agreement no. 321323-NEOAGL. S. Carniani acknowledges financial support from the UK Science and Technology Facilities Council (STFC). 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A., 2006, Society of Photo-Optical Instrumentation Engineers (SPIE) Conference Series. SPIE, Bellingham, 6265, p. 62653C Wilkins S. M., Bunker A. J., Ellis R. S., Stark D., Stanway E. R., Chiu K., Lorenzoni S., Jarvis M. J., 2010, MNRAS, 403, 938 Wilkins S. M., Bunker A. J., Lorenzoni S., Caruana J., 2011, MNRAS, 411, 23 Wilkins S. M. et al., 2013, MNRAS, 435, 2885 Williams C. C. et al., 2018, ApJS, 236, 33 Yabe K. et al., 2015, PASJ, 67, 102 York D. G. et al., 2000, AJ, 120, 1579 APPENDIX A: GENERATING SIMULATED NIRSPEC SPECTRA In this Appendix, we describe the different steps of the approach that we used to simulate NIRSpec spectra. A1 Exposures and observing strategy In this work, we use the standard exposure parameters and observational strategy baselined to monitor the NIRSpec performances during the instrument development. For the individual exposures, we consider the MULTIACCUM readout pattern $22 \times 4$ listed in table 2 of Rauscher et al. (2007), which yields an effective integration time of $t_{\text{eff}} = 934.38$ s per exposure. Each exposure lasts 955.86 s, including the time needed to reset the array at the beginning of the exposure. The simulations are performed for a total of $n_{\text{exp}} = 108$ exposures, corresponding to a cumulated effective integration time of 100 923.84 s, slightly in excess of 100 ks. The building block of a standard NIRSpec MOS observation of faint objects is a minimum set of three nodding-pattern exposures in which the object is observed consecutively in three neighbouring microshutters forming a $1 \times 3$ slitlet. For each of the three object positions, two measurements of the telescope and zodiacal light backgrounds are available and can be used for an efficient and accurate pixel-level background subtraction. This implies considering the average of $n_b = 2$ observations, over the same pixels used for the object spectrum, to estimate the contribution of the background subtraction to the total variance spectrum. The effective integration time is further reduced by a factor $\gamma_{\text{bad pixels}} = 0.807$ to account for bad pixels. The factor $\gamma_{\text{bad pixels}}$ is estimated by computing the probabilities of loosing one, two, or three measurements in a three-slitlet nodding pattern, assuming a fraction of bad pixels of 3.5 per cent. Accounting for bad pixels hence yields a final integration time of $t_{\text{final}} = t_{\text{eff}} \times \gamma_{\text{bad pixels}} = 754.04$s per exposure. We note that the fraction of bad pixels here considered is conservative, as it corresponds to end-of-life values. The official JWST exposure time calculator (‘Pandelia’ ETC; Pontoppidan et al. 2016) does not account for this effect, and this can introduce differences among our simulations and those obtained with the JWST ETC, at fixed observational setting. We do not model the impact of cosmic rays, as this is expected to be a minor effect for the short individual exposures that we have adopted. A2 Extraction of the spectrum As we simulate integrated, 1D observed spectra, we must also consider a spectrum extraction strategy. We assume a simple extraction strategy by summing over $n_{\text{spa}} = 4$ detector pixels along the spatial direction, ignoring any light that may be lost in the process. More accurate simulations, based on the NIRSpec instrument performance simulator, show that this assumption is correct within a few per cent for a point source. No summation was performed along the spectral direction ($n_{\text{sp}} = 1$). ### A3 Electron rates In order to estimate the noise variance associated to each element of the simulated spectrum, we need to compute the number of electrons accumulated during an exposure, for both the object and the background (zodiacal light + parasitic light from the telescope) spectra. For the object, we start from a high-resolution, spatially integrated, redshifted spectrum $F^o(\lambda)$ in units of W m$^{-2}$ m$^{-1}$ (spectral irradiance) generated with the BEAGLE tool as detailed in Section 2. By linearly rebinning the spectrum, we construct an input spectrum $R^o(k)$ in units of Wm$^{-2}$ on the pixel grid ($n_k = 365$ typically) representative of the NIRSpec PRISM/CLEAR configuration. In this process, we take into account the highly variable spectral resolution of the NIRSpec/prism ($R \sim 30$ to $\sim 300$), and consider the wavelength range 0.6 – 5.0 $\mu$m. Note that there is no one-to-one correspondence between the pixels of the rebinned input spectrum and the actual detector pixels, as the former contain the spatially integrated irradiance of the object, i.e. after summation over four detector pixels along the spatial direction. Note that in this approach we do not convolve the input spectrum by the (wavelength-dependent) line-spread function of the instrument. As the emission lines in the input spectrum are spectrally unresolved at the NIRSpec/prism spectral resolution, this causes them to be unrealistically concentrated into single pixels in our rebinned spectra. This yields, on average, an $\sim 35$ per cent larger emission line S/N in our simulated spectra with respect to a computation accounting for the spectral response. As highlighted in Section A6, this overestimation of the peak signal-to-noise ratio of the emission lines is largely compensated by the conservative values adopted in other steps of our computations (see Table A1). The number of electrons $N^o(k)$ accumulated during an individual exposure and associated to the object is computed using the relation $$N^o(k) = \frac{R^o(k) \times t_{\text{final}} \times A_{\text{telescope}} \times PCE(\lambda_k) \times \eta^o(\lambda_k)}{E(\lambda_k)},$$ where $\lambda_k$ is the central wavelength of the $k^{th}$ spectrum pixel (in m), $A_{\text{telescope}}$ collecting area of the telescope (25 m$^2$), $PCE(\lambda_k)$ the photon conversion efficiency of the telescope + instrument (in units of electrons-per-collected-photon), $\eta^o(\lambda_k)$ the slit losses factor (unitless, see Appendix B) and $E(\lambda_k) = hc/\lambda_k$ the energy-per-photon (in J photon$^{-1}$). The photon conversion efficiency used in these simulations is consistent with the one used in the official JWST ETC version 1.1.1, available in October 2017. The number of accumulated electrons $N^b(k)$ for the background (zodiacal light + parasitic telescope light) is computed using the relation $$N^b(k) = \frac{F^b(\lambda_k) \times \delta \lambda(k) \times t_{\text{final}} \times A_{\text{telescope}} \times PCE(\lambda_k) \times \Omega_{\text{sky}}}{E(\lambda_k)},$$ where $F^b(\lambda_k)$ is the spectral radiance (surface brightness) of the background in units of W m$^{-2}$ m$^{-1}$ arcsec$^{-2}$, $\delta \lambda(k)$ the size of the current spectrum pixel in units of wavelength (in m) and $\Omega_{\text{sky}}$ the projected on-sky area of a background element (in arcsec$^2$). The area $\Omega_{\text{sky}}$ is computed considering, along the spectral direction, the width of a microshutter (0.20 arcsec), and four detector pixels (0.1 arcsec each) along the spatial direction. For the surface brightness of the zodiacal light, we use a simple model that combines a power law and a 256K blackbody spectrum. We then scale this zodiacal light model to match the typical spectral radiance at the north ecliptic pole, then multiply it by a factor 1.2, as customarily done to evaluate the NIRSpec performances. For the contribution of the telescope straylight and background, we use constant values of 0.091 MJy sr$^{-1}$ below 2 $\mu$m and 0.07 MJy sr$^{-1}$ above 3 $\mu$m, with a linear interpolation in between. These values correspond to the requirements placed on the observatory at 2 and 3 $\mu$m, and are conservative levels when compared with the expected background in Hubble Deep Field South region (e.g. Wei & Lightsey 2006). ### A4 Noise model We use a simplified noise noise model in which the total spectrum variance is computed considering two noise sources: (i) shot noise of the object, of the background and of the detector dark current (assuming a conservative dark current rate of $d = 0.01$ electron s$^{-1}$ pixel$^{-1}$); (ii) detector noise ($\sigma_v$), assuming a conservative value of 7 electrons pixel$^{-1}$. The total variance of an individual exposure $V(k)$ is then computed using the relation $$V(k) = N^o(k) + \left(1 + \frac{1}{n_b}\right) \times [N^b(k) + n_{\text{spa}} n_{\text{sp}} \times (d_{\text{eff}} + \sigma_v^2)],$$ where $N^o(k)$ is the number of accumulated ‘object’ electrons per exposure, $n_b$ the number of background spectra available per exposure, $N^b(k)$ the number of accumulated ‘background’ electrons, $n_{\text{spa}}$ and $n_{\text{sp}}$ the number of detector pixels along the spatial and spectral directions used in the spectrum extraction, $d$ the dark current rate, $t_{\text{eff}}$ the effective integration time, and $\sigma_v$ the detector noise rate. ### A5 Generating the simulated spectrum After computing the variance, we can obtain the simulated, noisy spectrum $S^o(k)$ (in W m$^{-2}$ m$^{-1}$) assuming a perfect background subtraction (i.e. no residuals other than the noise): $$S^o(k) = \frac{R^o(k)}{\delta \lambda(k)} + \sqrt{\frac{\alpha^2(k) \times V(k)}{n_{\text{exp}}}} \times N_k(0, 1),$$ where $R^o(k)$ is the rebinned (noiseless) spectrum, $\delta \lambda(k)$ the size of the spectrum pixel, $\alpha(k)$ the conversion factor from electrons to W m$^{-2}$ m$^{-1}$, $V(k)$ the total variance, $n_{\text{exp}}$ the number of exposures, and $N_k(0, 1)$ a random Gaussian variate drawn from a distribution with zero mean and unit standard deviation. Note that we have also considered additional noise terms not shown in equation (A3) to mimic the effects of a non-ideal detector dark-current subtraction (10 per cent accuracy, 1$\sigma$ per pixel, no correlation from one pixel to the next) and of a pixel-to-pixel flat-field correction (20 per cent accuracy, 1$\sigma$ per pixel, no correlation from one pixel to the next). These two contributions have, however, very little impact on the simulated spectra for the dark current and signal-to-noise ratio levels considered in this paper. ### A6 Caveats and limitations The present work is based on simulations of NIRSpec/prism observations computed with a simple ETC-like approach. The flexibility and versatility of this approach allows us to easily explore different observational strategies (e.g. combination of spectral configurations, depth of observations) but it is based on some simplifying Table A1. Summary of the main instrumental effects affecting simulated NIRSpec spectra computed with the approach adopted in this work, and with the official JWST/NIRSpec ETC. \| Effect \| This paper \| JWST ETC \| Impact on our simulations \| \|-------------------------------\|---------------------------------------------------------------------------\|--------------------------------------------------------------------------\|------------------------------------------------------------------------------------------\| \| MSA slit-losses \| Averaged \| Yes \| See Appendix B \| \| Line spread function \| No \| Yes \| Significant impact on the peak signal-to-noise ratio of emission lines (optimistic, average effect of 35 per cent, linear impact) \| \| Background \| Included in the noise model; conservative level; perfect subtraction \| Included in the noise model; adjusts level to on-sky position and observation time; perfect subtraction \| Limited impact since background shot noise is only dominant in a small wavelength range around 1.2μm \| \| Detector noise model \| Conservative total noise value (7 instead of nominal 6 electrons) \| According to Rauscher et al. (2007) formalism \| Significant impact on sensitivity limits (pessimistic, linear impact at long wavelengths) \| \| Noise correlation \| No \| No (capability not activated for NIRSpec) \| Impact not evaluated. Note that a readout mode (IRS$^2$) optimized to reduce correlated noise is available for NIRSpec. \| \| Detector defects \| Yes (conservative end-of-life values) \| No \| Significant impact on our simulations compared to ETC ones, as we consider that almost 20 per cent of the exposure time is lost due to bad pixels \| \| Cosmic rays \| No \| Yes \| Only minor impact as we are considering relatively short exposures \| \| Dark current \| Included in the noise model; conservative rate of 0.01 es$^{-1}$; non-perfect subtraction \| Included in the noise model; measured (lower) rates; perfect subtraction \| Limited impact as even conservative values of dark current are very low \| \| Flat fielding \| Non-ideal \| Non-ideal \| Negligible impact as we assume that dithering will be used to mitigate this problem \| \| Spectro-photometric calibration \| Perfect \| Perfect \| Impact on retrieval of galaxy properties not evaluated \| \| Wavelength calibration \| Perfect \| Perfect \| No impact \| Note. https://jwst-docs.stsci.edu/display/JTJ/NIRSpec+IRS2+Detector+Readout+Mode assumptions about the NIRSpec instrument. In Table A1, we list various effects that can affect the signal-to-noise ratio and calibration of NIRSpec spectra, and indicate whether these effects are accounted for in our simulations and in the official JWST ETC (Pontoppidan et al. 2016). Table A1 shows that, depending on the effect considered, our simulations can be optimistic or pessimistic. Accounting for these effects, however, would require significantly more complex and computationally intensive simulations, for instance based on the NIRSpec instrument performance simulator, and more realistic data reduction strategies. APPENDIX B: SLIT-LOSSES FROM THE NIRSPEC MICROSHUTTER ARRAY (MSA) A standard NIRSpec MSA mask will consist of a series of $1 \times 3$ shutter ‘microslits’, with the object of interest placed at the centre of each shutter as part of a standard nodding scheme. However, the extended size of an object compared to the small (0.20 arcsec $\times$ 0.46 arcsec) shutters, the bars between shutters, difficulties in perfectly centring every object within the shutters, and the large point spread function (PSF) at long wavelengths ensures that not all of the incident flux from a galaxy will make it onto the detector. In order to quantify the effect of these sources of flux losses, we create simulations based on models of the instrument and models of galaxy light distributions. In order to average over all source position angles and ellipticities, throughout we assume a round source with a Sérsic light profile. For a grid of Sérsic indices and half-light radii, an object is positioned in multiple locations inside the $1 \times 3$ microslit and the losses from both geometry and diffraction are calculated as a function of wavelength within the full aperture. These calculations include all of the changes to the PSF as the light propagates to the MSA plane, including the optical telescope element and the NIRSpec foreoptics. Since the specifics of the mask layout and the exact positioning of objects within slits is not known, we calculate the median throughput as a function of wavelength for an object with a given size and Sérsic index, adopting the APT centring tolerances, e.g. accepting that the object before nodding is within the full pitch of the central shutter (including the bars between shutters), accepting that the object is in the open area, etc. We include the effect of nodding within the $1 \times 3$ microslit aperture in these calculations, where more light is lost at the upper and lower nodding positions. Since the quantity of interest is the relative throughput with respect to a centred point source, we correct our estimates according to the wavelength-dependent transmission of a centred point source as calculated using the same framework.
Special Announcement Paul J. Shew, who has been Executive Director of The Advocacy Center for thirteen years, will retire. Shew announced that he will step down on July 5, 2013. The Board of Directors has appointed Allyn Stelljes, Director of Program Development, to serve as Interim Executive Director. Shew has worked at The Advocacy Center since 1984, first as an Advocate, then serving as Director of Advocacy Services for six years before being appointed Executive Director in early 2000. Since that time, the center has grown from 17 to 49 employees to increase the impact of its mission both in western New York and across the state. What’s Inside... - Summer Workshops at The Advocacy Center Page 3 - Newbie Notes Page 6 UPFRONT & PERSONAL: Interview with Paul Shew, Executive Director of The Advocacy Center What was the first job or experience that led you to your current position? My job interview to become an advocate here set the stage it seems even though I did not know it at the time. The interviewer asked me: “What would you do if you won a million dollars in the lottery?” I quickly replied: “I would start up my own advocacy organization.” That was how strongly I felt about advocacy work and if it meant starting my own business to do it, I would. That interview led to 14 years of direct advocacy work here and after a few years in a mid-level management position, I seized the opportunity to be the Executive Director when the job came open in 2000. What are the various “hats” you wear as Executive Director of The Advocacy Center? When I won the “lottery” I’m not sure I realized how many hats there would be, and yet that is what keeps the job interesting, too. Planner, leader, coach, problem-solver, fundraiser, support to the Board of Directors, advocate and connector for the organization with various community stakeholders, and whatever else needs to be done when there is no one else to do it. While not in the job description, being tall and handy means maintenance work occasionally; actually, it’s not a bad way to get a mental break. Tell us your favorite part of this job Without question, those times when I am able to provide coaching and support to a member of our team so that they can be successful. continued on page 4 Celebration of Champions An Evening of Art and Music to Benefit The Advocacy Center October 5, 2013 7:00pm -11:00pm The Center at High Falls, 60 Brown’s Race, Rochester, NY 14614 See Page 3 for Details The Advocacy Center Upcoming Events & Workshops REGISTRATION IS REQUIRED FOR ALL WORKSHOPS Parents & Family Members Learn skills for the Special Education Process. Advocate for your own child and other families, too! Lay Advocacy ~ A five session series in Allegany County July 13 – August 17, 2013, 9:45am – 2:45 pm Jones Memorial Hospital Walchli Education Room, 191 North Main Street, Wellsville, NY 14895 Sponsored by The Advocacy Center, the Parent Network of WNY, and Allegany Arc The Advocacy Center announces a free, five session training for parents of children with disabilities. Priority will be given to parents whose children have developmental disabilities. If there are openings available we will open it up to parents whose children have other disabilities. Dates of classes: 7/13/13, 7/27/13, 8/3/13, 8/10/13, 8/17/13 Participants are selected through an application process. For more information or to request an application, call Linda Chadderdon at 585-546-1700 X225 or 800-650-4967 ext. 225 or email firstname.lastname@example.org We are currently seeking nominations for the 2013 Community Awards Do you know someone who stands out in service and commitment to people with disabilities? Or maybe a self-advocate whose work and life direction you admire? The Advocacy Center now accepts nominations for Community Awards year-round. Award winners are honored at our annual fundraising event. Don’t miss the opportunity to honor a special parent, teacher, community member, or self-advocate! The Advocacy Center Community Awards honor individuals and organizations who are creating positive change in the lives of individuals with disabilities. Community Award recipients embody The Advocacy Center’s vision, creating a world that works for everyone. Award Descriptions Community Impact Award: An individual or organization who creates inclusive opportunities for individuals with disabilities Education Award: A devoted individual in the field of education whose extraordinary efforts empower students with disabilities to succeed Founders Award: A parent or family member of an individual with a disability who exemplifies our founders’ commitment through their efforts to improve the quality of life for individuals with disabilities Self Advocacy Award: An individual with a disability who leads the direction of his or her daily life through advocacy, personal choice, and responsibility Youth Award: An individual, age 21 or younger, whose efforts make a positive difference in the lives of individuals with disabilities For a nomination form, please visit our website: http://www.advocacycenter.com/community-awards or contact Rick Wright: email@example.com or (585) 546-1700. Deadline for nominations is August 16, 2013. Pathways to Graduation - A Webinar September 17, 2013 • 12:00pm- 1:30 pm Webinar - an online event - connect via your computer Learn what “pathways to graduation” are available for students with disabilities in New York State. What does each diploma, credential, and certificate offer for a student’s future? What is the difference between a local diploma, a Regents diploma, a Skills and Achievement Commencement Credential, and a Regents Certificate of Work Readiness? This workshop will help you and your student make informed decisions regarding school, placement, and services. For further information, please contact Pam Merkle, (585)546-1700 ext 237 or firstname.lastname@example.org FREE ADVOCACY WORKSHOPS For parents, caregivers, school nurses and others working with children with disabilities Sponsored by Wayne County Public Health Wayne County Public Health, 1519 Nye Road, Lyons, NY 14489 Supporting Children with Behavioral Disorders September 18, 2013 10:00am – 12:00 pm Functional behavioral assessments and positive behavioral supports, rather than punishment, are essential to the success of students with behavioral disabilities. This presentation will also include a discussion of executive dysfunction, social skills deficits, and sensory integration deficits, which are common to many disabilities. Participants will receive suggestions for positive behavioral strategies to use with students who exhibit challenging behaviors. Communication: Effective Strategies September 26, 2013 10am – noon Communication is key to effective partnerships. Participants in this workshop will identify barriers to good communication through hands on exercises. They will learn techniques to remove the barriers which will, in turn, lead to the development of effective teams. Pre-registration is required. To register, call Wayne County Public Health at (315) 946-5749 or 1-800-724-1170. A $10 gas card will be given to Wayne County residents who attend. Light refreshments will be provided. Save the Date Celebration of Champions An Evening of Art and Music to Benefit The Advocacy Center October 5, 2013 7:00pm -11:00pm The Center at High Falls 60 Brown’s Race, Rochester, NY 14614 Fun with a Purpose The Advocacy Center’s annual fundraising event has a new look and theme this year. Celebration of Champions will shine the spotlight on community award winners. Guests will be inspired by our award winners and treated to an evening of music, celebrity guests, and views of the gorgeous High Falls district. What a great opportunity to celebrate and to mingle – all in support of the work The Advocacy Center does with and for people who have disabilities and their families. Highlights include: • Presentation of our annual Community Awards (See page two for details) • Emcee Jennifer Johnson of I3WHAM-TV • Special guest Coach Jim Johnson • Music courtesy of the Mambo Kings • Silent auction • Wine pull Sponsorship Opportunities Are you and your company willing to sponsor the Celebration of Champions? Sponsors of this event can connect with hundreds of guests influential in Rochester’s disability, philanthropy, and business circles. See “Sponsor Levels & Benefits” on our event webpage for more information about ways we recognize and support our sponsors as they support our event. Purchasing Tickets Tickets will go on sale in August on our website. http://www.advocacycenter.com/2013-celebration-of-champions If you have questions, please contact Seneca Brashear at 585-546-1700 ext 265 or email@example.com. We look forward to another great event and to celebrating with you! What is one of the most memorable experiences you have had here? I am going to cheat and say every experience as an advocate! There is nothing like the honor of having a person share with me their often intimate fears and dreams, whether big or small, simple or complex, common or uncommon, and then to be able to provide as much understanding and support as I could through part of their journey. I can say that one visual image will always be with me. It is the image of a late middle-aged mother struggling to hold her 18 year old daughter as she lay across her lap in their home. Her daughter was considered to have profound multiple disabilities and unable to speak words. Some saw this as a reason to limit her services. Not that many years ago, she would have been institutionalized and forgotten. And yet when her pet dog “kissed” her on the face that day, she responded with obvious joy, through her vocalizations and facial expression. Her mother would do anything to make sure her daughter had the best quality of life possible, in spite of those who did not see the value. That pure humanness and value that I saw that day is present in all of us I believe, even when it is difficult to see. And it is even there regardless of obvious outward appearances, behavior or abilities. It is because of that truth for me, that I believe everyone deserves to be treated with dignity, compassion and respect. That memory will help ensure I never sway from that belief. It is why I believe in our organization’s vision of creating a world that works for everyone. M: What will you do in your retirement? My wife Paula and I will do lots of traveling in and out of the country. Panama is the first stop. Photography, hiking, biking and staying physically healthy are priorities. After a break, I can imagine any number of activities related to direct services to children, people with disabilities, the elderly, and public policy work. M: Would you like to share any other thoughts about your time at The Advocacy Center? Another truth that I have discovered is that The Advocacy Center is made up of the thousands of people we have served, the hundreds of volunteers, exceptionally passionate, skilled and dedicated staff, supporters from the government and private sector, compassionate community members, and individual supporters who help us realize our mission. And it takes everyone to help create a world that works for everyone. Newbie Notes By Maria Schaertel For those who are new to parenting a child with a disability My husband, Dave, has been converting our old videos into DVDs. So for the last few weeks, I have been catching glimpses of all the seasons of our lives with children, stepping in and out of our family’s past. One event that caught my attention was Nick’s baptism day. There was Nick at two months old, bright and expressive eyes, soft baby skin, tilting his head toward family voices, lots of brown hair flowing around, kicking away from the silky outfit my sister dressed him in. He was beautiful! Well, that’s the way I perceive baby Nicholas today. But I didn’t perceive Nick as he was that day. I was looking through a filter of fear, which distorted everything. The diagnosis of Down syndrome changed my perception. Sure, I saw a baby boy, but I was so focused on finding differences in his appearance and behavior, that I couldn’t see what was right in front of me and so apparent to me today: a beautiful, amazing, baby boy. Luckily, I had family members and friends whose perception was not distorted back then, who reminded me on a daily basis, that this baby was Nicholas first, a member of our family first, a person first. They did not deny his disability; they just shifted it to the background because they were so busy enjoying him and getting to know him. Well, within a few months, Nick won me over and taught me to respect his personality and to give him a chance to show me who he was, rather than project my fears onto him. Thanks, Nick. Whenever I slip back into doubt and fear, Nick himself, or a family member, friend, or co-worker, or fellow parent, will remind me to broaden my perspective. How do you see your child? Do you recognize your own attitude and perceptions toward him or her? If you need some help seeing positive traits and possibilities, you might call on a friend or family member to help “try on some new glasses” until your vision is adjusted. From the Editor Change. A whole lot of change going on this year for me. My children are officially adults now. Through the years, we have seen a whole lot of crying and whining, falling down, getting back up, learning hard life lessons about commitment and sacrifice, the consequences of making good and bad choices, the importance of developing skills and confidence, learning to make friends, learning to let go…. ….And the kids have experienced their own growing pains too. *** A big change for Paul Shew, our director, here at The Advocacy Center. Paul announced his retirement, effective July 5, 2013. Paul has been at the helm for 13 years. Something I have always appreciated about Paul is his communication style, which is low key and quiet. Whether we are celebrating accomplishments or dealing with challenging circumstances, Paul keeps an even keel, presenting information in a thoughtful, detailed, and positive manner. Thank you, and good luck Paul. Enjoy your retirement! *** Enjoy the summer months. I hope you can take a break from the hard work of advocating and just enjoy your families this summer! Contact me at firstname.lastname@example.org or (585) 546-1700, ext. 271. Maria Schaertel Business Owners, We Need Your Support!! Interested in Underwriting The Bridge? We reach over 5,000 subscribers per quarter. Contact Maria Schaertel, Editor, email@example.com or (585) 546-1700, ext. 271. Be a part of The Advocacy Center’s efforts to educate and inform our community about disabilities! This newsletter is published by The Advocacy Center 590 South Avenue Rochester, NY 14620 (585) 546-1700 1-800-650-4967 www.advocacycenter.com Funding is partially provided by a Family Support Services Grant by the OPWDD (Office for People With Developmental Disabilities) and by the U.S. Department of Education, Office of Special Education and Rehabilitative Services. Publication within this journal of articles and information should not be considered an endorsement by The Advocacy Center and/or the funders. EDITOR: Maria Schaertel EXEC. DIRECTOR: Paul Shew DESIGN & PRINT Sarah Stein This issue underwritten by James C. Traylor, ChFC, ChSNC Special Care Planner, Financial Services Professional http://financialarchitectsupstate.com/james_traylor To place an ad in The Bridge, please contact Maria Schaertel at (585) 546-1700, ext. 271 or firstname.lastname@example.org.
Nonlinear Wavelength Selection in a Channel P G Daniels\textsuperscript{1}, D Ho\textsuperscript{1} and A C Skeldon\textsuperscript{2} \textsuperscript{1}Centre for Mathematical Science, City University, Northampton Square, London EC1V 0HB, UK \textsuperscript{2}Department of Mathematics and Statistics, University of Surrey, Guildford, Surrey GU2 7XH, UK A method is described for calculating nonlinear steady-state patterns in channels taking into account the effect of an end wall across the channel. The key feature is the determination of the phase shift of the nonlinear periodic form distant from the end wall as a function of wavelength. This is found by analysing the solution close to the end wall, where Floquet theory is used to describe the departure of the solution from its periodic form and to locate the Eckhaus stability boundary. A restricted band of wavelengths is identified, within which solutions for the phase shift are found by numerical computation in the fully nonlinear regime and by asymptotic analysis in the weakly nonlinear regime. Results are presented here for the two-dimensional Swift-Hohenberg equation but in principle the method can be applied to more general pattern-forming systems. Near onset, it is shown that for channel widths less than a certain critical value the restricted band includes both subcritical and supercritical wavelengths, whereas for wider channels only subcritical wavelengths are allowed. \textit{Key words}: convection; nonlinear systems; pattern selection. 1 Introduction There are many examples of systems that develop a cellular pattern through a bifurcation or smooth evolution from a structureless state. Such patterns have been observed in the hydrodynamic instability of fluids, such as Rayleigh-Benard convection and Taylor-Couette flow, in solidification processes, plate buckling, nonlinear optics, and in chemical and biological systems (see, for example, Cross & Hohenberg 1993). In many technological applications, such as crystal growth processes, solar collectors and heat exchangers, motion occurs within a channel-like geometry and is strongly influenced by the sidewalls and end walls of the channel. Carefully controlled Rayleigh-Benard experiments in long channels (Kirchartz & Oertel 1988) show that cellular patterns consisting of convection rolls parallel to the end walls can be subject to significant variations in wavelength as the Rayleigh number increases above its threshold value. Such variations affect the heat transfer characteristics of the system and are therefore of interest in applications of the kind mentioned above. Numerical simulations of the entire flow are hampered by the immense computing power needed to accurately simulate three-dimensional convection (Arter & Newell 1988) and the main objective of the present work is to develop a method that will allow wavelength selection to be predicted in the fully nonlinear regime without the need for such extensive simulations. A number of phenomenological models have been studied as a means of gaining insight into the nonlinear regime. The following model equation was first introduced by Swift & Hohenberg (1977): \[ \frac{\partial u}{\partial t} = \epsilon u - (1 + \nabla^2)^2 u - u^3. \tag{1} \] Here $t$ is time, $x$ and $y$ are horizontal spatial variables, $\nabla^2 = \partial^2/\partial x^2 + \partial^2/\partial y^2$, $\epsilon$ is a control parameter and $u = u(x, y, t)$ is a two-dimensional scalar field which represents a characteristic property of the pattern, such as the vertical velocity component at mid-height in a convecting fluid layer. Cross et al (1983) investigated the effect of lateral boundaries on solutions of the one-dimensional equation in the weakly nonlinear regime ($\epsilon \ll 1$). They showed that even if the lateral walls are far (many roll widths) apart, they severely restrict the band of allowed wavenumbers in the bulk of the fluid compared with that which exists for the corresponding infinite layer. These results were extended to two values of $\epsilon$ in the nonlinear regime by Kramer & Hohenberg (1984) and to a range of values of $\epsilon$ by Daniels et al (2003) who showed how the waveband is related to the phase shift of the periodic form relative to the wall. In the present paper this analysis is extended to the two-dimensional Swift-Hohenberg equation for a channel $-a \leq y \leq a$ with the equivalent of no-slip boundary conditions on the sidewalls: \[ u = \frac{\partial u}{\partial y} = 0 \text{ at } y = \pm a. \tag{2} \] The plan of the paper is as follows. In section 2, periodic solutions in an infinite channel $-\infty < x < \infty$ are considered. Linear theory is used to determine the critical value $\epsilon_0$ of $\epsilon$ above which spatially periodic solutions exist and these solutions are then found in both the weakly nonlinear regime $(\epsilon - \epsilon_0 \ll 1)$ and the fully nonlinear regime $(\epsilon > \epsilon_0)$. Floquet analysis is used in section 3 to study spatial perturbations to these periodic solutions and to determine the Eckhaus stability boundary. This leads to the consideration in section 4 of solutions for a semi-infinite channel $x \geq 0$ with an end wall where \[ u = \frac{\partial u}{\partial x} = 0 \text{ at } x = 0. \tag{3} \] The Floquet analysis determines the spatial decay that occurs in order for the boundary conditions at the end wall to be met. As in the one-dimensional case, it is found that steady-state solutions exist for a restricted band of wavelengths. Within this band the phase shift of the periodic form relative to the end wall is determined as a function of wavelength using numerical computation in the fully nonlinear regime and asymptotic analysis in the weakly nonlinear regime. Finally, in section 5, a discussion is given of how the present method can be extended to solve the equivalent nonlinear Rayleigh-Bénard system in long channels where, so far, theoretical results are limited to the solution of the linear problem with various conditions on the channel walls (Davies-Jones 1970, Luijkx & Platten 1981, Chana & Daniels 1989) and certain aspects of the weakly nonlinear problem with either stress-free horizontal walls (Daniels & Chana 1987) or no-slip horizontal walls (Daniels & Ong 1990). 2 Periodic solutions In this section steady-state periodic solutions are found for an infinite channel $-\infty < x < \infty, -a \leq y \leq a$. Linear analysis is used to find the marginal stability curves that mark the onset of such solutions, weakly nonlinear analysis establishes their form close to onset and then fully nonlinear solutions are computed using a Fourier decomposition. 2.1 Linear analysis Small perturbations from the trivial solution $u = 0$ are governed by the linearized version of (1), leading to steady-state solutions of the form $$u = e^{iqx} f(y) + \text{c.c.},$$ where $q$ is the wavenumber along the channel, c.c. denotes complex conjugate and $f$ satisfies $$f'''' + 2(1-q^2)f'' + ((1-q^2)^2 - \epsilon)f = 0; \quad f = f' = 0 \quad (y = \pm a).$$ The channel halfwidth $a$ can be removed through the transformations $$y = aY, \quad f(y) = F(Y), \quad q^2 = 1 - Qa^{-2}, \quad \epsilon = \delta a^{-4},$$ giving the system $$F'''' + 2QF'' + (Q^2 - \delta)F = 0; \quad F = F' = 0 \quad (Y = \pm 1),$$ which depends only on the modified wavenumber $Q$ and on $\delta$. Solutions that are even about $Y = 0$ onset first and with a normalization $F(0) = 1$ have the form $$F = \frac{\cos \bar{\mu} \cosh \mu Y - \cosh \mu \cos \bar{\mu} Y}{\cos \bar{\mu} - \cosh \mu},$$ where $$\mu = (\delta^{1/2} - Q)^{1/2}, \quad \bar{\mu} = (\delta^{1/2} + Q)^{1/2}$$ and $$\mu \tanh \mu = -\bar{\mu} \tan \bar{\mu}.$$ Equation (10) defines the marginal stability curves in the $Q, \delta$ plane, the lowest two of which are shown in Fig.1. Turning points occur where $\mu \tanh \mu = 1$, with the lowest minimum at $(\mu, \bar{\mu}) = (\mu_0, \bar{\mu}_0) = (1.200, 2.798)$ corresponding to $(Q, \delta) = (Q_0, \delta_0) = (3.196, 21.48)$ and thus critical values of the wavenumber and control parameter given by $$q_0 = (1 - 3.196a^{-2})^{1/2}, \quad \epsilon_0 = 21.48a^{-4}.$$ (11) The effect of the channel walls is to inhibit the onset of instability: the narrower the channel the higher the value of $\epsilon_0$. Note that in practice the minimum occurs at finite wavelengths only for sufficiently wide channels ($a > 1.788$). Fig.2 shows the variation of the profile $F(Y)$ for increasing values of $Q$ on the lowest even branch. Odd solution branches are found from the equation $\mu \coth \mu = \bar{\mu} \cot \bar{\mu}$ and the lowest two of these are also shown in Fig.1. ### 2.2 Weakly nonlinear analysis $\epsilon - \epsilon_0 \ll 1$ The linear analysis shows that, as $\epsilon$ increases, steady-state periodic solutions with small amplitude first exist in the neighbourhood of the critical point $\epsilon_0$ with wavenumber $q_0$. Locally the steady-state solution for $u$ can be developed in the form $$u = \bar{\epsilon}^{1/2} u_0 + \bar{\epsilon} u_1 + \bar{\epsilon}^{3/2} u_2 + \bar{\epsilon}^2 u_3 + \ldots, \quad \bar{\epsilon} \to 0,$$ (12) where $\bar{\epsilon} = \epsilon - \epsilon_0 > 0$ and $u_i = u_i(x, y, X)$ are functions of $x, y$ and the long length scale $X = \bar{\epsilon}^{1/2} x$. Substitution into (1) then yields in succession $$\mathcal{L} u_0 \equiv \left( \left( 1 + \frac{\partial^2}{\partial x^2} + \frac{\partial^2}{\partial y^2} \right)^2 - \epsilon_0 \right) u_0 = 0,$$ (13) $$\mathcal{L} u_1 = -4 \left( 1 + \frac{\partial^2}{\partial x^2} + \frac{\partial^2}{\partial y^2} \right) \frac{\partial^2 u_0}{\partial x \partial X},$$ (14) $$\mathcal{L} u_2 = -2 \left( 1 + \frac{\partial^2}{\partial x^2} + \frac{\partial^2}{\partial y^2} \right) \left( 2 \frac{\partial^2 u_1}{\partial x \partial X} + \frac{\partial^2 u_0}{\partial X^2} \right) - 4 \frac{\partial^4 u_0}{\partial x^2 \partial X^2} + u_0 - u_0^3.$$ (15) The relevant solution of (13) is $$u_0 = (A_0(X)e^{iq_0x} + A_0^(X)e^{-iq_0x})f_0(y),$$ (16) where $A_0$ is a complex amplitude function, an asterisk denotes the complex conjugate and $f_0(y) = F_0(Y)$ is the solution (8) at the critical point. It now follows from (14) that $$u_1 = (A_1(X)e^{iq_0x} + A_1^(X)e^{-iq_0x})f_0(y) - i(A_0'e^{iq_0x} - A_0^e^{-iq_0x})g_0(y),$$ (17) where $A_1$ is a further complex amplitude function and $g_0(y) = \partial f/\partial q\|_{\epsilon_0}$, the partial derivative of $f$ viewed as a function of $y$ and $q$ at points on the neutral curve, evaluated at $\epsilon = \epsilon_0$. The relevant solution of (15) is then given by $$u_2 = (A_2(X)e^{iq_0x} + A_2^(X)e^{-iq_0x})f_0(y) - i(A_1'e^{iq_0x} - A_1^e^{-iq_0x})g_0(y) + e^{iq_0x}h(y, X) + e^{-iq_0x}h^(y, X) + (A_0^3e^{3iq_0x} + A_0^3e^{-3iq_0x})h_0(y),$$ (18) where $A_2$ is a further complex amplitude function. A consistent solution for the function $h$ requires that $A_0$ satisfies the amplitude equation $$\alpha_1 A_0'' + \alpha_2 A_0 - \alpha_3 A_0^2 A_0^* = 0,$$ (19) where the coefficients are real and given by $$\alpha_1 = a q_0^2 \alpha_{10} + a^{-1} \alpha_{11}, \quad \alpha_2 = a \alpha_{20}, \quad \alpha_3 = a \alpha_{30},$$ (20) where $$\alpha_{10} = 2.926, \quad \alpha_{11} = 0, \quad \alpha_{20} = 0.7674, \quad \alpha_{30} = 1.683.$$ (21) Details of the derivation of (19)-(21) and of the solutions for $g_0$, $h_0$ and $h$ are given in Appendix A. Periodic solutions of the amplitude equation (19) have the form $$A_0 = (\alpha_2/\alpha_3)^{1/2} (1 - \alpha_1 \alpha_2^{-1} \Omega^2)^{1/2} e^{i \Omega X}$$ (22) (to within an arbitrary origin shift in $X$) where $\Omega^2 < \alpha_2/\alpha_1$. Thus weakly nonlinear periodic solutions are confined to overall wavenumbers $q$ in the range $$q_0 - (\epsilon - \epsilon_0)^{1/2} (\alpha_2/\alpha_1)^{1/2} < q < q_0 + (\epsilon - \epsilon_0)^{1/2} (\alpha_2/\alpha_1)^{1/2}$$ (23) which defines the marginal stability curve in the neighbourhood of $\epsilon = \epsilon_0$. Using (20) and (21), it follows that for general values of $a > 1.788$ the waveband of nonlinear solutions is restricted to wavelengths $2\pi/q$ bounded by $$\frac{2\pi a}{(a^2 - 3.196)^{1/2}} \left( 1 \pm \frac{0.5121 a^2 (\epsilon - \epsilon_0)^{1/2}}{a^2 - 3.196} \right)$$ (24) as $\epsilon \to \epsilon_0$. For large channel widths ($a \to \infty$) this predicts a band of wavelengths of width $6.435(\epsilon - \epsilon_0)^{1/2}$ centred on the critical wavelength of $2\pi$ and with $\epsilon_0 = 0$. In the long wavelength limit $a \to 1.788+$, both the critical wavelength and the bandwidth increase, and the validity of formula (24) is restricted to a diminishingly small range of $\epsilon$ near $\epsilon_0$, which approaches the value 2.104. ### 2.3 Nonlinear solutions Fully nonlinear periodic solutions of (1) and (2) can be sought in the form $$u = u_p(x, y) = \sum_{n=1}^{N} a_n(y) \sin nqx,$$ (25) where $q$ is the wavenumber. The value of $N$ is infinite in general but in practice solutions can be found by truncating the infinite series. The form (25) can be generalized to incorporate an origin shift in $x$ if required and allows the weakly nonlinear solutions of section 2.2 to be extended to general values of $\epsilon > \epsilon_0$. Substitution of (25) into (1) gives $$\sum_{n=1}^{N} \{a_n'''' + 2(1 - n^2 q^2)a_n'' + (n^4 q^4 - 2n^2 q^2 + 1 - \epsilon)a_n\} \sin nqx = -\left\{\sum_{n=1}^{N} a_n \sin nqx\right\}^3.$$ (26) By comparing coefficients of $\sin nqx$ on each side, this leads to a coupled system of $N$ fourth-order ordinary differential equations for the coefficients $a_n$, $n = 1, 2, \ldots N$ to be solved subject to the boundary conditions $a_n = a_n' = 0$ on $y = \pm a$, obtained from (2). This system was solved using finite difference approximations to the derivatives of $a_n$ with a truncation error of order $(\Delta y)^2$ where $\Delta y$ is the step length in $y$. This leads to a matrix equation $A\mathbf{a} = \mathbf{b}$ where $A$ is the matrix containing all the coefficients arising from the linear terms in (26), $\mathbf{a}$ is the vector of unknown coefficients at equally-spaced intervals in $y$ and $\mathbf{b}$ is a vector containing all contributions from the nonlinear terms on the right-hand side of (26). This system was solved by a Newton-Krylov iterative scheme, using the linear theory of section 2.1, together with a single-mode truncation ($N = 1$) to obtain initial results which were then used as starting values for higher truncation levels, up to $N = 9$. The scheme was implemented mostly with 51 equally-spaced locations in $y$ and checks with other step sizes and with linear theory indicated good accuracy in this case. Results for the case $a = \pi$ where, from (11), $q_0 = 0.8223$ and $\epsilon_0 = 0.2206$ are shown in Figs 3-5. Fig.3 shows the variation of the coefficients $a_n$ with $\epsilon$ for $q = 1$ and $n = 1, 3, 5, 7, 9$. The even coefficients are zero, a consequence of the cubic nonlinearity in (26). The coefficients $a_n$ decrease in size rapidly with $n$, so that only a few modes give a good approximation to the nonlinear solution for the values of $\epsilon$ under consideration here. Fig.4 shows the variation of the coefficient $a_1$ with $y$ and the wavenumber $q$ for $\epsilon = 0.5$. The solution vanishes at the wavenumbers corresponding to the neutral curve $q = 1.1022$ and $q = 0.3597$. Fig.5 shows the nonlinear periodic solution $u_p(x, y)$ defined by (25) as a function of both $x$ and $y$ for $q = 1$ and $\epsilon = 0.5$. ### 3 Floquet analysis and the Eckhaus boundary Steady-state perturbations to the nonlinear periodic solutions determined in the previous section are now considered by writing $$u = u_p(x, y) + k\bar{u}(x, y),$$ (27) where the constant $k$ is small. Substitution into (1) and (2) and neglect of nonlinear terms in $k$ shows that $\bar{u}$ satisfies $$\frac{\partial^4 \bar{u}}{\partial x^4} + \frac{\partial^4 \bar{u}}{\partial y^4} + 2\frac{\partial^4 \bar{u}}{\partial x^2 \partial y^2} + 2\left(\frac{\partial^2 \bar{u}}{\partial x^2} + \frac{\partial^2 \bar{u}}{\partial y^2}\right) + (1 - \epsilon)\bar{u} + 3u_p^2\bar{u} = 0$$ (28) with boundary conditions \[ \bar{u} = \frac{\partial \bar{u}}{\partial y} = 0 \text{ on } y = \pm a. \] (29) Equation (28) is a linear partial differential equation with coefficients periodic in $x$ and it follows that a solution can be sought in the Floquet form \[ \bar{u} = e^{-cx} \sum_{n=0}^{\bar{N}} \left( b_n(y) \cos nqx + c_n(y) \sin nqx \right), \] (30) where $c$ is the characteristic exponent and the periodic part of the solution is expressed as a Fourier series in $x$ whose coefficients $b_n(y), n = 0, 1, \ldots$ and $c_n(y), n = 1, 2 \ldots$ are bounded functions of $y$. If $c$ is complex then the conjugate of $\bar{ku}$ can be added in (27) to obtain the real solution for $u$. The value of $\bar{N}$ is infinite in general but in practice solutions can be found by truncating the infinite series in both (30) and (25). For $\bar{N} = 1$ and $N = 1$ the equations for the coefficients $b_0, b_1$ and $c_1$ are determined from (28) as \[ b_0'''' + 2(1 + c^2)b_0'' + (c^4 + 2c^2 + 1 - \epsilon)b_0 = -3a_1^2b_0/2, \] (31) \[ b_1'''' + 2(1 + c^2 - q^2)b_1'' - 4qc c_1' + 4qc(q^2 - c^2 - 1)c_1 \\ + (c^4 + 2(1 - 3q^2)c^2 + q^4 - 2q^2 + 1 - \epsilon)b_1 = -3a_1^2b_1/4, \] (32) \[ c_1'''' + 2(1 + c^2 - q^2)c_1'' + 4qc b_1'' - 4qc(q^2 - c^2 - 1)b_1 \\ + (c^4 + 2(1 - 3q^2)c^2 + q^4 - 2q^2 + 1 - \epsilon)c_1 = -9a_1^2c_1/4. \] (33) The equation for $b_0$ is disjoint from those for $b_1$ and $c_1$. In fact, because $a_n = 0$ for even values of $n$, solutions for the Floquet coefficients are obtained either with $b_n = c_n = 0$ for odd $n$ or with $b_n = c_n = 0$ for even $n$. Freedom in the choice of the imaginary part of $c$ means that attention can be restricted to the latter case. In view of the rapid convergence of (25), computations were carried out initially using the truncated system (32), (33) together with the boundary conditions $b_1 = b_1' = c_1 = c_1' = 0$ at $y = \pm a$ obtained from (29). The finite difference scheme of section 2 was used to discretize the system leading to a linear homogeneous matrix equation $Bt = 0$ for the discrete values of $b_1$ and $c_1$ at $M$ equally-spaced locations in the $y$ direction. Most computations were carried out with $M = 17$. Non-trivial solutions exist for a discrete set of values of the characteristic exponent $c$ for which the determinant of the matrix $B$ vanishes. Initially the values of $a, q$ and $\epsilon$ were fixed and $c$ was varied within the complex plane to find the zeros of the determinant of $B$. Generally this determinant is a very large complex function so to avoid truncation errors it was more convenient to search for zeros of the eigenvalue of minimum modulus, $\lambda_B = \min \|\text{eig}B\|$. Fig.6 shows contours of $\log \lambda_B$ in the range $-5 < \text{Re}(c) < 5, -5 < \text{Im}(c) < 5$ for the case $a = \pi, q = 0.8$ and $\epsilon = 0.45$; a Newton iteration was used to home in on the precise location of the zeros of $\lambda_B$. In Fig.6, the three characteristic roots $c$ of smallest absolute value lie on the real axis, located at $c \approx -0.375, 0.375$ and $c = 0$; these will be denoted by $c_-, c_+$ and $c_0$ respectively. The last of these, which is zero for all $a, q$ and $\epsilon$, corresponds to the exact solution of (28) and (29) $\bar{u} = \partial u_p / \partial x$ associated with an origin shift of $u_p$ in $x$. Although Fig.6 shows two sets of roots in the first quadrant, the higher set can be ignored as it is just a reflection of the lower set about the line $c = i q$ and corresponds to the fact that any multiple of $q$ in the imaginary part of $c$ can also be incorporated in the periodic part of the Floquet form (30). The roots occur in conjugate pairs and also pairs symmetric about the imaginary axis, giving a quadruply-infinite set corresponding to the existence of a complete set of eigenfunctions in $y$, associated with the corresponding eigenvectors $f$. Calculations were extended to higher truncation levels $N$ and $\tilde{N}$, and also to other values of $M$. The results shown in Table 1 confirm that the severe truncation gives a good approximation to the position of the real eigenvalue; in fact the exponent is more sensitive to the discretization in $y$, as given by $M$, than the number of Fourier modes in either $u_p$ or $\bar{u}$. The roots $c_\pm$ are the most significant in terms of the spatial behaviour of the perturbation (30). Fig.7 shows their movement in the complex plane in the case $a = \pi$ and $\epsilon = 0.45$ for a range of wavenumbers $q$ about the critical wavenumber $q_0 = 0.8223$. As the value of $q$ is increased or decreased from $q_0$ a position is reached where $c_\pm$ become zero and thereafter become purely imaginary. This behaviour is shown for different values of $\epsilon$ in Fig.8. The wavenumbers at which $c_\pm = 0$ define the Eckhaus stability boundary (Eckhaus 1965) since these form the locus of points at which spatially oscillatory disturbances to the periodic solution $u_p$ have zero temporal growth rate. Outside the Eckhaus boundary, spatially periodic solutions (25) are temporally unstable to periodic solutions of different wavelength. Fig.9 shows the Eckhaus boundary computed with $M = 17$ for the case $a = \pi$, where $\epsilon_0 = 0.2206$. At low values of $\epsilon$ the zeros of $c_\pm$ depend sensitively on the value of $M$ and, consistent with the trend shown in Table 1, the numerical computation overestimates the actual bandwidth. For values of $\epsilon$ near $\epsilon_0$, the Eckhaus boundary can be calculated from the weakly nonlinear equation (19) by considering perturbations to $A_0$ in (22) of the form $$\bar{A}(X) = \bar{K} e^{i \Omega X + CX}. \tag{34}$$ A non-trivial solution requires either $C = 0$ (associated with an origin shift of the periodic form) or $\alpha_1 C^2 + 6\alpha_2 \Omega^2 - 2\alpha_2 = 0$. Real values of $C$ (corresponding to the non-existence of spatially periodic disturbances which grow with time) are confined to the region $\Omega^2 < \alpha_2/3\alpha_1$, equivalent to overall wavenumbers $q$ in the range $$q_0 - (\epsilon - \epsilon_0)^{1/2}(\alpha_2/3\alpha_1)^{1/2} < q < q_0 + (\epsilon - \epsilon_0)^{1/2}(\alpha_2/3\alpha_1)^{1/2} \tag{35}$$ as $\epsilon \to \epsilon_0$. This is also shown in Fig.9 for the case $a = \pi$. 4 Nonlinear solutions for a semi-infinite channel If an end wall is placed across the channel at $x = 0$ to form a semi-infinite channel $x \geq 0$ then the band of stable wavenumbers is further restricted. We now calculate this restriction by numerical computation in the fully nonlinear regime and by asymptotic analysis in the weakly nonlinear regime. 4.1 Nonlinear solutions Within the Eckhaus boundary where $c_+ > 0$, the results of section 3 indicate the existence of a (doubly-infinite) set of characteristic exponents $c$ with $\text{Re}(c) \geq 0$, corresponding to a complete set of eigenfunctions (30) which (for $\text{Re}(c) > 0$) decay as $x \to \infty$. Satisfaction of the no-slip conditions (3) at the end wall requires a departure of the nonlinear solution from its periodic form (25) which is now achieved only as $x \to \infty$. From (27) and (30), the asymptotic form of the solution as $x \to \infty$ is expected to be $$u \sim u_p(x + \phi, y) + ke^{-c_+ x} P(x + \phi, y). \quad (36)$$ Here $\phi$ is a possible constant phase shift of the solution which corresponds to the eigenvalue $c = 0$ and $k$ is a real constant associated with the characteristic exponent $c_+$ and corresponding eigenfunction $$P(x, y) = \sum_{n=0}^{\infty} \left( b_n(y) \cos nqx + c_n(y) \sin nqx \right). \quad (37)$$ The complete asymptotic form (36) will also contain components $$k_m e^{-c_m x} P_m(x + \phi, y) + \text{c.c.}, \quad m = 1, 2 \ldots, \quad (38)$$ where $k_m$ are (complex) constants associated with the remaining (complex) characteristic exponents $c_m$ and corresponding eigenfunctions $P_m(x, y)$. In principle, the two real constants $k$ and $\phi$, together with the doubly-infinite set of real constants given by the real and imaginary parts of $k_m$ must be chosen in order that the two end-wall conditions (3) are satisfied for all values of $y$. An approximate estimate of the restricted waveband can be made by assuming that (36) holds for all $x \geq 0$ and that $u_p$ and the Floquet eigenfunction $P(x, y)$ are replaced by their one-mode approximations $$u_p(x, y) = a_1(y) \sin qx, \quad P(x, y) = b_1(y) \cos qx + c_1(y) \sin qx. \quad (39)$$ Fig.10 shows the variation of $a_1, b_1$ and $c_1$ with wavenumber for the case where $a = \pi$ and $\epsilon = 0.4$. Noting that the profiles $a_1, b_1$ and $c_1$ are similar, it is a good approximation to apply (3) at the central point $y = 0$ only, equivalent to a one-point collocation. Elimination of $k$ then leads to the requirement that the phase shift $\phi$ is determined by solutions of the equation $$B_1 \sin 2q\phi - C_1 \cos 2q\phi = -2qc_+^{-1} B_1 - C_1, \quad (40)$$ where $B_1 = b_1(0)$ and $C_1 = c_1(0)$. The left-hand side is an oscillatory function of $\phi$ with amplitude $(B_1^2 + C_1^2)^{1/2}$ so that solutions exist only if $$\|2qc_+^{-1}B_1 + C_1\| < (B_1^2 + C_1^2)^{1/2}. \quad (41)$$ For $\epsilon = 0.4$ and from the variation of $c_+$ shown in Fig.8 this is approximately the band of solutions shown in Fig.10. By extending the calculations to other values of $\epsilon$, a narrow waveband of solutions is obtained in the $q, \epsilon$ plane and this is shown in Fig.9. In order to calculate the waveband accurately the asymptotic solution (36) must be replaced by the actual steady-state solution of the nonlinear Swift-Hohenberg equation and the end wall conditions (3) must be applied at all values of $y$. This was achieved by using an explicit finite difference scheme to solve the time-dependent Swift-Hohenberg equation (1) in the domain $0 \leq x \leq x_\infty, -a \leq y \leq a$ subject to the no-slip conditions (2) and (3), and the periodicity condition $$u = \frac{\partial^2 u}{\partial x^2} = 0 \text{ at } x = x_\infty. \quad (42)$$ A standard 13-point second-order accurate discretization of the spatial derivatives was used together with a forward difference in time. Steady-state solutions were found by allowing the solution to evolve from a specified initial state at $t = 0$, usually taken as $u = (a^2 - y^2)u_0 \sin(10\pi x/x_\infty)$ with $u_0 = 0.3/\pi^2$ for the case $a = \pi$. The value of $x_\infty$ must be sufficiently large to accommodate the approach of the solution to its nonlinear periodic form and was generally set to the value $x_\infty = 10\pi/q_\infty$, with results then obtained for a series of values of $q_\infty$ near the critical wavenumber $q_0$ for the infinite channel. The solution then converges to a steady (non-periodic) state and the actual wavelength $\lambda$, wavenumber $q = 2\pi/\lambda$ and amplitude can be deduced from the last half-cycle at $x = x_\infty$. The phase shift $\phi$ relative to the end wall can also be calculated since from (36) $x_\infty + \phi$ is an integer number of half wavelengths. Most results were obtained with a $100 \times 20$ grid and a time step $\Delta t = 2 \times 10^{-4}$; typically a steady-state solution was achieved for values of $t$ in the range 300 to 800, depending on the values of $\epsilon, q$ and $a$. The scheme was tested by replacing the no-slip condition at $x = 0$ by a periodic condition, allowing nonlinear solutions for an infinite channel to be computed. This predicted a critical wavenumber $q_0 = 0.827$ at $\epsilon_0 = 0.222$ in the case $a = \pi$, consistent with the second-order accuracy of the scheme. Fig.11 shows results for the phase shift $\phi$ as a function of $q$ in the case $a = \pi$ and $\epsilon = 0.5$. Stable steady-state solutions are limited to the range $0.797 \leq q \leq 0.871$ with the end points corresponding to the positions where $dq/d\phi = 0$. This is similar to the behaviour in the one-dimensional case reported by Daniels et al (2003) where it was shown that dual solutions exist at internal points of the range, one of which is unstable. The same is expected in the two-dimensional case, but the method of solution adopted here precludes the determination of the unstable branch. Fig.12 shows contours of the steady-state solution for $a = \pi, \epsilon = 0.5$ and $q = 0.835$; also shown is the centre-line value $u(x,0)$ and the corresponding periodic form $u_p(x,0)$, illustrating the phase shift of the solution. Results for $a = \pi$, $\epsilon = 0.25$ and $q = 0.829$ are shown in Fig.13; as $\epsilon$ nears the critical value $\epsilon_0 = 0.22$ the approach of the solution to its nonlinear periodic form occurs over an increasingly long length scale in $x$. By repeating the calculations for a range of values of $\epsilon$, the restricted band of wavenumbers is determined and is shown in Fig.9 for the case $a = \pi$. The bandwidth is similar to that predicted by the Floquet approximation, but is more centrally placed relative to the critical wavenumber. ### 4.2 Weakly nonlinear analysis $\epsilon - \epsilon_0 \ll 1$ More insight into the role of the channel halfwidth $a$ can be gained by extending the weakly nonlinear theory of section 2.2 to provide a prediction of the restricted waveband for values of $\epsilon$ close to $\epsilon_0$. This requires a derivation of the equation for the second amplitude function $A_1$ which appears in the solution (17) for $u_1$. This is found by consideration of the solvability condition for the term $u_3$ in (12), which satisfies $$\mathcal{L}u_3 = -2\left(1 + \frac{\partial^2}{\partial x^2} + \frac{\partial^2}{\partial y^2}\right)\left(2\frac{\partial^2 u_2}{\partial x \partial X} + \frac{\partial^2 u_1}{\partial X^2}\right) - 4\frac{\partial^4 u_1}{\partial x^2 \partial X^2} - 4\frac{\partial^4 u_0}{\partial x \partial X^3} + u_1 - 3u_0^2 u_1.$$ (43) It is shown in Appendix B that this leads to the amplitude equation $$\alpha_1 A_1'' + \alpha_2 A_1 - \alpha_3(A_0^2 A_1' + 2A_0 A_0^* A_1) = i(\alpha_4 A_0''' + \alpha_5 A_0' + \alpha_6 A_0^2 A_0^* + \alpha_7 A_0 A_0^* A_0'),$$ (44) where the coefficients $\alpha_i (i = 4, 5, 6, 7)$ are real and given by $$\alpha_4 = a^3 q_0^3 \alpha_{40} + a q_0 \alpha_{41}, \quad \alpha_5 = a^3 q_0 \alpha_{50}, \quad \alpha_6 = -\alpha_7/2 = a^3 q_0 \alpha_{60},$$ (45) where $$\alpha_{40} = 0.06516, \quad \alpha_{41} = 2.926, \quad \alpha_{50} = 0.01323, \quad \alpha_{60} = 0.01132.$$ (46) The four terms on the right-hand side of (44) are actually linearly dependent because the first term $A_0'''$ can be expressed in terms of the other three using (19). The expansion (12) is valid over the long length scale $x \sim \epsilon^{-1/2}$ and this outer solution must be matched with an inner solution close to the end wall where $x \sim 1$ and there is an adjustment to the end-wall conditions (3). In this inner region the solution can be expanded in the form $$u = \bar{\epsilon} U(x,y) + \ldots, \quad \bar{\epsilon} \to 0$$ (47) and is smaller, by a factor of $\bar{\epsilon}^{1/2}$, than that in the outer region. This is a consequence of the need to satisfy (3) and of consistency in matching between the regions, to be discussed below. Substitution in (1) shows that $U$ satisfies the partial differential equation $$\mathcal{L}U = \left( \left( 1 + \frac{\partial^2}{\partial x^2} + \frac{\partial^2}{\partial y^2} \right)^2 - \epsilon_0 \right) U = 0.$$ (48) This has general solution satisfying the boundary conditions $U = \partial U / \partial y = 0$ at $y = \pm a$ given by $$U = \left\{ (r_0 f_0(y) + s(x f_0(y) - ig_0(y))) e^{iq_0 x} + \sum_{n=1}^{\infty} r_n f_n(y) e^{iq_n x} \right\} + \text{c.c.},$$ (49) where $r_n, n = 0, 1, \ldots$ and $s$ are arbitrary complex constants, $f_0$ and $g_0$ are the real functions defined in section 2 and $f_n$ and $q_n, n = 1, 2, \ldots$ are the complex eigenfunctions and eigenvalues of the system $$f_n'''' + 2(1 - q_n^2)f_n'' + ((1 - q_n^2)^2 - \epsilon_0)f_n = 0; \quad f_n = f_n' = 0 \quad (y = \pm a)$$ (50) such that $\text{Im}(q_n) > 0$. Solutions for which $\text{Im}(q_n) < 0$ are discarded since these would grow exponentially as $x \to \infty$, whilst the solution for $n = 0$ with zero imaginary part corresponds to the critical wavenumber $q_0$. It is convenient to set $$r_{nr,i} = \chi_{nr,i}s_r + \bar{\chi}_{nr,i}s_i$$ (51) where $r_{nr,i}$ and $s_{r,i}$ denote the real and imaginary parts of $r_n$ and $s$, and it is shown in Appendix C that the coefficients $\chi_{nr,i}$ and $\bar{\chi}_{nr,i}$ are then determined as functions of $a$ from (49) by application of the boundary conditions $U = \partial U / \partial x = 0$ at $x = 0$. Values of $\chi_{nr,i}$ and $\bar{\chi}_{nr,i}$ for $a = \pi$ are shown in Table 2. Matching between the inner solution (47) as $x \to \infty$ and the outer solution (12) as $X \to 0$ requires that $$A_0(0) = 0.$$ (52) This is because if $A_0$ is non-zero at $X = 0$ an inner solution for $u$ of order $\epsilon^{1/2}$ would be generated similar in form to (49) but with the terms linear in $x$ excluded; the remaining coefficients $r_n$ could not then be chosen to satisfy both of the end-wall conditions at $x = 0$. Matching also requires $r_0 = A_1(0)$ and $s = A_0'(0)$ from which it follows, by setting $n = 0$ in (51), that $$A_1(0) = \alpha A_0'(0) + \beta A_0^{ss}(0),$$ (53) where $$\alpha = (\chi_{0r} + \bar{\chi}_{0i} + i(\chi_{0i} - \bar{\chi}_{0r}))/2,$$ (54) $$\beta = (\chi_{0r} - \bar{\chi}_{0i} + i(\chi_{0i} + \bar{\chi}_{0r}))/2.$$ (55) Values of $\alpha$ and $\beta$ for various values of $a$ are given in Table 3. The results (52) and (53) are boundary conditions at $X = 0$ for the amplitude functions $A_0$ and $A_1$ in the outer region, allowing $A_0$ to be determined as $$A_0 = \left(\frac{\alpha_2}{\alpha_3}\right)^{1/2} e^{i\psi} \tanh \frac{\bar{X}}{\sqrt{2}}$$ (56) where $\psi$ is an arbitrary constant phase and then $A_1$ as $$A_1 = \frac{\alpha_2}{(\alpha_1 \alpha_3)^{1/2}} e^{i\psi} \left\{ \bar{a} \text{sech}^2 \frac{\bar{X}}{\sqrt{2}} + i \left( b \tanh \frac{\bar{X}}{\sqrt{2}} + \bar{q} \left( \bar{X} \tanh \frac{\bar{X}}{\sqrt{2}} - \sqrt{2} \right) \right) + \frac{l_1}{\sqrt{2}} + \frac{(l_2 + l_3)}{2\sqrt{2}} \text{sech}^2 \frac{\bar{X}}{\sqrt{2}} \right\},$$ (57) where $\bar{X} = (\alpha_2/\alpha_1)^{1/2} X$, $$\bar{a} = (\alpha_r + \|\beta\| \cos (\gamma - 2\psi))/\sqrt{2},$$ (58) $$\bar{q} = (2l_1 + l_2 + l_3 - 2\alpha_i - 2\|\beta\| \sin (\gamma - 2\psi))/4,$$ (59) $$l_1 = \frac{\alpha_5}{\alpha_2} - \frac{\alpha_4}{\alpha_1}, \quad l_2 = \frac{\alpha_4}{\alpha_1} + \frac{\alpha_6}{\alpha_3}, \quad l_3 = 2 \left( \frac{\alpha_4}{\alpha_1} - \frac{\alpha_6}{\alpha_3} \right),$$ (60) $\alpha_{r,i}$ are the real and imaginary parts of $\alpha$, and $\beta = \|\beta\|e^{i\gamma}$. The constant $b$ remains arbitrary at this stage of the expansion in $\epsilon$. From (56) and (57), as $X \to \infty$, $$u \sim \epsilon^{1/2} (\alpha_2/\alpha_3)^{1/2} f_0(y) e^{i\psi + iq_0 x} \{ 1 + i\epsilon^{1/2} \alpha_2 \alpha_1^{-1} \bar{q} X + \ldots \} + \text{c.c.}$$ (61) and the solution assumes the form $$u \sim \epsilon^{1/2} (\alpha_2/\alpha_3)^{1/2} f_0(y) \exp \{ i(q_0 + \bar{\epsilon} \alpha_2 \alpha_1^{-1} \bar{q}) x + i\psi \} + \text{c.c.}$$ (62) equivalent to that in an infinite channel with wavenumber $$q_0 + \bar{\epsilon} \alpha_2 \alpha_1^{-1} \bar{q}.$$ (63) This can be formally confirmed by carrying out a weakly nonlinear expansion with dual length scales $x \sim 1$ and $x \sim \epsilon^{-1}$ but the details are similar to those already outlined in section 2 and in the one-dimensional case (Cross et al 1983) and are omitted here. The results (63) and (59) now show that as the phase $\psi$ varies, the permissible values of the wavenumber $q$ are limited to the range $$q_0 + (\epsilon - \epsilon_0)(\theta - \frac{w}{2}) < q < q_0 + (\epsilon - \epsilon_0)(\theta + \frac{w}{2})$$ (64) as $\epsilon \to \epsilon_0$, where $$w = \alpha_2 \|\beta\|/\alpha_1, \quad \theta = \alpha_2 (2l_1 + l_2 + l_3 - 2\alpha_i)/(4\alpha_1).$$ (65) This represents a region in the $q, \epsilon$ plane that expands linearly from the critical point $(q_0, \epsilon_0)$. The width $\bar{\epsilon} w$ and angle $\bar{\epsilon} \theta$ of this linear segment depend on the channel halfwidth $a$ in the manner shown in Fig.14, and Fig.15 shows the waveband in the $q, \epsilon$ plane for several different values of $a$. The results for $a = \pi$ are also included in Fig.9 and are seen to agree well with the fully nonlinear calculations of section 4.1. It is seen from Fig.14 that the waveband is generally asymmetric, being skewed towards subcritical wavenumbers for $a < 2.567$ and supercritical wavenumbers for $a > 2.567$. For $a > 7.15$, the entire waveband is restricted to supercritical wavenumbers and it is interesting to compare this with the corresponding result for the one-dimensional (that is, $y$-independent) problem (Cross et al 1983) where solutions for a semi-infinite domain $x \geq 0$ are restricted to the symmetric range $$1 - \frac{\epsilon}{16} < q < 1 + \frac{\epsilon}{16}, \quad \epsilon \ll 1$$ (66) either side of the critical wavenumber $q_0 = 1$. The explanation of this apparent contradiction is that the large $a$ limit of the present analysis cannot be compared directly with (66). As $a \to \infty$, the expansion (12) is effectively limited to the range $\bar{\epsilon} a^4 \ll 1$, equivalent to $\epsilon - \epsilon_0 \ll a^{-4}$. In this range the solution varies with $y$ in the region $-a \leq y \leq a$ (through the functions $f_0(y)$ and so on). As nonlinear effects increase, a transition occurs over the range $\epsilon \sim a^{-4}$ in which the $y$-dependence of the solution is relegated to the neighbourhood of the channel walls. The one-dimensional solution then applies throughout most of the channel for $a^{-4} \ll \epsilon \ll 1$ with the wavenumber restriction (66) then applicable. The reason that the waveband (64) is skewed towards supercritical wavenumbers for large $a$ can now be understood: from (11), the critical wavenumber has the form $q_0 \sim 1 - 1.598a^{-2}$ as $a \to \infty$ which means that the wavenumber must increase as $\epsilon$ increases through the range where $\epsilon - \epsilon_0 \sim a^{-4}$ and $q - q_0 \sim a^{-2}$ in order that the symmetric form (66) is attained when $a^{-4} \ll \epsilon \ll 1$. The transition from (64) to (66) is a problem of some interest, especially as a further feature is the onset of rolls perpendicular to the end wall when $\epsilon$ reaches values of order $a^{-2}$. As the channel width decreases to $a = 1.788$ the critical wavelength becomes infinite. Although this behaviour is not relevant in the classical Rayleigh-Benard system, it is of interest in relation to convection between poorly conducting planes (Proctor 1981). Fig.14 shows that in this limit the bandwidth increases and the long wavelength solutions include both subcritical and supercritical modes. For a pattern of wavenumber $q$ in the range (64), equation (59) determines the corresponding phase shift $\psi$. In fact it determines two solution branches for a given wavenumber, corresponding to $\psi = \psi_0$ (say) and $\psi = \gamma - \frac{\pi}{2} - \psi_0$. Since, from (56), $A'_0(0) = s = \alpha_2^{1/2} e^{i\psi}/(2\alpha_3)^{1/2}$, these two branches are associated with $$s_{r,i} = \alpha_2^{1/2}(2\alpha_3)^{-1/2}(\cos \psi_0, \sin \psi_0)$$ (67) and $$s_{r,i} = \alpha_2^{1/2}(2\alpha_3)^{-1/2}(\sin (\gamma - \psi_0), -\cos (\gamma - \psi_0))$$ (68) respectively. The inner solution near the end wall is then determined by (49) as a function of the phase shift $\psi_0$, which varies over the range $\frac{1}{2}\gamma - \frac{\pi}{4} < \psi_0 < \frac{1}{2}\gamma + \frac{\pi}{4}$ as $q$ varies over the range (64). Fig.16 shows contours of the inner solution $U$ corresponding to the two branches (67) and (68) at the midpoint of the range, $\psi_0 = \frac{1}{2}\gamma$, for the case $a = \pi$. Branch (67) is a stable solution and compares well with the nonlinear computation in Fig.13 whereas branch (68) involves a flow reversal close to the end wall and is an unstable solution. 5 Discussion Nonlinear steady-state solutions of the two-dimensional Swift-Hohenberg equation have been found for an infinite channel of non-dimensional width $2a$. Floquet theory has been used to investigate the departure of the solution from its periodic form, leading to the determination of the Eckhaus stability boundary and the asymptotic form of the solution at large distances from an end wall inserted across the channel. The phase shift of this asymptotic form has been found as a function of wavelength by numerical computation in the fully nonlinear case and by weakly nonlinear theory for values of $\epsilon$ close to the threshold value $\epsilon_0$, leading to the determination of the restricted band of wavelengths possible in a semi-infinite channel. If a second end wall is present then the waveband is quantized. Using the same procedure as that described for the one-dimensional case by Daniels et al (2003), the present results then also determine the families of steady-state solutions even or odd in $x$ (together with their interconnecting branches) that exist in long finite channels. One advantage of the weakly nonlinear treatment of section 4.2 is that the dependence on the channel halfwidth $a$ can be incorporated analytically throughout most of the theory. This leads to the interesting result shown in Fig.14 that the waveband is skewed towards supercritical wavenumbers for sufficiently wide channels. Since the critical wavenumber for Rayleigh-Benard convection in a rigid, thermally conducting channel (Chana & Daniels 1989) has a qualitatively similar behaviour at large $a$ to that of the Swift-Hohenberg system in (11) it is expected that the same behaviour will occur there. It is now planned to apply the techniques and insight developed here in two dimensions to the three-dimensional convection problem. Rayleigh-Benard experiments in long boxes have identified significantly different and as yet unexplained behaviours for high and low Prandtl number fluids. At high Prandtl numbers little change in wavelength is observed as the Rayleigh number increases to as much as ten times its critical value whereas at low Prandtl numbers the wavelength is observed to increase steadily through the same range (Kirchartz & Oertel 1988). It is hoped that the present approach will provide new insight into this behaviour and also a way of predicting the behaviour of other similar pattern-forming systems. Acknowledgment This work was partly supported by a research grant from the EPSRC Applied Nonlinear Mathematics Programme. References Arter, W. & Newell, A.C. 1988 Numerical simulation of Rayleigh-Benard convection in shallow tanks, Phys.Fluids, 31, 474-2485. Chana, M.S. & Daniels, P.G. 1989 Onset of Rayleigh-Benard convection in a rigid channel, J.Fluid Mech. 199, 257-279. Cross, M.C., Daniels, P.G., Hohenberg, P.C. & Siggia, E.D. 1983 Phase-winding solutions in a finite container above the convective threshold, J.Fluid Mech. 127, 155-183. Cross, M.C. & Hohenberg, P.C. 1993 Pattern formation outside of equilibrium, Rev.Mod.Phys. 65, 851-1112. Daniels, P.G. & Chana, M.S. 1987 Multiple convective states in a long box heated from below, Proc. ASME Winter Annual Meeting, Boston HTD 94, 49-57. Daniels, P.G., Ho, D. & Skeldon, A.C. 2003 Solutions for nonlinear convection in the presence of a lateral boundary, Physica D178, 83-102. Daniels, P.G. & Ong, C.F. 1990 Nonlinear convection in a rigid channel uniformly heated from below, J.Fluid Mech. 215, 503-523. Davies-Jones, R.P. 1970 Thermal convection in an infinite channel with no-slip sidewalls, J.Fluid Mech. 44, 695-704. Eckhaus, V. 1965 Studies in Nonlinear Stability Theory. Springer Tracts in Natural Philosophy, vol.6, Springer. Kirchartz, K.R. & Oertel, H. 1988 Three-dimensional thermal cellular convection in rectangular boxes, J.Fluid Mech. 192, 249-286. Kramer, L. & Hohenberg, P.C. 1984 Effects of boundary conditions on spatially periodic states, Physica D13, 357-369. Luijkx, J.M. & Platten, J.K. 1981 On the onset of free convection in a rectangular channel, J.Non-Equil.Thermodyn. 6, 141-158. Proctor, M.R.E. 1981 Planform selection by finite-amplitude thermal convection between poorly conducting slabs, J.Fluid Mech. 113, 469-485. Swift, J. & Hohenberg, P.C. 1977 Hydrodynamic fluctuation at the convective instability, Phys.Rev. A15, 319-328. Appendix A. Derivation of the amplitude equation for $A_0$ From (8), $$F_0(Y) = \frac{\cos \mu_0 \cosh \mu_0 Y - \cosh \mu_0 \cos \bar{\mu}_0 Y}{\cos \bar{\mu}_0 - \cosh \mu_0} = 0.3422 \cosh \mu_0 Y + 0.6578 \cos \bar{\mu}_0 Y$$ (69) and then $g_0 = a^2 q_0 G_0(Y)$ where $$LG_0 \equiv G_0'''' + 2Q_0 G_0'' + (Q_0^2 - \delta_0)G_0 = 4(F_0'' + Q_0 F_0); \quad G_0 = G_0' = 0 \quad (Y = \pm 1)$$ (70) with $G_0(0) = 0$ to fix the otherwise arbitrary multiple of the complementary solution $F_0$; the same solution can also be calculated from (7) as $G_0 = -2\partial F/\partial Q\|_{\delta_0}$, giving $$G_0 = \frac{Y}{\nu_0 + \bar{\nu}_0} \left( \frac{\nu_0}{\mu_0} \sinh \mu_0 Y + \frac{\bar{\nu}_0}{\bar{\mu}_0} \sin \bar{\mu}_0 Y \right) - \frac{2\nu_0 \bar{\nu}_0 \delta_0^{1/2} (\cosh \mu_0 Y - \cos \bar{\mu}_0 Y)}{(\delta_0 - Q_0^2)(\nu_0 + \bar{\nu}_0)^2}$$ $$= Y(0.2852 \sinh \mu_0 Y + 0.2350 \sin \bar{\mu}_0 Y) - 0.1851 (\cosh \mu_0 Y - \cos \bar{\mu}_0 Y)$$ (71) where $$\nu_0 = (\delta_0 - \delta_0^{1/2} - Q_0^2 - Q_0)^{1/2}, \quad \bar{\nu}_0 = (\delta_0 + \delta_0^{1/2} - Q_0^2 - Q_0)^{1/2}.$$ (72) The functions $F_0$ and $G_0$ are shown in Fig.17. The function $h$ in (18) satisfies $$\mathcal{L}h \equiv \left( \left( 1 - g_0^2 + \frac{\partial^2}{\partial y^2} \right)^2 - \epsilon_0 \right) h = \xi(y, X); \quad h = \frac{\partial h}{\partial y} = 0 \quad (y = \pm a),$$ (73) where $$\xi = A_0 f_0 - 3A_0^2 A_0^* f_0^3 - A_0'' \left( 4q_0 \left( 1 - g_0^2 + \frac{d^2}{dy^2} \right) g_0 + 2 \left( 1 - 3g_0^2 + \frac{d^2}{dy^2} \right) f_0 \right).$$ (74) The linear homogeneous system (5) is self-adjoint and since the inhomogeneous system for $h$ involves the same linear operator it has a consistent solution only if $$\int_{-a}^{a} \xi f_0 dy = 0.$$ (75) This gives (19) and (20) where $$\alpha_{10} = -4 \int_{-1}^{1} F_0(G_0'' + Q_0 G_0 - F_0) dY,$$ (76) $$\alpha_{11} = -2 \int_{-1}^{1} F_0(F_0'' + Q_0 F_0) dY,$$ (77) $$\alpha_{20} = \int_{-1}^{1} F_0^2 dY,$$ (78) \[ \alpha_{30} = 3 \int_{-1}^{1} F_0^4 dY \] (79) and evaluation of the integrals using (69) and (71) gives (21). Appendix B. Derivation of the amplitude equation for $ A_1 $ It is first necessary to complete the solution for $ u_2 $ in (18). By expressing the nonlinear term $ A_0^2 A_0'' $ on the right-hand side of (74) in terms of $ A_0'' $ and $ A_0 $ from (19), the solution for the function $ h $ can be found in the form \[ h = A_0'' \{a^4 q_0^2 H_1(Y) + a^2 H_2(Y)\} + A_0 a^4 H_3(Y), \] (80) where $ H_{1,2,3} $ satisfy \[ LH_1 = -4(G_0'' + Q_0 G_0 - F_0) - 3\alpha_{10}\alpha_{30}^{-1}F_0^3; \quad H_1 = H_1' = 0 \quad (Y = \pm 1), \] (81) \[ LH_2 = -2(F_0'' + Q_0 F_0) - 3\alpha_{11}\alpha_{30}^{-1}F_0^3; \quad H_2 = H_2' = 0 \quad (Y = \pm 1), \] (82) \[ LH_3 = F_0 - 3\alpha_{20}\alpha_{30}^{-1}F_0^3; \quad H_3 = H_3' = 0 \quad (Y = \pm 1). \] (83) Since $ \alpha_{11} = 0 $, equations (70) and (82) differ by a factor of minus two on the right-hand side and hence the solution for $ H_2 $ can be taken as $ H_2 = -G_0/2 $. Since $ F_0 $ and $ G_0 $ are known, the remaining equations (81) and (83) can also be solved analytically. Maple was used to aid with the algebra, giving \[ H_1 = (d_1 + d_2 Y^2) \cosh(\mu_0 Y) + (d_3 + d_4 Y^2) \cos(\bar{\mu}_0 Y) + Y(d_5 \sinh(\mu_0 Y) + d_6 \sin(\bar{\mu}_0 Y)) + d_7 \cosh(3\mu_0 Y) + d_8 \cos(3\bar{\mu}_0 Y) + d_9 \cos(\bar{\mu}_0 Y) \cosh(2\mu_0 Y) + d_{10} \sin(\bar{\mu}_0 Y) \sinh(2\mu_0 Y) + d_{11} \cos(2\mu_0 Y) \cosh(\mu_0 Y) + d_{12} \sin(2\mu_0 Y) \sinh(\mu_0 Y), \] (84) \[ H_3 = d_{13} \cosh(\mu_0 Y) + d_{14} \cos(\bar{\mu}_0 Y) + Y(d_{15} \sinh(\mu_0 Y) + d_{16} \sin(\bar{\mu}_0 Y)) + d_{17} \cosh(3\mu_0 Y) + d_{18} \cos(3\bar{\mu}_0 Y) + d_{19} \cos(\bar{\mu}_0 Y) \cosh(2\mu_0 Y) + d_{20} \sin(\bar{\mu}_0 Y) \sinh(2\mu_0 Y) + d_{21} \cos(2\mu_0 Y) \cosh(\mu_0 Y) + d_{22} \sin(2\mu_0 Y) \sinh(\mu_0 Y). \] (85) Here the coefficients $ d_1 $ to $ d_{22} $ are functions of $ Q_0 $ and $ \delta_0 $ given to four significant figures by \[ d_1 = -0.0006539, d_2 = -0.1189, d_3 = -0.001294, d_4 = -0.04200 d_5 = 0.1943, d_6 = -0.04810, d_7 = -0.0002183, d_8 = -0.00008236, d_9 = 0.002938, d_{10} = -0.0004413, d_{11} = -0.0007635, d_{12} = 0.001072, d_{13} = 0.002506, d_{14} = -0.002998, d_{15} = -0.0001211, d_{16} = -0.004005 d_{17} = -0.00005726, d_{18} = -0.00002160, d_{19} = 0.0007706, d_{20} = -0.0001158 d_{21} = -0.0002003, d_{22} = 0.002812. \] (86) The normalization conditions $H_1(0) = 0$ and $H_3(0) = 0$ have been applied to completely determine all the coefficients. The functions $H_1$ and $H_3$ are shown in Fig.17. The remaining function involved in the solution (18) for $u_2$ is $h_0$ which satisfies $$\left(1 - 9q_0^2 + \frac{d^2}{dy^2}\right)^2 h_0 - e_0 h_0 = -f_0^3; \quad h_0 = h_0' = 0 \quad (y = \pm a). \tag{87}$$ Since this involves a different linear operator it is not possible to scale out the channel halfwidth $a$, but the function $h_0$ is not needed to calculate the coefficients $\alpha_4, \ldots, \alpha_7$. These now follow from the solvability condition associated with terms proportional to $e^{\pm i q_0 x}$ in (43), giving the results (44) and (45) where $$\alpha_{40} = 4 \int_{-1}^{1} F_0(H_1'' + Q_0 H_1 + G_0) dY, \tag{88}$$ $$\alpha_{41} = 2 \int_{-1}^{1} F_0(2H_2'' + 2Q_0 H_2 + 2F_0 - G_0'' - Q_0 G_0) dY, \tag{89}$$ $$\alpha_{50} = \int_{-1}^{1} F_0(4H_3'' + 4Q_0 H_3 + G_0) dY, \tag{90}$$ $$\alpha_{60} = 3 \int_{-1}^{1} F_0^3 G_0 dY. \tag{91}$$ Evaluation of these integrals using Maple gives the results (46). Appendix C. Derivation of the coefficients $\chi$ and $\bar{\chi}$ The channel halfwidth $a$ is removed from the system (50) by the transformations $f_n(y) = F_n(Y), q_n^2 = 1 - Q_n a^{-2}$, giving $$F_n''' + 2Q_n F_n'' + (Q_n^2 - \delta_0) F_n = 0; \quad F_n = F_n' = 0 \quad (Y = \pm 1). \tag{92}$$ This has solutions that are either even or odd in $Y$ but for the present purposes it is sufficient to determine the even set. With a normalization $F_n(0) = 1$, this is given by $$F_n = \frac{\cos \mu_n \cosh \mu_n Y - \cosh \mu_n \cos \bar{\mu}_n Y}{\cos \mu_n - \cosh \mu_n} \tag{93}$$ where $$\mu_n = (\delta_0^{1/2} - Q_n)^{1/2}, \quad \bar{\mu}_n = (\delta_0^{1/2} + Q_n)^{1/2} \tag{94}$$ are generally complex. Insisting that (93) satisfies the boundary conditions requires that $$\bar{\mu}_n \cosh \mu_n \sin \bar{\mu}_n + \mu_n \cos \bar{\mu}_n \sinh \mu_n = 0. \tag{95}$$ Splitting (95) into real and imaginary parts gives two sets of real equations for the real and imaginary parts $\mu_{nr,i}$ and $\bar{\mu}_{nr,i}$ of $\mu_n$ and $\bar{\mu}_n$ respectively. However, these are also related by (94) and taking the real and imaginary parts gives two further sets of equations \[ \bar{\mu}_{nr} = -\mu_{nr}\mu_{ni}/\bar{\mu}_{ni} \] (96) and \[ \bar{\mu}_{ni}^2 = \frac{1}{2} \left\{ \mu_{nr}^2 - \mu_{ni}^2 - 2\delta_0^{1/2} + \left( (\mu_{nr}^2 - \mu_{ni}^2 - 2\delta_0^{1/2})^2 + 4\mu_{nr}^2\mu_{ni}^2 \right)^{1/2} \right\}. \] (97) These were used to express $\mu_{nr,i}$ in terms of $\mu_{nr,i}$ and then Newton's method used to solve the two remaining sets of equations for $\mu_{nr,i}$. The real and imaginary parts of $Q_n$ are then calculated from (94) as \[ Q_{nr} = \mu_{ni}^2 - \mu_{nr}^2 + \delta_0^{1/2}, \quad Q_{ni} = -2\mu_{nr}\mu_{ni}, \] (98) respectively. It is sufficient to find solutions in one quadrant of the $\mu_{nr}, \mu_{ni}$ plane because the system (95)-(97) is invariant under the transformation $\mu_{nr} \rightarrow -\mu_{nr}$ and also under $\mu_{ni} \rightarrow -\mu_{ni}$. Each solution for $\mu_{nr,i}$ in the positive quadrant therefore yields four solutions in the complex plane. In turn these four solutions provide the eigenvalue $Q_n$ and its complex conjugate for each value of $n$. The solution that lies on the axis $\mu_{ni} = 0$ gives the critical wavenumber $Q_0 = 3.196$. The six complex eigenvalues with (in magnitude) smallest non-zero imaginary part are listed in Table 4 and the corresponding eigenfunctions are shown in Fig.18. Introducing (51), the solution (49) satisfies the end-wall conditions $U = \partial U/\partial x = 0$ if the coefficients $\chi_n$ satisfy \[ \chi_{0r}F_0 + \sum_{n=1}^{\infty} (\chi_{nr}F_{nr} - \chi_{ni}F_{ni}) = 0, \] (99) \[ q_0\chi_{0i}F_0 + \sum_{n=1}^{\infty} (q_{ni}\chi_{nr} + q_{nr}\chi_{ni})F_{nr} + \sum_{n=1}^{\infty} (q_{nr}\chi_{nr} - q_{ni}\chi_{ni})F_{ni} = F_0 + a^2q_0^2G_0 \] (100) and the coefficients $\bar{\chi}_n$ satisfy \[ \bar{\chi}_{0r}F_0 + \sum_{n=1}^{\infty} (\bar{\chi}_{nr}F_{nr} - \bar{\chi}_{ni}F_{ni}) = -a^2q_0G_0, \] (101) \[ q_0\bar{\chi}_{0i}F_0 + \sum_{n=1}^{\infty} (q_{ni}\bar{\chi}_{nr} + q_{nr}\bar{\chi}_{ni})F_{nr} + \sum_{n=1}^{\infty} (q_{nr}\bar{\chi}_{nr} - q_{ni}\bar{\chi}_{ni})F_{ni} = 0. \] (102) Truncated forms of these equations were solved by a collocation method, evaluating each pair at $Y = 0$ together with $M$ equally-spaced locations in the interval $0 < Y < 1$, yielding $2(M+1)$ equations for the $2(M+1)$ coefficients $\chi_{nr,i}$ or $\bar{\chi}_{nr,i}, n = 0, 1 \ldots M$. Good convergence was achieved as the value of $M$ was increased - the results given in Table 2 are for $M = 6$. \| $M$ \| $N$ \| $\bar{N}$ \| $c_+$ \| \|-----\|-----\|-----------\|-------\| \| 8 \| 1 \| 1 \| 0.3988\| \| 17 \| 1 \| 1 \| 0.3750\| \| 35 \| 1 \| 1 \| 0.3697\| \| 71 \| 1 \| 1 \| 0.3685\| \| 17 \| 3 \| 1 \| 0.3749\| \| 17 \| 3 \| 3 \| 0.3752\| Table 1. Value of the critical exponent $c_+$ for $a = \pi$, $\epsilon = 0.45$ and $q = 0.8$ for different values of $M, N$ and $\bar{N}$. \| $n$ \| $\chi_{nr}$ \| $\chi_{ni}$ \| $\bar{\chi}_{nr}$ \| $\bar{\chi}_{ni}$ \| \|-----\|-------------\|-------------\|-------------------\|-------------------\| \| 0 \| -0.02201 \| 1.29750 \| -0.15395 \| -0.07450 \| \| 1 \| 0.00163 \| -0.20391 \| 0.14752 \| -0.31646 \| \| 2 \| 0.02468 \| -0.00649 \| 0.01132 \| 0.04062 \| \| 3 \| -0.00520 \| 0.00722 \| -0.00705 \| -0.00615 \| \| 4 \| 0.00090 \| -0.00384 \| 0.00311 \| 0.00041 \| \| 5 \| 0.00032 \| 0.00188 \| -0.00116 \| 0.00086 \| \| 6 \| -0.00033 \| -0.00024 \| 0.00021 \| -0.00045 \| Table 2. Values of $\chi_{nr,i}$ and $\bar{\chi}_{nr,i}$ for $a = \pi$. \| $a$ \| $\alpha$ \| $\beta$ \| \|-----\|----------\|---------\| \| 2.00\| -0.03259+1.14116i \| 0.03068+1.10493i \| \| 3.14\| -0.04825+0.72573i \| 0.02625+0.57177i \| \| 4.00\| -0.05787+0.76647i \| 0.01177+0.51181i \| \| 6.00\| -0.08204+1.02209i \| -0.01498+0.48789i \| \| 8.00\| -0.13021+1.41751i \| -0.01811+0.48421i \| \| 10.00\| -0.19755+1.93484i \| -0.01994+0.48268i \| Table 3. Values of $\alpha$ and $\beta$ for various values of $a$. \| $n$ \| $Q_n$ \| $n$ \| $Q_n$ \| \|-----\|-------------\|-----\|-------------\| \| 1 \| 26.30-15.86i\| 4 \| 216.45-60.56i\| \| 2 \| 69.73-29.87i\| 5 \| 319.59-76.93i\| \| 3 \| 133.15-44.83i\| 6 \| 442.53-93.82i\| Table 4. Eigenvalues $Q_n$ listed in order of descending imaginary part. Figure 1: Marginal stability curves in the $Q, \delta$ plane showing the two lowest even branches (—) and the two lowest odd branches (---). Figure 2: Variation of the profile $F(Y)$ for values of $Q$ increasing from $Q_0$ on the lowest even marginal stability curve. Figure 3: Fourier coefficients $a_n(y)$ of the nonlinear periodic solution for $n = 1, 3, 5, 7, 9$ as a function of $y$ for $a = \pi, q = 1$ and values of $\epsilon$ decreasing from 1 in steps of 0.02. Figure 4: Fourier coefficient $a_1(y)$ of the nonlinear periodic solution as a function of $y$ and $q$ for $a = \pi$ and $\epsilon = 0.5$. Figure 5: Periodic solution $u_p(x, y)$ as a function of $x$ and $y$ for $a = \pi, q = 1$ and $\epsilon = 0.5$. Figure 6: Contour plot of $\log \lambda_B$ in the complex $c$ plane showing the general pattern of the characteristic exponents for a one-mode truncation at $a = \pi, q = 0.8$ and $\epsilon = 0.45$. Figure 7: Contour plots of $\lambda_B$ in the complex $c$ plane for $-0.5 < \text{Re}(c) < 0.5, -0.5 < \text{Im}(c) < 0.5$ showing the location of the characteristic exponents near the origin for $a = \pi, \epsilon = 0.45$ and values of the wavenumber $q$ in the range 0.5 to 1. Figure 8: Variation of the characteristic exponent $c_+$ with wavenumber $q$ for $a = \pi$ and $\epsilon = 0.3, 0.35, 0.4$ and 0.45. Figure 9: The $q, \epsilon$ plane for $a = \pi$ showing the marginal stability curve (heavy solid line) and the Eckhaus stability boundary based on weakly nonlinear theory (thin solid line) and numerical computation ($---$). Also shown (see section 4) are the waveband for a semi-infinite channel based on a Floquet approximation ($\cdots$), numerical computation ($\diamondsuit \diamondsuit \diamondsuit$) and weakly nonlinear theory ($-\cdot-\cdot-$). Figure 10: Coefficients $a_1(y), b_1(y)$ and $c_1(y)$ for wavenumbers in the range $0.824 < q < 0.954$ for $a = \pi$ and $\epsilon = 0.4$. Figure 11: Phase shift $\phi$ as a function of wavenumber $q$ for $a = \pi$ and $\epsilon = 0.5$. Figure 12: Contours of the steady-state solution $u(x, y)$ for $a = \pi$, $\epsilon = 0.5$ and $q = 0.835$. Also shown are $u(x, 0)$ and the corresponding periodic form $u_p(x, 0)$. Figure 13: Contours of the steady-state solution $u(x, y)$ for $a = \pi$, $\epsilon = 0.25$ and $q = 0.829$. Also shown are $u(x, 0)$ and the corresponding periodic form $u_p(x, 0)$. Figure 14: The wavelength selection parameters as a function of $a$: (a) $w$, (b) $\theta$ (—) and the waveband limits $\theta \pm \frac{w}{2}$ (— —). Figure 15: Weakly nonlinear results for the marginal stability curve (—), the Eckhaus boundary (---) and the restriction on the waveband imposed by the end wall at $x = 0$ (· · ·): (a) $a = 2$, (b) $a = \pi$, (c) $a = 6$, (d) $a = 10$. Figure 16: Contours of the inner solution $U$ for $a = \pi$: (a) branch 1, corresponding to values of $s_{r,i}$ given by (67) with $\psi_0 = \gamma/2$, (b) branch 2, corresponding to values of $s_{r,i}$ given by (68) with $\psi_0 = \gamma/2$. Figure 17: The functions (a) $F_0$, (b) $G_0$ and (c) $H_1$ ($-$) and $H_3$ ($- - -$). Figure 18: Real ($-$) and imaginary ($- - -$) parts of the six eigenfunctions $F_n, n = 1, \ldots 6$.
Bifurcation Analysis of Eigenstructure Assignment Control in a Simple Nonlinear Aircraft Model by L.P Gibson, N.K. Nichols & D.M. Littleboy Numerical Analysis Report 3/98 DEPARTMENT OF MATHEMATICS Bifurcation Analysis of Eigenstructure Assignment Control in a Simple Nonlinear Aircraft Model by L.P Gibson, N.K. Nichols & D.M. Littleboy Numerical Analysis Report 3/98 To appear in AIAA J. of Guidance, Control and Dynamics, July-August, 1998 - BIFURCATION ANALYSIS OF EIGENSTRUCTURE ASSIGNMENT CONTROL IN A SIMPLE NONLINEAR AIRCRAFT MODEL L. P. Gibson $^1$ N. K. Nichols $^2$ D. M. Littleboy $^3$ Abstract Aircraft systems are highly nonlinear and time varying. High performance aircraft at high angles of incidence experience undesired coupling of the lateral and longitudinal variables, resulting in departure from normal controlled flight. The aim of this work is to construct a robust closed loop control that extends the stable and decoupled flight envelope as far as possible. For the study of these systems nonlinear analysis methods are needed. Previously, bifurcation techniques have been used mainly to analyse open loop nonlinear aircraft models and to investigate control effects on dynamic behaviour. In this work linear feedback control designs constructed by eigenstructure assignment methods at a fixed flight condition are investigated for a simple nonlinear aircraft model. Bifurcation analysis in conjunction with linear control design methods is shown to aid control law design for the nonlinear system. Nomenclature \begin{align} A, B, C & \quad \text{linear system matrices} \\ G0d & \quad \text{desired decoupling vectors} \\ I & \quad \text{identity matrix} \\ I_{xx}, I_{yy}, I_{zz} & \quad \text{moments of inertia} \\ K & \quad \text{linear feedback matrix} \\ L, M, N & \quad \text{rolling, pitching and yawing moments} \\ \mathcal{L} & \quad \text{set of prescribed eigenvalues} \\ m, n & \quad \text{number of states, inputs} \\ p, q, r & \quad \text{roll, pitch and yaw rates} \\ \Re, \Im & \quad \text{real and complex spaces} \\ S_i & \quad \text{space of eigenvectors corresponding to } \lambda_i \\ u, v & \quad \text{linearized system input, reference input} \\ V & \quad \text{modal matrix of eigenvectors} \\ V_0 & \quad \text{trim velocity} \\ x, y & \quad \text{linearized system state, output} \end{align} $^1$ PhD Research Student, Department of Mathematics, The University of Reading, P.O. Box 220, Whiteknights, Reading, RG6 6AX, UK. $^2$ Professor of Applied Mathematics, Department of Mathematics, The University of Reading, P.O. Box 220, Whiteknights, Reading, RG6 6AX, UK. $^3$ Research Scientist, Flight Management and Control Department, DERA Bedford, Bedford, MK41 6AE, UK. 1. Introduction Aircraft systems are inherently highly nonlinear and time varying. Robust control design techniques are required to cope with these characteristics and with the model uncertainty. Of particular interest is the control of high performance aircraft at high angles of incidence, where inertial, kinematic and aerodynamic nonlinearities are increasingly significant. Qualitative changes in the dynamic behaviour of the aircraft may then occur that can induce the onset of departure from controlled flight. Motivated by the coupling of the lateral and longitudinal variables at high angles of incidence, we seek methods for constructing a robust control that optimally extends the stable and decoupled flight envelope. The aim is to find conditions and design parameters for which the best controller can be achieved for the nonlinear system. Linearized models only represent the local dynamics of the nonlinear system. Incorporation of nonlinearities gives a more global view of the aircraft dynamics and consequently the insight to achieve control solutions effective over a wider flight envelope. Suitable techniques are required to investigate the effects of the nonlinearities. Bifurcation analysis is an established technique used to investigate nonlinear aircraft models\textsuperscript{1,2,3,4,5,6}. It gives information regarding the equilibrium and periodic solutions of the aircraft system with respect to some bifurcation parameter, usually a control variable in aircraft models. Bifurcation analysis, applied mainly to open loop models thus far, has highlighted the effects of the nonlinearities in flight dynamics. This advance knowledge of specific dynamic behaviour to be focused on gives direction to flight simulations, saving time and reducing costs\textsuperscript{1}. Control combinations have also been investigated by using these techniques, e.g. combinations that avoid jumps when traversing the flight envelope to obtain a smooth route, or combinations that utilise such jumps to increase agility. Bifurcation analysis has helped to show how particular dynamics, i.e. departure and post departure dynamics such as spin, are entered with regard to the aircraft states and controls\textsuperscript{2,3}. Possible recovery methods from such post departure dynamics can be obtained by investigating where these dynamics undergo a qualitative change in behaviour and allow a possible jump back to normal flight. Such analysis of aircraft systems has related common dynamics to particular bifurcation phenomena\textsuperscript{4}. Some closed loop models have also been investigated by bifurcation techniques. A simple nonlinear aircraft model using classical control methods has been examined\textsuperscript{5} and a high performance aircraft model augmented by a full-authority control system has been analyzed\textsuperscript{6}. Comparative effects of different linear design procedures on the nonlinear dynamics of an aircraft have not, however, been studied previously. In this paper bifurcation techniques are used to analyse linear feedback controllers, constructed by eigenstructure assignment, applied to a simple nonlinear aircraft model. The aim is to incorporate the bifurcation analysis into the design procedure in order to investigate the effects of the control designs at equilibrium flight conditions and to improve the resulting controllers. Two eigenstructure assignment methods for controller design have been implemented. A new modified eigenstructure assignment procedure is also introduced. This technique is similar to methods proposed in $^{7,8,9,10}$, but is more efficient in the case where an appropriate feasible point can first be selected. The feedback gain matrices are constructed using: 1. eigenstructure assignment by a decoupling method $^{11,12,9}$, which locally stabilizes and decouples the inputs from the outputs, reducing the undesired coupling of the lateral and longitudinal control variables; 2. robust eigenstructure assignment $^{13,14,15,16,9}$, which reduces the sensitivity of the closed loop system and hence increases the region over which the closed loop system remains stable, but does not achieve the desired decoupling properties; 3. the new modified eigenstructure assignment technique, which achieves the desired decoupling and at the same time reduces the sensitivity of the closed loop system, hence increasing the stability envelope and improving the departure characteristics of the aircraft. The bifurcation analysis reveals that satisfactory designs for the linear systems can exhibit very different nonlinear departure characteristics and illustrates the importance of the robustness of the closed loop system. The analysis also demonstrates that the robust decoupling controllers designed by the new modified eigenstructure assignment technique can successfully extend the stable and decoupled flight envelope and improve the nonlinear behaviour of the aircraft. In the following sections relevant concepts in bifurcation analysis are first given, followed by a description of the eigenstructure assignment control design methods for linear systems. The application of the design methods to the nonlinear system is outlined. A simple nonlinear aircraft model is then presented. Results are given, including bifurcation diagrams of the open loop system and of the closed loop system for various controllers designed by the eigenstructure assignment methods. The conclusions are summarized in the final section. ### 2. Bifurcation Analysis Bifurcation analysis is a technique used to investigate the behaviour of nonlinear systems. The technique calculates equilibrium (steady state) and periodic (limit cycle) solutions of the nonlinear system as a bifurcation parameter is varied, usually a control variable in the study of aircraft systems, such as elevator, aileron or rudder deflections. A bifurcation occurs where there is a qualitative change in the system dynamics involving a change in stability of the system and often the creation or annihilation of possible solutions. At a bifurcation, an aircraft system experiences departure from its current dynamics and can jump to another equilibrium solution and a new dynamic situation. For example, at a bifurcation, the aircraft can depart from normal controlled equilibrium flight and jump into a spin, which is another steady, but undesirable, dynamic state. The stability of the equilibrium solutions can be determined by considering the eigenvalues of the linearization of the system at the equilibrium point. A stability change, and hence a bifurcation, occurs where the eigenvalues of the linearized system cross the imaginary axis. Several types of bifurcation can occur. Possible steady state bifurcations\textsuperscript{17}, where a single zero eigenvalue crosses the imaginary axis, are: 1. the limit point (turning point, saddle node) bifurcation, where a single solution branch changes stability and beyond the critical value of the bifurcation parameter the solution branch no longer exists; 2. the pitchfork bifurcation (in symmetric systems only, such as in some aircraft models) where at the critical parameter value the steady state solution branch changes in stability, and two new solution branches begin; 3. the transcritical bifurcation where two existing solution branches of opposite stability cross and both change in stability. A further bifurcation of a steady state equilibrium solution is a Hopf bifurcation. This occurs where a complex conjugate pair of eigenvalues cross the imaginary axis. The steady state equilibrium solution changes stability, and periodic solution (limit cycle) branches evolve from the bifurcation point. Several software packages for bifurcation analysis exist. These use numerical continuation schemes for path following of steady state solution branches, usually by some predictor-corrector method. An approximate initial equilibrium solution for the continuation routine to begin from is normally needed, and Newton iteration is performed if it is not accurate enough for the scheme to start from. Techniques for bifurcation detection and path following past critical points are also required in the numerical procedure. The software packages produce output files containing bifurcation information in the form of data lists, including lists of equilibrium point values, stability properties, bifurcation locations and bifurcation types, from which bifurcation diagrams of the solution branches, displaying stability and labelled bifurcation points, can be plotted. In this work the bifurcation analysis package AUTO94\textsuperscript{18} has been used to investigate the changes in the equilibrium states of the system with respect to changes in the elevator deflection control. The other two control inputs are assumed constant at zero. Results of bifurcation data from the package are given in the form of bifurcation diagrams in Section 6. ### 3. Linear Control Design Three eigenstructure assignment methods have been applied to the model. State feedback is assumed possible, so that all eigenvalues can be assigned exactly. Firstly, decoupling eigenstructure assignment is applied, where the freedom in the eigenvectors is used to decouple the system modes. Secondly, robust eigenstructure assignment is applied, where the freedom in the eigenvectors is used to optimise the robustness, making the eigenvalues of the system as insensitive to perturbations in the system matrices as possible. Finally, a modified method is introduced that combines both of these techniques to generate closed loop systems that are both decoupled and robust. State Feedback Control We consider the autonomous, linear, multivariable system with state space and output equations \[ \begin{align} \dot{x} &= Ax + Bu, \\ y &= Cx, \end{align} \] (1) where $ A \in \mathbb{R}^{n \times n}, B \in \mathbb{R}^{n \times m} $ and $ C \in \mathbb{R}^{p \times n} $ are the state, input and output matrices, respectively, and $ x, u $ and $ y $ are the state, input and output variables, respectively. Both $ B $ and $ C $ are assumed to have full rank. In the state feedback case all state variables are available as outputs and thus $ C = I $ (the identity matrix), giving $ y = x $. (See the Appendix for a specific example of system matrices $ A $ and $ B $.) By consideration of the response equation of the system it can be shown that both the eigenvalues and eigenvectors of the system state matrix determine the behaviour of the response of the system$^{19}$. The aim is to find a feedback (or gain) matrix $ K $ to construct a control \[ u = Kx + v, \] (2) that gives a closed loop system with the required eigenstructure to meet or improve specified system properties. From (2) and (1) the closed loop system has the form \[ \dot{x} = (A + BK)x + Bv, \] (3) where $ v $ is the reference input. The matrix $ K $ must be chosen to give the state matrix $ A + BK $ of the closed loop system the required set of eigenvalues. The eigenvalues are chosen to improve certain properties of the system, in particular stability. A sufficient condition for stability is that the eigenvalues have negative real part$^{19}$. A multi-input system ($ n \geq m \geq 2 $) is assumed, giving some freedom in the choice of eigenvectors to obtain the desired eigenvalues and making it possible to improve other properties of the system. Conditions for the existence of solutions to the state feedback eigenvalue assignment problem are well known$^{19}$. The full objective, to assign the best suitable eigenstructure, can be formulated as follows: given $ A \in \mathbb{R}^{n \times n}, B \in \mathbb{R}^{n \times m} $ and a set $ \lambda = \{\lambda_1, \lambda_2, \ldots, \lambda_n\} \in \mathbb{F}^n $, closed under complex conjugation, find matrix $ K \in \mathbb{R}^{m \times n} $ and nonsingular matrix $ V \in \mathbb{R}^{n \times n} $ such that \[ (A + BK)V = V\Lambda, \] (4) where $ \Lambda = \text{diag}\{\lambda_1, \ldots, \lambda_n\} $ and $ V $ is the modal matrix of right eigenvectors of $ A + BK $. Solutions to this problem have been established$^{13}$. The feedback $ K $ can be calculated and is dependent upon the modal matrix $ V $ of right eigenvectors assigned, i.e. $ K = K(V) $. A condition that the right eigenvectors must satisfy to assign the corresponding desired eigenvalues is known\textsuperscript{11,13}. If $ \mathbf{v}_i $ denotes the $ i^{th} $ column of $ V $, the right eigenvector corresponding to $ \lambda_i $, then the vector $ \mathbf{v}_i $ must lie in a subspace $ S_i $ of dimension $ m $; that is \[ \mathbf{v}_i \in S_i \equiv S(A, B, \lambda_i). \] (5) The matrix $ K $ is calculated using a suitably constructed $ V $ satisfying this condition. As previously stated, where $ m > 1 $, there is some freedom in the choice of the vector $ \mathbf{v}_i $, allowing some other possible design requirements to be met. Eigenstructure Assignment for Decoupling Here, the eigenvector freedom is used to achieve a specified set of desired eigenvectors to shape the response of the system, specifically to improve the flight handling qualities of the aircraft. The vectors can be chosen to decouple the system inputs from the outputs via its modes\textsuperscript{20,8,9}. In this work decoupling the outputs (states) from specific modes only is attempted. In general, complete specification of the desired eigenvectors is neither known nor required. The designers are normally only interested in certain elements, and the remaining components are left unspecified. Again $ K $ must be found to satisfy (4). A suitable $ V $ is constructed from vectors in the correct subspaces as close as possible, in the least squares sense, to the desired vectors by taking their projection into the required subspaces. A set of eigenvalues $ \mathcal{L} $ and a set of corresponding decoupling vectors $ G0d $ to be attained are chosen by the designer to achieve stability and modal decoupling. The projection is repeated once for each desired vector, generating matrix $ V $ from which the feedback matrix is constructed. Note that for complex conjugate pairs of desired eigenvalues the corresponding desired vectors must also be complex conjugate. Robust Eigenstructure Assignment Here, the freedom available in the eigenvectors to be assigned is used to make the system more robust, that is, to make the assigned eigenvalues as insensitive as possible to perturbations in the system matrices. There are several different measures of robustness relating to eigenvalue sensitivity, or eigenvalue condition number\textsuperscript{13}. With appropriate scaling $ \\|V^{-1}\\|_F $ is used as the robustness measure in this work, where $ \\|.\\|_F $ denotes the Frobenius norm. A robust solution is found by selecting suitable columns $ \mathbf{v}_i $ of $ V $ from the subspaces $ S_i $ to achieve optimal conditioning of the system. An iterative method is applied to the columns of $ V $, attempting to make the vectors $ \mathbf{v}_i $ as orthogonal to one another as possible, a necessary condition for optimal conditioning\textsuperscript{13}. The stopping criterion for the iteration is that either a pre-set maximum number of iterations have been performed, or a reduction in the robustness measure has not been achieved. Note that this does not necessarily give a global minimum of the robustness measure. If a complex conjugate pair of eigenvalues is specified, the first of the complex pair is updated as normally, and the second is taken to be the complex conjugate. of the first, retaining the complex conjugacy of the eigenvectors as well as the eigenvalues. The resulting well conditioned matrix $V$ is used to calculate $K$. Combining the two methods A modified method is now introduced that combines the decoupling and robustness methods. In this procedure a modal matrix $V$ is first calculated using the projection method to obtain the desired output mode decoupling. Instead of using this $V$ to calculate the feedback $K$, it is used as the initial $V$ in the robustness iteration process, with the aim of retaining the decoupling whilst optimising the robustness of the closed loop system. The robustness iteration algorithm used here\textsuperscript{13} consists of the steps: Step 1: Select an initial set of linearly independent eigenvectors $\mathbf{v}_i \in S_i$, $i = 1,2,...n$, corresponding to the prescribed eigenvalues $\lambda_i$. Step 2: For $i = 1,2,...n$, (i) Find $\mathbf{q}$ orthogonal to $\{\mathbf{v}_j, j \neq i\}$; (ii) Set $\mathbf{v}_i$ equal to the projection of $\mathbf{q}$ into the subspace $S_i$, normalized to unit length. Step 3: Repeat Step 2 until the measure of robustness fails to improve by a specified tolerance. In Step 2, the selected vector $\mathbf{v}_i$ minimizes the sensitivity of the corresponding eigenvalue $\lambda_i$, over all vectors in $S_i$. Since altering one eigenvector affects the sensitivities of all the eigenvalues of the system, the procedure must be iterated to achieve good conditioning of the entire eigenstructure. If the initial set of eigenvectors $\{\mathbf{v}_i\}$ is selected to achieve the desired decoupling, then the states (or outputs) and the modes can be ordered so that the eigenvectors form two linearly independent sets $$\left\{ \mathbf{v}_i = \begin{pmatrix} \mathbf{v}_{1i} \\ \mathbf{0} \end{pmatrix}, \quad i = 1,2,...k \right\}, \quad \left\{ \mathbf{v}_i = \begin{pmatrix} \mathbf{0} \\ \mathbf{v}_{2i} \end{pmatrix}, \quad i = k+1,...n \right\}. \tag{6}$$ In Step 2 of the algorithm, if $0 \leq i \leq k$, then since $\mathbf{q}$ is orthogonal to the second set of vectors in (6), it must take the form $\mathbf{q}^T = \begin{pmatrix} \mathbf{q}_1^T & \mathbf{0} \end{pmatrix}$. Similarly, if $k+1 \leq i \leq n$, then $\mathbf{q}^T = \begin{pmatrix} \mathbf{0} & \mathbf{q}_2^T \end{pmatrix}$. The projection $\mathbf{v}_i$ of $\mathbf{q}$ into $S_i$ then preserves the desired decoupling. If the linear system is already decoupled, then it is always possible to select an initial set of mode decoupling eigenvectors from the required subspace for any choice of the desired eigenvalues. For the nonlinear system, a linearization of the system at a specified equilibrium point is used to design the linear feedback controller. (The linearization is described in Section 4.) If the design point is selected to lie on a decoupled branch of the bifurcation diagram, then the linearized system is decoupled at this point and a feasible set to initialize the robustness iteration can always be found. The aim is then to select a robust feedback controller that extends and stabilizes the decoupled branch of the nonlinear system for the entire input parameter range. 4. Control Design for the Nonlinear System Application of the eigenstructure assignment design methods to the nonlinear model requires a linearization of the system about an equilibrium point. A control design is then calculated to make this particular linear approximation to the system stable and to satisfy performance requirements specified by the design. Interest lies, for a given controller, in the change in the stability, robustness and coupling of the closed loop equilibrium points of the nonlinear system with varying reference control. To apply the linear design methods to a nonlinear autonomous system \[ \dot{x} = f(x, u), \] the equation (7) must first be linearized about a specific equilibrium point. A general equilibrium state $ x_e $ is dependent upon the control parameter $ u $, that is $ x_e = x_e(u) $. More than one equilibrium state may be associated with each control parameter. For a fixed control $ u = u^* $ a specific equilibrium point can be written as \[ (x_e(u^), u^)_{OL} = (x^, u^)_{OL}. \] Linearizing about this fixed equilibrium point by a Taylor’s expansion and ignoring the nonlinear terms gives a linear system which approximates (7) locally to (8). If $ x = x^* + \delta x $ and $ u = u^* + \delta u $, then the linear approximation to the nonlinear system is given by \[ \dot{\delta x} = A^* \delta x + B^* \delta u, \] where \[ A^* = \left. \frac{\partial f}{\partial x} \right\|_{(x^, u^)_{OL}} \quad \text{and} \quad B^* = \left. \frac{\partial f}{\partial u} \right\|_{(x^, u^)_{OL}}. \] The output equation is \[ \delta y = C \delta x = \delta x. \] A control design method can now be applied to (9). A feedback matrix $ K^* $ is calculated such that the closed loop state matrix $ A^* + B^* K^* $ of the linear approximation satisfies the design requirements. The closed loop control $ u = u^* + \delta u = K^* x + v $ is applied to the nonlinear system, giving \[ \dot{x} = f(x, K^* x + v) = f_{K^}(x, v). \] Bifurcation techniques are applied to (12) to investigate how well this particular design controls the nonlinear system. 5. The Aircraft Model The aircraft model used in these studies is a simple autonomous, fifth order nonlinear system using flight data to model a twin-engined, jet fighter aircraft at a fixed flight condition in straight and level flight at a height of $1065 \text{m}$, a Mach number of 0.9, a trim velocity $V_0 = 265 \text{ms}^{-1}$, a zero flightpath angle and an angle of incidence of $2.6^\circ$, giving constant stability derivatives corresponding to one flight condition. The data is found in$^{21}$. The longitudinal equations are $$ \dot{\alpha} = q - (r \sin \alpha + p \cos \alpha) \tan \beta + \frac{\cos \alpha \left( Z_\alpha \alpha + Z_{\delta_E} \delta_E \right)}{V_0 \cos \beta}, $$ $$ \dot{q} = \left[ \frac{I_{zz} - I_{xx}}{I_{yy}} \right] pr + M_\alpha \alpha + M_q \dot{\alpha} + M_q q + M_{\delta_E} \delta_E, $$ (13) and the lateral equations are $$ \dot{\beta} = p \sin \alpha - r \cos \alpha + \frac{\cos \beta \left( Y_\beta \beta + Y_{\delta_A} \delta_A + Y_{\delta_R} \delta_R \right)}{V_0}, $$ $$ \dot{p} = \left[ \frac{I_{yy} - I_{zz}}{I_{xx}} \right] qr + L_\beta \beta + L_p p + L_r r + L_{\delta_A} \delta_A + L_{\delta_R} \delta_R, $$ $$ \dot{r} = \left[ \frac{I_{xx} - I_{yy}}{I_{zz}} \right] pq + N_\beta \beta + N_p p + N_r r + N_{\delta_A} \delta_A + N_{\delta_R} \delta_R. $$ (14) The equations (13)-(14) together take the nonlinear form (7), where $\mathbf{x} = (\alpha, q, \beta, p, r)^T$ and $\mathbf{u} = (\delta_E, \delta_A, \delta_R)^T$. A full aircraft model would have available a set of discretised aerodynamic data at many flight conditions, hence modelling the aerodynamic and kinematic nonlinearities due to the flow field around the aircraft. In this model only inertial and kinematic nonlinearities, found in the equations of motion, are represented. Thrust and gravitational effects have been neglected. The stability derivatives are determined by linearization about the specified equilibrium flight conditions, and thus the nonlinear model applies only locally to these conditions. Hence this model is in fact not truly valid at high angles of attack. Despite the simplicity of this model, it is considered suitable for this study, as in the open loop it exhibits a bifurcation characteristic similar to more realistic aircraft models such as the High Incidence Research Model (HIRM)\textsuperscript{2}. A simplified model allows a greater insight into the design procedure, with the aim of eventually extending the techniques to more complicated and realistic systems. 6. Results Open Loop The nonlinear model is first run in AUTO94\textsuperscript{18} with no feedback control applied, and the equilibrium state variables are found over the elevator deflection range $\pm 29^\circ$. The aileron and rudder control surface deflections are constantly zero. The five plots in Figure 1 correspond to the five state variables of the model; thus branches shown are projections of the five dimensional equilibrium state. Therefore the crossing of two separate branches does not necessarily imply coinciding equilibrium states at that particular elevator value. In the open loop case, two separate branches are found. The straight branch corresponds to decoupled longitudinal and lateral state variables. This branch eventually becomes unstable at the Hopf bifurcation, where periodic solution branches begin (not shown in these figures). The second branch corresponds to coupled lateral and longitudinal variables and a change in stability occurs at a limit point. Figure 1 shows that, in the open loop, a decoupled branch already exists; however, it becomes unstable at the critical elevator deflection of approximately $5^\circ$. Beyond this elevator deflection the decoupled equilibrium solution becomes unstable and the system if perturbed could jump to the stable, but coupled equilibrium solution shown to exist along the second solution branch. Thus the aim is to calculate a robust and decoupling control design that will extend the stable and decoupled branch to the complete elevator deflection range and move away or remove stable coupled branches to which the system could jump if perturbed. Note that results from such a simplified model cannot be used to make any realistic quantitative conclusions about the system dynamics. Closed Loop Designs In all the following control design examples the feedbacks are designed for a linearization of the nonlinear system which is decoupled and stable. This linearization is made at the equilibrium point (given in degrees) $$ (x^, u^)_{OL} = \begin{pmatrix} 37.65 \\ 15.08 \\ 0 \\ 0 \\ 0 \end{pmatrix}, \begin{pmatrix} -26.90 \\ 0 \\ 0 \\ 0 \end{pmatrix}, $$ (15) and the open loop eigenvalues are reassigned at this point. The set of assigned eigenvalues is given to four decimal accuracy by The system matrices of the linearized open loop model equations at the equilibrium point (15) are displayed in the Appendix. In the closed loop system the bifurcation parameter is no longer the elevator control surface deflection, but the reference input which corresponds to the pilot’s longitudinal control input. The relationship between these variables must be considered when evaluating the effectiveness of a feedback control design. In our nonlinear model $ \mathbf{u} $ represents the three control surface deflections. In the open loop these values are input directly. In the closed loop $ \mathbf{u} = K\mathbf{x} + \mathbf{v} $, and the control surface deflections depend upon the reference input $ \mathbf{v} $, the structure of the feedback $ K $ and the value of $ \mathbf{x} $. Therefore, in the closed loop system, careful monitoring of the control surface deflection values should be made when considering the validity of a control design at a particular reference input control value. Control surfaces are limited to deflection angles within a certain range due to aircraft configuration and lack control effectiveness beyond particular angles. As in the open loop bifurcation diagrams, the periodic solution branches are not shown and are left for investigation in future work. Decoupling Method* Two feedback designs using the decoupling eigenstructure assignment method are generated. The only difference in the design parameters is the choice of coupling vectors $ G0d $. The choice of these vectors is made purely to decouple the longitudinal and lateral variables. Design 1 In this design the desired decoupling vectors to be projected into the achievable subspaces are \[ G0d = \begin{pmatrix} 1 & 1 & 0 & 0 & 0 \\ x & x & 0 & 0 & 0 \\ 0 & 0 & x & x & x \\ 0 & 0 & 1 & 1 & x \\ 0 & 0 & x & x & 1 \end{pmatrix}, \] where the $ x $'s denote unspecified elements. The 1's and 0's represent desired coupling and decoupling, respectively. The first two columns of $ G0d $ represent the desired longitudinal modal vectors, coupled to the outputs $ \alpha, q $, and the remaining three columns represent the desired lateral-directional modal vectors, coupled to the outputs $ \beta, p, r $. When projected, all specified elements are achieved exactly. The calculated design retains the stability and decoupling at the design point, but Figure 2 shows that it does not achieve these design requirements for the nonlinear system over the total elevator deflection range and thus is not considered a good design. It can be seen that the decoupled branch is stable until it undergoes a pitchfork bifurcation where two further unstable solution branches begin. In the plots of the two longitudinal variables the two branches are identical and plotted over one another. The decoupled branch becomes unstable after the bifurcation point. The coupled branches evolving from the bifurcation point undergo a limit point bifurcation where they briefly become stable, and then a Hopf bifurcation where they become unstable again. If this control were applied to an aircraft for elevator deflection values greater than approximately $-8^\circ$, the aircraft is likely to jump either into one of the stable sections of the two coupled branches or into some other dynamic behaviour not predicted by these results, indicating that this is not a good design. This shows the care needed when choosing decoupling vectors. Design 2 For this design the desired mode output coupling vectors are $$G0d = \begin{pmatrix} 1 & 1 & 0 & 0 & 0 \\ 1 & 1 & 0 & 0 & 0 \\ 0 & 0 & 1 & 1 & 1 \\ 0 & 0 & 1 & 1 & 1 \\ 0 & 0 & 1 & 1 & 1 \end{pmatrix},$$ \hspace{1cm} (18) where all the zero elements specified are achieved exactly, but the 1’s specified are not. Figure 3 shows that this design decouples and stabilises the system over the whole control parameter range, indicating a good design. A second branch is also shown which is coupled and unstable with a Hopf and limit point bifurcation. This is one of a pair of coupled branches symmetrically located about the uncoupled branch. (Only one of the branches is shown in the figure.) Note that the set of vectors (18) is not unique in achieving a good design. Repeating the same design method as Design 2 with the set of vectors $$G0d = \begin{pmatrix} 1 & 1 & 0 & 0 & 0 \\ x & x & 0 & 0 & 0 \\ 0 & 0 & 1 & 1 & x \\ 0 & 0 & x & x & x \\ 0 & 0 & x & x & 1 \end{pmatrix},$$ \hspace{1cm} (19) also results in a feedback design that decouples and stabilises the nonlinear system over the entire parameter range. At the specified equilibrium point all of the linear closed loop designs generated by the decoupling procedure are satisfactory, achieving exactly the specified eigenvalues and the desired decoupling. The corresponding nonlinear closed loop systems display significantly different bifurcation behaviour, however, over the whole reference input parameter range. Some designs successfully extend the stable flight envelope, whereas others are even less satisfactory than the original open loop system. Applying the bifurcation analysis as part of the design procedure thus enables better control designs to be selected. Robustness Method Design 3 In Figure 4, the results are given in the case where a robust feedback design is applied to the nonlinear system. The closed loop system remains stable over the entire bifurcation parameter range and no bifurcation points occur; however, the system is entirely coupled in this region, which is expected since the control is not designed to decouple the system. Thus if this design were applied to an aircraft system, it is unlikely that the system would depart to some undesired dynamic regime, but the longitudinal and lateral variables would be coupled. Decoupling and Robustness Method The modified technique, as described in Section 3, is now applied to obtain a robust decoupled design. The two modal matrices calculated by the decoupling method are used as initial starting matrices in the robustness iteration. The feedback $K$ is then constructed from the resulting $V$. Design 4 Starting from the matrix $V$ calculated in the bad feedback design, Design 1, the new $V$ found by the iteration method results in a feedback control that decouples and stabilizes the nonlinear model over the whole reference input range. The matrices $V$ and hence $K$ calculated are not equal to the matrices $V$ and $K$ found in the good design, Design 2, using the projection method only. Bifurcation diagrams of the system states are shown in Figure 5. No coupled branches were found in the given input parameter range, indicating that departure to another stable equilibrium state is not likely to occur with this control law. Design 5 The same procedure is repeated on the matrix $V$ found in the good feedback design, Design 2, using the projection method only. This results in matrices $V$ and $K$ not equal to, but containing entries close in value to those of the matrices $V$ and $K$ found in Design 4. The resulting bifurcation diagrams are also very similar, and again the feedback gives a stable and decoupled system over the whole reference input range. The bifurcation diagram for this design is virtually identical to the diagram for Design 4 (see Figure 5). Additional experiments have shown that the new modified eigenstructure assignment method gives similar satisfactory designs if applied at various points on the decoupled open loop equilibrium branch, regardless of whether the corresponding linearized system is stable or unstable at the selected equilibrium point. In all cases the calculated robust feedback successfully stabilizes and decouples the system over the full reference input range. Robustness of the feedback design at the specified equilibrium point ensures that the linearized closed loop system is insensitive to perturbations arising, in particular, from neglected nonlinearities. The corresponding nonlinear closed loop system is therefore expected to retain the assigned properties over a wider range of the reference input parameter. than less robust designs. The results presented here confirm that the robust designs successfully extend the stable and decoupled flight envelope and improve the departure characteristics of the nonlinear system, thus demonstrating the importance of robustness for nonlinear as well as linear systems. 7. Conclusions The effects of linear feedback controllers on the nonlinear dynamics of a simple aircraft model are investigated here using bifurcation techniques. The controllers are synthesized by various eigenstructure assignment procedures, applied to a linearization of the aircraft model at an equilibrium point of the nonlinear system. A new modified technique is introduced that enables the design of closed loop systems that are both robust and decoupled. The bifurcation analysis reveals that feedback control designs that all appear satisfactory for the linearized system can exhibit very different nonlinear departure characteristics. The analysis also demonstrates that robust designs that minimize the eigenvalue sensitivity of the closed loop system can improve the effective parameter range of the control laws acting on the nonlinear aircraft. The robust decoupling controllers designed by the new eigenstructure assignment technique are shown by the analysis to extend the stable and decoupled flight envelope successfully and to improve the nonlinear dynamical behaviour of the aircraft. Bifurcation analysis thus aids the design process, resulting in more effective control laws for the nonlinear aircraft over the entire parameter range. Acknowledgements This work was supported in part by the UK Defence Evaluation and Research Agency (Bedford). References 1. Lowenberg, M.H., “Bifurcation Methods - A Practical Methodology for Implementation by Flight Dynamicists,” 17th ICAS Congress, ICAS-90-5.10 (Reserve), Stockholm, Sept. 1990, pp. 2237-2247. 2. Lowenberg, M.H., “Optimising the Use of Multiple Control Effectors Using Bifurcation Analysis,” AIAA Atmospheric Flight Mechanics Conference, AIAA-94-3456-CP, 1994, pp. 45-66. 3. Lowenberg, M.H., “Stability and Controllability Evaluation of Sustained Flight Manoeuvres,” AIAA Atmospheric Flight Mechanics Conference, AIAA-96-3422-CP, 1996, pp. 490-499. 4. Lowenberg, M.H., “Non-linear Oscillations and Chaotic Behaviour in Aircraft Dynamics,” Third South African Aeronautical Engineering Conference, Pretoria, August 1991, pp. 6.1-6.19. 5. Littleboy, D.M. and Smith, P.R., “Closed Loop Analysis of a Simple Aircraft Model Using Bifurcation Methods,” AIAA Atmospheric Flight Mechanics Conference, AIAA-96-3366-CP, 1996, pp. 53-59. 6. Avanzini, G. and de Matteis, G., “Bifurcation Analysis of a Highly Augmented Aircraft Model,” Journal of Guidance, Control, and Dynamics, Vol. 20, No. 4, 1997, pp. 754-759. 7. Littleboy, D.M. and Nichols, N.K., “Using Eigenstructure Assignment for Modal Decoupling in Aircraft Problems,” Applied Linear Algebra, (ed. J. Lewis), SIAM, Philadelphia, 1994, pp. 196-200. 8. Littleboy, D.M., Numerical Techniques for Eigenstructure Assignment by Output Feedback in Aircraft Applications, PhD Thesis, The University of Reading, Department of Mathematics, 1994. 9. Littleboy, D.M. and Nichols, N.K., “Modal Coupling in Linear Control Systems Using Robust Eigenstructure Assignment,” The University of Reading, Dept. of Mathematics Tech. Rpt. NA5/97, 1997, (to appear in Linear Algebra and Applications.) 10. Chouaib, I. and Pradin, B., “On Mode Decoupling and Minimum Sensitivity by Eigenstructure Assignment,” Proceedings of MELECON '94, Antalya, Turkey, 1994. 11. Andry, A.N., Shapiro, E.Y., and Chung, J.C., “Eigenstructure Assignment for Linear Systems,” IEEE Trans. on Aerospace and Electronic Systems, Vol. AES-19, No.5, 1983, pp. 711-728. 12. Sobel, K.M. and Shapiro, E.Y., “Eigenstructure Assignment: A Tutorial,” Proceedings of the 1985 American Control Conference, Boston, MA, USA 1985, pp. 456-467. 13. Kautsky, J., Nichols, N.K. and Van Dooren, P., “Robust Pole Assignment in Linear State Feedback,” International Journal of Control, Vol. 41, No.5, 1985, pp. 1129-1155. 14. Kautsky, J., Nichols, N.K. and Chu, E.K-w., “Robust Pole Assignment in Singular Control Systems,” Linear Algebra and Applications, Vol. 121, 1989, pp. 9-37. 15. Chu, E.K-w., Nichols, N.K. and Kautsky, J., “Robust Pole Assignment by Output Feedback,” Fourth IMA Conference on Control Theory, (ed. P. Cook), Academic Press, 1985, pp. 137-146. 16. Mudge, S.K. and Patton, R.J., “Analysis of the Technique of Robust Eigenstructure Assignment with Application to Aircraft Control,” IEE Proceedings, Part D, Vol. 135, No.4, 1988, pp. 1267-1273. 17. Glendinning, P., Stability, Instability and Chaos, Cambridge University Press, 1995, pp. 206-238. 18. Doedel, E.J., Wang, X.J. and Fairgrieve, T.F., AUTO94: Software for Continuation and Bifurcation Problems in Ordinary Differential Equations, CRPR-95-1, Center for Research on Parallel Computing, California Institute of Technology, Pasadena, CA, May 1995. 19. Barnett, S. and Cameron, R.G., Introduction to Mathematical Control Theory, Oxford University Press, 1990, pp. 177, 123. 20. Smith, P.R., Application of Eigenstructure Assignment to the Control of Powered Lift Combat Aircraft, UK Defence Research Agency, Aerospace Division, RAE Bedford, Tech.Mem. FS 1009, HMSO, 1991. 21. McLean, D., Automatic Flight Control Systems, Prentice Hall, 1990, pp. 564-566. Appendix The system matrices of the fifth-order aircraft model (13)-(14) linearized about the specified open loop equilibrium point (15) are given to four figures accuracy by \[ A^* = \begin{pmatrix} -0.2297 & 1.000 & 0 & 0 & 0 \\ -7.889 & -0.7520 & 0 & 0 & 0 \\ 0 & 0 & -0.3038 & 0.6108 & -0.7918 \\ 0 & 0 & -18.77 & -1.237 & 0.2307 \\ 0 & 0 & 5.266 & -0.2139 & -0.2450 \end{pmatrix}, \] (A1) \[ B^* = \begin{pmatrix} -0.04513 & 0 & 0 \\ -11.39 & 0 & 0 \\ 0 & -0.6993e^{-03} & -0.4296e^{-02} \\ 0 & 9.010 & 1.994 \\ 0 & 0.05800 & -2.634 \end{pmatrix}. \] (A2) List of Figures Figure 1. Open loop bifurcation responses Figure 2. Design 1 - Decoupling method Figure 3. Design 2 - Decoupling method Figure 4. Design 3 - Robustness method Figure 5. Design 4 - Decoupling and robustness method Figure 1: Open Loop responses Figure 2: Design 1 - Decoupling Method Figure 3: Design 2 - Decoupling Method Figure 4: Design 3 - Robustness Method Figure 5: Design 4 - Decoupling and Robustness Method
Impact of Fundamental Tax Reform on Domestic Manufacturing Annette M. Nellen San Jose State University, firstname.lastname@example.org Follow this and additional works at: https://scholarworks.sjsu.edu/acc_fin_pub Part of the Accounting Commons, and the Taxation Commons Recommended Citation Annette M. Nellen. "Impact of Fundamental Tax Reform on Domestic Manufacturing" Tax Notes (1996): 1827-1831. This Article is brought to you for free and open access by the Accounting and Finance at SJSU ScholarWorks. It has been accepted for inclusion in Faculty Publications by an authorized administrator of SJSU ScholarWorks. For more information, please contact email@example.com. The Effect of Tax Reform on Domestic Manufacturing The Tax Reform Study Group within the Council on Tax & Fiscal Policy, an initiative of Joint Venture: Silicon Valley Network, submitted the following comments to the House Ways and Means Committee with respect to a July 31 hearing. These comments are submitted pursuant to the House Ways & Means announcement of July 18, 1996. They are submitted for inclusion in the printed record of the hearing held on July 31, 1996, on the impact of fundamental tax reform on domestic manufacturing and on energy and natural resources; our comments focus only on domestic manufacturing. The Tax Reform Study Group previously submitted comments for the written record of the May 1996 hearing on the impact of tax reform on state and local governments, and the July 1996 hearing on the impact of international competitiveness.$^1$ The Tax Reform Study Group is also working on a more comprehensive comment letter to submit to the tax writing committees at a later date; such letter will expand upon the topics covered in this submission. Background on the Tax Reform Study Group The Tax Reform Study Group was formed in October 1995 and consists of individuals from business, state and local government, and academia who are interested in studying the proposals for reform of the federal and state tax systems and tax reform in general and their impact to Silicon Valley. The Group provides objective forums for people in Silicon Valley to learn about tax reform and how it affects them and their employers. The Group has sponsored several seminars on tax reform and maintains a Web page where interested people can obtain objective information on tax reform: http://www.jointventure.org/tax/tax_fed.html Joint Venture: Silicon Valley Network is a dynamic model of regional rejuvenation with a vision to build a community collaborating to compete globally. Joint Venture brings people together from business, government, education, and the community to act on regional issues affecting economic vitality and quality of life. One of its initiatives is the Council on Tax & Fiscal Policy. Drafting: The views expressed in the comment letter represent the collective views of the Tax Reform Study Group within the Council on Tax & Fiscal Policy of Joint Venture: Silicon Valley Network, and not necessarily the views of any individual members of the Study Group, the Council, or of Joint Venture. The primary draftspersons of these comments were William C. Barrett, Director: Tax, Export & Customs, Applied Materials, Inc.; Annette Nellen, Professor, San Jose State University; and Donald J. Scott, Director: Tax Compliance, Oracle Corporation; substantive contributions and review were provided by Jean Alexander, Counsel to the Chairman, California State Board of Equalization; Dan Kostenbauder, General Tax Counsel, Hewlett-Packard Company; Larry R. Langdon, Vice President — Tax, Licensing & Customs, Hewlett-Packard Company; David W. Mitchell, Hoge, Fenton, Jones & Appel Inc.; and Dr. John E. Thomson, Adjunct Fellow, Tax Foundation. Introduction These comments focus on selected issues relevant to manufacturers that have not received much attention in the tax reform debate relative to other issues. These topics include: - the importance of R&D incentives to manufacturing and service companies; - accounting methods; and - impact on financial statements and stock prices. Importance of R&D Incentives to Manufacturing and Service Companies Various government and private studies have indicated that government incentives for research are justified in that society’s rate of return on research exceeds that of the company incurring the research costs and risks. Thus, the company conducting the research and incurring the costs will not be able to completely reap the rewards of its research because some of the benefit will spill over to others.$^2$ For example, although re- $^1$These comments can also be found at http://www.jointventure.org/tax/tax_fed.html, and Doc 96-20565 (7 pages) or State Tax Notes, July 22, 1996, p. 253. $^2$Businesses may not find it profitable to invest in some research activities because of the difficulty in capturing the full benefits from the research. Costly technological advances made by one company often are quickly copied by their competitors. A research tax credit can help promote investment in research, so that research activities undertaken approach the optimal level for the overall economy. Therefore, the Com- (Footnote 2 continued on next page.) search leading to an innovative new drug can be protected by a patent to help a company obtain the economic benefits of its research, the fruits of the research will be enjoyed by others upon the patent's expiration. Because a company may not receive all of the return from its research investment, but will instead share some of it with society, there is justification for public support of such research. Research incentives also benefit society. Both government and private studies have shown that the credit for increasing research activities (section 41) has had an impact on the amount of research conducted. A 1989 General Accounting Office (GAO) report, "The Research Tax Credit Has Stimulated Some Additional Research Spending," stated that the research credit "raised corporate spending on R&E above the level that otherwise would have been achieved." This study, based on a sample of 800 corporations and economic models, concluded that the credit "stimulated between $1 billion and $2.5 billion of additional spending for the five years 1981 through 1985." Such an increase represented an increase of 15 cents to 36 cents for every dollar of foregone tax revenue due to the credit. A 1994 private study concluded that the GAO study underestimated the benefits of the research tax credit. This study estimated that the credit stimulated additional spending in the short run of about $2 billion per year (in 1982 dollars) with foregone tax revenues of about $1 billion per year. The economy also benefits from research activity. It has been estimated that at least half of the economic growth in the U.S. stems from advances in technology. Manufacturers are the primary user of the research tax credit. In 1993, 75.2 percent of the aggregate amount of research tax credit claimed was claimed by manufacturing companies; 12 percent was claimed by service companies. Impact of a consumption tax on R&D. Two important R&D rules under our income tax system are section 41, Credit for increasing research activities, a tax incentive, and section 174, Research and experimental expenditures, a positive accounting rule. These R&D rules are particularly important to software and hardware manufacturing companies. A significant element of both the deduction and credit for research expenditures relates to employee labor. Under a consumption tax, expenditures related to employee labor, including wages, fringe benefits, and payroll taxes do not reduce the taxable base. Thus, a consumption tax will eliminate a significant deduction attributable to R&D activity. The treatment of R&D under our income tax system versus a consumption tax can be compared as follows: \| R&D Expenditure \| Income Tax \| Consumption Tax \| \|-----------------\|------------\|-----------------\| \| Employee labor \| Currently deductible under section 174. \| Not deductible. \| \| Outside labor \| Currently deductible under section 174. \| Deductible business purchase. \| \| Equipment \| Not currently deductible, depreciation may be treated as a current deduction under section 174(a) & (c). \| Deductible business purchase. \| There appears to be some belief among tax reform proponents that the loss of R&D incentives (research tax credit and wage deduction) is more than offset by the benefit attributed to the current deduction of equipment. While this may be true for some capital intensive manufacturers, not all manufacturing R&D processes require significant equipment purchases. The software industry, for example, is highly labor intensive in both the development and manufacturing stages and the loss of the research tax credit and the wage deduction is not offset by a deduction for capital equipment. Tax reform proponents who seek to improve economic growth for the U.S. must consider how the tax burden --- 8Joint Committee on Taxation, Impact on Small Business of Replacing the Federal Income Tax, (JCS-3-96), April 23, 1996, p. 95. 9However, the Armey flat tax (H.R. 2060, 104th Cong., 1st Sess.) would allow a deduction for cash wages and certain retirement plan contributions; the USA tax (S. 722, 104th Cong., 1st Sess.) would allow a credit for payroll taxes. is distributed among both labor-intensive and capital-intensive industries. We suggest that more attention be paid to the potential impact of moving completely from an income tax with R&D incentives to a consumption tax with no R&D incentives (no research tax credit). Because R&D activity is a growth engine for the U.S. economy, further study must be made as to whether R&D activity will decrease under a consumption tax, and if so, reformers must then consider the impact to one of the key goals for tax reform — economic growth. This further study must consider: - the impact of changed R&D tax incentives, along with other changes, such as reduced tax rates and the move to a territorial tax system, on a company's cost of doing business;$^{10}$ - the impact of R&D incentives provided by other countries; - the possible changed behavior of companies in response to reduced tax benefits for R&D activity;$^{11}$ - the varying impact of reduced R&D tax benefits among different industries;$^{12}$ and - the possible impact to economic growth from reduced R&D tax benefits. Accounting Methods Current proposals: Only two of the current reform proposals include provisions on accounting methods: the USA tax proposal (S. 722, 104th Cong., 1st Sess.) and the National Retail Sales Tax proposal (H.R. 3039, 104th Cong., 2d Sess.). Under the USA tax proposal, a business would generally be required to use the accrual method of accounting; the all events test and economic performance requirement of current law would continue to apply. Generally, if a business was allowed to use the cash method of accounting under present law, it could continue to do so under the USA tax. The USA tax proposal directs the IRS to provide regulations (consistent with current section 447 and section 448) under which a new business might be able to adopt the cash method of accounting. The USA tax proposal also provides that certain changes or expansions of a business may result in it no longer qualifying for use of the cash method, under regulations to be provided by the IRS. Under the USA proposal, the present rules on changes in method of accounting and bad debt expense, would remain.$^{13}$ Under the National Retail Sales Tax proposal, the cash method is the general rule. However, a vendor could elect to adopt the accrual method to determine when tax is due on its sales. For taxable property and services sold under the installment method, tax is due when payment for the property and services is actually received. With respect to property and services returned to the vendor, the vendor would be entitled to a credit (refund) when actual payment for the returned property and services is made by the vendor.$^{14}$ Apparently, a similar rule would apply to bad debts of a vendor using the accrual method (but a specific rule is needed to this effect). The Armeey flat tax (H.R. 2060, 104th Cong., 1st Sess.) does not mention accounting methods, but it implies, as does the Hall-Rabushka model upon which the Armeey flat tax is based, that a cash method of accounting would be used. The subtraction VAT proposal of Congressman Gibbons also does not discuss accounting methods. Considerations in Developing Accounting Method Rules: We suggest that the following principles be considered in developing accounting method rules for any tax reform proposal: - One of the desired simplification provisions of many businesses is for increased book-tax conformity.$^{15}$ However, conformity is not possible if the income tax system is replaced with a consumption tax, because books will still report income (not consumption). However, wherever possible, the goal of increased book-tax conformity should be followed. - Under a consumption tax, where a business is allowed to immediately write off purchases of business assets, including land and inventory, timing rules will not be as important as under our current system. As a result, for example, uniform capitalization rules and depreciation rules will be eliminated. Thus, the emphasis of current law on "clear reflection of income" from the perspective of the IRS (section 446(b) and Treas. reg. section 1.446-1(a)(2)) should no longer be the focal point of proper reporting of income and expenditures. Instead, emphasis should be placed on the methods used for book purposes (section 446(a) and Treas. reg. section 1.446-1(a)(1)), in order to achieve greater book-tax conformity. --- $^{10}$See July 18, 1996 testimony of The High-Technology Tax Restructuring Group, supra, for an example of how a consumption tax could increase the cost of U.S.-based R&D activities. $^{11}$Changed behavior may include changes in a company's mix of domestic and foreign R&D spending, and increased use of outside contractors for R&D activity, relative to employee labor. $^{12}$The level of R&D spending among manufacturing industries varies. For example, in the automotive industry, R&D expenditure as a percentage of sales revenue is about 4 percent, while it is about 10 percent for the computer industry and approximately 14 percent for the software industry. As reported by the Semiconductor Industry Association (SIA), based on a Business Week report; SIA Annual Databook, 1995, p. 41. $^{13}$The accounting method provisions of the USA tax proposal are at S. 722, supra, sections 220 to 226. $^{14}$H.R. 3039, 104th Cong., 2d Sess., section 22(e). $^{15}$See Joint Committee on Taxation, Selected Materials Relating to the Federal Tax System Under Present Law and Various Alternative Tax Systems, (JCS-1-96), March 14, 1996, p. 77. The cash method of accounting should be considered an acceptable method of accounting for businesses with average annual gross receipts of $5 million or less.\textsuperscript{16} \textit{Example:} ABC Corporation is a publicly-traded company that prepares its financial statements according to generally accepted accounting principles (GAAP). For its year ended December 31, 1998, ABC's income statement reports: \| \| Amount \| \|----------------------\|----------\| \| Net sales \| $2,600x \| \| Cost of sales \| \| \| Beginning inventory \| $500x \| \| Direct materials \| $600x \| \| Direct labor \| $700x \| \| Indirect costs \| $300x \| \| Ending inventory \| -$400x \| \| R&D \| $300x \| \| Selling, general and administrative \| $320x \| \| Operating income \| $280x \| \| Interest, net \| $120x \| \| Income from operations before income taxes \| $400x \| Because ABC's financial statements are based on income, but its tax return is based on a consumption tax system, many book-tax differences will exist. However, for purposes of simplification, ABC should be allowed to start with the above numbers in determining its tax base under any of the consumption tax proposals. For example, under a subtraction method VAT, ABC would make the following adjustments: a) Eliminate labor, fringe benefits, taxes, interest and beginning and ending inventory included in its expenditures; b) Eliminate net interest income; c) Eliminate depreciation and amortization amounts; d) Remove gain or loss amounts from the sale of fixed assets; e) Include a deduction equal to the book amount of equipment, building, and land acquired and placed in service during the year (rules are required to ensure that there is no interest expense element included in this deduction); and f) Increase its tax base for the book sales price of equipment, building, and land sold during the year. The above adjustments should \textit{not} be expanded to require ABC to apply the all events test and economic performance requirement to determine when it incurred expenditures and had basis in assets purchased. Similarly, ABC should not be required to apply the existing income recognition rules of IRC 451 and the regulations; instead, it should be allowed to use its book revenue amounts. \section*{Impact on Financial Statements} Regardless of how U.S. tax reform evolves, the need to accrue state and foreign income tax liabilities in financial statements will continue under GAAP accounting although the geographic mix of income tax liability could change dramatically.\textsuperscript{17} For many companies, foreign income tax liabilities will likely increase in proportion to the corporate U.S. (state) tax liability. Income tax accounting with respect to foreign operations will become much more important to the global income tax provision and accordingly increases the administrative burden to U.S.-based tax departments in managing the income tax accounting work. Discussion of transition issues in the tax reform debate so far have focused on the tax and economic reasons of either providing transitional rules or not providing such rules. However, another important aspect of transitioning from an income tax to a consumption tax is the impact on financial reporting. The impact of moving from an income tax to a consumption tax can have a significant impact on a company's income statement and balance sheet, and potentially on its business decisions and stock price. Financial reporting (GAAP) aspects of major federal tax reform include: - the impact on a company's net deferred tax assets or net deferred tax liabilities in existence at the transition date; - how the change from one set of rules to another should be reported on financial statements for the year of change; and - what the incidence of the new tax is and whether or not it should be reflected on a company's income statement as the income tax currently is. For example, would the financial accounting rule for federal taxes be the same under the Armey flat tax, USA tax, and national retail sales tax proposals? A company's mix of deferred tax assets\textsuperscript{18} and deferred tax liabilities\textsuperscript{19} and whether the company is \textsuperscript{16}As under section 448. Arguably, under a system where inventory is deducted when acquired, rather than when sold, a small business with inventory should not be precluded from using the cash method of accounting for tax purposes (this is not allowed under current law per Treas. reg. section 1.446-1(c)(2)(i), which requires a taxpayer with inventory to use the accrual method for purchases and sales). Rules can be provided to prevent possible abuses such as large year-end inventory purchases made solely for tax purposes where the inventory is returned in the next year; see Revenue Ruling 79-188, 1979-1 C.B. 191. \textsuperscript{17}Financial Accounting Statement (FAS) 109, Accounting for Income Taxes. \textsuperscript{18}Deferred tax assets tend to represent nondeductible current expenses that will be deducted in the future and may represent such items as inventory reserves, deferred revenue, loss carryforwards, and foreign tax credits. \textsuperscript{19}Deferred tax liabilities may exist for such items as book-tax depreciation differences. in a net deferred tax asset or net deferred tax liability position can vary from year to year for a variety of reasons. The type of transitional rules provided can have a significant impact to companies, particularly those with net deferred tax assets. Tax reformers should consider the impact of limited transitional relief on both the tax and financial reporting positions of companies. Transition rules should take into account ways to prevent undue burdens for companies with significant tax attributes at the transition date. Regardless of how U.S. tax reform evolves, the need to accrue state and foreign income tax liabilities in financial statements will continue under GAAP accounting although the geographic mix of income tax liability could change dramatically. GAAP (FAS 109) requires tax law changes to be reflected in financial statements in the year enacted. Assuming that FAS 109 would continue to apply to a consumption tax, the value of net deferred tax assets and net deferred tax liabilities would decrease. Again, this would affect companies differently depending on their prior tax attributes. Whether or not transition rules exist to allow a tax benefit for loss and credit carryovers and undepreciated asset basis at the transition date will have an impact on corporate financial statements, stock prices, and transitional planning. There are many unknowns with respect to the impact of tax reform on financial statements. For example, will the current income tax reporting rule under GAAP (FAS 109) apply to consumption taxes, or will a new rule be required? Also, what is the proper reporting of the particular consumption tax on the financial statement? For example, a national retail sales tax collected by a taxpayer should not be reported on the income statement. However, it is not clear whether the same would be true for a subtraction method VAT, although theoretically, the economic incidence of a subtraction method VAT is the same as for a sales tax (tax imposed on the final consumer). Additional uncertainties stem from these accounting unknowns which may have significant impacts on the economic impact of fundamental tax reform. For example, how will the stock market react to changes in balance sheets (likely improvements for companies with deferred tax liabilities, but likely reductions to earnings for companies with deferred tax assets) and effective tax rates? Example: In the first year of the flat tax, Young Corporation (YC) has $600 million in domestic revenue and flat tax deductions of $330 million. Thus, YC's pretax income is $270 million and its flat tax liability is $54 million (20 percent tax rate). YC has $70 million in prepaid tax assets on its books, attributable to inventory reserves, loss carryovers, and research tax credit carryovers. Assuming no transitional rules exist to allow YC to ever obtain benefit of the prior inventory purchases or carryovers, the prepaid tax asset must be removed from YC's financial statements. YC's income tax provision for the first year of the flat tax would be: \| Flat tax \| $54M \| \|----------\|------\| \| FAS 109 adjustment \| $70M \| \| Total \| $124M \| \| U.S. pretax income \| $270M \| \| U.S. effective tax rate \| 46% \| Without the FAS 109 adjustment, YC's effective tax rate would have been 20 percent. This example is a simplified one involving only three book-tax differences; a typical manufacturer would have significantly more book-tax differences to analyze. The impact of tax reform will raise many difficult accounting issues for companies due to the significant nature of the contemplated changes — analyzing the specifics of reserves, moving from a worldwide system to a territorial one, lack of transitional rules, and uncertainty as to the incidence of the tax burden. Congress must consider the need for financial statement guidance that must follow reform of the federal tax system. The impact of tax reform on financial statements (and stock prices) must be included in the tax reform debate with respect to the technical and economic points, as well as providing a sufficient time frame for the accounting issues to be resolved. Conclusion Major federal tax reform presents significant accounting, economic, social, and political issues. Our comments above identified and discussed only three of these significant issues. To summarize, manufacturing companies are particularly sensitive to changes to the current treatment of R&D expenditures. Consideration of a consumption tax must take into account possible reduction in U.S. R&D spending and whether economic growth may be impacted adversely. Also, accounting method rules for any consumption tax proposal must consider how to best reach the simplification goal of tax reform, and realize that income tax standards for what is a proper method of accounting might not automatically apply to a consumption tax. The financial reporting (GAAP) issues indicate the need to consider the very broad brush tax reform sweeps over businesses beyond just their tax obligations to the government. In addition, financial reporting issues indicate the need to have a broad spectrum of parties involved to some degree in the tax reform process, including the Financial Accounting Standards Board.
ORAL HISTORY INTERVIEW DATE OF DOCUMENT [Date of Interview] = 07-28-68 OFFICE OF PRIME RESPONSIBILITY = JSC NUMBER ON DOCUMENT = 00 TYPE OF DOCUMENT [Code for Interview] = 1 PROGRAM [3-letter Program Archive code] = AUTHOR [Interviewee’s Last Name] = Bedford LOCATION OF DOCUMENT [Numeric Shelf Address] = 091-1 SUBJECT OF DOCUMENT: [use relevant bold-face introductory terms] Oral history interview with Howard C. Bedford, Jr. [full name of interviewee] about Mission Control Center, MSC and IBM [main focus of interview] joint efforts. Title: IBM Contract [interviewee’s current and/or former title and affiliation] Interview conducted by Robert B. Merrifield, Staff Historian at [interviewer’s name/position] [location of interview] Transcript and tape(s). [for inventory only: # pages 11; # tapes 1] CONTENTS: Biographical - [date/place of birth; family background] Education - Career Path - A 1959 IBM + Manned Space Program North American = (F108, B70, X15 + SAGE) Topics - 1962 IBM contract for RTCC (Real-Time Computer Complex) recruiting programmers to Houston; attractions & drawbacks of Houston; IBM pay scale; personnel in technical areas: programming, engineering, mission analysis, maintenance & operations; 1962-63 establishment of Ground Systems Projects Office; resolution of IBM-NASA technical disputes; leadership of Chris Kraft; MSC esprit d'corps; IBM relations with MSC Contractors decision to conduct GT-4 primary control from Houston; contractor performance measurement & evaluation of RTCC; 1960 IBM working conditions at Goddard Space Flight Center; IBM facilities and working conditions in Houston; I joined IBM and the Manned Space Program in December 1959. Prior to coming with IBM, I had experience with North American on the F108, the B70, the X15 and SAGE projects. When I came to IBM in Washington, D.C., I was assigned to be the manager of the Mercury launch area. I think my background in real-time systems was something which not many people had and consequently some of the problems we ran into in '60 and '61 were somewhat reduced by the fact that we had some previous experience. I think one of the key reasons why NASA chose IBM for the RTCC contract was because of the experience we had with projects like Mercury, Tiros, and Echo, which were all NASA Contracts. When we were chosen in October 1962, the IBM Mercury staff consisted of about 35 programmers, about 10 engineers, and about 20 operations personnel. Of that total, we had some difficulty in getting the Goddard Space Flight Center to transfer some of these key individuals from Washington to the RTCC in Houston. We weren't able to transfer more than 10-12 people in the first 6 months of 1963. Consequently, we had great difficulty in hiring the 125 programmers which was the target set for August 1963, in fact, we overran this date by some 3 months. The principle areas we were able to recruit from were aircraft industry in and around Los Angeles, Cape Kennedy, and professional contacts in the ACM and SHARE (Society to Help Avoid Redundant Effort -- an IBM user organization that meets twice a year and is composed of almost a thousand companies). Of the first 125 people we were able to hire, the experience averaged was approximately 5 years, which was outstanding. It is very difficult to get people with an average of 5 years of experience when you have 125 people to hire. Of that first 125, there were no trainees. We drew people who had experience in every real-time project at that point in time, including 4 or 5 top secret areas. Of the 125 people, we were able to bring to the RTCC by December 1963, approximately 21 came from Project Mercury, 19 from sub-contractors (of which three were from Texas A&M, 12 from Informatics, Inc., Los Angeles, California, and four were from Computer Applications, Inc., CAI, New York City), 25 from other parts of IBM, 33 were personal contacts; 27 were from agencies. Of the 125, 117 had BA or BS degrees, 21 had MS degrees, and there were no PhD's. Real-time experience represented by this group included work on Vanguard, Tiros, Echo, Ballistic Missile Early Warning System, SAGE, FAA, Weapons System 239-A, the Cape Kennedy Impact Predictor, Saber, JPL, and the North American Apollo Simulation Group. Everyone hired was interviewed by at least three professionals and everyone had to be either recommended by someone or personally known by someone. I think this enabled us to get started with an extremely good crew. One of the major difficulties we had was in trying to interest people in the Houston area. We tried to stress to them the fact that the RTCC was probably the most advanced real-time system they could possibly work on within the next five years, an unparalleled opportunity for on-the-job training. Only 50% of those contacted came for interviews, and of that number offers were made to 80% and 50% of that number actually accepted. Fortunately, most of the recruiting was completed by the time the summer heat was at its worst. We adopted a positive approach on the local area emphasizing that Houston was one of the four or five lowest cost of living areas in the U.S. People were generally well pleased with the price of homes, and the quality of local schools. In fact, we had no real problems over the environment once people were located here. We gave the families as much personal attention as we could - tours of the area, etc. Initially, people were dissatisfied with the quality of higher education available. Only Houston University offered evening work in graduate studies, and initially, this was weak, but has since improved substantially. Of the 125 we hired initially, about 40 came from California, 15 from the Cape, 30 from the DC area, 10 from the Northeast, 5 to 10 from the Alabama-Louisiana area, and the other 20 or so from various other places. Generally speaking, the people from the East had the most prejudice against coming South. They expected the South to be a sleepy area where there was not much modern industry, only cotton mills and stuff like that they had read about in books written about 1900. Of the 40-45 people that came from the West, many of them were Texas people - Texas A&M, TCU, Texas University, SMU graduates. At that time, there wasn't much industry in Texas other than Convair-Fort Worth, and Texas Instruments. Mainly, those people worked in the far West for the aircraft industry. We had no trouble hiring those people. People from the East, especially the wives, didn't want to move South because of fear of redneck Southerners and other prejudices. However, once they came, they found that Houston was as modern a town as they could expect. In fact, each time I go back, I find the people from the East more and more concerned about leaving, once the RTCC contract ends. My experiences were much like the others. (I was born down in West Texas and raised in the East. I had been to Texas in 1955 and I knew there was a difference between Texas and Alabama and Mississippi. I would never care to live in Alabama or Mississippi. Texas and Oklahoma are fine.) We tried to interest people in those aspects of Texas that they didn't have in the East - outdoor living all year, the ability to go out in the Gulf all year round, and the Astrodome. Houston also had an excellent cultural environment with the Houston Symphony, Alley Theater, etc. Also there were quite a few of our people who had never been on a horse and surprisingly it was a pretty big item, especially with children. Between November 1962 and July 1965, we had five people who resigned from IBM - left the RTCC. Of those five, one of them accepted a job with Union Carbide in New York, but returned to the RTCC in January 1964. Another went to Western Union, Washington, DC, to head a group of around 25 people. A third joined Univac and stayed in Houston. Another fellow left for personal reasons - a death in his immediate family required his presence at home in Paris, Tennessee, to run the family farm. Another stayed with IBM but transferred back to Los Angeles, purely for personal reasons. All in all the job was sufficiently interesting that we were able to keep the people. We had some difficulties over the fact that the husbands worked such late hours. We did establish social clubs for IBM families. Picnics were arranged to enable the wives to meet each other. These people were generally young, from 24 to 29 and generally making between $8 to 12,000. This was back in 1963. I'm sure it would be much more difficult to hire people today at those pay ranges. The average college graduate is being hired for about $700 per month in June 1968, whereas the average college graduate in June 1963 was making about $600. There were 3 other technical areas in addition to the programming area I discussed earlier. There was an engineering area, a mission analysis area, and a Maintenance and Operations area. In the Mission Analysis area there were about 10 people under Jerome Shipmen. Those 10 people had an average of 7 or 8 years experience and about 5 or 6 had PhDs. In the Engineering area we had about 15 people, all of whom had either BS or EE degrees and an average of about 10 years' experience. In the Maintenance and Operations area there were 50-60 people. Of this group about 5 or 6 had BS degrees. The remainder had little or no college work and were mostly keypunch operators, maintenance technicians, computer operators, etc. Our rate of staff increase was as follows: As of end of \| \| 12/62 \| 12/63 \| 12/64 \| 7/65 \| \|-------\|-------\|-------\|-------\|------\| \| Eng \| 3 \| 15 \| 15 \| 17 \| \| Prog \| 15 \| 125 \| 175 \| 195 \| \| M&O \| 5 \| 30 \| 40 \| 50 \| \| Analysis \| 3 \| 10 \| 10 \| 7 \| \| Clerical & Admin \| 6 \| 15 \| 30 \| 40 \| \| TOTAL \| 32 \| 195 \| 270 \| 309 \| In late 1962 and early 1963, the Ground Systems Projects Office, was established under the leadership of Barry Graves, Paul Vavra, and Ralph Everett. The purpose of the group was to work with IBM and enable the GSPO to translate the requirements of the Mission group under John Mayer into terms the RTCC could understand. However, our experiences indicated there was a lot of misunderstanding between IBM, the Ground Systems Project Office and the Real-Time Mission Requirements Group under Lyn Dunseith, who reported to John Mayer. Somehow or other the organization just didn't seem to work out and I believe it was around late summer or early fall of 1963 that Chris Kraft and Barry Graves reorganized the responsibilities of various groups and we were then to report technically to Dunseith. That was the only difficulty we had working with anyone in NASA. Now that isn't to say we didn't have many technical arguments; but I think the feeling that everyone had was that these differences were predominantly technical and never involved personalities and certainly, never involved a polarization of NASA vs IBM over who could or could not do certain work. Because of the leadership from Chris Kraft, John Mayer and John Hodge, we worked extremely well together and whenever there was an argument, everyone seemed to respect each other's opinion. To resolve technical differences, frequently a joint effort was mounted to determine the best technical approach. Univac and Philco were also represented on many of these teams. And once the team agreed on an approach, that is the way everyone went. No where else have I seen the esprit d'corps and high morale that the entire MSC team had. It was predominantly a team effort and I think its success was largely due to the responsible leadership of Chris Kraft. Again and again, he made it plain that the best way to help him was to tell him what the problems were. If we wanted him to help - tell him, and if we don't want him to help - tell him that too. Everyone was left to solve their own problems as long as everyone understood what the problem was--what the targets were for getting resolution, and if it wasn't possible to meet it, what would be done to meet it. I have been in many high pressure programs, worked for North American Aviation, worked for Sperry Rand, worked for the Civil Service, and for IBM, and I have never run into the esprit d'corps like we had down in the MSC. Now a few words about IBM's relations with other MSC contractors. We worked with people from Philco, Univac, and a few from NAA. Initially there was some friction between IBM and Univac, but after the first two or three months, we got along fine, i.e., once we had determined who was responsible for what. In part, perhaps, that early trouble with Univac arose because MSC had not clearly defined what responsibilities Flight Operations and GSPO would have in the IMCC. Consequently, I think there was a lot of misunderstanding as to who had responsibility for what and who didn't. Once the responsibilities were clearly spelled out, there was no further argument except for bonifide technical arguments, which we constantly had down there. Between the Univac and IBM Maintenance & Operations was an extremely close rapport. Monte Dellinger frequently loaned IBM testing equipment to Univac in order to detect or isolate some particular problem between Univac and IBM equipment connections. Many times Univac worked with us to determine whether the problem was ours or whether it belonged to them. We had a few difficulties with Philco, usually over technical issues but overall, our relations with them were good. In January or February 1962, following GT-3, Chris Kraft asked Philco and IBM to recommend whether we should or should not support GT-4 in a prime mode from the RTCC/IMCC Houston, rather than from Goddard Space Flight Center. The original contract responsibility IBM had was to provide rendezvous support out of the RTCC. However, rendezvous had slipped about nine or 10 months and consequently, we had a computing system ready earlier than expected. Around March 1965, Larry Sarahan of IBM recommended before a joint board with members from MSC, NASA Hq's, Philco, Univac, IBM, and McDonnell that the RTCC be the prime control center for GT-4. At that point, I believe Philco recommended that MSC continue in a backup role only. Within the next two weeks Chris Kraft and NASA Hq's decided to provide GT-4 primary control from Houston. Goddard Space Flight Center, from that point on, was considered a backup to Houston. The RTCC had monitored GT-2, backed up GT-3 and went prime on GT-4 about six months earlier than IBM had contract responsibility for. Something very similar to this had occurred in the Mercury Program. The contract responsibility that IBM had was to provide mission support for Mercury-Atlas. When the Mercury-Atlas program fell behind, NASA substituted Mercury-Redstone flights. There were seven of them, and IBM adapted the Mercury Control Program for Redstone flights MR-1, MR-1A, MR-2, MR-2DB, MR-3, MR-4, and MR-5. I think this extra support went a long way toward cementing the relationship between NASA and IBM. They had confidence in us and we had confidence in them. Around the early part of 1965, NASA Hq was insistent that the NASA field centers develop a method for measuring performance of contractors. Now that was a problem with respect to how to measure the performance of the RTCC. Some of the arguments were what if we tried to specify functions performed, and if we perform 9 out of 10, we perform successfully 90% of them. Others said well let's measure system availability; how well the hardware stood up under it, that's all part of it too. What about people, because people were part of the total system also; The computer operators, the mission control operators, and the RTCC operators and others like that. However, since that was a joint integrated team effort, many times it was very difficult to determine how to quantify it. Also, NASA wanted some of the experiences learned during GT-4 to get immediately into the GT-5 system. From a programming standpoint, a system as large as the RTCC had probably from 500 to 600,000 lines of code in it. To modify or to add 10,000 lines meant that it was necessary to go back and completely system test everything again. Sometimes there just physically wasn't enough time for NASA to specify what the requirement was, for IBM to design it, code it, and check it out. We also had to support the T-21 day countdown during which time NASA wanted to "freeze" the system, i.e., no changes could be made after that. It was very difficult to get the data and analyze it, which probably took anywhere from 2 to 3 weeks, and then define new requirements. This meant IBM had between 3 and 5 weeks to design the requirement, code it, and check it out. Consequently, at that point in time generally it was agreed that major modifications from GT-4 would be in GT-6 and those from GT-5 would be in GT-7 or even GT-8. Speaking from a contractor standpoint, I think it is very, very difficult knowing the requirement for anyone to actually measure system performance. Moving on to the administrative problems involved in undertaking large projects such as Mercury, Gemini and Apollo, I would like to discuss some of IBM's early experiences in this area beginning with Project Mercury at GSFC. Speaking from a contractor's viewpoint, when we initially moved to the Goddard Space Flight Center in September 1960 everyone had the same dismal working conditions out there. The Goddard Space Flight Center facility was 6 to 9 months late. However, the NASA/IBM team had to support one of the very early Mercury Redstone shots, probably MR-2, launched in December 1960. In December 1960, the situation at the Goddard Space Flight Center was nothing but mud, unfinished roads, no place to park, inadequate facilities, no bathrooms, etc. All the people put up with it since we jointly shared it; however, toward the end of '61 and early '62 when I was still at the Goddard Space Flight Center, I really believe the contractors at that point were treated as second class citizens. NASA had a very difficult time because of crowding. No matter how one seems to plan ahead, by the time the building is ready, it's no longer large enough. However, at GSFC IBMers were asked to move into the halls where there was inadequate heating, inadequate ventilation, and safety problems. I think at that point NASA should have allowed IBM the option to move off-site or given us adequate space to work in. When we moved to Houston the Clear Lake Site wasn't ready until probably the fall of 1963. So, in October 1962, IBM immediately contracted for around 20,000 sq ft of floor space. Since construction in the South is a lot easier and a lot simpler than in the East we were able to put up the building in about 8 weeks, including 5,000 feet for a 7094 computer which required a "false" floor, special air conditioning and power supply. This facility was expanded in 1963 from 20 to 40 thousand sq feet. That held us from January '63 until July '64, when we moved about half of our people into NASA Bldg 30 at Clear Lake. Then in the fall of '64, it became obvious that all the IBMers would not fit into the NASA facilities. IBM agreed to put up a building very close to NASA and we moved the rest of our people there about early 1965. However, because the arrangements for housing our people had not been settled, we had people working in a blue temporary steel office area along Old Galveston Road near the entrance to Clear Lake City. It was unbearably hot there for most of 1965, when we had 70 or 80 people there. One group moved into the building the day after we had a heavy rainstorm. When they arrived there were two inches of water on the first floor. They couldn't even get into the building. We hired some pumps, pumped water out and built a dike around the building until a drainage ditch was constructed. This kind of problem is typical where the technical requirements outpace the administration's ability to keep up. The technical people constantly refer to the "green eye shade" types, and there are times I have to agree with them. Yet, there are other times when technical people don't understand the administrative problems involved, and for a short temporary period, they have to be willing to put up with some inconvenience. Their attitude is often colored by the fact that they are working 12-14 hours a day and consequently, they feel they should not be obliged to suffer these inconveniences and discomforts. To summarize, I think the administrative problems we encountered, while frustrating and harmful to a project's success, were typical of other large projects.
Interfacing of an oxidation model with the two-dimensional Moving Finite Element Model of dopant diffusion by Neill S. Cooper Numerical Analysis Report No. 6/88 July 1988 University of Reading Mathematics Department P O Box 220 Reading ABSTRACT The mathematical formulation of the extension of the Reading two-dimensional Moving Finite Element model of dopant diffusion in silicon to include oxidation is described. Non-dimensionalisation of the equations shows that the oxidation and silicon diffusion problems can be separated. Thus the only information about the oxidation required by the diffusion model is the location of the oxide boundary. This moving boundary effects both the location of the interfacial nodes and also the dopant concentrations there, and can lead to element folding. Results produced by the model when it is extended to include such a moving boundary are presented, illustrating both its potential and its limitations. 1. Introduction The dimensions of silicon integrated circuits are continually being reduced, with critical features now as small as one micron. This places stringent requirements on silicon processing techniques, such as ion implantation, oxidation, annealing, lithography and etching, so that transistor junctions are well defined and correctly located. Thus the task of developing a manufacturable, small-geometry silicon integrated circuit process is extremely complex and expensive. It is important, therefore, to reduce the number of experimental tests to a minimum by using predictive models of the main physical processes (Godfrey, 1986). To this end models have been developed in the Mathematics Department at the University of Reading over a number of years, using the Moving Finite Element (MFE) method devised by Miller and Miller (1981). This technique has the advantage over conventional fixed finite difference and finite element techniques of being able to concentrate nodes where they are required at any time, thus saving on computational time. In some regions of silicon semiconductor structures 1-dimensional modelling gives an accurate simulation of the dopant diffusion during thermal annealing (Ho et al., 1983). Such models have been developed using the MFE method (Baines et al., 1986) with subsequent adaptation to also include the effect of a moving oxide boundary (Moody and Please, 1987). This model is at present being extended to simulate multiple dopant diffusion (S. Chynoweth, private communication). The applicability of 1-dimensional models is, however, limited to planar regions and, as device dimensions are reduced, the need for 2-dimensional models increases. A 2-dimensional model of dopant diffusion has been developed (M. Baines, private communication), to be implemented within the Alvey 066 software. However the extant code only models ion implantation (using Gaussian and error functions) and dopant diffusion. The important process of thermal oxidation, with the resultant moving boundary and dopant segregation at the boundary, was not included. It is to the interfacing of an oxidation model with the diffusion model that this report is addressed. As with other numerical integration techniques, the extension of the 1-D MFE method to 2-D is not as simple as it would first appear. For as well as greatly increasing the number of elements and thus causing a reduction in resolution, there are other difficulties related to the method and also to the problem: (1) While in 1-D the local MFE method is equivalent to the global method, in 2-D this is not the case (Sweby, 1987). (2) While in 1-D element folding is a simple process (Moody and Please, 1987), in 2-D it can take many forms and it is difficult to include all possibilities in the model (see section 3.2). (3) The growth of the oxide is not purely in the vertical direction but also has a horizontal component. In section 2 the models used to simulate diffusion, oxidation and segregation are described. These are then non-dimensionalised which highlights negligible terms, resulting in a decoupling of the oxide diffusion problem from the silicon diffusion problem. Thus the silicon model only needs to know how the location of the oxide interface varies with time. In section 3 the technique to implement this knowledge is described, with the MFE model needing to calculate both the new nodal position and, more difficult, the new interfacial dopant concentration. The moving upper boundary also results in elements folding and the methods used to cope with this are also described in this section. Results of using this method are given in section 4. These results also highlight some shortcomings in the present model and suggestions for improving it are given in section 5. Details of the alteration to the numerical code are given in the Appendix, section 8. 2. The Mathematical Models 2.1 Diffusion in Silicon. The model used here of 2-D dopant diffusion in silicon is that developed at Reading University (M. Baines, personal communication). It is based on the dopant diffusion equation \[ \frac{\partial c_s}{\partial t} = \nabla \{D_s(c_s) \nabla c_s\} \] (2.1) where $c_s(x,y)$ is the total dopant concentration at the point $(x,y)$ in the silicon and $D_s(c_s)$ is the diffusion coefficient at concentration $c_s$. The diffusion coefficient also depends upon dopant species (arsenic, boron, phosphorus or antimony), temperature, clustering effects and whether oxidation is taking place or not (Godfrey, 1984). In the case of the diffusion of a single dopant species the effect of clustering (precipitation) can be simulated without considering the clustered dopant as a separate species. The technique for so doing is given by Baines et al. (1986). The existing 2-D MFE code simulated the implantation of dopant followed by its diffusion, obeying equation (2.1) with the boundary condition of zero gradient in the dopant concentration at the edges of the domain. This model has been used to successfully reproduce the first benchmark problem, posed by GEC within the ALVEY 066 program, and has been implemented within the ALVEY 066 software package 'TAPDANCE'. However the model has difficulty in simulating the second benchmark problem, in which the implantation has realistic range, standard deviation and straggle and therefore sharper concentration gradients and smaller radii of curvature. 2.2 Oxidation. Simulation of the oxide growth, and the diffusion of dopant within it, is a very complex problem (Chin et al., 1983) and will not be tackled here. Instead it is assumed that information about the oxide comes from one of two sources: An external oxide model (in the case of the ALVEY 066 software this will be provided by University College, Swansea) or else an analytical model. 2.2.1 The Analytical Model. The analytical model is that of Penumalli (1981), which is used by the TITAN process simulator (Girodolle and Martin, 1987). Penumalli's model is a two-dimensional extension of the classic Deal and Grove (1965) one-dimensional model used by Moody and Please (1987), with the lateral variation in oxide thickness being described by an error function. Figure 1 illustrates the model together with an explanation of the notation used here. ![Diagram](image) Figure 1 If the initial oxide thickness is $s_o$, then the oxide thickness at a large distance from the nitride (or polysilicon) mask at time $t$ is given by the Deal and Grove (1965) formula: $$\bar{s}(t) = \frac{1}{2} \left\{ \sqrt{A^2 + 4[\bar{s}_o^2 + A\bar{s}_o + Bt]} - A \right\}$$ (2.2) where $B$ and $B/A$ are the parabolic and linear temperature-dependant rate constants respectively. The general oxide thickness $d(x,t)$, at any location $x$ is then defined by $$\bar{d}(x,t) = \left\{ \frac{\bar{s}(t) - \bar{s}_o}{2} \right\} \left[ 1 + \text{erf} \left\{ \frac{2(x_0 - x)}{\alpha(\bar{s}(t) - \bar{s}_o)} \right\} \right] + \bar{s}_o$$ (2.3) where $\alpha$ is the lateral extension of the oxide (0.6 for a nitride mask, 2.0 for polysilicon). The location of the silicon-oxide boundary is defined by $$d(x,t) = \bar{d}(x,t)/\gamma$$ where $\gamma$ is the ratio of the silicon dioxide to silicon specific volumes ($\gamma = 2.27$). (Note that the y-axis is oriented downwards to be consistent with the 2D-MFE code). To include oxidation within the MFE environment we need to know not just the oxide interface at a given time but also its velocity, which thus defines the velocity of the boundary nodes. For the analytical formula of Penumalli (1981), this velocity is not uniquely defined. Thus we need to make an assumption about the direction of oxide encroachment into the silicon, and we will assume that it is normal to the silicon-oxide interface. Thus the velocity of the silicon-oxide interface, $ v(x,t) $, is defined as \[ v(x,t) = \frac{\partial d}{\partial t} \left\{ j + \left[ \frac{\partial d}{\partial x} \right] i \right\} / \left\{ 1 + \left[ \frac{\partial d}{\partial x} \right]^2 \right\} \] (2.4) where \[ \frac{\partial d}{\partial x} = -\frac{2}{\alpha \sqrt{\pi}} \exp(-\zeta^2) \] (2.5) \[ \frac{\partial d}{\partial t} = \frac{\dot{s}}{2} [1 + \text{erf}(\zeta)] - \frac{\dot{s}_x}{\sqrt{\pi}} \exp(-\zeta^2) \] (2.6) \[ \zeta = 2(x_o - x)/\{a(s(t)s_o)\} \quad \text{and} \quad s = \bar{s}/\gamma \quad (\text{as with } d), \] with $ i $ and $ j $ being the unit vectors in the $ x $ and $ y $ directions respectively. To model dopant diffusion within the oxide we assume that the motion due to oxide growth is purely vertical. With this assumption then $ c_o $, the dopant concentration within the oxide, obeys \[ \frac{\partial c_o}{\partial t} = D_o v^2 c_o + (\gamma - 1) \frac{\partial d(x,t)}{\partial t} \frac{\partial c_o}{\partial y} \] (2.7) where $ D_o $ is the diffusion coefficient within the oxide (assumed independant of concentration), and $ y $ is depth into the silicon, with the origin being the level prior to oxidation. In keeping with previous work, clustering effects in the oxide can be ignored as the dopant concentrations are low. ### 2.2.2 The Numerical Model. In this alternative to the Penumalli model, data for the moving silicon-oxide interface was supplied in numerical form from the Swansea Oxidation Model (J. Waddell et al., 1987). The data comprise time, node number, location. The interfacial velocities were calculated by numerical differentiation of this data, while the dopant concentration is not modelled (see section 2.4). 2.3 Boundary Conditions. Consistent with the previous silicon modelling work at Reading University using the MFE code, we assume no flux leakage at external boundaries, and thus $\frac{\partial c}{\partial n} = 0$, with $c$ being either $c_s$ or $c_o$ and $n$ being the normal to the boundary. Note that the domain used needs to be large enough for the oxide interface to be horizontal at the boundaries, otherwise the above boundary condition is not valid. The internal boundary between the silicon and oxide is assumed to obey a segregation law, and thus the concentrations in the silicon and oxide obey the equations: $$\left[ D_s (c_s) \nabla c_s + v(x,t)c_s \right] \cdot \hat{v} = -h \left[ c_o - \frac{c_s}{m} \right] \quad (2.8)$$ $$\left[ D_o \nabla c_o + \gamma v(x,t)c_o \right] \cdot \hat{v} = -h \left[ c_o - \frac{c_s}{m} \right] \quad (2.9)$$ where $h$ and $m$ are the boundary transport rate and the equilibrium segregation ratio respectively, while $\hat{v}$ is the unit vector in the $v$ direction. The initial dopant distribution in the silicon is assumed to be Gaussian with depth while having an error function dependence in the lateral direction. The values used here are: \| \| Value \| \|----------------\|----------------\| \| Range \| 0.25 $\mu m$ \| \| Standard Deviation \| 0.05 $\mu m$ \| \| Straggle \| 0.05 $\mu m$ \| While these are not physically realistic, they are the values which have consistently been used in developing the 2-D MFE model, and thus the behaviour of the base model is known and understood. 2.4 Non-dimensionalisation. In their study of 1-dimensional oxidation, Moody and Please (1987) found that by non-dimensionalising the model equations they could show that the diffusion of dopant in the oxide was negligible. The same method should lead to similar conclusions in 2-dimensions. However, the existing 2D MFE code does not use the same scalings, instead it uses the following normalisations: Concentration $ n_i $ (a function of temperature) Length $ L = 1\mu m $ Time $ t = L^2/D_i $ ($ D_i $ is a function of temperature). Using these values equations (2.1), (2.7) - (2.9) can be rewritten in normalised co-ordinates, in which the following transformations are made: \[ (c_s, c_o) = n_i(c_s, c_o) \] \[ (x, y, d) = L(X, Y, D) \] \[ (t) = \tau(T) \] \[ (v) = (L/\tau)(V) \] \[ \left[ D_s(c_s), D_o \right] = \left[ D_i D_s(c_s), D_i D_o \right]. \] The result of such substitutions is to leave the equation for diffusion in the silicon (2.1) unchanged, while the remaining equations become: \[ \frac{\partial c_0}{\partial t} = \delta_1 v^2 c_0 + (\gamma - 1) \frac{\partial D}{\partial T} \frac{\partial c_0}{\partial y} \] \[ \left[ D_s(c_s)v c_s + v c_s \right] \cdot \hat{v} = - \delta_3 \left[ c_0 - c_s/m \right] \] \[ \left[ \delta_1 v c_0 + \gamma v c_0 \right] \cdot \hat{v} = - \delta_3 \left[ c_0 - c_s/m \right] \] where \[ \delta_1 = \frac{D_0}{D_i} \quad \text{and} \quad \delta_3 = -\frac{Lh}{D_i}. \] Using typical values for $ D_0, D_i $ and $ h $ leads to the conclusion that some of the terms in these equations are negligible, because: \[ \delta_1 \ll 1 \quad \text{and} \quad \delta_3 \gg 1. \] In view of the smallness of $ \delta_1 $ (due to diffusion in the oxide being much slower than diffusion in the bulk silicon), the diffusion term in equation (2.10) can be neglected, leading to \[ \frac{\partial C_0}{\partial t} = (\gamma - 1) \frac{\partial D}{\partial r} \frac{\partial C_0}{\partial Y}. \] (2.13) This has reduced the order of the differential equation in the oxide layer from a second order diffusion equation to a first order advection equation. Thus the surface and edge boundary conditions in the oxide are no longer required. Similarly, due the diffusion term in equation (2.12) being negligible, this equation can be combined with (2.11), resulting in the elimination of the boundary transport rate: \[ \left[ D_S \nabla C_S + \nabla C_S \right] \cdot \hat{v} = \gamma \nabla C_0 \cdot \hat{v}. \] (2.14) In view of the large size of $ \delta_3 $ and the lack of any term on the LHS of equation (2.12) to balance the RHS then the coefficient of $ \delta_3 $ must be very small, leading to the equilibrium segregation condition \[ c_o = c_s / m \quad \text{on} \quad y = d(x, t). \] (2.15) Thus the interface boundary condition on the dopant concentration in the bulk silicon (equation 2.14) can be further simplified so that it does not depend on the dopant concentration in the oxide: \[ \left\{ D_S \nabla^2 C_S + V \left[ 1 - \frac{\gamma}{m} \right] C_S \right\} \cdot \hat{V} = 0 \] (2.16) which is identical to the form used by TITAN (Girodolle and Martin, 1987). As in the one-dimensional case of Moody and Please (1987), these simplifications have created a decoupling between the silicon and the oxide dopant diffusion problems. Thus, in the first order solution, the effect of the oxide boundary on the silicon diffusion problem is independent of the dopant concentration in the oxide, which in turn is directly proportional to the concentration at the silicon boundary. The dopant concentration within the oxide can be determined for any lateral section by direct calculation using the growth rate of the oxide and the temporal evolution of dopant concentration in the silicon at the interface. As well as using this normalisation, the model is also expressed in transformed co-ordinates in which the dependant variable is no longer concentration but $ \phi = c + \ln c $, a velocity potential associated with $ D(c) $, (Please and Sweby, 1986). For large $ c \phi $ behaves like $ c $ itself, while for small $ c \phi $ behaves like $ \ln c $ thus allowing better resolution of the wide range of concentrations simultaneously observed. This transformation leads to altered equations using \[ \delta \phi = \delta c * (c + 1) / c . \] (2.17) 3. Implementation. The method used here is to prescribe the interfacial nodal velocity from the oxidation model and then to find the new interfacial nodal concentration using equation (2.16), as in the TITAN process model (Gerodolle and Martin, 1987). This method could lead to slight errors in the oxide depth simulation as the velocity is continually changing and thus a correction to the interfacial node location should be made once the timestep has been calculated. However, with the small timesteps observed in the oxidation-diffusion model described here this error is negligible. While the calculation of the interfacial node velocity is elementary, this movement has three more complex effects. Firstly, the rate of change of the dopant concentration at the node is altered due to advection. Secondly, the rate of change of dopant concentration was calculated assuming its gradient was zero (normal to a boundary) or unconstrained. This choice needs to be extended to include the effect of a non-zero gradient at the moving boundary. Thirdly, and most problematic, the movement of nodes forced elements to fold. The first two of these points are dealt with in section 3.1 while the latter is considered in section 3.2. The effect of segregation on the interfacial dopant concentration is given by equation (2.16). There are two ways of including this in the model: (1) As a boundary condition, thus specifying concentration gradient at the interface (this was the method adopted by Moody and Please, 1987) (2) As a flux condition thus using conservation of total dopant amount, the method used by the process simulators SUPREM III (Ho et al., 1983) and TITAN (Girodolle and Martin, 1987). Each technique has been considered and they are described in more detail in section 3.3. 3.1 Interfacial nodal position. The velocities of interfacial nodes can be specified in the model by overwriting the values which would be predicted by the code. At the heart of the 2D-MFE method the following matrix equation is solved: \[ \begin{bmatrix} \sum A_j & -\sum A_j m_j & -\sum A_j n_j \\ -\sum A_j m_j & \sum A_j m^2_j & \sum A_j m_j n_j \\ -\sum A_j n_j & \sum A_j m_j n_j & \sum A_j n^2_j \end{bmatrix} \begin{bmatrix} \dot{a}_i \\ \dot{x}_i \\ \dot{y}_i \end{bmatrix} = \begin{bmatrix} \sum A_j w_j \\ -\sum A_j m_j w_j \\ -\sum A_j n_j w_j \end{bmatrix} \] where $ a_i $ is the concentration at node $ i $, which is located at $(x_i, y_i)$. $ m_j $ and $ n_j $ are the horizontal and vertical concentration gradients in element $ j $, $ A_j $ is the area of element $ j $, the summation is over elements $ j $ surrounding node $ i $ and $ w_j $ are more complex values (see Sweby, 1987, for more details). For interfacial nodes this matrix equation can be reduced to \[ \begin{bmatrix} \sum A_j & - \sum A_j m_j & - \sum A_j n_j \\ 0 & 1 & 0 \\ 0 & 0 & 1 \end{bmatrix} \begin{bmatrix} \dot{a}_i \\ \dot{x}_i \\ \dot{y}_i \end{bmatrix} = \begin{bmatrix} \sum A_j w_j \\ u \\ v \end{bmatrix} \] (3.2) where $(u, v)$ is the interfacial velocity (n.b. at the left and right edges of the interface $u = 0$). This formulation not only specifies the movement of node $i$ to be that of the interface at that location but also takes advection into account in calculating the rate of change of $a_i$. As well as these effects, the moving boundary also alters recovery, a technique which allows the second derivatives to be calculated from the nodal concentrations by fitting a pseudo-cubic to the concentration gradients (details are again given in Sweby, 1987). In the 2D-MFE code seven points are used in the recovery calculation for each element: the three nodes, the three mid-edge points and the centroid. In general the gradients at the nodes and mid-edge points are weighted means of the appropriate surrounding elements while at the centroid the value is based on the gradients in the element with added components from the other 6 points. (Experience with various weightings showed that the most robust was to use the length of the element transversal.) This method is adapted at the edges of the domain, for there the gradients are specified by the zero flux condition. Thus in the existing 2D-MFE code the values of the gradients are set to be zero normal to the boundary. In the case of oxidation, however, the zero flux boundary condition is replaced by equation (2.16). Thus the gradients calculated for the surface nodes and mid-points needed to be altered to take this into account while leaving the tangential gradients unchanged. When using the transformed variable $\phi$, equation 2.16 can be rewritten, using (2.17), as: $$\frac{\partial \phi}{\partial n} = - \|\underline{v}\| \left[1 - \frac{\gamma}{m}\right] (1 + C)/D(C)$$ (3.3) Letting $w_x$ and $w_y$ represent the gradients predicted by the recovery technique described above for a given surface node which has velocity $(u,v)$, then the adjusted gradients are $$w'_x = \frac{(w_x v_y - w_y v_x)v_y}{\|v\|^2} + \frac{\partial \phi}{\partial n} \frac{v_x}{\|v\|}$$ (3.4) $$w'_y = - \frac{(w_x v_y - w_y v_x)v_x}{\|v\|^2} + \frac{\partial \phi}{\partial n} \frac{v_y}{\|v\|}$$ (3.5) except at the left and right sides where $w'_x = 0$. Integration of the model gives the expected interface motion, as shown in figures 3 to 5. The upper surface of the domain is gradually forced down by the oxidation, with the depth being greater in this case on the left-hand side (where there is no nitride cap). However, the timestep in many cases tends to zero, halving on each successive timestep. This was traced to element folding, and comparison of figures 4a, 4b, 5a and 5b shows that an interfacial element has vanished, having been flattened by the oxidation progression of the interfacial nodes. In other runs where less, and therefore larger, elements were used (the parameter DG being set to 2), this problem does not occur. This is because the gradient in dopant concentration forces the sub-surface nodes deeper into the bulk silicon faster than the oxide intrudes into it. The logical method to overcome element folding is to allow elements to disappear. Thus the model was adapted to locate very small elements, eliminate them and alter the cross referencing in the node table. 3.2 Treatment of folding elements. The inclusion of a moving boundary greatly increases the probability of element folding, particularly at the surface. This has been shown to occur in most integrations of the combined oxidation-diffusion model. Elements can fold in many different ways, as is illustrated by figure 2, but normally resulting in the three nodes becoming co-linear. Figure 2 Examples of the various types of element folding. In type 1a and 1b folding elements the descending surface nodes overtake the internal node, while type 2 is subtly, but significantly, different in that there is only one surface node. Type 3 folding occurs in a surface edge element when the two edge nodes become coincident, and thus as well as eliminating the element a node needs to be removed as well. Type 4 is the generalized internal element folding. While only types 1 and 2 have so far been observed, the code has been altered to be able to handle all but the last situations, using the techniques now described. 3.2.1a Type 1a Element Folding. In this case the folding element needs to be removed from the cross-referencing tables and the previously internal node becomes a surface node. Thus in the subsequent integration this node moves at the interface velocity. If this type of element folding occurred repeatedly then the number of surface nodes would become very large. 3.2.1b Type 1b Element Folding. When the internal node is not between the interface nodes it does not asymptotically approach the surface. Thus in this case the element is not removed and no new interface node is created. Instead the method here is to find the neighbouring non-surface element and to swap the diagonal on the quadrilateral so produced, leaving the number of elements unchanged. This is equivalent to the method of Wathen (1984). 3.2.2 Type 2 Element Folding. This case is like type 1b, except there is only one surface node. A similar method to that just described can be followed, again using the neighbouring non-surface element and swapping the diagonal of the quadrilateral. 3.2.3 Type 3 Element Folding. In this case the two edge nodes have merged. The way to deal with this is to delete the upper node, along with the element, while the lower node is relabelled as a surface edge node, and thus subsequently moves with the interfacial vertical velocity (but is constrained not to move laterally). 3.2.4 Type 4 Element Folding. Type 4 element folding is similar to types 1b and 2, but no surface node is involved. Thus a similar method can be followed by determining the neighbouring element on the longest side and swapping the diagonal on the quadrilateral so produced. This technique will obviously fail if this element is also folding, but as this is both unlikely and complex it will not be considered here. After any of the calculations described above have been performed a complete recalculation of the element and node cross-referencing tables needs to be performed. The treatment described here is not exhaustive, for instance an internal element could fold in a similar way to type 3. However such events have not been observed, but if they did then a simple extension of the above process could be used to overcome the problem. 3.3 Interfacial dopant concentration. Due to the surface boundary condition not being one of zero flux, the dopant concentration at interface nodes needs to be altered from the value predicted by the 2D-MFE model. This change can be made using one of two methods: (a) Solving the boundary condition directly or (b) considering the boundary condition as a flux condition and thus calculating the flux of dopant into the surface elements. The first method is that used by Moody and Please (1987) on a 1-D MFE model while the latter is that used with a finite difference model by SUPREM III (Ho et al., 1983) and with a 'fixed' finite element scheme by TITAN (Girodolle and Martin, 1987). 3.3.1 Gradient Method. In this technique equation 3.3 is solved for the surface dopant concentration at each node and used to overwrite the predicted value from the 2D-MFE model. As the diffusion coefficient depends upon concentration, equation 3.3 is implicit and thus needs to be solved iteratively by a technique such as Newton-Raphson. The method of solution is first to locate which element is to be used. The required element is that which includes the normal to the surface at point I. It is located by going a short distance in the direction of $ y $ and then using the INSIDE function to locate which of the elements around node I this point is in. Next the gradients of $ \phi $ with respect to $ x $ and $ y $ are calculated, using the GRAD function (already in the code to calculate $ m_j $ and $ n_j $). Following the method of Moody and Please (1987), equation (3.3) can be rewritten in the form \[ F(\phi_I) \equiv D(c)\hat{v} \cdot \nabla \phi + \|\hat{v}\|(1 - \frac{\gamma}{m})c = 0. \] (3.6) As $ c $ depends on $ \phi_I $ this equation is implicit in $ \phi_I $, the dopant concentration at the surface. It is solved iteratively using the Newton Raphson method until \[ \|F(\phi_I)\| < \epsilon \] where $ \epsilon $ is a small number. However, while this method successfully converges, the resulting surface concentrations are much too high. The reason for this becomes clear when physical situation is considered in conjunction with the mesh. The effect of segregation only has a direct effect very near the surface, and there produces significant gradients of the size predicted by equation 3.6. However the mesh used is optimised to have high resolution where the initial second derivatives of the concentration were high. Resolution near the interface is therefore poor and using the gradient from equation 3.6 over the whole element results in gross distortions. For this reason this gradient technique was abandoned and the alternative flux method used instead. ### 3.3.2 Flux Method. Following TITAN (Girodolle and Martin, 1987), and many others, the diffusion equation can be split into a flux form: \[ \frac{\partial c}{\partial t} = - \nabla J, \quad J = -D\nabla C \] (3.7) In this notation, equation 3.3 can be rewritten as \[ J_n \equiv - D \frac{\partial c}{\partial n} = - \|v\|(1 - \frac{Y}{m})c \] (3.8) where $ J_n $ is the flux normal to the interface. This flux is used to calculate the increase in concentration at the surface due to segregation: \[ C_{\text{new}} = C + \text{FLUX} \ast (\text{LENGTH} / \text{AREA}) \ast DT \] (3.9) where LENGTH is half the sum of the lengths of the interface edges of the two surface nodes including the node under consideration, while AREA is a third the sum of the areas of all the elements about the node. The size of this increase in $ C $ was found to be normally less than that due to the advection of the node. The following is a list of the most common types of software that are used in the field of computer science: 1. Operating Systems: These are the programs that manage the hardware and software resources of a computer system. 2. Programming Languages: These are the languages used to write computer programs. 3. Database Management Systems: These are the programs that manage the storage, retrieval, and manipulation of data. 4. Web Development Tools: These are the tools used to create websites and web applications. 5. Graphics Software: These are the programs used to create and edit digital images. 6. Video Editing Software: These are the programs used to edit video footage. 7. Audio Editing Software: These are the programs used to edit audio recordings. 8. CAD (Computer-Aided Design) Software: These are the programs used to create technical drawings and designs. 9. Animation Software: These are the programs used to create animated graphics and videos. 10. Game Development Tools: These are the tools used to create video games. 11. Data Analysis Software: These are the programs used to analyze large amounts of data. 12. Project Management Software: These are the programs used to manage projects and tasks. 13. Collaboration Software: These are the programs used to collaborate with others on projects and tasks. 14. Security Software: These are the programs used to protect computers from viruses and other threats. 15. Virtual Reality Software: These are the programs used to create virtual environments. 4. Results. The combined oxidation-diffusion model, including element deletion and the surface flux calculation, has been used to simulate furnace anneals at $950^\circ C$. Three grids have been used with different resolutions, having initially 408,166 and 78 elements (by setting DG = 0.9, 1.4 and 2.0 respectively). Results for integrations are shown in the accompanying figures, with the equivalent integration with no oxidation given for comparison. In figure 3 results for DG = 2 are shown for a 2 hours anneal, while figure 4 shows the same simulation but with the increased resolution when DG = 1.4. Figure 5 shows the evolution of the model with high resolution (DG = 0.9) when simulating a 20 minute anneal. In the low resolution case it can be seen that the amount of diffusion is overestimated (compare figure 3c with figure 4c). This is not due to the large grid size introducing extra numerical diffusion, for as figure 3d shows this does not occur when oxidation is not included. However poor resolution of the silicon-oxide interface leads to excess silicon conversion to silicon dioxide and thus to a greater injection of dopant, by segregation, and thus increased diffusion. Note that in this case no elements are removed during the simulation because the subsurface nodes move away from the interface before being overtaken. When medium resolution is used (figure 4), a more realistic dopant distribution results, with the peak concentration and vertical diffusion being slightly greater than in the no oxidation case. In the horizontal the diffusion is noticeably enhanced, particularly near the interface, due to segregation increasing the amount of dopant present. in that area. During the integration a surface element has been eliminated due to its folding. This created an extra surface node and thus further improved the resolution of the interface profile. The elements in the region of the initial high concentration region have clustered together, due to the lowering interface, resulting in the timesteps remaining small and thus increasing the total number of timesteps, and the CPU requirement, by about a factor of 5 more than the no oxidation case. When the resolution is increased yet further, the oxidation-diffusion model has severe difficulties. For while at 1200 secs the simulation is both realistic and stable (see figure 5c) at 2000 secs it goes unstable and rapidly produces infinite dopant concentrations. The cause of this is unclear and requires further investigation. One possible cause is that the nodes near the left-hand edge have been observed to oscillate with a period of two timesteps, and this could lead to instabilities and also timesplitting, as is observed when the leapfrog scheme is used with finite differences. Figure 3. (a) Initial conditions for DG=2. Solid lines - elements, dashed lines - contours. Plots on rhs: top: lateral sections at y=0 (dashed) and y=.25 (solid), middle: vertical sections at x=-0.4 (solid) and x=0 (dashed), bottom 3-D visualisation. (b) After annealling for about 1 hour at 950 C. (c) After annealing for 2 hours. (d) As (c) but with no oxidation. Figure 4. (a) As 3(a) but with DG=1.4. (b) After 30mins anneal at 950 C. (c) After 2 hours anneal. (d) As (c) but with no oxidation. Figure 5. (a) As 3(a) but with DG=0.9 (b) After 5 mins anneal at 950 C. (c) After 20 mins anneal. (d) As (c) but with no oxidation. 5. Conclusions. The 2D MFE model of the diffusion of dopant in silicon has been extended to include the effect of oxidation. The code for this at present needs external data to describe the interface movement, but an analytical model has been presented which could alternatively be used. In either case, a scaling analysis of the relevant equations shows that dopant diffusion in the oxide is negligible compared to that in the bulk silicon, and this leads to the oxidation and diffusion problems being separable. Thus the diffusion model only needs to know the location of the oxide interface. The main alterations implemented relate to the calculation of the position and dopant concentration of the interface nodes. Prescribing the motion of surface nodes alters not just their location but also, by advection, their dopant concentration. The recovery functions used to calculate the rate of change of concentration at a given node needs to take into account the new interface boundary condition (equation 2.16). The effect of segregation of dopant from the oxide into the silicon needs to be included, and this is achieved by writing the interface condition in flux form (equations 3.7 and 3.8). Due to the moving oxide interface, the upper nodes are forced down, which tends to cause element folding. In all cases this can be overcome by applying the appropriate geometrical transformation to the element definition. The new model can provide reasonable simulation of the oxidation-diffusion process, as is shown by figure 4. However, the model still has various problems which need to be tackled. Primary among these is its failure to simulate anneals longer than 30 minutes. with the high resolution mesh. Another serious deficiency is the amount of computer time required for integrations. The small timesteps forced on the model are due to the excess number of nodes in the region below the fastest oxidation, creating small elements in a region of almost constant dopant concentration. There is a need for the model to automatically reduce the number of nodes in this area, thus allowing larger timesteps. The model is of suitable ability to now be included in the ALVEY 066 Software ('TAPDANCE'). This will require the appropriate input/output code written to interact with the overall package and also some cosmetic alterations to the code. 6. Acknowledgements. I wish to thank the members of the Numerical Analysis Group in the Department of Mathematics at the University of Reading. In particular, Mike Baines who arranged this project and guided me, and Simon Chynoweth, Neil Hall, Rob Moody and Pete Sweby who gave me much useful advice. This work was supported by the Alvey Directorate through the SERC. The following is a list of the most common types of software that are used in the field of computer science: 1. Operating Systems: These are the programs that control and manage the hardware and software resources of a computer system. 2. Programming Languages: These are the languages used to write computer programs. Some examples include Python, Java, C++, and JavaScript. 3. Database Management Systems: These are programs that allow users to store, retrieve, and manipulate data in a database. 4. Web Development Tools: These are programs that allow developers to create and maintain websites. Some examples include HTML, CSS, and JavaScript. 5. Software Development Tools: These are programs that help developers create and test software applications. Some examples include Git, Jenkins, and Eclipse. 6. Data Analysis Tools: These are programs that allow users to analyze and visualize data. Some examples include R, Python, and Tableau. 7. Cloud Computing Tools: These are programs that allow users to access and store data on remote servers. Some examples include Amazon Web Services (AWS), Microsoft Azure, and Google Cloud Platform. 8. Artificial Intelligence Tools: These are programs that allow computers to perform tasks that require human intelligence, such as recognizing speech or images. Some examples include TensorFlow, Keras, and PyTorch. 9. Machine Learning Tools: These are programs that allow computers to learn from data and make predictions based on that data. Some examples include scikit-learn, TensorFlow, and Keras. 10. Natural Language Processing Tools: These are programs that allow computers to understand and generate human language. Some examples include NLTK, spaCy, and Gensim. 7. References. BAINES M J, PLEASE C P and SWEBY P K, 1986, "Numerical Solution of Dopant Diffusion Equations" in "Simulation of Semiconductor Devices and Processes" vol 2, (Ed Board K and Owen D R J), Pineridge Press, Swansea pp271-286, 1986. CHIN D, OH S-Y and DUTTON R W, 1983, "A General Solution Method for Two-Dimensional Nonplanar Oxidation", IEEE Trans Electron Devices ED-30: 993-998. DEAL B E and GROVE A S, 1965, "General Relationship for the Thermal Oxidation of Silicon", J Appl Phys 36: 3770-3778. GERODOLLE A and MARTIN S, 1987, "TITAN 4, 2D Process Simulation, User Guide", CNET, Grenoble. GODFREY D J, 1984, "Improvements to the Suprem 2.5 Silicon Process Model", GEC J Res 2: 232-239. GODFREY D J, 1986, "Modelling Physical Processes in Silicon Integrated Circuit Fabrication", Phys. Technol. 17: 260-264. HO C P, PLUMMER J D, HANSEN S E and DUTTON R W, 1983, "VLSI Process Modelling - SUPREM III", IEE Trans Elect Devices, ED-30: 1438-1453. MILLER K and MILLER R N, 1981, "Moving Finite Elements, Part 1", SIAM J Num Anal 18: 1019-1032. MOODY R O and PLEASE C P, 1987, "A Numerical Simulation of One-Dimensional Dopant Diffusion in Oxidising Silicon", Numerical Analysis Report 3/87, Dept. of Mathematics, University of Reading. PENUMALLI B R, 1981, "Lateral Oxidation and redistribution of dopants" in Proc NASECODE Conf (Ed. J H H Miller). PLEASE C P and SWEBY P K, 1986, "A Transformation to Assist Numerical Solution of Diffusion Equations", Numerical Analysis Report 5/86, Dept. of Mathematics, University of Reading. SWEBY P K, 1987, "Some observations on the Moving Finite Element Method and its Implementation", Numerical Analysis report 13/87, Dept. of Mathematics, University of Reading. WATHEN A J, 1984, "Moving Finite Elements and Oil Reservoir Modelling", Reading University Ph. D. Thesis. Appendix - The Computer Code. A.1 Interfacial Node calculations. In the present implementation the oxide growth is simulated using data supplied by J. Waddell of University College, Swansea from their oxidation model, rather than using the Penumalli (1981) model given in equations (2.2) and (2.3). This data is read in by the new subroutine OXDATA (called by DATA), and stores oxidation boundary node data in OXX and OXY for times OXT, and velocities OXU and OXV are calculated. Units used are $ \mu m $ and seconds. The option of left side or right side oxidation are available, corresponding to a mask on the right or left respectively. The velocity of oxide growth at each interfacial node is calculated in subroutine TSTEP and stored in array BDC. Conversion to normalized units is performed simultaneously with the interpolation, by dividing by DI. Specification of interfacial boundary condition affects the calculation of the adjacent nodal dopant concentration as the constraints on gradient affects the recovery function. Thus the elements of the array NBC can now take one of 5 values, rather than the 3 previously allowed by MFE2D. These values are: 0 Totally free to move (Internal point) 1 Constrained to move on a boundary (Edge point) 2 Fixed, zero velocity (Corner point) 3 Constrained to move with oxide (Interfacial point) 4 As 3, but with no lateral motion (Interfacial corner) The new values of 3 and 4 are defined in XINDEX by adding 2 to any point with y co-ordinate less than 1.E-5. The difference between NBC = 3 and NBC = 4 is only used once, in the calculation of MTDW(2), which is 0 for NBC = 4 but given by the oxidation value if NBC = 3. The other main code changes are in loop 60 of TSTEP. Indeed this already had two existing errors: (a) The case of NBC(N1).EQ.1.AND.NBC(N2).EQ.2 was not considered. (b) The case of N1 and N2 being on different edges (corner element) was not considered and thus could result in nodes being fixed to move in the wrong direction. Thus an extra test is now included to check that (ABS(BDC(N1,1)-BDC(N2,1).LT.1.E-6) ie that N1 and N2 are on the same edge. Loop 60 was then extended to consider all the possible permutations of NBC(N1) and NBC(N2) and to then calculate the appropriate constraint on the gradient. (Note that this does not prescribe the nodal motion, but is only used to calculate the node value and position velocities. The motion for points with NBC > 0 is overwritten later in the subroutine by specifying MTDW and WTDW.) The subroutine OXCAL2 calculates the flux into surface node I due to segregation at the interface. The method of calculation is described in section 3.3. A.2 Node elimination. The subroutine GETDT has been altered so that the element which restricts the timestep is recorded. When element folding occurs it is the folding element which is thus recorded. If the area of the element drops below 1.E-6 then it is removed or rearranged, depending upon location, as explained in section 3.2. To determine which class of element (see section 3.2) is under consideration then the sum of NBC for its 3 edges is calculated. For type 1, NSUM = 6, for type 2 NSUM = 3 (or perhaps 4), for type 3 NSUM = 8 while for type 4 NSUM = 0 (but can be up to 4 if in a bottom corner). To distinguish between types 1a and 1b folding elements w need to determine whether the non-surface element is between the other two, or at one end. If it is between then the element is type 1a and the element is to removed, thus the element reference number needs to be reduced by 1 for all elements whose reference number was higher than the removed elements. Similarly NE is reduced by 1. However, if the non-surface element is not in the middle then the element is not to be removed. Instead the element neighbouring the longest edge of the folding element needs to be located, then the diagonal of the quadrilateral so produced can be swapped resulting in both elements having at least one surface node. Before assuming a type 2 element is being considered, a check that there is a surface node is made, for otherwise a type 4 mode has folded. Next the neighbouring element not including the surface node is found. This then allows the quadrilateral formed by these two elements to have its diagonal swapped, by changing the element nodes. For type 3 a node is removed as well as an element, thus N needs to be reduced by 1 as well as NE. All nodes and elements with reference numbers higher than those removed need to be reduced by 1. After any of these changes the cross reference table NND and NEIGHE need to be recalculated, and this is done using code copied from XINDEX. 2.2 Oxidation. Simulation of the oxide growth, and the diffusion of dopant within it, is a very complex problem (Chin et al., 1983) and will not be tackled here. Instead it is assumed that information about the oxide comes from one of two sources: An external oxide model (in the case of the ALVEY 066 software this will be provided by University College, Swansea) or else an analytical model. 2.2.1 The Analytical Model. The analytical model is that of Penumalli (1981), which is used by the TITAN process simulator (Girodolle and Martin, 1987). Penumalli's model is a two-dimensional extension of the classic Deal and Grove (1965) one-dimensional model used by Moody and Please (1987), with the lateral variation in oxide thickness being described by an error function. Figure 1 illustrates the model together with an explanation of the notation used here. Figure 1 The logical method to overcome element folding is to allow elements to disappear. Thus the model was adapted to locate very small elements, eliminate them and alter the cross referencing in the node table. 3.2 Treatment of folding elements. The inclusion of a moving boundary greatly increases the probability of element folding, particularly at the surface. This has been shown to occur in most integrations of the combined oxidation-diffusion model. Elements can fold in many different ways, as is illustrated by figure 2, but normally resulting in the three nodes becoming co-linear. Figure 2 Examples of the various types of element folding. Figure 3. (a) Initial conditions for DG=2. Solid lines - elements, dashed lines - contours. Plots on rhs: top: lateral sections at y=0 (dashed) and y=.25 (solid), middle: vertical sections at x=-0.4 (solid) and x=0 (dashed), bottom 3-D visualisation. (b) After annealing for about 1 hour at 950 C. (c) After annealing for 2 hours. (d) As (c) but with no oxidation. Figure 4. (a) As 3(a) but with DG=1.4. (b) After 30mins anneal at 950 C. (c) After 2 hours anneal. (d) As (c) but with no oxidation. Figure 5. (a) As 3(a) but with DG=0.9 (b) After 5 mins anneal at 950 C. (c) After 20 mins anneal. (d) As (c) but with no oxidation.
Health Disparities Health disparities have existed for quite some time and unfortunately still exist. While COVID-19 and vaccination rates have brought this topic to the forefront, the problem remains and will remain without intervention. There are factors that are common in communities that suffer from health disparities. These factors are most times related to social, economic, and geographical disadvantages. Many groups face any number of obstacles when it comes to their health. Those obstacles can be race, ethnicity, religion, socioeconomic status, sexual orientation, physical disability, or any characteristics that are often associated with exclusion, discrimination, or racism. When we examine racism more closely, the policies and practices that have been in place often determine who may or may not have access to quality healthcare. This lack of access puts many people, especially people of color, at a major disadvantage and can result in a higher risks of poor health outcomes for many preventable illnesses. What can we do to try to decrease health disparities across the board? We can start by offering support for issues such as a means of transportation, issues with childcare when seeking healthcare appointments and testing and allowances from employers for work absences without penalty to the employee. For example, a recent study showed that during the current pandemic, essential workers like those working in our grocery stores, had overall a lower income, higher contact with the public, no time off for appointments and other healthcare needs as well as higher rates of COVID-19 infections. A priority for employers, especially those that employ individuals who fall into the groups facing health disparities, should include prioritizing safety and testing as well as paid sick leave and time off without penalty for vaccinations or for those who test positive for COVID-19. The least served communities in the beginning of the pandemic showed that many had no transportation and were not granted any time off to care for themselves, family members and when available, to vaccination centers to get vaccinated against COVID-19. Our Health Care Quality Unit is always available for trainings for groups large and small. In addition to group trainings, we offer web trainings 24 hours a day/7 days per week. If you are interested in scheduling a training, or have any questions about web trainings, please contact Katie Freeman, R.N., Director, South Central PA Health Care Quality Unit at email@example.com or toll-free at 1-877-315-6855. For a list of our current web trainings please go to http://www.southcentralpahcqu.org/Trainings/trainings.htm. Systemic changes are paramount to lessen healthcare disparities with certain controls in place within our Electronic Medical Records/Electronic Health Records and Physician’s offices. Suggestions made by a recent study include alerts to missed appointments and post care procedures, an experienced nurse navigator who is trained in health disparities to help patients overcome their own personal obstacles to quality care, physicians who are cheerleaders and champions and not afraid to engage their own teams in feedback in completion of treatments as well as regular education and training for healthcare staff on the disparities that currently exist within their own communities. Closing the gap in health disparities is vital if we are to make a difference and cut back on excess premature deaths and offer our community members, across the board, the same opportunities for good, timely and quality healthcare for all. https://www.kff.org/racial-equity-and-health-policy/issue-brief/disparities-in-health-and-health-care-5-key-question-and-answers/ https://www.healthypeople.gov/2020/about/foundation-health-measures/Disparities https://ascopost.com/News/60073 https://www.rwif.org/en/library/research/2011/10/health-affairs-issue-examines-causes-and-consequences-of-health-.html OUT AND ABOUT FOR SPRING There is something special about spring! The weather is getting warmer, the days are getting longer, and nature is beginning to “spring” back to life. Both our physical and mental health can benefit from spending time outside, under the sun, and in the fresh air. Here are some simple ideas to help you get outside and take advantage of all the things spring has to offer: ♦ Eat a meal outside. ♦ Take a walk with a friend. You can make a fun activity out of your walk by stopping a few times and noticing 3 things you see or hear or smell. Then compare your list with your friends and see how many things you both noticed. ♦ Stop by a local farmer’s market. Many foods come into season in the spring and trying some, fresh from the market, can add something extra to your meals. ♦ Plant some flowers, a tree, or even a small garden. ♦ Make a bird feeder and find a place to hang it in your yard. Then you can watch to see how many different birds stop by for a meal. ♦ Check out a nature book from the library and see if you can find some of the items in the book around your own neighborhood. Remember to apply sunscreen and have fun! Arrhythmia comes in many forms—and AFib is the most common, serious type. In a healthy heart, an electrical signal at the top of the heart prompts it to contract, squeezing blood from the two upper chambers (the atria) into the two lower ones (the ventricles). As the signal travels down your heart, it then prompts the ventricles to contract, pushing blood to the rest of your body. Once empty, the ventricles relax until another signal starts the process again. This constant contracting and relaxing of your heart are your heartbeat, or heart rhythm. But what happens if the signal doesn’t travel through the heart in a steady, organized fashion? Then you have a heart rhythm problem—or an arrhythmia. There are several types, such as premature (extra) beats. This is most common type of arrhythmia, and it doesn’t usually pose a worrisome health risk. It typically feels like a skipped beat or a fluttering in the chest. But sometimes the signals go haywire, causing potentially serious problems. If left unchecked, atrial fibrillation (AFib) can lead to a stroke and even heart failure. Knowing more about the heart’s electrical system will help you understand the causes, symptoms, and risks of AFib, and how your healthcare provider might choose to treat it. THE HEART’S ELECTRICAL SYSTEM “The heart’s electrical system is a very organized, synchronous, very smart system,” says Guru Mohanty, MD, a cardiac electrophysiologist with Chippenham Hospital in Richmond, Virginia. “Think of it as a room with a switch that lights up the room.” The switch of the heart is a cluster of cells known as the sinoatrial (SA) node, he says. Normally the SA node sends one signal down throughout the heart. “With AFib, the system becomes disorganized and irregular,” Dr. Mohanty says. The signals come from somewhere other than the SA node. “It’s like there are hundreds of switches at the top flipping on and off and not talking to each other,” he says. “It gets a signal from one spot and beats, from another spot and beats. When all these signals come in, they make the heartbeat irregularly.” The net effect of this irregular heartbeat is that the atria don’t empty properly. The blood that remains pools in the upper chambers and becomes static, making it possible for blood clots to form. Clots in turn can break off and block blood flow to the brain, causing stroke. The risk of developing AFib increases with age, and it’s often found with other heart diseases. Some of the more common causes of AFib include chronic high blood pressure, heart attacks and heart failure, and it’s sometimes a complication of heart surgery. Other non-heart-related causes can include sleep apnea, emphysema and other lung diseases, and an overactive thyroid. A study of more than 14.3 million people published in January 2017 in the Journal of the American College of Cardiology found that people who abused alcohol were at more than double the risk of AFib as people who didn’t. Sometimes AFib has no symptoms, and sometimes symptoms can be mild or severe. Mild symptoms can include mild chest discomfort, heart palpitations or a rapid heartbeat, lightheadedness, and mild shortness of breath. Chest discomfort and shortness of breath can also be more severe, and people with AFib can faint or feel confused due to reduced blood flow to the brain. Mohanty says that the electrocardiogram, or EKG, is the tool that doctors use to diagnose AFib. The EKG reads the electrical signals the heart puts out and can tell the speed, rhythm, and strength of the signals. Knowing when AFib started can be important. Healthcare providers can shock the heart back to its normal rhythm with a process known as electrical cardioversion. If you know AFib started within the last 48 hours, it’s safer to assume there are no blood clots in the area, which could be dislodged with cardioversion. Drugs known as anti-arrhythmics can also get the heart back to a normal rhythm, says Mohanty. Healthcare providers often prescribe blood thinners to prevent stroke when they discover AFib. A minimally invasive surgical process called catheter ablation, which burns or freezes certain heart cells to stop the abnormal rhythm, can also help, according to Mohanty. “Unfortunately, none of these treatments are cures,” says Mohanty. “But they can be highly effective and can suppress the atrial fibrillation for a long time.” Mohanty also points out that although a healthy diet and exercise don’t impact AFib specifically, both are important for overall heart health and to reduce the risk of some possible causes of afib. “Exercising regularly, not smoking and eating well are all important for cardiovascular health and wellbeing,” he says. Article by Sharecare [https://www.sharecare.com/heart-health/need-to-know-about-atrial-fibrillation](https://www.sharecare.com/heart-health/need-to-know-about-atrial-fibrillation) The next time you go grocery shopping, read the nutrition labels on the items in your cart to see which ones have the most added sugars. You may be surprised to see that the beverages have more added sugars than the food. Sugary drinks are the leading source of added sugars in the American diet. These sweetened liquids include regular soda, fruit drinks, sports drinks, energy drinks, and sweetened waters. The flavored coffees we grab on the way to work and the sweetened tea we make at home also count as sugary drinks. \| Drink (12-ounce serving) \| Teaspoons of Sugar \| Calories \| \|--------------------------\|-------------------\|---------\| \| Tap or Unsweetened Bottled Water \| 0 teaspoons \| 0 \| \| Unsweetened Tea \| 0 teaspoons \| 0 \| \| Sports Drinks \| 2 teaspoons \| 75 \| \| Lemonade \| 6 ¼ teaspoons \| 105 \| \| Sweet Tea \| 8 ½ teaspoons \| 120 \| \| Cola \| 10 ¼ teaspoons \| 150 \| \| Fruit Punch \| 11 ½ teaspoons \| 195 \| \| Root Beer \| 11 ½ teaspoons \| 170 \| \| Orange Soda \| 13 teaspoons \| 210 \| Adapted from We Can! WHY SHOULD I BE CONCERNED ABOUT SUGARY DRINKS? People who often drink sugary drinks are more likely to face health problems, such as weight gain, obesity, type 2 diabetes, heart disease, kidney diseases, non-alcoholic liver disease, cavities, and gout, a type of arthritis. TRICKS TO RETHINK YOUR DRINK - Choose water (tap or unsweetened, bottled, or sparkling) over sugary drinks. - Need more flavor? Add berries or slices of lime, lemon, or cucumber to water. - Missing fizzy drinks? Add a splash of 100% juice to plain sparkling water for a refreshing, low-calorie drink. - Need help breaking the habit? Don’t stock up on sugary drinks. Instead, keep a jug or bottles of cold water in the fridge. TRICKS TO RETHINK YOUR DRINK (CONTINUED) ♦ Water just won’t do? Reach for drinks that contain important nutrients such as low fat or fat free milk; unsweetened, fortified milk alternatives; or 100% fruit or vegetable juice first. ♦ At the coffee shop? Skip the flavored syrups or whipped cream. Ask for a drink with low fat or fat free milk, an unsweetened milk alternative such as soy or almond, or get back to basics with black coffee. ♦ At the store? Read the Nutrition Facts label to choose drinks that are low in calories, added sugars, and saturated fat. ♦ On the go? Carry a reusable water bottle with you and refill it throughout the day. ♦ Still thirsty? Learn how to drink more water. Remember that you can be a role model for your friends and family by choosing water and other healthy, low-calorie beverages. Article by the CDC: https://www.cdc.gov/healthyweight/healthy_eating/drinks.htm “SUGAR” BY ANY OTHER NAME: HOW TO TELL WHETHER YOUR DRINK IS SWEETENED If these appear in the ingredients list of your favorite beverage, you are drinking a sugar-sweetened beverage: ♦ High-fructose corn syrup ♦ Fructose ♦ Fruit juice concentrates ♦ Honey ♦ Sugar ♦ Syrup ♦ Corn syrup ♦ Sucrose ♦ Dextrose EASY APRICOT CHICKEN INGREDIENTS ♦ 3 chicken breasts (boneless, skinless) ♦ 1 cup apricot preserves ♦ 1 cup Catalina salad dressing (or Russian dressing) ♦ 2 tablespoons Dijon mustard ♦ 2 ounces dried onion soup mix INSTRUCTIONS Cut chicken breasts in half or into serving-sized portions. In a medium-sized bowl, combine apricot preserves, Catalina dressing, onion soup mix, and Dijon mustard. Mix well. BAKED INSTRUCTIONS: Preheat oven to 375-degrees. Place chicken in a greased 9×13 baking dish. Pour apricot mixture evenly over chicken and bake 40-45 minutes or until chicken is cooked through. SLOW COOKER INSTRUCTIONS: Place chicken in slow cooker. Pour apricot mixture over chicken and cook on high for 2-3 hours or on low heat for 4-6 hours. Serve as whole pieces or shred. PRESSURE COOKER (INSTANT POT) INSTRUCTIONS: Put 1/3 c. water in the Instant Pot. Place chicken in the water and then pour the apricot mixture over the top. Place lid (make sure release tab is set to “sealing”) and cook on high pressure for 10 minutes and allow to natural release for additional 5 minutes. PINEAPPLE ANGEL FOOD CAKE INGREDIENTS ♦ 1 (16-oz) package angel food cake mix ♦ 1 (20-oz) can crushed pineapple (do not drain juice) ♦ 1 (12-oz) container frozen whipped cream, thawed INSTRUCTIONS ♦ Preheat the oven to 350 degrees Fahrenheit. Grease the bottom of a 9×13-inch pan with oil spray. Do not grease the sides. ♦ In a large bowl, add cake mix and canned pineapple, juice included. Stir them together until well-combined. ♦ Pour the batter into the pan and bake for 25 minutes or until the cake is golden brown. The cake should spring back when pressed. ♦ With the cake still inside, flip the pan over. Let it cool completely before serving, about 45 to 60 minutes. ♦ Run the sides of the cake with a knife or off-set spatula to release it. Remove the cake from the pan. ♦ Slice and serve with whipped cream. Enjoy! SPARKLING COCONUT GRAPE JUICE INGREDIENTS ♦ 4 cups white grape juice ♦ 2 teaspoons lime juice ♦ 2 cups coconut-flavored sparkling water, chilled INSTRUCTIONS In a pitcher, mix the grape juice and lime juice together. Fill 6 glasses with ice and pour juice mixture evenly into each glass. Top each glass with the sparkling water and stir to combine. Ideas for Our Newsletter? Contact: Katie Freeman, R.N Director, South Central PA Health Care Quality Unit Toll-free at 1-877-315-6855 or firstname.lastname@example.org.
Grades: An unnecessary pressure by Ron Regalia New Haven, Conn. Grades. Just thinking of them is enough to make the average student quiver with fear and anxiety. We strive to keep them up in a physical strain which is almost unbearable, or at least impossible to cope with. Students have been forced to work for them. Friendships have been shattered, college careers ended and budding talents stifled because of them. Many students have traded their body and soul for grades. Some completely unable to stand the pressure have dropped out and even cast away their lives after getting a "C" or "D." Many medical students, particularly, live in a world where high grades are the sole purpose for existence. It is a letter printed on a piece of paper that determines our future. The contradiction is that grades are important, but the pressure to get them is not. Students have chosen to avoid the upward struggle and instead opt for a C-achiever. Most of us slide through college with average academic performance, never having to put the extra effort required to get an "A" or "B." A few of these students are apparently content with a "C" or lower average. Why, in a system which places so much emphasis on the grade, do so few students achieve academic excellence? An important consideration is economic. In order to attend college, students must work to finance their education. This means that many of the circumstances surrounding the "C" range are not as favorable as those in the "A" and "B" range. Students in the "A" and "B" range are faced with different kinds of pressures. The first is that of maintaining a high level of achievement. The second is that of experiencing the pressure of competition. The third is that of being able to afford the cost of attending college. If the high achiever has been so far ahead of the pack for any period of time he has been able to maintain his position, he will be able to cope with the upper-level student. Thus, the "A" student will be able to handle the pressure of competition without difficulty. Obviously, a student who drops below the "C" range will find it difficult to continue in school. This student is confronted with problems such as dropping out, losing academic credit and possible expulsion. More importantly, this level involves a great deal of emotional stress. If a young employee or graduate school student is unable to maintain his average, he may be forced to drop out of school. The "C" student will be able to cope with the pressure of competition without difficulty. This student is confronted with problems such as dropping out, losing academic credit and possible expulsion. Experience is a less-objective-and-less-reliable-measure criterion and has little relevance in the course of work. A student who enters the job market, however, will find real life very different from the college experience. He will be confronted with people strictly on the basis of grades. He will be judged on his practical experience above all else. A "C" student will find that he will have to be led around by the hand. A student with only a high grade point average (GPA) will probably be brushed off in the job market. On the other hand, a student with a low GPA and no practical experience will be given a second chance. The struggle for high grades leads to a lack of experience. Experience takes time and most students who choose to acquire it do so either during the summer or plan on an extended college vacation. More departments are requiring or offering paid internships. These programs provide practical experience while allowing students to study simultaneously without the pressure of grades. Editor: After you become bored with that, and you want some real action, go down to the Student Union and watch the students at work on the Student Union's luxurious bowling lanes. If you want to actively participate in a fast-paced game and can't find some pool hacker whose ping pong skills are infinitely superior to yours, you can always try a game of ping pong. After you've had your opus, you can experience the thrill of bowling at the Student Union. Yes, the Student Union even has its own bowling alley, with cocktails, of course. While bowling, you may feel you are not doing too well. But just think about holding a 220 average grade in your classes. You can also improve your bowling skills by watching the pros bowl. You can also improve your own prowess and emotionally crawl into the gutter. When stinking away from the bowling lanes, you notice the occasional pinsetter. With obsequious bowing, you can view the eyes of pinball enthusiasts light up as they jump in quarter after quarter of new fangled U.S. currency. You decide to join in on the fun. You're in the green room, though, and you rarely win. You're not in one of those crazy games, so you feel it is best to leave before you use up your last quarter. You may decide to relax and watch the pinsetters, who are either television (or foosball) - as it is called here in the States. But upon entering the crowded Student Union, you may become severely disappointed that you just missed the "Happy Days" episode of Happy Family, which had a 45-weight-quart of oil. You decide to take off your exhilarating day at the Student Union and step outside into the fresh mountain air and water curiously to see the worn-out pinsetters in their rhetoric coming from some equally worn-out comment, such as "I'm the name you keep forgetting purposes." Ah, such is a day at the "student country club." What do you think? Question: Would you join a pyramid? (asked Wednesday at the Student Union) Yes. I think the chances of losing are a lot greater than winning. It's also stupid now. The publicity was good a couple of weeks ago, but it's been getting pretty bad lately. I know it's not going to work, but I don't think it's a sure thing anymore. Ken Beisner Meteorology, junior Yes. If I had the money, I would. I only put $200 in the pyramid. My brothers are in it. They went in with $100 and have gotten their money back. I think it's a scam. I know it's illegal. If someone is stupid enough to do it, it's their problem. Tim Bolger Music, senior No. I think it's too expensive for one thing. There has to be at least 8 losers for every winner. With my luck, I would be one of the losers. I wouldn't have much money. If I had the money, I might get in, but right now I wouldn't waste my money. Renee Moss Pre Med, sophomore Paradoxical A comment in passing on your editorial cartoon on page 2, May 8. You should note that generally, the press, TV, radio, are government operated agencies, while telephone and cable TV are privately owned and controlled through public service commissions. It seems paradoxical to blame "monopolistic powers" for rate increases when the government is the government's role in them. The policy of the Spartan Daily is to publish letters and material submitted from individuals or organizations. Letters to the Spartan Daily staff is as follows: - Letters should be submitted at the Daily office (AC 306) between 9 a.m. and 4 p.m., Monday or Tuesday, or to the Forum Page, c/o the Spartan Daily, 1000 W. 3rd St., San Jose, Calif. 95112. - All letters must include the writer's signature, major, class standing, address and telephone number. Only the name, major and class standing are necessary. - The Spartan Daily reserves the right to edit or shorten letters on a given topic after a sufficient amount of comment has appeared. Forum: - The intent of the Spartan Daily Forum is to present a variety of viewpoints on issues affecting the university community. Daily Policy The policy of the Spartan Daily is to publish letters and material submitted from individuals or organizations. Letters to the Spartan Daily staff is as follows: - Letters should be submitted at the Daily office (AC 306) between 9 a.m. and 4 p.m., Monday or Tuesday, or to the Forum Page, c/o the Spartan Daily, 1000 W. 3rd St., San Jose, Calif. 95112. - All letters must include the writer's signature, major, class standing, address and telephone number. Only the name, major and class standing are necessary. - The Spartan Daily reserves the right to edit or shorten letters on a given topic after a sufficient amount of comment has appeared. Forum: - The intent of the Spartan Daily Forum is to present a variety of viewpoints on issues affecting the university community. WWII spawns spirit for country, campus By late 1943, there were six San Jose State women to every one man. Left, students cook hotdogs during the Senior Sneak. Perhaps not all those young men envisioned the combat situation as quite the "great experience" that MacQuarrie saw. In the final days in the organization, the Spartan Daily reported that Happy, one of the 96 boys left on campus, wrote: "No man can say that this bloody mess is democracy, but every man should say and demand that this bloody mess be made into democracy and segregation be made to stick." The next day, the school had its playing of the resisters, wearing the one suit of civilian clothes they owned, formed ranks and marched off their air-drawn San Jose State College campus. Some of those who marched to war during those years perhaps thought it was a great experience. Perhaps this thought lingered in the minds of those who returned from the war to find their jobs gone. An editorial that appeared a few days later in the Spartan Daily said, "We have been told that we must be prepared to defend our country. We have been told that we were doomed much as we would a coat when we kissed the boys goodbye so long ago." In order to assist those doing the fighting, the home-front war effort was born. "We were trained. People threw themselves into 100 percent," Bransaid said. "They were trained on everything they could give service men," she said. "We really felt this was part of the war effort." Female students served soldiers coffee and doughnuts at the mess halls, and some even went overseas. SJSU women sometimes boarded special buses and rode out to Moffett Field for dances with Navy pilots and other military personnel, Bransaid said. "There was a real camaraderie among the people," Bransaid said. President MacQuarrie believed "social life should be just as important as academic life." He instituted carnival-style activities and a dinner-time "bean feed" and encouraged students to participate. Every year students also wrote, produced and performed a musical variety show called "Spartan Revue." At that time, most students either lived at home or in one of the wooden barracks-like dormitory houses that surrounded the campus for blocks on all sides. The dorms were heated by wood stoves and cost $8 to $9 a month. All female students were required to live in housing approved by the dean of women, where strict rules included curfews and no alcohol allowed. But this world, like the war itself, was destined to end. In 1946, after more than three years of shortages, rationing and ration cards, the war was over. Men coming home from the military and day-in, day-out reminders of the war were everywhere. People were sick and tired of "their boys" killed in the war. When the end came, the country rejoiced. "People were cheering and screaming all over the place," Mangney said. In the months that followed, students poured back into the classrooms, changing both. Today, the two huge service flags that once hung in Main Hall are still there, faded and tattered. Little else from the war-time world of San Jose State remains. Technical classes allowed women for the first time The biggest social event of the year, however, was Spartan Day, which was held on the last Saturday of October and took part in a day of fun that began with a 6 a.m. breakfast and ended with an evening of carnival-style activities and a dinner-time "bean feed" and encouraged students to participate. Every year students also wrote, produced and performed a musical variety show called "Spartan Revue." At that time, most students either lived at home or in one of the wooden barracks-like dormitory houses that surrounded the campus for blocks on all sides. The dorms were heated by wood stoves and cost $8 to $9 a month. All female students were required to live in housing approved by the dean of women, where strict rules included curfews and no alcohol allowed. But this world, like the war itself, was destined to end. In 1946, after more than three years of shortages, rationing and ration cards, the war was over. Men coming home from the military and day-in, day-out reminders of the war were everywhere. People were sick and tired of "their boys" killed in the war. When the end came, the country rejoiced. "People were cheering and screaming all over the place," Mangney said. In the months that followed, students poured back into the classrooms, changing both. Today, the two huge service flags that once hung in Main Hall are still there, faded and tattered. Little else from the war-time world of San Jose State remains. GIG productions are not just "kids' stuff" by Ron Magnus They have performed off-Broadway in New York City and won a national playwriting award. Many former members are working professionally in theater and film. Their company's music director, Allen Strange, has received a Pulitzer Prize nomination for his electronic composition, "The Second Book Of Songs." In more than 25 years at SJSU, the G.I. Illusivanting Group (GIG), has performed children's theater at elementary schools throughout the Bay Area. The group, which has grown from a handful of students to nearly 40,000 children since its inception in January 1965, has student serving in the military was represented by the star. If the person were killed, the blue star was replaced with a gold star. The SJSU familiar to these war-time students is unknown to the students of today. "Everyone knew everyone's body, and everybody knew the faculty," Montgomery recalled. "There was a real camaraderie among the people," Bransaid said. President MacQuarrie believed "social life should be just as important as academic life." He instituted carnival-style activities and a dinner-time "bean feed" and encouraged students to participate. Every year students also wrote, produced and performed a musical variety show called "Spartan Revue." At that time, most students either lived at home or in one of the wooden barracks-like dormitory houses that surrounded the campus for blocks on all sides. The dorms were heated by wood stoves and cost $8 to $9 a month. All female students were required to live in housing approved by the dean of women, where strict rules included curfews and no alcohol allowed. But this world, like the war itself, was destined to end. In 1946, after more than three years of shortages, rationing and ration cards, the war was over. Men coming home from the military and day-in, day-out reminders of the war were everywhere. People were sick and tired of "their boys" killed in the war. When the end came, the country rejoiced. "People were cheering and screaming all over the place," Mangney said. In the months that followed, students poured back into the classrooms, changing both. Today, the two huge service flags that once hung in Main Hall are still there, faded and tattered. Little else from the war-time world of San Jose State remains. Theater was a big deal in the last office, he added. "If you don't bring it in, you don't get it out," he said, adding that it's best not to become a junkie on A.S. money or outside support. "The money is there, but you have to figure out how to determine when you don't have to justify what you do for an organization." Jenkins' support from the Theatre Arts Department has been "marvelous," Jenkins said. "Jack and I have never had an excuse to require the use of department facilities. "There are no problems and problems," Jenkins said, adding that one or two people in the department don't support GIG. He believes these problems will be resolved soon. Theatre Arts Department Chairman Hal Todd said the GIG children's theater is an important part of the school. "The theatre reaches out to a diverse audience, part adult and part children, and provides excellent performance opportunities for students," he added. Current GIG enrollment is 22 students, but the "basic core membership" is 10 to 12 students, Jenkins said. Since the group's founding, 40 to 50 students have been involved. On graduation, many go on to work with professional and semi-professional theater companies through GIG, Jenkins added. Famous alumni include actors who have worked with companies as the Yellow Brick Road Shows in Orange County, The Barn in Michigan, the Old Globe Theatre in San Diego and the Los Angeles Playhouse. Current members Jerry Enright and Joy Moffett-Enright, both graduating seniors, will be performing in the summer stock theater in Duncan, Colo., this summer. Assistant GIG director and theater arts instructor David Hechter, who will be attending the summer stock theater in fall, is a member of Boulder Means Theatrical Company and will perform at The Barn this summer. Some of the group's members are interested in working with children, including therapy and teaching, Jenkins said. The GIG production of "The American Chalk Circle," to be repeated continuously for credit. Theater major Art Ward, GIG's senior member, has been with the company since "Cabaret." The group is open to all students, Jenkins said. Freshman Daniel Tausor's lead role in "Jack and the Beanstalk" is his first performance at SJSU. GIG is an opportunity for "raw, untrained people to get theatrical experience," Jenkins said, adding that there is only one area of involvement. Senior Richard Strangis, who plays the lead role in "Jack and the Beanstalk," said, "I'm learning a lot about acting." GIG performs an annual playwriting contest for Santa Clara County school children. Each summer, the group stages several plays written by local students. The GIG class meets three days, with seven hours a week in rehearsal. GIG, however, will not perform next fall and will begin production again in spring, Jenkins said. "This will be the first break I've had since I've been here," he said. He added that Strangis, with whom he has worked since 1978, will be on sabbatical next fall. Alumni game key to QB battle by Jon Bloom The past month and a half has been a time of decision making for SJSU football coach Jack Elway. First, he had to decide how to strengthen the Eagle defense to help shore up a defensive line vulnerable to the running game. Then, he had to generate talent in a wide spectrum of running backs in an effort to find a replacement for starter Thomas. Now the real fun begins. Elway will find himself at the end of Spring camp with Saturday's Alumni Game as a way to determine which quarterback is at home. The Eagles thus has a handful of candidates to choose from to replace the graduating Ed Luther, including returning veterans Steve Clarkson and Scott Ruiz, but despite more than three weeks of drills and scrimmages, Elway still hasn't made up his mind. "We're still trying to get this process sorted out," Elway said. "They've all had playing time and all have thrown the ball well." "We just have to see..." The Alumni game will play a large determining factor in the quarterback derby as Clarkson, Luther and Ruiz will all be given plenty of playing time to help persuade Elway that they can run the SJSU pass-oriented offense. While Elway has not made a definitive statement regarding the helm of the Spartan offense, SJSU's second-year coach appears to be leaning toward last year's backup, Clarkson. Elway has mentioned on more than one occasion that he likes the idea of having a veteran experience quarterback, and that the 6-2, 200-pound Louisiana native, "has a feel for the offense." Clarkson's 1987 completion average for this spring offers strong support for Elway's claim but the sophomore refuses to become too complacent. "We're still in the same place to go and I'm really not sure who will be starting after it's all over," Clarkson said. "I feel I'm ready to start, but I don't know if I am still ready." Clarkson really didn't have the time to see all that much on-the-field action when Luther did everything and most of the work for the Spartans' passing game, throwing four completions in six attempts for 46 total yards. "I don't think I could ever compare myself to Luther," he said. "I don't think I could ever compare myself to him if he could compare to the man recently drafted by the NFL San Diego Chargers." He has more ability and better mechanics than I do," he added. "But I do have confidence has always been there." Coming off his first season as a sophomore, after redshirting one season, Clarkson feels that this has to be his year. "I'm going to make it happen." Sharing the same sentiments is Ruiz, who, ironically, was supposed to be last year's backup to Luther before he broke his thumb in the final game of the season. "We're both young and inexperience will be the biggest factor," Ruiz said before practice yesterday. "But I'm going to make it happen." Ruiz also had a shot at the starting job, as his 61 percent completion rate averages indicates and the 1987 sophomore isn't about to roll over and die. "I'm going to make it happen. I'm going to be here if I didn't," Ruiz said. "I've waited a long time and if I don't stay here, I'll still going to work hard and before I leave this school I'll be here." And before the spring is over Jack Elway will, it is hoped, have a decision to make. --- Golfers seek PCAA title at Pacific by Catherine Cassidy The SJSU men's golf team will swing into action for the first time this season, when it tees off in the PCAA golf championships today in Stockton. In a season where the Spartan squad is one of the three main contenders in the tournament, along with host University of the Pacific and PCAA golf power Fresno State. Pacific's winning potential lies in top player Jim Rowan. Besides acting as PacWest No. 1 this season, Rowan was a co-winner of NCRA North last year. Also strong for the Tigers are Jim Evans, Brian Pini and Scott Wootton. The Tigers, currently ranked in the top 35 in the nation, proved themselves as tough competitors this winter, finishing fourth in the NCAA Intercollegiate Championships last month, just one stroke behind tournament winner and eventual NCAA champion UCLA, for a third in the event. Fresno State will also be rivaling the Spartans for the league crown, as the Bulldogs have bested the Spartans in earlier competition this season, including placing ahead of SJSU in the Fresno State Golf Classic in March. But the Spartans have a few merits of their own. Mike Bannister, who has been a mainstay for the Spartans since the Sun Devil/Phoenix Thunderbird Classic in Arizona, should be a strong contender in the Pacific contest, along with Alan Swartz, Greg Galloway and freshman Jeff Lange. --- Lady netters finale A season of frustration for the SJSU women's tennis team ends this weekend with the NorCal conference championships, which begin today at Santa Clara University. The Lady Spartans closed out the season with a 3-6 overall record, including a 1-4 mark in conference play. "This was just one of those years," sighed Lady Spartan head coach Steve Sinclair. "We knew there's always next year." California and California look to dominate the conference championships, which conclude Sunday. Considering the Lady Spartans have lost 94 matches to the Golden Bears and Golden Bears, they don't seem to be a factor. "We'll just have to hope for the best," Sinclair said. --- Steve Clarkson By John Levy --- The Alumni team will showcase many of the former members of the San Jose State University football team. The 1987 SJSU quarterback Steve Clarkson along with wide receiver Kris Davis, defensive back Steve Weisler, offensive linemen Gary Martin, Eric Hart and Steve Hinds. Tickets are available for $5 at the door or ticket office. Fans warned on parking by Brian Wirth Those parking in designated Spartan City parking spaces from 10 p.m. to 6 a.m. will be towed away, according to University Police supervisor Ed Nemesi. That means no more parking to Spartan City residents without visible parking permits. "We have received numerous complaints from Spartan City residents about people attending San Francisco Earthquake games and parties in their designated parking spaces," Nemesi said. "The residents are really upset that people are parking in their spots." Nemesi said that he has been told by some city residents don't have their parking permits on their cars, even if they are parked in the right spots, so they'll have them towed away with everyone else. This Saturday evening, the Earthquakes will play the New England Tea Men, and are expecting about 18,000 people to view the game. Nemesi and University Police will be in attendance at the game and will cite anyone in the Spartan City parking spaces who have no parking permit. The citation would cost five dollars and "the car will be towed away," Nemesi said. "We have a list of people we have cited." Nemesi said that towing away of cars at the Earthquake game will be handled by Schaller Towing, located at 24th and Julian streets. The towed cars would be left in storage until at least 10 a.m. Sunday. The cost to recover a towed car would be $30 at the owner's expense. "Earthquake soccer fans can consistently ignored the parking rules and at times have been cited for parking violations," Nemesi said. "We are attempting to insure resident of Spartan City an adequate number of spaces to park their cars in," he said. "But they won't park there this weekend." --- Students perform Sunday Nine student soloists will perform Sunday May 17 when the SJSU Symphony Orchestra performs in the concert hall, Music Building 176, at 3:30 p.m. The 60-member orchestra is conducted by Royce Johnson, assistant SJSU music professor and director of the San Jose State Symphony. Admission is free. The concert will open with Schumann's "Carnival" and conclude with six pieces featuring the musicians. Timothy Benwick, a senior music major, will play Vitali's "Ciaccona" for Violin Solo. Senior Julie Johnsen will be the soloist in Mozart's "Flute Concerto in B-flat." Schumann's "Konzertino for Four Horns and Orchestra" will feature four soloists including Nalia Evatt, Scott Hartman and Robert Johnson. Sophomore Aleta Barnes will play hassoon in Haydn's "Concerto for C minor." --- Jail may be pay-off for pyramids continued from page 1 Pyramids are a part of the California penal code and are categorized as "endless chain" money schemes. The code states, "Every person who continues, participates in, proposes, or attempts to continue or participate in a scheme or device (endless chain) for the purpose of obtaining money, and that's what it's a crime." Michaels said participants would be prosecuted by testimony from the victim, who would have to prove that he actually saw the transactions take place. "If I'm not there, I can't testify," he said. "If I found out that a police officer was involved in this," Michaels said in reference to the recent pyramid meeting. Chang said that when two or more people are involved in a pyramid, one of which is a victim, there is a maximum three-year prison sentence. In the past, there have been cases to bring several criminal and civil cases to court in Alameda and Santa Clara counties. Richard Michaels, deputy district attorney for Alameda County, said he has seen many pyramid rights. Right now, the (participants) have been arranged and have been given notice to locate legal counsel to represent them. "It may take a while," Michaels said, "but I am confident that the law will prevail against these people." Michaels would not elaborate on the details of the cases but noted that many of the persons involved are school officials. The principles of pyramids state that the money transferred is "gift." "Myrtle" said the participants exchange "not given out of the goodness of my heart, but given out of generosity" for money, and that's where it's a crime. Michaels said participants would be prosecuted by testimony from the victim, who would have to prove that he actually saw the transactions take place. "If I'm not there, I can't testify," he said. "If I found out that a police officer was involved in this," Michaels said in reference to the recent pyramid meeting. "The cops are the least likely (participants)," said Myrtle. "I recently attended a $100 pyramid meeting with 21 people involved. There were three police officers present, but they didn't do anything." "The cops are not concerned with $100 pyramids," Myrtle said. "What they're after is the $1,000 and up pyramids." "Myrtle" said she got paid off yet because "the company didn't allow me to get paid." She said she has not received compensation because participants are not bringing in new participants, which must happen to keep the pyramid going. "Myrtle" said that at each pyramid party she has attended, there are usually 15 to 20 new participants. "You know, people are calling friends they haven't seen in years to get them involved," she added. "Bink," a supermarket checker, said that in his pyramid he "never seen any honest people. They're always trying to get rich quick. I know a lot of them come back together to help the other guys who are in trouble." "Bob" is involved in a $1,000 pyramid and said that "things are not right with the company anymore. People are not happy about them that they're getting a little suspicious." A former employee of a large drug-chain, said that some pyramid pyramids are "dying" because "the area is saturated with people trying to get in and already involved." "I'm involved in a $300 pyramid but said she doesn't think she's going to get her profit return." "Myrtle" said that she is not involved in the meeting, the said. "But it's also nerve-racking to see so much money go into one person's hands. It's a feeling that this is controlling our lives." --- Spartan guide SJSU Ibo-Lele Troupe will perform an African and Caribbean dance concert tonight from 8 p.m. to 10 p.m. at the Dance Studio, Physical Education Recreation Center. Admission is $2. For information, call MacDonald at 277-9400. Native American Studies presents "Native American Awareness" from 3 p.m. to 6 p.m. today in the Engineering Building, Room 227. The speakers will lecture in the room. For information, call Balal Mohammed at 277-5766. IEEE will have Robert White of Xerox Research Center speak on Advances in Robotics from 3:30 p.m. today in the Engineering Building, Room 227. Spartan Pub presents Jazz from 4 to 7 tonight for the last time this semester. Tickets are $3.00 and available at the door. Pi Sigma Alpha is having an annual banquet at 6:30 tonight at the Alumni House, 326 Saratoga Ave. in Los Gatos. For information, call Peter Antonell at 994-0834 and Vicki Kline at 277-3533. Sigma Alpha Epsilon is having a Career Day from 8 a.m. to 3 p.m. today at the Engineering Building, Room 227. For information, call Bill May at 277-5766. Vietnamese Students Association is having a Vietnamese Cultural Night and Marietta Tet Celebration from 7:30 p.m. tomorrow at Morris Daly Gym. For information, call Erlinda Talia at 277-4400. Human Performance Laboratory will have Free Blood Pressure Screenings from 10 a.m. to 11:30 a.m. Monday in the ground floor of the Health Unit. For information, call 277-2222 or 277-3822. Vietnamese Students Association will have a Photographic Exhibition from May 14 through June 1 at the Olive Hyde Community Center, 1000 Olive St., Fremont. For information, call Charles Sanders at 277-3818. --- Jail may be pay-off for pyramids continued from page 1 Pyramids are a part of the California penal code and are categorized as "endless chain" money schemes. The code states, "Every person who continues, participates in, proposes, or attempts to continue or participate in a scheme or device (endless chain) for the purpose of obtaining money, and that's what it's a crime." Michaels said participants would be prosecuted by testimony from the victim, who would have to prove that he actually saw the transactions take place. "If I'm not there, I can't testify," he said. "If I found out that a police officer was involved in this," Michaels said in reference to the recent pyramid meeting. "The cops are the least likely (participants)," said Myrtle. "I recently attended a $100 pyramid meeting with 21 people involved. There were three police officers present, but they didn't do anything." "The cops are not concerned with $100 pyramids," Myrtle said. "What they're after is the $1,000 and up pyramids." "Myrtle" said she got paid off yet because "the company didn't allow me to get paid." She said she has not received compensation because participants are not bringing in new participants, which must happen to keep the pyramid going. "Myrtle" said that at each pyramid party she has attended, there are usually 15 to 20 new participants. "You know, people are calling friends they haven't seen in years to get them involved," she added. "Bink," a supermarket checker, said that in his pyramid he "never seen any honest people. They're always trying to get rich quick. I know a lot of them come back together to help the other guys who are in trouble." "Bob" is involved in a $1,000 pyramid and said that "things are not right with the company anymore. People are not happy about them that they're getting a little suspicious." A former employee of a large drug-chain, said that some pyramid pyramids are "dying" because "the area is saturated with people trying to get in and already involved." "I'm involved in a $300 pyramid but said she doesn't think she's going to get her profit return." "Myrtle" said that she is not involved in the meeting, the said. "But it's also nerve-racking to see so much money go into one person's hands. It's a feeling that this is controlling our lives."
Female Behaviour Drives Expression and Evolution of Gustatory Receptors in Butterflies Adriana D. Briscoe¹, Aide Macias-Muñoz¹, Krzysztof M. Kozak², James R. Walters³, Furong Yuan¹, Gabriel A. Jamie⁴, Simon H. Martin², Kanchon K. Dasmahapatra⁴, Laura C. Ferguson⁵, James Mallet⁶,⁷, Emmanuelle Jacquin-Joly⁸, Chris D. Jiggins² 1 Department of Ecology and Evolutionary Biology, University of California, Irvine, California, United States of America, 2 Department of Zoology, University of Cambridge, Cambridge, United Kingdom, 3 Department of Biology, Stanford University, Palo Alto, California, United States of America, 4 Department of Biology, University of York, York, United Kingdom, 5 Department of Zoology, University of Oxford, Oxford, United Kingdom, 6 Department of Organismic and Evolutionary Biology, Harvard University, Cambridge, Massachusetts, United States of America, 7 Department of Genetics, Evolution and Environment, University College London, London, United Kingdom, 8 INRA, UMR 1272 INRA-UPMC Physiologie de l’Insecte: Signalisation et Communication, Versailles, France Abstract Secondary plant compounds are strong deterrents of insect oviposition and feeding, but may also be attractants for specialist herbivores. These insect-plant interactions are mediated by insect gustatory receptors (Gr) and olfactory receptors (Or). An analysis of the reference genome of the butterfly Heliconius melpomene, which feeds on passion-flower vines (Passiflora spp.), together with whole-genome sequencing within the species and across the Heliconius phylogeny has permitted an unprecedented opportunity to study the patterns of gene duplication and copy-number variation (CNV) among these key sensory genes. We report in silico gene predictions of 73 Gr genes in the H. melpomene reference genome, including putative CO₂, sugar, sugar alcohol, fructose, and bitter receptors. The majority of these Grs are the result of gene duplications since Heliconius shared a common ancestor with the monarch butterfly or the silkmoth. Among Grs but not Ors, CNVs are more common within species in those gene lineages that have also duplicated over this evolutionary time-scale, suggesting ongoing rapid gene family evolution. Deep sequencing (~1 billion reads) of transcriptomes from proboscis and labial palps, antennae, and legs of adult H. melpomene males and females indicates that 67 of the predicted 73 Gr genes and 67 of the 70 predicted Or genes are expressed in these three tissues. Intriguingly, we find that one-third of all Grs show female-biased gene expression (n = 26) and nearly all of these (n = 21) are Heliconius-specific Grs. In fact, a significant excess of Grs that are expressed in female legs but not male legs are the result of recent gene duplication. This difference in Gr gene expression diversity between the sexes is accompanied by a striking sexual dimorphism in the abundance of gustatory sensilla on the forelegs of H. melpomene, suggesting that female oviposition behaviour drives the evolution of new gustatory receptors in butterfly genomes. Citation: Briscoe AD, Macias-Muñoz A, Kozak KM, Walters JR, Yuan F, et al. (2013) Female Behaviour Drives Expression and Evolution of Gustatory Receptors in Butterflies. PLoS Genet 9(7): e1003620. doi:10.1371/journal.pgen.1003620 Editor: Jianzhi Zhang, University of Michigan, United States of America Received February 4, 2013; Accepted May 23, 2013; Published July 11, 2013 Copyright: © 2013 Briscoe et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: This work was supported by an Overseas Visiting Scholarship from St. John’s College, University of Cambridge, UK, Faculty Research and Travel Funds from the School of Biological Sciences at the University of California, Irvine, and National Science Foundation grants IOS-1025106 and DBI-0939454 to ADB. Funding for LCF was provided by the John Fell Foundation. The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. Competing Interests: The authors have declared that no competing interests exist. * E-mail: firstname.lastname@example.org (ADB); email@example.com (CDJ) Introduction Nearly 50 years ago Ehrlich and Raven proposed that butterflies and their host-plants co-evolve [1]. Based on field observations of egg-laying in adult female butterflies, feeding behavior of caterpillars, and studies of systematics and taxonomy of plants and butterflies themselves, they outlined a scenario in which plant lineages evolved novel defensive compounds which then permitted their radiation into novel ecological space. In turn, insect taxa evolved resistance to those chemical defences, permitting the adaptive radiation of insects to exploit the new plant niche. Ehrlich and Raven’s theory of an evolutionary arms-race between insects and plants drew primarily from an examination of butterfly species richness and host-plant specialization. It did not specify the sensory mechanisms or genetic loci mediating these adaptive plant-insect interactions. Insects possess gustatory hairs or contact chemosensilla derived from mechanosensory bristles, scattered along a variety of appendages [2–4]. In adult butterflies and moths, gustatory sensilla are found on the labial palps and proboscis (Figure 1), the legs (Figure 2A) [5], the antennae (Figure 2B) [6,7], and the ovipositor [8,9]. In adult Heliconius charithonia legs, the 5 tarsomeres of the male foreleg foretarsus are fused and lack chemosensory sensilla, while female foretarsi bear groups of trichoid sensilla (n = 70–90 sensilla/tarsus) associated with pairs of cuticular spines [10]. Each trichoid sensilla contains five receptor neurons. These sensilla are sensitive to compounds that may be broadly classified as phagostimulants (e.g., sugars and amino acids), which promote feeding behavior, or phagodeterrents (secondary plant compounds), which suppress it [11]; in adult females they may also modulate oviposition [12]. Genes for vision, taste and smell are likely to be crucial genomic loci underlying the spectacular diversity of butterfly-plant interacInsects and their chemically-defended hostplants engage in a co-evolutionary arms race but the genetic basis by which suitable host plants are identified by insects is poorly understood. Host plant specializations require specialized sensors by the insects to exploit novel ecological niches. Adult male and female Heliconius butterflies feed on nectar and, unusually for butterflies, on pollen from flowers while their larvae feed on the leaves of passion-flower vines. We have discovered—between sub-species of butterflies—fixed differences in copy-number variation among several putative sugar receptor genes that are located on different chromosomes, raising the possibility of local adaptation around the detection of sugars. We also show that the legs of adult female butterflies, which are used by females when selecting a host plant on which to lay their eggs, express more gustatory (taste) receptor genes than those of male butterflies. These female-biased taste receptors show a significantly higher level of gene duplication than a set of taste receptors expressed in both sexes. Sex-limited behaviour may therefore influence the long-term evolution of physiologically important gene families resulting in a strong genomic signature of ecological adaptation. *Figure 1. Scanning electron micrographs of the proboscis of Heliconius* butterflies.** (A) The labial palps (lp) and proboscis (p) of the H. erato head contain gustatory sensilla. (B) The proximal portion of the H. melpomene proboscis has hair-like sensilla chaetica (sc). (C) The tip portion of the proboscis has specialized ridges for pollen collection along with sensilla styloconica (ss). Reproduced with permission [9]. (D) H. melpomene with a pollen-load. c, clypeus; ce, compound eye; pr, proximal region; mr, mid region; tr, tip region; dgl, dorsal galeal linking structures; sb, blunt-tipped sensilla. doi:10.1371/journal.pgen.1003620.g001 The availability of genomes for two butterfly species, the postman Heliconius melpomene (Nymphalidae) [13] and the monarch (Danaus plexippus) [14], as well as the silkmoth (Bombyx mori) [15], enables us to examine the evolutionary diversification of gustatory (Gr) and olfactory (Or) receptor genes that mediate insect-plant interactions. Each of these species feeds on hosts from different plant families. Silkmoth larvae feed on mulberry (Morus spp., Moraceae) and monarch larvae feed on milkweed (Asclepias spp., Apocynaceae). The larvae of Heliconius feed exclusively on passion flower vines, primarily in the genus Passiflora (Passifloraceae). In addition, adult Heliconius are notable for several derived traits such as augmented UV color vision [16], pollen feeding (Figure 1B) [17,18], and the ability to sequester substances from their host plants that are toxic to vertebrate predators such as birds [19,20]. In Drosophila melanogaster, the Gr gene family consists of 60 genes [21–24], several of which are alternatively spliced, yielding 68 predicted Gr transcripts [24]. One or more of these Gr proteins including possibly obligatory co-receptors [25–27] may be expressed in each gustatory receptor neuron [11]. Originally considered members of the G-protein-coupled receptor (GPCR) family, insect Grs have an inverted orientation in the membrane compared to the GPCR family of vertebrate Grs [28] and are part of the same superfamily as the insect Or [21]. Signalling pathways for insect Grs may be both G-protein dependent [29,30,31] and G-protein independent [32]. For the vast majority of Drosophila Grs the specific compounds to which they are sensitive remain unknown. Nonetheless, several receptors for sugars [33–35], CO$_2$ [26,36], bitter substances [37–39] and plant-derived insecticides [25] have been identified in flies. Knowledge of the Gr gene family for insects outside Drosophila is sparse and has primarily relied on the analyses of individual reference genomes. Expression studies are challenging, due to the very low expression of Gr in gustatory tissues [21,23]. In addition, Grs and Ors typically have large introns, small exons and undergo fast sequence evolution, making their in silico identification using automated gene prediction algorithms from genomic sequences problematic. Thus, the large repertoire of Grs (and Ors) that have been examined in the reference genomes of the pea aphid [40], the honey bee [41], the red flour beetle Tribolium castaneum [42], the mosquitoes Aedes aegypti [43] and Anopheles gambiae [44], and several Drosophila spp. [45,46] have required extensive manual curation. In Lepidoptera, a large insect group which includes $\sim$175,000 species, completely described Gr (and Or) gene models from genomes are rare and limited to B. mori [47], D. plexippus [14] and H. melpomene (Gr$_3$, this study; Or$_3$, [13]). In other lepidopteran species, only fragmentary Gr data are available: five sequences in Spodoptera littoralis [48], three in Heliothis virescens [49], two in Manduca sexta [50,51] and one in Papilio xuthus [52]. Adult females of each Heliconius species only lay eggs on a limited number of host plants [53], and therefore need to recognize different species from among the large and diverse Passifloraceae family, which also show a remarkable diversity of chemical defences [54]. The evolutionary arms race between Heliconius butterflies and their hosts led us to hypothesize that Heliconius Gr (and Or) might be subject to rapid gene duplication and gene loss as well as copy-number variation (CNV). Recent work taking advantage of published Drosophila genomes has shown a relationship between host specialization and/or endemism and an increased rate of gene loss, as well as a positive relationship between genome size and gene duplication [46,55]. Moreover, Drosophila Grs appear to be evolving under weaker purifying selection than Ors [55]. We previously used the reference genome sequence for H. melpomene to annotate three chemosensory gene families, encoding the chemosensory proteins (CSPs), the odorant-binding proteins (OBPs), and the olfactory receptors (Ors). This demonstrated a surprising diversity in these gene families. In particular there are more CSPs in the butterfly genomes than in any other insect genome sequenced to date [13]. We build on this work below by characterizing the Gr gene family in the reference H. melpomene genome and in two other lepidopteran species whose genomes have been sequenced, B. mori (Bombycidae) and D. plexippus (Nymphalidae), by performing in silico gene predictions and phylogenetic analysis. We then analyzed whole-genome sequences of twenty-seven individual butterflies, representing eleven species sampled across all major lineages of the Heliconius phylogeny and including sixteen individuals from two species, H. melpomene and its sister-species H. cydno. We also generated RNA-sequencing expression profiles of the proboscis and labial palps, antennae and legs of individual adult male and female butterflies of the sub-species H. melpomene rosina from Costa Rica (~1 billion 100 bp reads). We used these data to address four major questions: Are different chemosensory modalities less prone to duplication and loss than others (e.g., taste vs. olfaction)? Is there evidence of lineage-specific differentiation of Gr (and Or) repertoires between genera, species and populations? What is the relationship between CNVs and the retention of paralogous genes over long-term evolutionary timescales? Are the life history differences between males and females reflected in the expression of Grs and Ors as well as in the retention of novel sensory genes in the genome? We find higher turnover of the Grs than the Ors over longer evolutionary timescales, and evidence for both gene duplication and loss among a clade of intronless Grs between lepidopteran species and within the genus Heliconius. We also find for H. melpomene and its sister species, H. cydno, evidence of copy-number variation (CNVs) within their Gr and Or repertoires. Lastly, our RNA-sequencing suggests both tissue-specific and sex-specific differences in the diversity of expressed Grs and Ors, with female legs expressing a more diverse suite of Grs than male legs. Our data set revealing the expression of 67 of 73 predicted Gr genes and 67 of 70 predicted Or genes in adult H. melpomene butterflies is the most comprehensive profiling of these chemosensory gene families in Lepidoptera to date, and suggests how female host plant-seeking behaviour shapes the evolution of gustatory receptors in butterflies. Results *Annotation of Grs* in the reference genome of H. melpomene** In total, we manually annotated 86,870 bp of the H. melpomene melpomene reference genome (Table S1). Our 73 Gr gene models, consisted of 1–11 annotated exons, with the majority having three or four exons; six were intronless. We found genomic evidence (but not RNA-seq evidence) of possible alternative splicing of the last two exons of HmGr18, bringing the total number of predicted Grs to 74. Alternative splicing has not been previously described in the silkmoth B. mori [47], but is known to occur in most other insects examined, including D. melanogaster, Anopheles gambiae, Aedes aegypti and T. castaneum [24,43,44]. We also identified eleven new putative Grs in the monarch butterfly genome, DpGr48–56, DpGr66 and DpGr68 (Table S1) [14]. All but five of our gene models contained more than 330 encoded amino acids (AAs) while individual gene models ranged from 258–477 AAs. Several Gr genes contained internal stop codons (Table S1). In at least one case, we found RNA-seq evidence of an expressed pseudogene—HmGr61—with two in-frame stop codons. In other cases, the 5’ end of our assembled transcripts was not long enough to verify the internal stop codons in the genome assembly. The Grs are located on 33 distinct scaffolds, with 58 forming clusters of 2–8 genes on 18 scaffolds, distributed across 14 chromosomes. Gene duplication and loss in a clade of putative bitter receptors To study the patterns of gene duplication and loss more broadly across the Lepidoptera, we next examined the phylogenetic relationships of Grs from the three lepidopteran reference genomes [13–15]. Across the gene family phylogeny a large number of duplications among the putative ‘bitter’ gustatory receptors of Heliconius or Danaus have occurred, while the putative CO$_2$ and sugar receptors are evolving more conservatively, with only single copies in the H. melpomene reference genome (see below) (black arcs, Figure 3). A majority ($\sim64\%$) of Gr genes found in the H. melpomene genome are the result of gene duplication since Heliconius shared a common ancestor with Danaus or Bombyx. This is in contrast to the more conserved pattern of evolution of the Ors (Figure 4) [13] where a majority (37 of 70 or 53%) of genes show a one-to-one orthologous relationship with either a gene in Danaus, in Bombyx or both. Within the genus Heliconius there is a great diversity of host plant preferences for different Passiflora species. To look at the relationship between gene duplication and loss over this shorter timescale, we focussed our efforts on a group of six intronless Grs, HmGr22-26 and Gr53, because it is only feasible to identify single-exon genes with high confidence, given that the Illumina whole-genome sequencing approach leads to poorly assembled genomes (Table S2). These genes are also of interest as some members of this group are very highly expressed. Notably HmGr22 is one of the most widely expressed genes in our adult H. melpomene transcriptomes, which was verified by reverse-transcriptase (RT)-PCR and sequencing of the PCR products (Figure 5A). In this regard HmGr22 resembles another intronless Gr, the silkworm gene BmGr53, which is expressed in adult male and female antennae and larval antennae, maxilla, labrum, mandible, labium, thoracic leg, proleg and gut [32]. The remaining five intronless Grs have much more limited domains of expression in adult H. melpomene (see below). We searched for these genes in de novo assemblies of whole-genome Illumina sequences from eleven species across the Heliconius phylogeny. We investigate whether, as in Drosophila, a high turnover in putative bitter receptors is observed in species with host plant specializations or in species which are endemic and thus smaller in effective population size [46]. Although patterns of host plant use are complex within the genus, some notable host-plant shifts have occurred, leading to the prediction that gene loss may have occurred among more specialized lineages [46]. For example, H. doris unlike many Heliconius, tends to feed on large woody Passiflora that can support their highly gregarious larvae [53]. It also probably has a smaller effective population size than most other Heliconius species. From the 11 species studied, we identified a total of 44 intact or nearly Figure 3. Phylogeny of the Grs identified in three lepidopteran genomes. A maximum likelihood analysis of amino acid sequences was performed. Bootstrap support is out of 500 replicates. Putative CO$_2$ and fructose receptors show a conserved 1-to-1 orthologous relationship in each of the three lepidopteran genomes, while putative sugar receptors of the monarch butterfly have duplicated twice. By contrast, numerous butterfly- or moth-specific gene duplications are evident among the remaining Grs, which are hypothesized to be bitter receptors. Small red dots indicate single-copy Heliconius Grs classified as conserved genes in the analyses shown in Table 1 and Table 2. Small black arrows indicate female-specific Grs expressed in adult H. melpomene legs. Small red arrows indicate Grs expressed in adult H. melpomene proboscis only. Bar indicates branch lengths in proportion to amino acid substitutions/site. Synephrine and fructose receptors are described in [52] and [32]. Bm = Bombyx mori, Hm = Heliconius melpomene, Dp = Danaus plexippus, Px = Papilio xuthus. doi:10.1371/journal.pgen.1003620.g003 intact intronless $Gr_5$, as well as three intronless pseudogenes (Genbank Accession Nos. KC313949-KC313997)(Table S2 and S3). We also identified one intact intronless $Gr$ each in monarch and silkmoth and one intronless $Gr$ pseudogene in monarch. Phylogenetic analysis indicates that six intact intronless $Gr$ genes were present at the base of the genus Heliconius while the intronless $Gr$ pseudogene in monarch was the result of duplication since Heliconius and monarch shared a common ancestor (Figure 5B, Figure 6). Subsequent to the radiation of the genus Heliconius, there have been a number of gene losses. Whereas all members of the melpomene clade (H. melpomene, H. cydno, H. timareta) retained genomic copies of all six genes, members of the erato clade (H. erato, H. elysiasynus and H. telesthe) and sara-sapho clade (H. sara and H. sapho) have lost their copies of $Gr22$ and $Gr25$. In addition, members of the so-called primitive clade (H. wallacei, H. hecuba, and H. doris) have lost $Gr23$, while H. doris and H. wallacei have apparently lost $Gr24$ independently (Figure 6). The woody plant specialist, H. doris, has retained the fewest intronless $Gr$s, apparently also having lost its copy of $Gr33$, a pattern mirrored by Drosophila host plant specialists [46]. We have, however, no direct evidence that the intronless $Gr$s are in fact involved in host plant discrimination so the observed patterns of loss may be better explained by other variables such as effective population size. CNVs occur frequently among paralogous gustatory receptor genes We next tested whether the greater level of diversification of $Gr$s as compared to $Or$s over long evolutionary timescales (compare Figure 3 and Figure 4), is similarly reflected in greater population level variation in $Gr$ and $Or$ duplicate genes. To test this hypothesis, we examined the incidence of CNVs among $Gr$s and $Or$s that exist as single-copy genes in the reference H. melpomene genome with a one-to-one orthologous relationship with a gene in Danaus, Bombyx or both (conserved)(red dots, Figure 3 and 4), or as genes that are Heliconius-specific where no orthologue exists in either Danaus or... Bombyx (non-conserved). We used whole genome resequence data (12 genomes) for three subspecies of H. melpomene (H. melpomene amaryllis, n = 4; H. melpomene aglaope, n = 4; and H. melpomene rosina, n = 4)(Figure 7, inset) and one sub-species of H. cydno (H. cydno chioneus, n = 4)(Table S4). We first mapped genomic resequence reads to the H. melpomene melpomene reference genome, and then searched for regions of abnormal coverage using CNVnator [56]. More than half of Gr loci showed presence of CNVs (37 out of 68 loci). However, there were noticeably fewer CNVs in Gr loci that evolve conservatively over the long-term, such as among the putative CO$_2$ receptors, while there was an excess of CNVs in loci that show patterns of Heliconius-specific duplication (11.1% vs. 54.9%, respectively)(Fisher’s Exact Test, two-tailed, $P = 0.0004$) (Table 1)(Figure 7). Intriguingly, many sugar receptor CNVs are sub-species specific; we observed fixed duplications relative to the reference genome in H. melpomene aglaope (HmGr4, Gr5, Gr6, Gr8, Gr45, Gr52) and H. melpomene amaryllis (Gr4, Gr5, Gr6, Gr7, Gr8, Gr45, Gr52), among genes that are found on different chromosomes (Table S5, Figure 7). Although the majority of CNVs are likely to be evolving neutrally, this raises the possibility of local adaptation within the species range around the detection of sugars. As expected given their long-term stability, Or also show a lower incidence of CNVs (12 out of 67 loci), with no association between gene duplication and CNV incidence at least in H. melpomene (Table 1, Table S6). In H. cydno, a slight excess of Or CNVs was observed in loci that resulted in paralogous genes over longer evolutionary timescales (Fisher’s Exact Test, two-tailed, $P = 0.0475$)(Table 1)(Figure 8). We have not experimentally verified the incidence of copy number variation in any of these genomes, and some of the regions identified as CNVs are likely to be false positives. To investigate the rate of false positives, we analysed resequence data from the reference genome itself and discovered 3 Gr and 3 Or CNVs, suggesting a false positive rate of around 4%. (We therefore excluded these loci from our statistical tests.) However, the fact that broad patterns of observed CNVs are consistent with the evolutionary patterns at deeper levels supports our conclusion that CNV, in the absence of strong purifying selection, is an important driver of gene family diversification. These results also provide a novel line of evidence that the butterfly Gr have a higher rate of evolutionary turnover as compared to Or. Sexually dimorphic gustatory sensilla in adult legs mirror Gr expression diversity The life histories of adult male and female butterflies are similar with respect to the need to find food and potential mates except that adult females are under strong selection to identify suitable host plants for oviposition. To ascertain host-plant identity, female butterflies drum with their legs on the surface of leaves before laying eggs [10]. This behaviour presumably allows the female to taste oviposition stimulants. Consistent with this behaviour, adult nymphalid butterfly legs are known to contain gustatory sensilla [57], and it has been reported that while nymphalid butterfly females have clusters of gustatory sensilla on their foreleg foretarsi, males lack these entirely [10,58]. Here we confirm this mostly anecdotal evidence for sexual dimorphism using scanning electron microscopy (SEM). The mid- and hindlegs of both male and female H. melpomene have similar numbers of individual gustatory sensilla along their entire lengths, but there is a striking difference in their abundance and distribution on the foretarsi of the female forelegs. Unlike males, females exhibit cuticular spines associated with gustatory (trichoid) sensillae (n~80 sensilla/foretarsus for females; n=0/foretarsus for males) (Figure 2A) [10]. We therefore hypothesized that the repertoire of expressed Gr and Or genes in H. melpomene legs might be more diverse in females as compared to males. Furthermore, if female-specific genes are used for assessment of potential host plants, then fast-evolving insect-host interactions might produce rapid duplication of these genes over evolutionary timescales. Accordingly, we examined the expression profiles of Grs and Ors in adult H. melpomene by RNA-sequencing of libraries prepared from mRNAs expressed in adult antennae, labial palps and proboscis, and legs from one deeply-sequenced male and female each of H. melpomene (6 libraries total)(Table S7 and S8). The number of 100 bp reads per individual library ranged from 17.4 to 25.9 million for paired-end sequencing or 74.8–103.9 million for single-end sequencing (Table S8). To confirm these findings, we subsequently made 12 individual libraries from two more males and two more females (Table S7). As coverage was uneven across these libraries, we analysed them by merging biological replicates by sex and tissue type, and then downsampling so that an equal number of reads was analyzed for each treatment. The number of 100 bp reads analyzed for paired-end sequencing ranged from 19.4 to 49.6 million (Table S8). After downsampling, we examined the expression levels of the widely-expressed elongation factor-1 alpha gene in each of the libraries as a control, and found a comparable level of expression between sexes within each tissue type (Table S8). By careful visual examination of the uniquely-mapped reads to our 143 reference Gr and Or sequences, we found evidence of Gr and Or expression in all three adult tissue-types, with both tissue-specific and sex-specific differences as detailed below (Figure 9, Tables S9, S10, S11, S12, S13, S14). In total, we found evidence for expression of 67 of 73 Grs and 67 of 70 Ors identified in the H. melpomene reference genome. Strikingly, the sexual dimorphism of gustatory sensilla we observed among the foreleg foretarsi is reflected in Gr gene expression patterns. A total of thirty-two Grs are expressed in both male and female H. melpomene leg transcriptomes including three CO$_2$ receptors, HmGr1-3, four putative sugar receptors HmGr4$, Gr6, Gr45$ and Gr52* and a fructose receptor, HmGr9 (Figure 9A, Table S9, Supplementary Text). Many Grs showed sex-specific expression, however, with many more Grs in female (n = 46) as compared to male leg transcriptomes (n = 33)(Figure 9B, C). In total 15 of these Grs expressed in female legs, HmGr10, Gr24, Gr26, Gr29, Gr40, Gr41, Gr48, Gr50, Gr51, Gr16, Gr55, Gr57, Gr58, Gr60 and Gr67, are the result of duplications since Heliconius and Danaus shared a common ancestor (Figure 3 small arrows, Figure 9B, Table S9). By contrast, only one of the three male-biased Grs, HmGr19, evolved as a result of recent duplication. There is an excess of Heliconius-specific Grs but not Ors (see below) that are expressed in female legs (Fisher’s Exact Test, two-tailed, $p = 0.019$)(Table 2). Since male H. melpomene do not need to identify host-plants for oviposition, it seems likely that the 17 female-specific Grs in our leg transcriptomes are candidate receptors involved in mediating oviposition (Figure S1). *Female Gr* expression is more diverse in antennae than male Gr expression** Besides using their antennae for olfaction, female nymphalid butterflies also taste a host plant by antenal tapping before oviposition. This tapping behaviour presumably allows the host plant chemicals to come into physical contact with gustatory sensilla on the antennae. We therefore examined whether there was any difference in the abundance of gustatory sensilla on the antennae of male and female H. melpomene. Using scanning electron microscopy, we found individual gustatory sensilla scattered along each antennae of both male and female H. melpomene but no obvious sexual dimorphism in their abundance or distribution (Figure 2B). We found 28 Grs expressed in both male and female H. melpomene antennae (Figure 9A, Table S10), including two sugar receptors, HmGr4 and HmGr52, a putative fructose receptor HmGr9 and two CO$_2$ receptors, HmGr1 and Gr3. Besides the sugar and CO$_2$ receptors noted, other conserved genes... that are expressed in both male and female antennae include HmGr63, a candidate Gr co-receptor (see Text S1), and HmGr66, a candidate bitter receptor. We also found 11 Grs expressed in female H. melpomene antennae that did not appear to be expressed in male antennae. Two of these, HmGr47 and Gr68, appeared in the top one-third of the most abundant female antennal Grs in terms of number of reads recovered from the individual butterfly transcriptome. In contrast, just four Grs were expressed in male antennae HmGr11, Gr25, Gr31, and Gr69 but not female antennae (Figure 9B, C, Table S10). Six of the female-biased Grs and two of the male-biased Grs (Gr31, Gr69) expressed in antennae are the result of duplication events since Heliconius and Danaus shared a common ancestor. Candidate Heliconius gustatory receptors for nectar- and pollen-feeding By contrast with the leg and antennal tissue, where more Grs are expressed in females compared to males, the labial palps and proboscis (Figure 1) transcriptomes contained the largest number of Grs (n = 35) expressed in both sexes (Figure 9A, C, Table S11). Five of the six candidate sugar receptors in the H. melpomene genome are expressed in both the male and the female transcriptomes along with two of the three conserved CO$_2$ receptors, which may be used to assess floral quality [59] (Figure 3, Table S11). A majority (21 of 35) of Heliconius Grs expressed in both male and female labial palps and proboscis libraries have no existing ortholog in the silkworm genome, apparently the result of gene loss in B. mori or gene duplication along the lineage leading to Heliconius (Figure 3). This may in part reflect the fact that adult silkworms have lost the ability to feed. Interestingly, four Grs expressed in both male and female labial palps and proboscis transcriptomes could not be detected in male and female antennae and legs (HmGr12, Gr20, Gr35, and Gr59) (Figure 3, red arrows, Figure 9B). Some of these Grs might play a role in the pollen-feeding behaviour that is specific to Heliconius, and which involves preferences for particular species of flowers in the plant families Rubiaceae, Cucurbitaceae and Verbenaceae (see Discussion). Table 1. Relationship between evolutionarily-conserved genes and copy-number variation (CNV). \| Species \| Gene family \| Gene classification \| Number of genes with \| P value$^3$ \| \|---------------\|-------------\|----------------------------------------------------------\|----------------------\|-------------\| \| \| \| \| CNV \| No-CNV \| \| H. melpomene\| Grs$^4$ \| Heliconius-specific \| 28 \| 23 \| \| \| \| CO$_2$ receptors+other conserved Grs$^5$ \| 1 \| 8 \| \| \| \| Sugar receptors \| 8 \| 0 \| \| \| \| \| \| 0.0004 \| \| H. cydno \| Grs$^4$ \| Heliconius-specific \| 10 \| 41 \| \| \| \| CO$_2$ receptors + other conserved Grs \| 0 \| 9 \| \| \| \| Sugar receptors \| 0 \| 8 \| \| \| \| \| \| 0.247 \| \| H. melpomene\| Ors$^6$ \| Heliconius-specific \| 7 \| 24 \| \| \| \| Conserved Ors \| 5 \| 29 \| \| \| \| \| \| 0.527 \| \| H. cydno \| Ors$^6$ \| Heliconius-specific \| 6 \| 25 \| \| \| \| Conserved Ors \| 1 \| 33 \| \| \| \| \| \| 0.0475 \| $^4$Consists of single-copy genes in H. melpomene; in the monarch or Bombyx genomes, homologues are either single-copy or duplicate genes with bootstrap support $\geq 80\%$. $^5$Fisher’s exact test, two-tailed. $^6$Excludes 3 Grs where read-mapping of the reference genome reads back to the reference assembly indicated areas of poor assembly: Gr37, Gr39 and Gr49. $^7$Excludes 3 Ors where read-mapping of the reference genome reads back to the reference assembly indicated areas of poor assembly: Or20, Or24, Or43, Or50 and Or74. doi:10.1371/journal.pgen.1003620.t001 Widespread expression of Ors in H. melpomene antennae, proboscis and labial palps and legs In addition to the Gr gene expression described above, we examined Or expression in the three adult tissues. The expression of Ors in antennal tissue has been widely studied in a variety of insects including Drosophila and some Lepidoptera [50,60]. As expected, we observed that Or gene expression was high in the antennae. Unexpectedly, Or expression was about as prevalent as Gr expression in the proboscis and labial palps and leg transcriptomes (Figure 9D, E, F). In total across all three tissues profiled, we found evidence for the expression of nearly all predicted Or genes (67 of 70 genes)(Table S12, S13, S14) in the H. melpomene reference genome [13]. Discussion Outside Drosophila, the study of sensory gene family evolution in insects has generally been limited to the comparison of a small number of phylogenetically distant reference genomes. Such studies have commonly involved a comparison of the size of gene families between taxa in order to document lineage-specific expansions (Figure 10), and the comparison of dN/dS ratios to identify branches subject to rapid evolution [61]. Here we have used a similar approach to annotate 73 Grs in the Heliconius melpomene reference genome. However, we have also demonstrated the power of next-generation sequencing to elucidate patterns of evolution and expression of these genes. These data have offered exciting new insights into a set of genes that show both rapid evolution and sex-specific expression patterns, suggesting that female oviposition behaviour drives the evolution of butterfly gustatory receptors. Previous work in other insects indicates that Grs are an important target for gene duplication and loss between species. Most notably, D. sechellia and D. erecta are host specialists, on Morinda citrifolia and Pandanus candelabrum respectively, while D. simulans is a generalist fly exploiting a broad array of rotting fruit [46]. Host specialization in the former species is associated with an acceleration of gene loss and increased rates of amino acid evolution at receptors that remain intact. Here we have used whole-genome Illumina sequencing of single diploid individuals to similarly document patterns of gene gain and loss across Heliconius. This method yields highly fragmented genome assemblies, but such assemblies have proven very informative, most notably for studying the evolution of the clade of single-exon bitter receptor genes. We identified three gene duplication events along the lineage leading to Heliconius, followed by eight independent instances of clade-specific pseudogenizations or losses of different members of the intronless Grs, Gr22-26 and Gr53, within Heliconius and one instance within Danaus plexippus (Figure 5 and Figure 6). In both Heliconius and Drosophila gene gain and loss appear to primarily affect Grs that are presumed to respond to bitter compounds (Figure 3). To verify whether this pattern holds within the genus Heliconius for the remaining gene family members with more complex intron-exon structure will require better genome assemblies for multiple Heliconius species (Table S2). These patterns of rapid gene gain and loss are mirrored by within-population variation in copy number. From 16 resequenced genomes for H. melpomene and its sister species H. cydno, we have shown that CNVs occur more commonly among the Grs than the Ors (Figure 7, 8, Table 1). Within the Grs, the bitter receptors of H. melpomene represent a class of genes that are both highly prone to lineage-specific duplication and commonly subject to population-level copy number variation. These putative bitter receptor genes are also more likely to show female-specific expression, especially in the legs, which suggests a role in insect-host chemical interactions (Table 2, Figure 3, Figure S1). In human genomes, a tendency for CNV-rich areas to display higher dN/dS ratios and yield paralogous genes has been noted [62], along with an enrichment of CNVs in genes involved in immune function and in the senses (specifically in Ors which are unrelated to the insect Ors) [63,64]. It is also widely known that copy-number variation is an important source of disease-causing mutations in humans [64]. With the exception of insecticide resistance in insects [65,66], the spectrum of naturally-occurring copy-number variants is only just starting to be explored in Drosophila [67,68] and non-model systems. Our results demonstrate the great utility of high throughput sequencing to reveal the naturally-occurring spectrum of CNVs that underlie gene family expansions in non-model systems, in traits of ecological relevance. Heliconius butterflies have complex relationships with their Passifloraceae host plants. Some species are host-specialist, feeding on only one or a few Passiflora species, others specialise on particular sub-genera within Passiflora, while others are generalists, albeit within this one host plant family (Figure 6) [53]. The Passifloraceae is extremely chemically diverse, most notably in... their diversity of cyanogenic glycosides that protect the plant from herbivores. It seems likely that coevolution of the butterfly chemosensory and detoxification system on the one hand, with the plant biochemical defense on the other, has played an important role in the evolution of this chemical arsenal. In contrast to the research already carried out on the chemistry of the host plants [54], until recently almost nothing was known about the chemosensory system of Heliconius butterflies. All of these insect host-plant interactions are mediated primarily by adult female butterflies, which must correctly identify suitable host plants for oviposition [69,70], or risk the survival of their offspring. Expression data for Grs in the Lepidoptera have been limited until now—especially for adults—due to their low expression level. The largest previous study identified 14 Grs profiled in larval B. mori [32]. We have found evidence for adult expression for most (~91%) of the 73 predicted Gr genes. This provides a marked contrast to the handful of gustatory receptors that have been identified from traditional expressed sequence tag (EST) projects in other Lepidoptera. Our methods may provide a greatly improved yield of expressed genes because we now have a set of well-annotated target Gr genes against which RNA-seq data can be mapped, together with a greater diversity of transcripts afforded by deep sequencing. Such methods have also permitted us to find widespread expression of their sister gene family, the Ors, in the adult chemosensory tissues examined (68 of 70 or 97% of predicted genes) (Figure 9). Many of these Gr genes are likely to be involved in the detection of host plant attractants as well as toxic secondary metabolites and thus allow the discrimination of suitable hosts. Most notably, there were a large number of Heliconius-specific Grs with female-biased expression in both legs and antennae (Figure 9). As mentioned previously, these female-biased leg Grs (but not Ors) are also more likely to represent unique duplicates on the Heliconius lineage (Table 2). Female-biased Or expression, as quantified using RNA-seq data, has been reported for Ors expressed in the antennae of the adult mosquito, Anopheles gambiae [71]. Specifically, 22 Ors displayed enhanced expression in mosquito female antennae but not in male antennae. Since adult mosquito females but not males need to find hosts for a blood-meal, and adult butterfly females but not males need to find host plants for egg-laying, this suggests that host-seeking behaviour of female insects may be an important general driver of sensory gene evolution. Indirect evidence for the possible role of some of these Grs in Heliconius host plant detection comes from comparative studies of Grs mediating oviposition behaviour in swallowtail butterflies (Papilionidae). Papilio xuthus PxGr1 a member of the Gr subgroup that contains D. melanogaster Gr43a and HmGr9, has been characterized as a receptor for synephrine, which is an alkaloid found in citrus trees [52]. It is expressed in female P. xuthus tarsi and is necessary for the correct oviposition behavior of swallowtail butterflies [52]. Within the two clades most closely-related to PxGr1, are 9 butterfly-specific Grs: HmGr10, Gr16, Gr55, Gr36 and Gr57, and the newly-described DpGr16, Gr50, Gr52, and Gr54 (Figure 3). Four these Grs, HmGr16, Gr55, Gr36 and Gr57, result from Heliconius-specific gene duplications (i.e., no Danaus or Bombyx homologs). Grs55-57 are also in the top ten most highly expressed Grs in female legs. The identification of these sex-biased leg Grs has provided an important starting point Table 2. An overabundance of Grs expressed in female legs are the result of Heliconius-specific duplication. \| Gene Family \| Gene duplication \| Gene Expression \| \|-------------\|------------------\|----------------\| \| \| \| Female-specific \| Both sexes \| P value† \| \| Gr‡ \| Heliconius-specific \| 15 \| 20 \| 0.019 \| \| \| Conserved* \| 1 \| 13 \| \| \| Or§ \| Heliconius-specific \| 6 \| 12 \| 0.483 \| \| \| Conserved* \| 5 \| 19 \| \| Consists of single-copy genes in H. melpomene; in the monarch or Bombyx* genomes, homologues are either single-copy or duplicate genes with bootstrap support ≥80%. †Fisher's exact test, two-tailed, d.f. = 1. ‡Excludes Gr39 because of poor coverage in the reference genome read-mapping. §Excludes Or20 and Or24 because of coverage in the reference genome. doi:10.1371/journal.pgen.1003620.t002 Figure 10. Insect chemosensory gene family repertoires. Numbers indicate intact genes and numbers in parentheses indicate pseudogenes. References are given in [13,55,94]. OBP = odorant binding protein; CSP = chemosensory protein; OR = olfactory receptor, GR = gustatory receptor. doi:10.1371/journal.pgen.1003620.g010 for future ligand specificity studies combining heterologous expression, electrophysiology, RNAi [51], assays of the proboscis-extension reflex, and female oviposition behavior. Lastly, the patterns of Gr gene expression among different tissues and sexes has permitted us to identify a number of Grs that are strong candidates for mediating the remarkable pollen feeding behaviour that is unique to Heliconius, among the butterflies. The Heliconius proboscis contains at least two types of gustatory sensilla, hair-like sensilla chaetica, and sensilla styloconica (Figure 1). Like other butterflies, Heliconius respond to varying amounts of sugars including sucrose present in floral nectar [72]. Unlike other moths and butterflies, Heliconius actively collect pollen with their proboscides, preferentially from Psychotria (Rubiaceae), Psiguria/Guania (Cucurbitaceae) and Lantana (Verbenaceae) flowers [17,18,73]. Once a pollen load is collected (Figure 1D), the butterflies use a combination of mechanical shearing (coiling and uncoiling of the proboscis) and enzymatic activity (using proteases found in saliva) to release amino acids from the pollen [74]. The RNA-seq data we have collected for H. melpomene proboscis and labial palps should provide a useful resource for future studies examining the molecular basis of this unique digestive trait. Pollen feeding in adult Heliconius has an important ecological function. Amino acids obtained from pollen are key resources used in male nuptial gifts and egg allocation [18,75–77]. They also permit Heliconius adults to have exceptionally long lifespans. Pollen feeding behavior is not found outside the genus Heliconius, even in the sister genus Eueides, whose larvae share a preference for Passiflora host-plants with Heliconius. In the present study we have identified four Heliconius-specific Grs that are only expressed in the proboscis (HmGr12, Gr20, Gr35 and Gr59) but not in antennae or legs (Figure 9B), suggesting a role for these genes in pollen-feeding behaviour. Taken together, the whole-genome and whole-transcriptome data suggest that Gr genes in particular are highly evolutionarily labile both on short and long evolutionary timescales, and begin to offer an insight into the likely molecular basis for the rapid coevolution observed between these butterflies and their host plants. Understanding the remarkable diversity underlying this ecological interaction at a molecular level has remained a challenge (but see [32,52,78,79]). Thanks to technological innovations in sequencing, the genetic basis of taste and olfaction involved in host-plant adaptation in Heliconius is beginning to be uncovered. Conclusions We have shown that like the opsin visual receptors [80], the chemosensory superfamily composed of constituent Gr and Or families in Lepidoptera show rapid gene family evolution, with higher rates of copy-number variation and gene duplication among the Grs than the Ors, as well as gene losses in the Grs. In particular, there is a group of putative bitter receptors that show female-specific expression in the legs and that are especially prone to gene duplication, providing new material for sensory diversification in the insect-host plant arms race. We have also shown, for the first time, widespread expression of Ors in non-antennal tissues in a lepidopteran. With the most comprehensive data set on Gr and Or expression in butterflies to date we are one step closer to identifying the sensory and molecular genetic basis of the Heliconius-Passiflora co-evolutionary race that inspired Ehrlich and Raven in 1964. Materials and Methods Genome annotation tBLASTn searches were conducted iteratively against the H. melpomene melpomene genome (version v1.1) and haplotype scaffolds [13] using B. mori [28,47] and D. plexippus Grs [14] as input sequences. For these in silico gene predictions, intron-exon boundaries were identified by first translating the scaffold nucleotides in MEGA version 5 [81], searching for exons identified in the tBLASTn searches, then back translating to identify splice junctions. Intron sequences were then excised to verify that the remaining exonic sequences formed an in-frame coding sequence. Insect Grs are defined by a conserved C-terminal motif ‘TYhhhhhQF’, where ‘h’ is any hydrophobic amino acid [21]. We inspected our predicted protein sequences for this motif or variants thereof, specifically ‘S’, ‘M’ or ‘K’ instead of a ‘T’ or ‘L’, ‘I’ or ‘F’ instead of ‘F’. In the handful of cases where we were unable to find the last short exon that contains this motif, final assignment to the Gr gene family was based on using the predicted amino acid sequence as a search string for either tBLASTn or BLASTp against the nr/nt Genbank database. Gene annotations were submitted to the EnsemblMetaZoa database http://metazoa.ensembl.org/Heliconius_melpomene/Info/Index as part of the H. melpomene v. 2 genome release (for GeneIDs see Table S1). Chromosomal assignments were based on published mapping of scaffolds in the H. melpomene melpomene reference genome [13]. Following amino acid alignment using ClustalW, preliminary phylogenetic trees were constructed in MEGA using neighbor-joining and pair-wise deletion to identify orthologous relationships with B. mori and D. plexippus Grs. Reciprocal tBLASTn searches against the B. mori and D. plexippus genomes as well as searches using the protein2genome module in EXONERATE [82] were then performed in order to search for ‘missing’ Grs in those genomes. Final phylogenetic analysis was performed using a maximum-likelihood (ML) algorithm and JTT model on an amino acid alignment that was inspected by eye and manually adjusted. These results were compared to a ML tree made from a Clustal-Omega alignment [83] and were found to be nearly identical. Once the initial H. melpomene Gr gene predictions were obtained, EXONERATE, Perl scripts and manual annotations in Apollo [84] were used to produce gff3 files for submission of the annotated H. melpomene genome scaffolds to EMBL-EBI. RNA-sequencing Butterfly pupae of H. melpomene rosina were obtained from Suministros Entomológicos Costarricenses, S.A., Costa Rica. Adult males and females were sexed and frozen at −80°C. Total RNAs were extracted separately from antennae, proboscis together with labial palps, and all six legs of three males and three females of H. melpomene using Trizol (Life Technologies, Grand Island, NY). A NucleoSpin RNA II kit (Macherey-Nagel, Bethlehem, PA) was used to purify total RNAs. Each total RNA sample was purified through one NucleoSpin RNA II column. Purified total RNA samples were quantified using a Qubit 2.0 Fluorometer (Life Technologies, Grand Island, NY). The quality of the RNA samples was checked using an Agilent Bioanalyzer 2100 (Agilent Technologies, Santa Clara, CA). 0.3–4.0 μg of purified total RNAs were used to make cDNA libraries. A TruSeq RNA sample prep kit (Illumina, San Diego, CA) was used to prepare 18 individual cDNA libraries. After being normalized according to their concentrations, the enriched individual libraries were pooled and then run on a 2% agarose gel. cDNA products ranging from 280 to 340 bp with an average of 310 bp were cut out and purified using a GeneClean III kit (MP Biomedicals, Solon, OH) to facilitate post-sequencing assembly. After being re-purified using Agencourt AMPure XP magnetic beads (Beckman Coulter Genomics, Danvers, MA), the cDNA pool was quantified using the Qubit 2.0 Fluorometer, and quality control-checked using the Agilent Bioanalyzer 2100. The cDNA pools were then normalized to 10 nM and run as either two paired-end or three single-end 100 bp runs on a HiSeq 2000 (Illumina, San Diego, CA) by the UCI Genomics High-Throughput Facility. RNA-seq assembly and read mapping mRNA sequences were demultiplexed, trimmed and sorted using Python and Perl scripts. A single de novo assembly of the combined libraries was performed using CLC Genomics Workbench 5 to check for missing exons in our gene models. The 73 corrected Gr gene models and 70 Or gene models were then used as an alignment reference to perform unique read mapping of each individual chemosensory transcriptome. To determine if an individual Gr or Or was expressed in a given tissue, each of the 1716 individual Gr and Or mapping alignments was inspected by eye for uniquely mapped reads, and any spuriously-mapped reads (i.e., reads <70 bp in length with indels or sequence mismatches at the ends) were discarded. As a control for potential differences in RNA preparation between samples, we also quantified the number of uniquely mapped fragments to the widely-expressed elongation factor 1-alpha (EF1α) gene transcript and calculated the Fragments Per Kilobase of transcript per Million mapped reads (FPKM) [85]. Illumina reads for each of the libraries were deposited as fastq files in the ArrayExpress archive under the accession number: E-TAB-1500 (Table S7). Scanning electron microscopy One week old adult H. melpomene rosina butterflies were sexed, frozen at −80°C, then dissected and mounted for imaging on an FEI/Philips XL30 FEG scanning electron microscope at UCI’s Materials Characterization User Facility. Forelegs, middle legs, hindlegs and antennae were examined for the presence of gustatory sensilla. Copy number variation analysis We also examined resequenced genomes of twelve H. melpomene and four H. cydno individuals, including H. melpomene aglaone, H. melpomene amaryllis and H. melpomene rosina (Table S4), sequenced by The GenePool, University of Edinburgh, U.K. and the FAS Center, Harvard University, U.S.A., for evidence of copy-number variation (CNV) in the Grs and Ors using CNVnator [56]. These sequences were deposited in the European Nucleotide Archive (ENA) under accession number: ERP002440. The Illumina resequenced genomes were first mapped to the H. melpomene reference genome and the average read depth was calculated along a 100 bp sliding window. The output of CNVnator was parsed for candidate insertion and deletion variants, and those with estimated copy number of >2× were counted as potential duplications and <0.5× as potential deletions. Whole-genome sequence assembly The GenePool, University of Edinburgh, and the Oxford Genomics Centre, University of Oxford, U.K., produced whole genome 100 bp sequences from H. cydno, H. timareta, H. wallacei, H. doris, H. clysonymus, H. telephe, H. erato petiverana, H. sara and H. sapho using the Illumina Pipeline v. 1.5–1.7 with insert sizes ranging from 300 to 400 bp. We deposited sequences for H. sapho and H. sara in the Sequence Read Archive (SRA) under accession number ERP002444. We performed de novo assembly of the short reads using Abyss v. 1.2 [86] implemented in parallel at the School of Life Sciences, University of Cambridge, U.K. Based on previous results [87], recommendations estimated by the software, and comparison of N50 values in preliminary experiments, we chose a k-mer size of 31, a minimum number of pairs required n = 5 and the minimum mean k-mer coverage of a unitig c = 2 (full command: abyss-pe n = 5 k = 31 c = 2 in = ‘for.fastq rev.fastq’). In all assemblies, at least 96% of reads mapped back to the contigs. We created BLAST databases of these whole genome sequence assembly contigs (Table S2) in Geneious Pro v. 5.5.6. The lack of introns in the putative bitter receptor genes Gr22-26 and Gr53 permitted us to easily retrieve them from these BLAST databases. To confirm the identity and improve the quality of the sequences found, we mapped the reads to the assembled exon sequences in CLC Genomics Workbench v. 5.5.1, using the following conservative settings to prevent mis-mapping of paralogous sequences: mismatch, insertion and deletion cost of 3; length fraction and similarity fraction of 0.9. We then inspected all read-mappings by eye. Because the intronless Grs are closely related, we aligned the translated nucleotide sequences in MEGA using the ClustalW algorithm, and also inspected the alignment by eye. For all intronless Gr sequences except for the pseudogenes, sequence length was highly conserved (i.e., there were few indels). To illustrate the high substitution rate of the retrieved pseudogene sequences, we selected the neighbor-joining method for tree reconstruction and performed 500 bootstrap replicates. Inferring gene duplications and losses To infer the number of intronless Gr gene duplications and losses, we used the program Notung v. 2.6 [88,89], which reconciles gene trees onto the species tree. The gene tree was made by a maximum likelihood analysis of 1074 nucleotide sites, aligned by Clustal-Omega, and 500 bootstrap replications. The species tree was derived from a phylogeny based on independent nuclear and mitochondrial DNA sequences [90]. RT-PCR We verified the presence of HmGr22 in several adult tissues using reverse-transcriptase PCR and primers for HmGr22 (5'-CCATAATTTTGTCTATCCT-3' and 5'-GATTTTCGAATAAAGGTCGTG-3') and EF1alpha (5'-CGTTTCTGGAGGAATCAAGAAGG-3' and 5'-GACATCTTGTAAGGGAAAGGCAG-3'). RNA was extracted from fresh frozen specimens using Trizol and purified using the Nucleospin RNA II kit, which contains a DNase-treatment step. RNA concentration was diluted to 12.5 μg/ml. Each 25 μl reaction had 2.5 μl 10× BD Advantage 2 PCR buffer, 2.5 μl dNTPs (2 mM), 0.5 μl (100 uM) forward and 0.5 μl reverse primer, 0.5 μl (1:20 diluted) Stratagene Affinity Script Reverse Transcriptase, 0.5 μl 50× Advantage 2 Polymerase Mix, 17 μl H₂O and 1 μl RNA. The PCR reaction consisted of 38 cycles of 95°C for 30 s, 55°C for 30 s, and 68°C for 55 s. The identity of the RT-PCR products was confirmed by Sanger sequencing. Supporting Information Figure S1 “For Bitter or Worse: A Tale of Sexual Dimorphism and Good Taste”, an original cartoon by author and illustrator of science-oriented comics, Jay S. Hosler. (PDF) Table S1 Heliconius melpomene genome gustatory receptor annotations. Gene name, EnsemblMetazoa GeneID, amino acid sequence, nucleotide sequence, number of exons, top BLAST hit. (XLS) Table S2 Whole genome Illumina sequencing de novo assembly statistics. (DOC) Table S3 Intronless gustatory receptor genes retrieved from whole-genome Illumina assemblies. (DOC) Table S4 CNV sample data and whole-genome resequencing statistics. (DOC) Table S5 CNVs in H. melpomene and H. cydno gustatory receptors. (XLS) Table S6 CNVs in H. melpomene and H. cydno olfactory receptors. (XLS) Table S7 List of specimens and localities used in RNA-seq. (DOC) Table S8 Number of 100 bp Illumina reads sequenced per RNA-seq library. (DOC) Table S9 Gustatory receptor mRNAs expressed in adult H. melpomene legs. (DOC) Table S10 Gustatory receptor mRNAs expressed in adult H. melpomene antennae. (DOC) Table S11 Gustatory receptor mRNAs expressed in adult H. melpomene labial palps and proboscis. (DOC) References 1. Ehrlich PR, Raven PH (1964) Butterflies and plants: A study in coevolution. Evolution 18: 586–608. 2. Derbier VG (1937) Gustation and olfaction in lepidopterous larvae. Biol Bull 72: 7–23. 3. Schneider D (1964) Insect antennae. Annu Rev Entomol 9: 103–122. 4. 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Se sugieren las principales prioridades de la investigación en ecología tropical en México. Palabras claves ECOLOGÍA TROPICAL, CONSERVACIÓN, AGRICULTURA, TROPICAL, DESARROLLO. Notas Ponencia presentada en el V Simposio Internacional de Ecología Tropical (Kuala-Lumpur, Malasia). Not being clairvoyant, I am unable to predict the future of tropical ecology research in Mexico. But having followed the development of this science in my country for the last 20 years, I'd like to discuss what its future might be in Mexico. During my talk, I will try to establish some comparisons between our experiences and those in other countries. Perhaps as a result, certain areas of investigation will appear as priorities with respect to future investigative efforts in tropical ecology. In this talk, I will use the word "tropics" as a reference to the low altitude, high rainfall regions between the Tropic of Cancer and the Tropic of Capricorn. In Mexico, this area contains primarily two main vegetation types: the high, broadleaf, evergreen forests and the swamplands. Two hundred years ago, Mexico's tropics were sparsely populated and largely considered territorial and agricultural reserves. Today, in Mexico, tropical forest areas are being subjected to extensive modification. The degree of tropical forest destruction during the last 20 years has been very large - in the millions of hectares according to some estimates. The result has been the formation of a variety of other types of ecosystems. Some of the more obvious ones are: 1. Secondary vegetation systems of mixed-age stands originating from various types of land disturbances. These communities dominate what was once tropical forest. 2. Shifting agriculture systems based on the ancient slash and burn technique, but no longer utilizing the fallow-regeneration cycle. 3. Pastureland systems which are the most extensive system areas. These ecosystem types are produced and used for extensive cattle raising and are usually ecologically inefficient, but economically very profitable. 4. Commercial, predominately monocultural systems geared to the intensive production of a single crop, such as sugar cane. 5. Subsistence-level agricultural systems. 6. Urban and industrial systems whose present growth is extremely rapid in these areas. The situation regarding modification of the tropical swamps is slightly different. Until recently, their alteration was restricted to 1. Non-intensive fishing systems (with the exception of crocodiles) which are still in operation today in small communities in the swamps of southeast Mexico. To this can now be added: 2. Drainage systems whose ultimate aim is to convert these areas into dry-land agricultural systems. 3. Urban and industrial systems created primarily as a result of the development of oil facilities in the swamp land areas. In recent years, the tropics have attracted biologists and ecologists from the temperate zones. They've come with valid concerns based on the biological richness of the tropics, the complexity and fragility of the ecosystems involved, the interesting symbiotic associations among the various species, the extraordinary opportunity for the study of evolutionary processes and the potential of the area for new, natural resources. Through the course of their investigations, many new plant species, ecosystems, ecological concepts, and commercial products were discovered each year. This trend is still continuing today, as thousands of publications make the tropics the focal point of investigation for many scientists. This is why today, any university that aspires to a certain level of prestige offers courses relating to the tropics. Unfortunately, the processes of destruction of the original ecosystems and the great amount of scientific investigation being conducted in these same areas, have followed parallel but separated paths. One result of this is that today in Mexico fewer and fewer areas are available for study in their natural, non-disturbed state. Because of this, we have campaigned for the creation of natural reserves for scientific investigation. In our country the first tropical reserve was created 12 years ago by the National University of Mexico: the Tuxtla Biological Station in the State of Veracruz. Since then, a few other reserves have been created. These stations have cultivated much-needed basic ecological and biological information as a result of their facilities and stability. Most of our work on succession came from studies in these reserves. The first few years at Tuxtla were very active, and the research was carried out without apparent problems. But something happened. As we began to move out of the reserve to search for similar areas to do comparative studies, we found that the reserve was surrounded by an enormous zone of perturbation and that the reserve was in fact an island amidst a sea of land use types. Even more startling, was the fact that some of the remote regions of the reserve were subjected to "slash and burn" by some of our neighbors. Since then, landless farmers have been soliciting the government to partition and distribute the reserve among them since the area was not in "use" and relatively uninhabited. Fortunately, the cooperation of state officials with the University of Mexico, has been able to prevent such action. But the pressure continues and it is obvious that the reserve will face serious problems in the future. Discussing this problem with local people involved, I found that the farmers (rich and poor) posed questions such as: "What purpose do the studies in the reserve really serve? "What solutions do they provide for improving the production of our areas or for improving the utilization of the natural resources available? "How may the studies help them achieve a better living? "What is more important: the rare species of plants and animals or the people? "Can scientific accomplishments really be applicable to their way of living?" It was obvious that we had a major communication problem and that we needed better public relations. Some projects were then started in that direction. I used Los Tuxtlas Reserve as an example. But this example and the questions posed by it, typify the predicament of other reserves and national parks in Mexico. I believe the problems, with few changes, are similar in other tropical areas. What then is really happening? Can we do something? Should we do something? Obviously, a conflict exists between local development schemes and ecological research priorities in the tropics. On the one hand, urgent problems exist which must be solved, in part by good applied scientific research; on the other hand, basic scientific investigation in tropical ecology is badly needed to make recommendations that provide suitable answers in real terms to the farmers' and scientists' needs. As scientists, we could easily close our eyes to our responsibilities to the people. We could maintain that our interests are in understanding the structure and function of natural systems. Of course, once we have all the information, we will be only more than happy to provide suggestions for improving the management of tropical resources. But as I illustrated with my example, this attitude forces the local inhabitants and the decision makers to turn away from us. In reality, it reduces the likelihood of later communicating our suggestions when we do have them. Or maybe when we have the answers, there will be no more forests left to which we may apply our suggestions. Taking a slightly different approach to the problem, we might argue that the problem of regional development is not ours, but rather one of the politicians or of the technical professionals in forestry and agriculture. But, do they know the answers? Probably not, since they often interact with us in seeking them. In addition, the response made by these people, who must provide solutions to the growing demands for additional land, jobs and food, is easily understood; given the urgency of the situation, all usable resources and available information must be utilized. This is necessary irregardless of what little information is available and often results in the destruction of natural resources and their replacement by ones with known potential to meet the above demands. "Development starts with deforestation!" as Sioli mentioned. People responsible for these development programs know that they must begin immediately, and usually they say that scientific ecological research must provide guidance along the way to full development. As ecological scientists working under these conditions, what should we do? I feel that ecology can and must play a more important role in development plans. In the past and present, the local ecologists' efforts to establish and maintain biological reserves, placed them in a conservationist role. They worked with ecosystems that were fast becoming the exception rather than the rule. The local tropical ecologist often allied himself with fellow colleagues to halt or criticize some development plans as an echo from international forums. But unfortunately, many of their arguments carry little weight in the local political arena. The most common result is failure, caused by the inadequacy of their arguments when presented to the regional decision makers. And why? Because in most cases our ecologists have eliminated applied scientific research that could be oriented to the local human populations. Good ecology was identified with non-applied research, and applied research was considered as non-scientific. I think we have been wrong in using this approach. I feel now that the local ecologist should have a strong sense of responsibility towards the local human communities within the study areas. In part, the recent creation of programs such as the Man and the Biosphere Program within UNESCO, which is perhaps the most outstanding example of attempting to deal with these problems at an international level, is a start in the right direction. With the above ideas and experiences in mind, I've found it is now easier to identify the areas of tropical ecological research, which I feel must be granted a high priority in Mexico in the future: 1. Basic ecological studies should have, if possible, an applied focus. For example, studies of population dynamics, competition and allelopathy could very well be carried out in cultivated areas, abandoned agricultural lands, pastures, or forest plantations. The only prerequisite is that it should be done well. This type of investigation, when combined with parallel studies of non-disturbed systems, could provide fundamental information regarding the function of natural tropical ecosystems, while it simultaneously generates information that may be applicable. 2. Investigation of the process of succession should also be given a high priority. Obviously, a large portion of Mexico's tropical forest ecosystems have disappeared. Natural succession has begun, but we are aware that without man's intervention, it will be very difficult to regenerate systems to pre-disturbance levels of complexity. Therefore, an important area of research is the management of the speed and direction of the successional process, including the search for functional architectonics in space and time, and the application of available information on the structure and function of natural forest ecosystems. At this point, we might briefly mention that most of Mexico's tropical forests were managed by ancient Mesoamerican cultures. Though no longer managed, some of the remaining forests still retain characteristics of human manipulation. Actually I see a search into these ancient silvicultural techniques, complemented by modern scientific information, as a goal for the future of tropical silviculture in Mexico. 3. Agroecosystems constitute another important area for future study. Traditional, highly productive agricultural systems that require minimal amounts of high energy inputs should be given special attention. I feel that agricultural systems suited to the tropics can be designed using the biological and ecological knowledge available. 4. Special attention should be granted to research which contributes to the development of methods for ecologically oriented land use planning in tropical areas. In many instances we are confronted with several possible alternatives in a region, but we lack the methodology to select the best alternative. 5. Another very important activity related to ecological investigation is the search for ways to conserve biologically important areas. One way would be to integrate these areas with regional planning efforts relating to agriculture, forestry, and urbanization. The study of the ideal size and form of these areas is a priority for the future. Special attention should be given to the formation of small ecological reserves. Although their size may cause certain biological and ecological limitations, they are more compatible with the realities of our country. Efforts should be made to develop methods which would permit these small areas to serve as effective, long-term, germplasm banks. 6. It is also becoming necessary to compile more information about the effects of various contaminants on ecological systems. Industrialization of the tropical zones is inevitable, as is the dispersion of contaminants. There is need to study their ecological effects. In the past, this field has been handled principally by environmental engineers. The time has arrived for it to become an area of interest for tropical ecologists in Mexico. 7. When we consider man's ceaseless activity within the natural tropical systems, it becomes evident that the documentation of the biological richness of these areas must also be accelerated. Emphasis should be placed on the intensification of the collection and taxonomic investigations of the important groups of tropical plants and animals. 8. The last priority that I am going to mention, although not least in importance, is the study of man in relation to the tropical environment. We believe that research in human tropical ecology should be increased, especially in rural areas. In particular, greater attention should be given to the interrelationship between man and his environment, the basic understanding that man has of the environment surrounding him, and the use that he makes of the available resources in his environment. This should receive highest priority in regions where the indigenous traditions have not yet been modified. These areas are still rich in experiences that could be applied towards the future management of many tropical areas. The tropical ecologist can learn considerably by studying the ecological principles behind traditional indigenous practices throughout the world. In conclusion, I would like to reiterate what I first pointed out - that in reality I can not predict the future. However, I would like to see the priorities that I have just mentioned established as a guide for our country's investigators to follow during the next few years. If we do that, at least we can save the very few areas of rain forest that we still have in Mexico; at most, we can see their return in numbers with beneficial results for all.
BEYOND HUNGER THE HIDDEN IMPACTS OF FOOD INSECURITY IN CANADA Every day in Canada, one of the wealthiest countries in the world, one in eight households struggles to put good food on the table. #beyondhunger # TABLE OF CONTENTS 1.0 Introduction 04 2.0 A picture of food insecurity in Canada 10 3.0 Stories & impacts 16 4.0 Why is this happening? 32 5.0 Solutions 44 6.0 Closing notes 54 Even before COVID-19, nearly 4.5 million Canadians struggled to put good food on the table for themselves and their families. In the first 2 months of the pandemic, that number grew by 39%, affecting 1 in 7 people. At Community Food Centres Canada (CFCC), we know that far too many Canadians lack sufficient access to food—and that the pandemic has exposed this urgent problem for the crisis that it is. CFCC works in 175 communities where people suffer from food insecurity—meaning they cannot afford adequate or secure access to food. We see first-hand the pernicious effects that such worry and lack of food can have. We also know that food insecurity is not simply about a lack of food. Its ripple effects are wide and far-reaching, affecting physical and mental health, social connection and community, employment and aspirations, family life and more. In this report, we aim to shine light on this problem, revealing the ways food insecurity affects people’s lives as well as the strategies they’re using to manage. While we provide important support to the communities in which we work, only policy change can address the systemic issues at the heart of the problem. That’s because food insecurity is a complex issue with roots in our frayed social-safety net, the rising cost of living and a labour market that seems to have no end of precarious, poorly paid jobs, but not enough work that is meaningful and adequately compensated. People are food insecure not because they are poor budgeters or unwilling to work but because they lack the income to afford food on top of other basic needs. In order to meaningfully address this serious challenge, we need governments to take it on. To create this report, we interviewed hundreds of Canadians who struggle with food insecurity. We heard stories from people across the country with diverse backgrounds, ages and genders. They told us about the stress, anxiety, hopelessness and poor health that they experience as a result of their lack of food. We are sharing these stories and data to inspire the kind of transformative change that, for far too many, cannot come soon enough. As we continue to grapple with the effects of COVID-19—and as we eventually transition out of the pandemic—we must ask ourselves: Are we willing to live in a society that leaves so many behind? And, if not, how can we invest in a more equitable future? Nick Saul CEO Dr. Kwame McKenzie Board of Directors CEO, Wellesley Institute CFCC builds dynamic and responsive Community Food Centres and food programs that support people to eat well, connect with their neighbours and contribute, through advocacy and mutual support, to a more just and inclusive Canada. With our partners, we work to eradicate poverty and food insecurity and to improve the health and well-being of low-income Canadians. As of fall 2020, CFCC supports 13 Community Food Centres across the country in Kamloops, British Columbia; Nelson, British Columbia; Calgary, Alberta; Turnor Lake, Saskatchewan; Winnipeg, Manitoba; Toronto, Ontario; Hamilton, Ontario; Perth, Ontario; Stratford, Ontario; Montreal, Quebec; Dartmouth, Nova Scotia; Eel Ground First Nation, New Brunswick; and Iqaluit, Nunavut, with 5 more partnerships in development. CFCC also supports the broader community food sector in Canada and abroad through our Good Food Organization program. We currently work with 201 organizations through conferences, trainings, grants and other resources. CFCC is building this movement of engaged people and organizations because we believe in the power of food to change lives. Food brings people together, builds health and creates community. We are also working with people at Community Food Centres across the country to advocate for policies that will improve their lives and the lives of others. Together, we can build a nation where everyone has dignified and equitable access to good food. CFCC is active in 175 communities and 1/3 of electoral ridings across Canada. FOOD INSECURITY Even before COVID-19, food insecurity—defined as inadequate or insecure access to food due to financial constraints—affected nearly 4.5 million Canadians, many of them among the most vulnerable people in our society. In the first 2 months of the pandemic, that number grew by 39%, affecting 1 in 7 people. Children, Indigenous people, racialized people, single parents, newcomers and people in Northern communities all disproportionately experience food insecurity. This takes a toll on physical and mental health, and can lead to numerous other problems, such as social isolation. Although there is growing data on food insecurity in Canada, this report seeks to paint a more complete picture of the problem, including how it affects people’s lives and the strategies they use to deal with it. CFCC builds dynamic and responsive Community Food Centres and food programs that support people to eat well, connect with their neighbours and contribute, through advocacy and mutual support, to a more just and inclusive Canada. With our partners, we work to eradicate poverty and food insecurity and to improve the health and well-being of low-income Canadians. For this report, we surveyed 561 participants who experience food insecurity at Community Food Centres and Good Food Organizations across the country to find out how it affects their lives and how they deal with it. The quotes and stories in this report create a nuanced picture of what it is like to lack access to food. THE IMPACT Survey participants described an impact that goes far beyond what we traditionally think of as hunger and permeates all aspects of their lives. For example: - 81% said food insecurity had a negative impact on their physical health - 79% said it had a negative impact on their mental health - 64% said it affected their relationships with loved ones - 59% said it had a negative impact on their children - 58% said it isolated them socially - 57% said it was a barrier to finding and maintaining employment - 53% said it impeded their ability to find meaning and purpose in life - 46% said it impeded their ability to express and share their culture SO WHY IS THIS HAPPENING? Why are so many people struggling to make ends meet? The answer is complex but is ultimately linked to an economy that creates far too much vulnerability and government supports that often don’t measure up when they’re needed most. More and more Canadians are relying on an increasingly precarious labour market and low-wage jobs and a restrictive and inadequate Employment Insurance program when they get laid off. People who are looking for work or are unable to work are barely keeping afloat on unacceptably low social-assistance rates. The cost of housing, child care, prescriptions and food is increasing sharply. More and more people are living alone and shouldering these costs on one income. Racism and the lasting effects of colonialism are leaving racialized and Indigenous people to deal with deep societal inequities. And Canadians in Northern communities are spending more than twice as much for groceries as those in the South. People are food insecure because they lack the money to buy food. As a result, we need government policies, legislation and programs that will increase incomes and improve affordability for the Canadians at the lowest end of the income spectrum. POLICY RECOMMENDATIONS This report lays out policy recommendations that can reduce poverty and food insecurity, grouped under four main themes: FOOD INSECURITY TARGETS & REPORTING Setting targets to reduce food insecurity will ensure it’s a higher priority. Reporting annually on progress and ensuring we have adequate race-based data can keep the government accountable and help them design effective policies. INCOME SOLUTIONS Millions of Canadians are living below the poverty line. The federal government can boost income supports to ensure that all food-insecure people can afford to put good food on their table. SOCIAL PROGRAMS The cost of living is increasing, and too many Canadians are struggling to cover their basic needs. Social programs, such as child care, affordable housing and pharmacare, can help people make ends meet. EQUITABLE PROGRESS Racialized and Indigenous Canadians experience food insecurity at a much higher rate. Policies and programs must ensure progress on food insecurity is achieved equitably. CHANGE IS POSSIBLE. We understand the problem and how it can be solved. Now we need the political and social will to make it happen. Community Food Centres Canada surveyed 561 people who suffer from food insecurity at 10 Community Food Centres and 12 Good Food Organizations across the country. This was a participatory process, and our approach was guided by focus groups done with community members who experience food insecurity at two Community Food Centres (for more on this, see the Methods section on p. 55). We have written this report in order to show how these community members live with food insecurity, an experience shared by nearly 4.5 million other Canadians. DEMOGRAPHICS - Low-income: 80% - Not in the workforce: 35% - Unemployed but looking for work: 23% - Retired: 19% - Working part time: 12% - Working full time: 7% - Students: 4% Gender - Female: 66% - Male: 32% - Another gender: 2% The average age of adult respondents was 48 (we did not survey children under 18). - 18–30 yrs old: 15% - 31–44 yrs old: 24% - 45–64 yrs old: 45% - 65 yrs old and over: 16% 25% of respondents were immigrants. The top five countries of origin were Bangladesh, Iraq, the United States, Pakistan and the United Kingdom. 25% of respondents self-identified as Indigenous. 2 FOOD INSECURITY IN CANADA “Food insecurity” is not a term that is universally understood. Indeed, many people would describe a lack of adequate food due to financial constraints as “hunger.” But hunger is a word and an idea that fails to capture the reality of many low-income Canadians who must worry about not being able to afford food; skip meals so their children can eat; buy the cheapest, most unhealthy food just to fill themselves; or even go days without eating in order to cover other bills. Distribution of food insecurity by province and territory: Canada’s national average is 12.7%. THERE ARE THREE LEVELS OF FOOD INSECURITY: MARGINAL food insecurity consists of worrying about running out of food and/or limiting food selection. MODERATE food insecurity consists of compromising the quality or quantity of food for fear of running out. SEVERE food insecurity consists of skipping meals, reducing food intake or going entire days without eating. Even before COVID-19, nearly 4.5 million Canadians experienced food insecurity every day,$^1$ many of them among the most vulnerable people in our society. In the first two months of the pandemic, that number increased by 39%, affecting 1 in 7 people.$^2$ While 12.7% of the general population experiences food insecurity,* it affects some far more than others. Systemic racism has led to unacceptably high rates in racialized communities: 17.1% of newcomers, 28.2% of Indigenous people, 28.9% of Black Canadians$^3$ and up to 70% of Inuit adults are food insecure.$^4$ Food insecurity also affects 17.3% of children and 33.1% of single mothers.$^5$ Rates in Northern communities outstrip those anywhere else in the country, nearing 60% in Nunavut.$^6$ Food insecurity is embedded in a web of issues associated with poverty. Food, however, is the first basic expense people cut when they are stretched$^7$ and is therefore one of the best indicators of deprivation. Of the people we surveyed, 36% said they will cut food before other expenses like transportation (28%), medicine (15%), utilities (14%) or housing (7%). This is likely because food is a more flexible expense. If rent, for example, is unpaid, it can lead to eviction. IMPACT ON PHYSICAL HEALTH Not surprisingly, food insecurity has negative impacts on people’s physical health and leaves them more vulnerable to chronic conditions, such as heart disease, hypertension and diabetes.$^8$ People who are food insecure have more difficulty accessing nutritious food and, as a result, eat fewer fruits and vegetables and have lower vitamin intakes.$^9$ The health impact of food insecurity puts significant strain on our healthcare system. In Ontario, annual healthcare costs are 49% higher for adults living in moderately food insecure households and 121% higher for adults living in severely food insecure households.$^{10}$ The problem is so dire that food-insecure adults are more likely to die prematurely, and severely food-insecure Canadians die a full 9 years earlier than those who are food secure.$^{11}$ * Note that this is a pre-COVID statistic. IMPACT ON MENTAL HEALTH Food insecurity also has a negative impact on mental health, leading to increased instances of depression, anxiety, mood disorders and suicidal ideation. Children who experience food insecurity are at risk of hyperactivity and inattention, and are more likely to experience mental-health challenges as adults. The mental-health impact of food insecurity also weighs heavily on our healthcare system: food-insecure Ontarians account for one-third of mental-health-related hospitalizations.$^{12}$ Food insecurity can also cause social isolation,$^{13}$ which, in turn, makes finding support more difficult. Research shows that low-income Canadians feel a lower sense of community belonging. People who live above the poverty line are more than twice as likely to feel included in their neighbourhood.$^{14}$ Social isolation has deleterious health effects as well, leading to a number of chronic diseases and mental-health problems.$^{15}$ Food insecurity is embedded in a web of issues associated with poverty. - 36% of survey respondents said they will cut food before other expenses. - 28% said they will cut transportation before other expenses. - 15% said they will cut medicine before other expenses. - 14% said they will cut utilities before other expenses. - 7% said they will cut housing before other expenses. FOOD IS NOT THE SOLUTION TO FOOD INSECURITY Most people assume that the answer to food insecurity is to provide food to those who don’t have it. But over the last 40 years, it has become clear that this complex problem cannot be solved by giving people food alone. Food banks, which emerged in Canada as a stopgap measure during the recession of the 1980s, have proliferated but have failed to put a dent in the number of people who are food insecure. While they can provide a few days’ worth of food to people in dire circumstances, they do little to address the reason people are in that situation in the first place. Research also shows that only 1 in 5 food-insecure Canadians uses food banks for a variety of reasons, including stigma, unhealthy food choices or inconvenient hours of operation. For those who do use food banks, food banks do little to meaningfully impact their level of food insecurity.\textsuperscript{17} Indeed, Canadians struggling to put food on their tables try a myriad of different strategies before they turn to charity. People are more likely to seek financial assistance from loved ones (a strategy employed by 59.1% of food-insecure people); skip bill payments (47.7%); request assistance from welfare or community agencies (29.5%); and fail to pay their rent or mortgage (28%).\textsuperscript{18} Perhaps unsurprisingly, people are more likely to pursue more private forms of assistance, though these options tend to involve going into debt. During COVID, food charity has received a huge infusion of funds to support the provision of emergency food aid for people living in poverty and those who lost their incomes overnight. While this has been a necessary response to an emergency situation, there are concerns that this could further entrench a system that will never sufficiently compensate for a lack of adequate incomes and social programs. The idea of diverting food waste through charity and into low-income households is gaining ground as a “win-win” solution. It has, for example, received significant government support before and during COVID, through tax benefits for corporations and farmers who donate excess food, and through a new program to support farmers and the food industry by funding charities to buy food they cannot sell. Because small food charities often have difficulty accommodating this excess food, these programs have led to attempts to increase their capacity, thereby fortifying a flawed response. Beyond this, food-waste diversion to charities creates a two-tiered food system, wherein people who have can choose and those who don’t must live off society’s waste. So if giving people food hasn’t solved the problem, what will? Substantial evidence gathered over the last 20 years by academics, researchers and people on the front lines shows clearly that increasing income is the solution to food insecurity. In most of Canada, people are not food insecure as a result of a physical lack of food, but an economic one. As the fifth-largest agricultural producer in the world,\textsuperscript{19} Canada produces and imports more than enough food to feed its population, yet 1 in 8 Canadians lacks the income to adequately access it. FOOD INSECURITY is experienced by 12.7% of the Canadian population. It affects... 17% of children 29% of Black Canadians 33% of single mothers 17% of newcomers 28% of Indigenous people 70% of Inuit adults 3 STORIES & IMPACTS Food insecurity makes people sick, breaks down relationships with family and friends, makes it harder to get a job and leaves a lasting mark on the lives of children. KEY IMPACTS The hundreds of people we surveyed across the country each had unique experiences of food insecurity. There were, however, numerous common themes, which are highlighted below. - Compromised physical health - Mental-health issues - Barriers to employment - Impeded ability to advance in life - Increased social isolation - Limited cultural participation - Family relationships and children 3.1 FOOD INSECURITY COMPROMISES PHYSICAL HEALTH Of the people surveyed, 81% stated that food insecurity compromised their physical health. Nearly two-thirds of these people explained that this was due to malnutrition—either a lack of food and/or an inability to access food that met their dietary needs. The other third connected their poor health to the stress and anxiety they experienced as a result of being food insecure. Of those who discussed the specific ways in which their physical health was affected by food insecurity, 25% had trouble managing one or more chronic health conditions, such as diabetes or cardiovascular disease.* In addition to struggling to afford the specific foods that might help their condition, many respondents noted that they also couldn’t take their prescription medication when they were out of food. Another survey participant noted that because their medicine isn’t covered, “I have to take money out of my food budget. I often have to decide to fix my health issues or feed myself.” These stories are consistent with research that shows that people who are moderately and severely food insecure are, respectively, 3.83 and 5.05 times more likely not to take the medications they are prescribed.$^{20}$ Many respondents noted a correlation between their food insecurity and a variety of health challenges, such as insomnia, headaches, eczema, hair loss and digestive issues. Of those who elaborated on how their food insecurity had impacted their physical health, 8% expressed that it had led to the development of one or more illnesses, such as anemia. “I have coronary artery disease and had bypass surgery. I’m supposed to eat specific foods, but that is not always possible due to money.” Another common theme was feelings of fatigue and exhaustion due to lack of food. “I don’t have any energy anymore. You don’t notice the slide until you’re down. And when you’re down, you try to get out, but you don’t have the energy. I used to eat when I wanted, but now I eat when I can.” * As explained in the methods section (p. 56), this is likely an underrepresentation. There have been some low points for 57-year-old army veteran Cameron Brown over the last couple of decades. But a few years ago, when he had only one tooth left in his upper jaw and he was wasting away because he was unable to eat solid foods, and his body was covered in psoriasis, he went through an especially rough time. “I couldn’t afford to eat well. I could barely pay the bills, keep a roof over my head,” he explains. “I couldn’t buy food that had any vitamins. It was all filler. Canned foods. My teeth just fell out.” After struggling with addiction when he left the army, Cameron had pulled together a life in Nelson, B.C. After the lumber mill closed and jobs became scarce, he was priced out of the rental market and forced to live in a tent on the beach for a year. Eventually, he pieced together seasonal work, got on disability supports and found an affordable apartment, but accessing healthy food remained a challenge. “Everything starts with food,” he says. “Without it, your mental health, your physical health, it all goes. You give up.” Things started looking up for Cameron when he got his psoriasis under control and was fitted with a set of upper dentures last year. These days, he’s the first person many people meet at the Nelson Community Food Centre, where he volunteers as a receptionist, and accesses community dining and food programs. He’s still dealing with a myriad of health issues, including arthritis and thyroid problems, but he’s eating well for the first time in a long time, and he feels it. “My brain is working again,” he says. “I feel good. It makes me happy that I can make others happy.” 3.2 FOOD INSECURITY AFFECTS MENTAL HEALTH Seventy-nine percent of the people we surveyed told us that food insecurity had negatively affected their mental health. They said it made them stressed, anxious and worried.* This stress was often the result of needing to ration food, fear of running out and/or not knowing if or how they would make it through the month. According to recent research, 40% of people who are food insecure struggle with anxiety and other mood disorders.$^{21}$ Food insecurity can make people feel frustrated, aggressive, desperate or pessimistic. Survey participants often explained that this was the result of feeling overwhelmed because of their lack of access to good food. Many respondents said they had become depressed and felt hopeless. Finding themselves unable to provide for themselves or their loved ones in the way they wanted, as well as an acute awareness of what they lacked, exacerbated these feelings. Some explained that they didn’t think they could easily change their situation, and it made them feel hopeless. “We’re trying to not get depressed, but we’re running low. My wife and I argue, and we only have one room to live in. [She] gets inconsolable when she doesn’t eat.” Survey participants who described themselves as depressed explained that this often led to feelings of worthlessness and inadequacy. Many noted the stigma associated with food insecurity and appeared to have internalized the notion that their food situation made them inferior or “less than” those who had access to food. Some survey participants reported that not having access to food decreased their motivation and ability to concentrate. Several respondents added that thinking about a lack of food all the time made it difficult to focus their energy elsewhere. For others, food insecurity made it hard to sleep. “[I] can’t focus. I get kind of lethargic and don’t think clearly. [I] can’t concentrate because I’m worried and hungry and don’t know where my next meal is going to come from.” A few participants said the situation was so dire that they had contemplated suicide. This is also borne out in research that suggests suicidal ideation is significantly associated with moderate and severe food insecurity.$^{22}$ * As explained in the methods section (p. 56), this is likely an underrepresentation. NICOLA MOORE HAMILTON COMMUNITY FOOD CENTRE Nicola Moore is the kind of person you want on your team. She’s capable and motivated, fun and well organized. Not only that, she’s mom to three kids under nine, a dynamo neo-soul singer/songwriter and hosts her own podcast about being a single parent. She is also, like 4.4 million other Canadians, food insecure. “It’s a huge stressor. I am constantly thinking about how I’m going to feed my children. It takes up so much headspace. It affects my sleep, my mood and my health. And I know that this can cause depression.” “Food is connected so much to health and well-being,” she adds. “So when I can’t afford my own well-being, when I suffer as a mom, guess who else is suffering?” Nicola has found a renewed sense of purpose in her work as a peer advocate at the Hamilton Community Food Centre, helping others access the resources—maybe housing or mental-health programs—they need. She sees herself as a bridge between struggling people and the supports available to them. But when income from this part-time work ends up clawing back on Ontario Works payments, and the Canada Child Benefit doesn’t get her family to the end of the month, it’s hard to see her own way forward. “I’m meal planning, watching sales and using free programs to assist with my food budget. I just think of the activities I could be doing with my family if I didn’t have to spend all my time thinking about food.” Finding and maintaining paid work was made more difficult because of food insecurity for 57% of our survey respondents. When asked to elaborate, half of these people noted that this was because of physical- and mental-health impacts they had experienced.* Some just didn’t have the energy to look for work, either because they hadn’t eaten or were preoccupied with where their next meal would come from. Other respondents explained that food insecurity had affected their motivation, self-esteem or confidence, making it difficult to find and secure a job. “[Food insecurity] creates anxiety, and it erodes motivation to contribute.” Nearly one-third of respondents explained that the time it took to meet their food needs and/or the general instability that comes with being food insecure interfered with their ability to find and keep work. For some, this meant countless hours searching and waiting for emergency food. For others, it meant trying to deal with episodes of hunger caused by unpredictable access to food. “Without food, I don’t have the mental or physical energy to go out to find a job or maintain a job. It’s hard to do a good job when you’re hungry.” Several respondents noted that they could not afford the costs associated with employment, such as transportation, child care and suitable clothing needed to meet dress codes. Accessing the training required to increase their employability was also out of reach for some. Paying for these expenses, they explained, would cut into their food budget, and eating had to come first. “Going to work—how do you get there? Is there a dress code? Can you afford to buy what you need? Or do you buy food?” * As explained in the methods section (p. 56), this is likely an underrepresentation. Food insecurity was also highlighted by 53% of our survey respondents as a barrier to finding meaning and purpose in their lives. The daily grind of not knowing how they would feed themselves or their families made it difficult to imagine or start to build another kind of life. Mental-health issues associated with lack of food access led to low self-esteem, questioning their self-worth and feeling negatively about their intelligence and prospects. “I thought I was a smart person, but this is where I am.” “One reason I couldn’t finish school was because I was so sick, and I was so sick because of lack of food.” “Consistently worrying about food puts a ceiling on what I can achieve. I spend so much time stressing that I don’t have time for new things.” Food insecurity also made some of our respondents feel that the choices available to them were limited. Nearly one-third explained that their food situation trapped them in survival mode.* They were so preoccupied with meeting their basic needs, they felt unable to aim higher. “If you don’t have enough to feed yourself, then there is no ladder to climb.” * As explained in the methods section (p. 56), this is likely an underrepresentation. 3.5 FOOD INSECURITY INCREASES SOCIAL ISOLATION How can one participate? Most activities cost money. If money is tight, food is first. Engaging in social activities and community events is something many Canadians take for granted. But 58% of our survey respondents told us that food insecurity limited their ability to participate in such occasions. With no money for food, they explained, there certainly wasn’t money for fun. Indeed, people living on low incomes are six times more likely to be socially isolated.$^{23}$ Some respondents explained that poor health related to food insecurity further compromised their ability and/or desire to interact with others. Most commonly, these were mental health issues, such as depression, stress and anxiety, but for others, poor physical health prevented them from participating in social activities. There were also survey participants who told us they were so preoccupied with trying to meet their basic food needs that they didn’t have the time or energy to get involved in their community or connect with friends and neighbours. “I don’t have the energy to participate. I give all my food to my child. We don’t have money to buy food while out, or even snacks, and that gives me social anxiety. I certainly can’t host people for dinner.” Survey participants also highlighted embarrassment or shame about their food situation as another reason for not participating. For some, this lack of social engagement had a severe impact on their mental health. “Someone will invite me somewhere, but I can’t keep asking them for money. [Being alone] makes me really bored—and, at times, that makes me feel like ending everything.” Some respondents told us they intentionally isolated themselves because they were ashamed of their food insecurity. When 69-year-old Joyce Budd moved back to Calgary 4 years ago, she had a good job and an affordable place to live. But when she was fired as a result of health problems, including diabetes and arthritis, she had to cash in her pension early and owed the government lots of money. “It was really hard to afford healthy food,” she says. “I ate a lot of junk—which was bad for my diabetes and didn’t help my mood. I got very depressed and didn’t know what to do with myself. I didn’t reach out to the world. I just stayed on my couch and watched TV.” Newly divorced, with few friends in Calgary and her children and grandchildren busy with their own lives, Joyce became isolated. She was so low, she couldn’t even cry. “Smiling was difficult, too,” she recalls. “I’m a fun-loving person. I like to laugh, but I’ve seen pictures of myself from that time and I had to force a smile—it shows.” When she had suicidal thoughts, Joyce knew she needed more help. A social worker set her up with programs and mental-health supports, and she discovered The Alex Community Food Centre. Her training working in hospital kitchens made it a perfect fit. Since then, Joyce has participated in cooking programs and works as a peer advocate, supporting others to access some of the resources that helped her. Her latest contribution is the introduction of a monthly celebration with cake and a card for community members whose birthday falls in that month. “I’m surprised by how many people come in and ask about it,” she laughs. “But it’s a chance to get to know one another. Lots of people haven’t celebrated in a long time.” 3.6 FOOD INSECURITY LIMITS CULTURAL PARTICIPATION Many survey respondents spoke about the ways food insecurity created a barrier to participating in cultural events and holidays. Without money to contribute to meals and gift exchanges, 46% said they felt excluded from expressing, sharing or celebrating their culture. “I can’t buy Christmas or birthday gifts for my grandkids, which hurts me. I don’t go to their celebrations because I feel bad.” “My daughter’s birthday was hard. I had to borrow money just so she could see other kids and eat pasta.” “It’s really unfair that I can’t afford to express my Indigenous culture.” Many respondents explained that they cannot afford the specific foods and ingredients that are associated with their culture, home country or religious background. “I want to make tamales and croquetas. I can’t afford to get to places that sell them or to make my [traditional] food. Today is All Saints’ Day and Día de los Muertos. I would like to make tamales to offer to the dead, but I can’t.” “I don’t have access to the right ingredients. This makes me feel not proud about my culture.” Another strong theme expressed by respondents was the powerful impact food insecurity had on relationships with family and friends. Sixty-four percent of people we surveyed told us their connection with loved ones had been affected by their lack of access to food. Of those who elaborated, 60% explained that they would skip gatherings if they didn’t have food to contribute or the financial means to participate.* “A lot of our society is centred around food. ‘Let’s go for lunch,’ ‘Let’s grab a coffee,’ ‘Let’s have dinner.’ I have to explain that I don’t have enough food or money to do that. Then they don’t invite me over because I can’t have them over.” Survey participants noted that they didn’t want to talk about their food insecurity with friends or family and, as a result, isolated themselves to avoid having to explain. Our respondents spoke often of the shame, embarrassment, anxiety or negative moods they experienced due to poor food access. People who did bring up food insecurity with their loved ones noted that it often put a strain on the relationship. Asking for financial assistance from family, for example, would sometimes create tension. Additionally, judgement from family members could lead to arguments. In some cases, participants explained that just figuring out how to get everyone fed caused stress and strained relationships. “It gets tense between my husband and me. I have to figure out how to feed even more mouths with a really limited budget, and it’s hard.” * As explained in the methods section (p. 56), this is likely an underrepresentation. Despite parents’ efforts to protect them, children are also deeply affected by food insecurity. Of our respondents with children, 59% felt it had negatively affected their kids. The figures would likely be higher, but research shows that food-insecure parents, particularly mothers, will often skip meals or eat less so that their children can eat more.\textsuperscript{24} Parents noted that their family’s food insecurity affected both the quantity and quality of their children’s diet. Often they had no food available to pack lunches for school, or the whole family had to skip dinner. Parents also spoke of a lack of variety, limited fresh foods and an over-reliance on processed and pre-packaged foods. Our respondents reported stress, guilt, shame and anxiety over their inability to provide for their children in the way they wanted. They said this had an emotional impact that reverberated through the entire family. In other cases, parents said their children’s health had been negatively affected. For example, they mentioned diabetes and anxiety, as well as behavioural issues, such as crankiness and difficulty concentrating, which impacted their child’s education. “My younger daughter, who was in pre-professional dance, used to eat as much as a large adult male. Now, without access to enough food and only unhealthy food, she does not have the stamina to continue dance.” Many parents also noted that their children recognized their situation was different from those of their peers and felt feelings of shame, embarrassment or worry. “If we go somewhere that serves food, my son will want a snack. I make sure he’s fed before, but he’ll keep saying, ‘I’m hungry, I’m hungry.’ I get so embarrassed because I think people assume I’m not feeding him. We can’t afford that food out though.” While we did not interview children, research suggests they experience food insecurity differently from their parents.\textsuperscript{25} Adults, for instance, often think they are doing a better job of concealing their lack of food from their children than they really are. Indeed, children report seeing their parents bargain hunting and looking to buy the cheapest food. Kids also employ their own strategies, such as eating less at meal time or asking their siblings not to snack. Children have strong emotional reactions to food insecurity, which include anxiety, sadness and anger. This can be exacerbated in situations in which their parents are suffering from physical- or mental-health issues. Packing lunch for picky kids is nobody’s favourite morning activity. But for Junie Omand-Penner and Brad Penner, Winnipeg parents to two teenage girls, it’s especially challenging. “The girls say so-and-so is having this special thing for lunch—like Japanese noodles or something—can we get it, too?” Brad explains. “We have to tell them, no, we can’t afford it.” Living on disability and social assistance with Brad back at school working on his mature Grade 12 and Junie at Red River College studying community development, there’s nothing in the family budget for extras. They watch for sales, use emergency food programs and frequent the NorWest Co-op Community Food Centre’s fruit and veggie market, but it’s stressful to juggle everyone’s different needs. “The girls have been bullied and have a lot of anxiety around food issues,” Junie says. “Not having food causes stress in our relationship, too. Arguments. Should we borrow money? Where will we get food? There’s a lot of negotiation.” It can be isolating, as well. Brad can’t remember the last time they went to someone else’s place for dinner or invited friends over to share a meal. Even sleepovers can be tricky, he says: “You worry that you can’t provide what other kids’ families might—like pizza or ingredients for making muffins.” Both Brad and Junie work hard to shield the girls from their worries. “They don’t often show the burden they feel,” Brad explains. “But I feel bad saying no. I try to teach them we have a small budget and we have to make sacrifices.” “I had to go to food banks, and that was so tough. It wrecked the quality of my children’s lives. It was awful. I was trying so hard after coming out of a difficult marriage. My daughter once said, ‘We’re just white trash, Mom. We’re eating from food banks.’” “I sometimes have to miss shifts at work to access food. The food I access is worth more than the 1 to 2 hours of work.” “I feel a lot of guilt and sadness to see my two teens who love to eat healthily now eating unhealthy foods.” “My sugars go up when I can’t eat, and then I worry because [when] I can’t eat, I have to skip my medications. It drives you to desperation. People don’t believe you when you say you haven’t eaten in 4 days, but I know it’s true.” “I mostly just lack energy. It spirals into, ‘I can’t do anything’ and then, ‘I’m useless.’” “I would sometime have $3 when my kids would visit. We’d have to figure out how to get to the store and buy food on that money.” “Food is central to all our events, so if I don’t have food, we suffer. People won’t come over and kids don’t have a good time.” “You downsize. You don’t set your sights too high. You don’t set too many goals because of disappointments.” “[Food insecurity] wreaks havoc on your psyche. You can’t live how you want and can’t do what you want. It’s upsetting to not be able to care for yourself.” “I’m not looking forward to Thanksgiving—you don’t want to be around people because they’ll ask how you’re doing, but I don’t want the pity look.” “I can’t have the food that I want. It’s hard because I have to take what they give me [at food banks], but it’s often not healthy or enough.” “I didn’t feel a part of society. I felt very limited.” WHY IS THIS HAPPENING? In a country as prosperous as Canada, the stories, quotes and data that emerged from this survey will likely seem shocking. So why is this happening? The answer, of course, is multifaceted but points to an economy and a social-safety net that must—and can—do more to help Canadians. CRITICAL FACTORS People experience food insecurity due to a confluence of factors that leave too many living on unacceptably low incomes, paying too much for basic needs and confronting structural inequality. - Low wages and precarious work - Social-assistance rates are too low - Rising cost of living - Increase in people living alone - Systemic racism and colonialism - The cost of food in Northern Canada 4.1 LOW WAGES AND PRECARIOUS WORK The labour market is changing, and low-wage and precarious work are becoming realities for more and more people in this country. While nearly two-thirds of food-insecure households earn most of their income through salaries or wages,$^{26}$ the kind of jobs that are available simply don’t pay enough. Full-time work is on the decline, and part-time and temporary work are replacing it. Part-time employees increased from 12.5% of the workforce in 1976 to 19.6% in 2016, and temporary employees increased from 8.6% in 1997 to 13.5% in 2016—a figure that puts Canada above the OECD average.$^{27}$ This is not a trend that is likely to be reversed any time soon: technology is rapidly changing the labour market, with the platform and gig economy$^$ projected to grow globally by 33% a year.$^{28}$ Indeed, many of the sectors that have exhibited the most growth over the last decade—including retail, accommodation and food services—also provide the lowest-quality jobs in terms of wages, benefits, work environment and potential for career advancement.$^{29}$ Low-wage workers tend to have fewer benefits, such as pensions, health and dental coverage, as well as paid sick leave.$^{30}$ The most vulnerable sectors of our society, including women, youth, seniors, people without post-secondary education, newcomers and racialized people, are all more likely to be precariously employed.$^{31, 32}$ With a rapidly changing and increasingly precarious labour market, a strong social-safety net is essential. Unfortunately, many protections for workers, such as Employment Insurance, were designed with traditional, permanent, full-time jobs in mind and therefore leave people in less traditional employment falling through the cracks.$^{33}$ Other countries with high living standards, such as Sweden and the Netherlands, offset high rates of temporary employment with strong social-safety nets,$^{34}$ which provide a buffer against precarious work. --- These terms refer to temporary or freelance work in which the worker is generally not considered an employee and in which workers and customers are usually connected through an online platform. 4.2 SOCIAL-ASSISTANCE RATES ARE TOO LOW While most food-insecure Canadians are attached to the workforce, there is no group of people more likely to be food insecure than social-assistance recipients. Households depending on social assistance, in fact, are two to four times more likely to be food insecure than those relying on employment income.\textsuperscript{35} According to the 2016 census, more than 1.3 million Canadians, or 4.6% of the population, are on social assistance, either welfare or disability support.\textsuperscript{36} But there is no province or territory where these benefits come close to covering basic needs. As of the publishing of this report, a single person in Ontario receives $733 per month on social assistance,\textsuperscript{37} while the average rent and utilities for a one-bedroom apartment total $943.\textsuperscript{38} Taking into account social-assistance rates and other government transfers (such as child benefits), welfare incomes for single adults in Canada fail to bring people above the government’s own low-income measure. In New Brunswick, where the gap is widest, welfare recipients are short of the cutoff by $16,928 a year. To make matters worse, in most provinces, social-assistance rates have not kept up with the cost of living,\textsuperscript{39} effectively decreasing recipients’ purchasing power year after year. While this paper focuses on actions that can be taken by the federal government (social assistance is in the jurisdiction of provinces and territories), it would be remiss not to point out the obvious role low social-assistance rates play in trapping people in poverty. \begin{itemize} \item Social assistance in Ontario/month: $733 \item Average rent and utilities for a one-bedroom apartment in Ontario/month: $943 \item Low-income threshold (after tax) for a single adult in Ontario/month: $2,015 \end{itemize} The rising cost of living is making it increasingly difficult for people to make ends meet. While food insecurity is strongly correlated with low income, 30.3% of food-insecure Canadians actually have incomes over the low-income measure.\textsuperscript{40} Though many people’s incomes are considered adequate, the cost of housing, child care, prescription medication and other basic needs leaves them with too little money left for food. Housing costs in Canada are increasingly unaffordable, especially in larger cities. In 2016, 1.6 million urban households, or 13.6%, were in core housing need.\textsuperscript{41} A household is considered in core housing need if it spends 30% or more of its gross income on housing. The problem is most dire for the lowest-income quintile, most of whom are paying well over 50% of their income on rent and utilities.\textsuperscript{42} Child care is also a huge source of financial strain for many Canadian families. In provinces without substantial child-care programs, the costs are astronomical—up to nearly $22,000 per child per year in Toronto. To make matters worse, costs continue to rise as high as six times the rate of inflation.\textsuperscript{43} The cost of prescription medications is also a financial strain, particularly for those who lack public or private coverage. One in five Canadians has trouble affording their prescriptions, and 3 million people simply do not take their prescribed medication because they can’t afford it. Of those who do take medication, 1 million cut down on food and heat in order to pay the cost.\textsuperscript{44} Food prices are also on the rise and are projected to increase by 2 to 4% in 2020, a $487 annual increase for the average Canadian family. This will bring a household’s food spending up to $12,667 per year.\textsuperscript{45} In 2016, 13.6% of urban households spent 30% or more of their gross income on housing. Child care costs as much as $22,000 per child per year in Toronto. 1 in 5 Canadians has trouble affording their prescriptions. Food prices are projected to increase by 2 to 4% in 2020. 4.4 INCREASE IN PEOPLE LIVING ALONE People living alone are now the most common household type in Canada, having overtaken couples with children. The number of people living alone has increased from 1.7 million people in 1981 to 4 million in 2016—from 9% to 14% of the population.$^{46}$ And poverty rates among this group have also risen. While poverty has decreased for all other household types, it has increased slightly for single adults.$^{47}$ As the cost of living rises, these people must shoulder household expenditures on their own. Not surprisingly, 41% of people living alone live in unaffordable housing, compared with just 17% of those who live in households of two or more.$^{48}$ In addition, these people are increasingly relying on social assistance: from 2000 to 2011, the number of single adults on welfare in Ontario rose by 65%.$^{49}$ Food banks have also seen an increase in the number of single adults using their services. In fact, they represent nearly half of all food-bank users, despite making up just over one-quarter of the population.$^{50}$ Indeed, 43% of people who are food insecure in Canada are unattached adults, living alone or with others.$^{51}$ $^{46}$ Note that the statistics for people living alone are different than those for single adults, who may live alone or with others. More and more Canadians are living alone, having to shoulder household costs on their own. Indigenous communities must be supported in rebuilding their traditional food systems and achieving food sovereignty. 4.5 SYSTEMIC RACISM AND COLONIALISM As discussed above, many racialized Canadians face much higher food-insecurity rates than non-racialized people. Food insecurity is highest among Black (28.9%) and Indigenous (28.2% off reserve) people, but is also unacceptably high among Arabs and West Asians (20.4%) and South Asians (15.2%), compared with non-racialized people (11.1%).\textsuperscript{52} Even when accounting for income, education, household composition and whether a household owns or rents their home, Black Canadians are almost twice as likely to be food insecure as white Canadians.\textsuperscript{53} For example, while home ownership is protective against food insecurity, Black homeowners have the same rate of food insecurity as white renters. This points to systemic racism as the determining factor. There are also significant disparities between the income and wealth of non-racialized people and racialized and Indigenous people in Canada.* In 2015, racialized men earned 78 cents and racialized women earned 59 cents per dollar earned by non-racialized men (non-racialized women earned 67 cents).\textsuperscript{54} Indigenous people made 75 cents for every dollar made by non-Indigenous people, and that number drops to 55 cents for Indigenous women.\textsuperscript{55} Racialized Canadians are also less likely to have capital gains and investment income than non-racialized people, with the average amount of capital gains being 29% higher and of investment income being 47% higher for non-racialized people.\textsuperscript{56} Again, this points to systemic racism. For example, non-racialized newcomers are more successful in the labour market than racialized newcomers, and this income inequality persists into second and third generations.\textsuperscript{57} While Indigenous people are also subject to systemic racism, they face the additional challenge that food was used as a tool of colonialism. Indigenous food systems were disrupted by displacement and the decimation of traditional food sources, such as the buffalo in the Prairies.\textsuperscript{58}, \textsuperscript{59} Residential schools and the Sixties Scoop disrupted intergenerational knowledge transfer of traditional food ways.\textsuperscript{60} In addition to closing the income and wealth gaps between Indigenous and non-Indigenous Canadians, Indigenous communities must be supported in rebuilding their traditional food systems and achieving food sovereignty. In this instance, the term “racialized” does not include Indigenous people; rather, it refers to people designated as “visible minorities” in the census. Food insecurity in Northern Canada is significantly more prevalent than in the rest of the country. In Nunavut, where rates are highest, food insecurity has ballooned from 33.1% of the population in 2010 to 57% in 2018. The reasons for this are multifaceted, and largely stem from colonialism and the displacement of Indigenous peoples. The astronomical cost of shipping food to Northern and remote communities is one of the central challenges. The cost of a nutritious food basket for a family of four in Toronto in 2015 was $847; the same basket was $1,909 in Attawapiskat in Northern Ontario. The federal government program Nutrition North Canada is intended to subsidize the cost of healthy food in the North. But according to the 2014 Auditor General’s Report, there is little evidence the subsidy has been passed on from retailers to consumers. Recent research shows the program has been unsuccessful in reducing food insecurity in Nunavut. Increased funding to the program (to $99 million per year), as well as other improvements—notably the creation of a Harvesters Support Grant to decrease the costs associated with hunting and procurement of country foods—are positive, but much more action will be required to curb the growth of food insecurity in the North and support the redevelopment of local food systems. Food insecurity in Nunavut \| Year \| Percentage \| \|------\|------------\| \| 2010 \| 33.1% \| \| 2018 \| 57.0% \| The cost of a nutritious food basket for a family of four in Toronto in 2015 was $847; the same basket was $1,909 in Attawapiskat in Northern Ontario. - Toronto: $847 - Attawapiskat: $1,909 The astronomical cost of shipping food to Northern and remote communities is one of the central challenges. 5 SOLUTIONS While Canada is one of the wealthiest countries in the world, gaps in our social-safety net have left millions living with food insecurity. PRIMARY RECOMMENDATIONS* Government programs and policies can prioritize action on food insecurity and close the gap between incomes and the cost of living. - Set targets and improve reporting Setting targets to reduce food insecurity will ensure it’s a higher priority. Reporting annually on progress and ensuring we have adequate race-based data can keep the government accountable and help them design effective policies. - Invest in income policies Millions of Canadians are living below the poverty line. The federal government can boost income supports to ensure people can put good food on the table. - Invest in social programs The cost of living is increasing, and too many Canadians are struggling to cover their basic needs. Social programs, such as child care, affordable housing and pharmacare, can help people make ends meet. - Ensure equitable progress Racialized and Indigenous Canadians experience food insecurity at a much higher rate. Policies and programs must ensure progress on food insecurity is achieved equitably. 5.1 POLICY RECOMMENDATIONS Government policy that increases incomes has been proven to reduce food insecurity. Along with social programs that can make basic necessities more affordable and frameworks to ensure equitable access, the federal government can make huge inroads by introducing progressive income policy. Recently, the federal government has made some progress on this file. The Canada Child Benefit (CCB), a monthly payment that supports families with children under 18, provided recipients with an average of $6,800 in the year after its 2016 implementation—around $2,300 more than its antecedent. The results are impressive: research shows a 30% decrease in severe food insecurity among families with children.$^{68}$ The federal government has announced it will further increase the CCB by 15% for families with children under the age of 1.$^{69}$ We have also seen the positive impact of income from seniors’ benefits—like Old Age Security, the Guaranteed Income Supplement and Canadian Pension Plan—on food insecurity. After the age of 65, Canadians’ risk of food insecurity decreases by half as many people transition from low-wage, precarious employment to these government supports.$^{70}$ Despite the improvements for Canadian children and seniors, single adults, who comprise 43% of the food-insecure population, have largely been left behind. And Black, Indigenous and other racialized people continue to experience food insecurity at a much higher rate than non-racialized people. The introduction of the Canada Emergency Response Benefit during COVID-19 has provided an important opportunity to experiment with providing an income floor for all Canadians that is nearly three times welfare rates in many provinces. This has led to a national conversation around the need for adequate supports for people living in poverty or facing unemployment. The following recommendations are policies and programs the federal government could implement to decrease food insecurity in Canada. We have grouped them under four themes: 1) Setting targets and improving measurement of food insecurity; 2) Investing in income supports in order to create an adequate income floor; 3) Investing in social programs to improve affordability; and 4) Ensuring all progress is achieved equitably. 5.2 SET TARGETS AND IMPROVE REPORTING ON FOOD INSECURITY SET FOOD INSECURITY REDUCTION TARGETS IN LINE WITH SUSTAINABLE DEVELOPMENT GOAL 2 Canada has adopted the United Nations’ Sustainable Development Goals (SDGs), a comprehensive plan for international action on some of the world’s most intractable problems. United Nations member countries are meant to be working toward resolving these issues by 2030. SDG 2, Zero Hunger, aims to “End hunger, achieve food security and improved nutrition and promote sustainable agriculture.” In order to accomplish this, the federal government should tie this goal to the Poverty Reduction Strategy and set the target to reduce food insecurity* by half—from 12.7% of the population to 6.35%—by 2030. There must also be specific targets set for Indigenous, Black and other racialized populations to ensure equitable progress. The eventual goal must be eliminating food insecurity entirely. REPORT ANNUALLY ON FOOD-INSECURITY RATES AND COLLECT BETTER RACE-BASED DATA In order to create policies to reduce food insecurity, we need up-to-date national data on its prevalence and on the people it affects most. While Statistics Canada does publish some information, detailed reporting is left to academics, who must wait months for access to data. Statistics Canada should release annual, comprehensive and timely reporting on food insecurity in Canada, as is standard in other countries like the United States.* It is vital that disaggregated data be released to ensure that we understand demographic disparities and monitor the equity in effectiveness of all interventions. Also, while race-based data on food insecurity is collected, sample sizes are so small that it is difficult to get a detailed understanding of all of the factors that lead to the high levels of food insecurity among racialized and Indigenous Canadians. The federal government should explore oversampling certain groups for which sample sizes are too low in order to obtain sufficient data. * It should be noted that setting a target to decrease food insecurity was mentioned as a potential responsibility of the Canadian Food Policy Advisory Council that is in the process of being created through A Food Policy for Canada. ** See www.ers.usda.gov/topics/food-nutrition-assistance/food-security-in-the-us/. 5.3 INVEST IN INCOME POLICIES FOR LOW-INCOME CANADIANS INVEST IN INCOME SOLUTIONS TO FOOD INSECURITY, PARTICULARLY FOR SINGLE ADULTS Work should be a pathway out of poverty. What we are seeing in Canada, however, is a rise in part-time and precarious employment, with minimum-wage employees making up 10.4% of the workforce in 2018, a steep increase from 5.2% in 1998.$^{73}$ Governments must help to close the gap between working incomes and the poverty line. While much of this responsibility lies in the jurisdiction of provinces and territories (i.e., minimum wages and social assistance), the federal government has some important levers at its disposal. They must also help those who cannot work due to disability. REFORM EMPLOYMENT INSURANCE SO IT BETTER MEETS THE NEEDS OF LOW-INCOME CANADIANS Employment Insurance (EI) is a vital program that provides support for people who are unemployed while they look for work or boost their skills. Unfortunately, low-wage workers do not have as much access to EI as their higher-wage counterparts. In 2017, only 68% of unemployed low-wage workers who had contributed to the program and had left their jobs for permitted reasons accessed benefits,$^{74}$ compared to the Canadian average of 84.3%.$^{75}$ The federal government has instituted temporary changes to EI to provide more assistance to people during the COVID pandemic, but permanent solutions are needed. Everyone who contributes to EI and is in need ought to get this support. The federal government should create an intermediary program that would support eligible people as soon as they lose their jobs or create a new stream specifically designed for low-wage earners and people in precarious employment. This would ensure low-income workers have more equal access to EI. In addition to increasing access to EI, the federal government must ensure that the income it provides is sufficient to cover basic needs. The current 55% income replacement rate deepens poverty for low-wage workers. In order to ensure Canadians can continue to make ends meet while on EI, the benefit rates should be increased to 75%, and to 85% for low-wage workers. 5.3 INVEST IN INCOME POLICIES (continued) CONVERT NON-REFUNDABLE TAX CREDITS INTO REFUNDABLE TAX CREDITS, WITH A PRIORITY ON THE DISABILITY TAX CREDIT Tax credits are one of the most important tools at the federal government’s disposal to decrease poverty and food insecurity. Canada has two kinds of tax credits: refundable and non-refundable. Refundable tax credits, like the Canada Child Benefit, can offer tax refunds for people with incomes below a certain threshold. As they put money straight into people’s pockets, they are an important lever for decreasing poverty. Non-refundable tax credits, on the other hand, decrease the taxes people owe, which is useless to many low-income people, who pay little to no tax. Converting certain non-refundable tax credits to refundable ones is a key area in which the federal government can support low-income Canadians. The Disability Tax Credit (DTC), for instance, is currently non-refundable. Around 2.7 million Canadians live with a severe or very severe disability.\textsuperscript{76} People with severe disabilities are more likely to be unemployed,\textsuperscript{77} and 30% live under the low-income measure.\textsuperscript{78} For these people, the DTC is of little use. If it were converted into a refundable tax credit, however, it would provide these individuals with up to $1,262.40 per year. For a single person on disability support living in Ontario, this would amount to a 9% increase in income. CREATE A REFUNDABLE TAX CREDIT FOR WORKING-AGE ADULTS As previously mentioned, the federal government offers supports for parents of children and for seniors that have been proven to lower rates of food insecurity among those groups. Federal supports available to adults aged 18 to 64 who don’t have children, such as the GST/HST Credit (which helps people on low and modest incomes offset the sales tax they pay) and the Canada Workers Benefit (which provides support to low-income workers), are much less generous. This leaves many Canadians working in minimum-wage jobs or on social assistance unable to make ends meet. The federal government should explore the creation of a more substantial refundable tax credit aimed at working-age adults that could decrease the higher levels of poverty and food insecurity for this population and that would set an income floor beneath which no Canadian could fall. 5.3 INVEST IN INCOME POLICIES (continued) ENSURE LOW-INCOME CANADIANS, PARTICULARLY FIRST NATIONS LIVING ON RESERVE, HAVE BETTER ACCESS TO TAX-FILING SUPPORTS AND BENEFIT SERVICES Tax credits and other government benefits are effective ways for the federal government to support low-income Canadians, but these benefits depend on people filing their income tax. People don’t file their taxes for a variety of reasons, including low financial literacy, fear of making mistakes and mental-health barriers.$^{79}$ This is especially challenging for people with low incomes.$^{80}$ Vulnerable Canadians are not accessing an estimated $1 billion in tax credits and benefits for which they are eligible.$^{81}$ Approximately 5 to 10% of low-income households do not access the tax credits they are due. This is a significant problem, considering they can make up to 50% of a household’s income.$^{82}$ Racialized and Indigenous communities experience significant administrative barriers to tax filing and are therefore more likely to miss out on government benefits. Communication about benefits does not necessarily reach these populations, and benefit applications can be exceedingly complicated. This has huge financial repercussions for these communities. For example, the federal government estimates that 1 in 5 on-reserve families will miss out on the Canada Child Benefit,$^{83}$ which can provide up to $6,639 per child. The federal government has been working to increase tax-filing rates, but there is more to be done. There are a multitude of solutions to be explored, including simplifying and automating the tax-filing and benefit-application processes and promoting tax credits and benefits. They should also provide more support for the Community Volunteer Income Tax Program (CVITP) that supports community tax clinics and invest in one-on-one benefit navigation assistance to better help people access government benefits.$^{84}$ The government should also continue to reach out to Indigenous communities, begin outreach to racialized communities and work with partners to make sure these populations have access to the tax and benefit services they need. This should include exploring innovative tax-filing models outside of the CVITP, which doesn’t work well—not only for many Indigenous communities, but also for other segments of the population like newcomers and the self-employed.$^{85}$ 5.4 INVEST IN SOCIAL PROGRAMS TO IMPROVE AFFORDABILITY ACCELERATE THE IMPLEMENTATION OF THE CANADA HOUSING BENEFIT AND INCREASE INVESTMENTS OVER TIME All Canadians should have access to affordable housing. Indeed, the National Housing Strategy Act, signed into law in 2019, declares adequate housing a human right. Announced as part of the National Housing Strategy, the Canada Housing Benefit (CHB) is a portable benefit (meaning it moves with you instead of being tied to a specific housing unit) that provides direct financial support to Canadians in core housing need. The CHB is a $4-billion program with the eventual goal of supporting 300,000 Canadian households with an average of $2,500 a year.$^{86}$ This support will be vital to recipient households. However, as the program is expected to roll out between 2020–2021 and 2027–2028, many Canadians will wait far too long for this support. The federal government should accelerate the implementation of the CHB so that struggling Canadians get the help they need as soon as possible. The CHB should also focus on people in severe housing need (those who spend 50% of their income or more on housing) and populations who are at highest risk of homelessness, such as Black populations in some urban centres. Once the structure is in place, the federal government should increase investments in order to close the gap between income and rent for as many Canadians as possible. In addition to speeding up the introduction of the CHB, there must be investments in new affordable housing and retrofitting existing units, which are included in the National Housing Strategy. 5.4 INVEST IN SOCIAL PROGRAMS (continued) OVER TIME, INCREASE FEDERAL EARLY LEARNING AND CHILD CARE FUNDING UNTIL THE INTERNATIONAL BENCHMARK IS MET All Canadian families should be able to access quality child care without sacrificing their health and well-being. Currently, child-care costs across much of the country are exorbitant, leading families to make difficult choices and disincentivizing women returning to the workforce. The international benchmark for child-care spending is 1% of GDP, but Canada only spent half of that in 2018.$^{87}$ The federal government is making some important investments in child care, but these should be expanded over time until the 1% benchmark is met. Investments in child care pay for themselves. Around 150,000 women in Canada with high levels of education and a partner currently stay home to take care of their children. If these women were employed and paid taxes, the International Monetary Fund estimates GDP would increase by two percentage points, raising tax revenues by $8 billion.$^{88}$ INSTITUTE A UNIVERSAL PUBLIC PHARMACARE PROGRAM No Canadian should have to choose between paying for medicine or paying for food, yet around 20% of our fellow citizens lack drug coverage.$^{89}$ Universal pharmacare is a stated priority of the federal government. In his mandate letter, Prime Minister Trudeau instructed the Minister of Health to “continue to implement national universal pharmacare, including the establishment of the Canada Drug Agency, and implementing a national formulary and a rare disease drug strategy to help Canadian families save money on high-cost drugs.”$^{90}$ However, the timeline for implementation is unclear. In order to ensure Canadians can afford the medicine they need, the government should implement a universal pharmacare program as soon as possible. 5.5 ENSURE PROGRESS ON FOOD INSECURITY IS ACHIEVED EQUITABLY IN PARTNERSHIP WITH NORTHERN LEADERSHIP, CONTINUE TO REFORM NUTRITION NORTH CANADA Northern Canadians should have access to affordable nutritious food. As explained above, food insecurity in the North is a complex problem that requires a multifaceted approach tied to reconciliation efforts. As part of this, ongoing reforms to Nutrition North Canada (NNC) are necessary to lower the cost of food in Northern communities and strengthen local food systems. While it is too early to tell how some of the changes made to NNC will affect people in the North, food-insecurity rates remain unacceptably high. The federal government should follow Inuit and Northern leadership, and continue to work with the Inuit-Crown Food Security working group and other Northerners to ensure NNC becomes more effective at providing affordable access to nutritious foods and supports the hunting and harvesting of traditional foods. IN PARTNERSHIP WITH INDIGENOUS LEADERSHIP, CREATE AN INDIGENOUS FOOD SOVEREIGNTY FUND Considering the unacceptably high rates of food insecurity affecting Indigenous people and the decimation of Indigenous food systems and knowledge, the federal government should create a fund to support Indigenous food sovereignty projects. Such projects could include hunting, fishing and gathering, Indigenous agriculture and intergenerational knowledge transfer of Indigenous food ways. This fund must be created with and administered by Indigenous leadership. 5.5 ENSURE PROGRESS IS ACHIEVED EQUITABLY (continued) CREATE A FUND TO DECREASE FOOD INSECURITY FOR BLACK CANADIANS As previously mentioned, Black people have among the highest rates of food insecurity in Canada—and recent research points to systemic racism as one of the major causes. The federal government should create a fund to support projects and research dedicated to decreasing food insecurity for Black Canadians. This fund should be run by an arms-length organization administered by community-based Black stakeholder groups. APPLY A RACE EQUITY IMPACT ASSESSMENT TO ALL POVERTY AND FOOD-SECURITY INTERVENTIONS Many well-meaning income policies and social programs inadvertently increase disparities. The federal government should apply a Race Equity Impact Assessment (REIA), in addition to Gender-based Analysis, to all poverty and food-security policies and interventions in order to ensure they work equitably and reach populations at highest risk of food insecurity. REIAs are tools that can prevent institutional racism by systematically exploring the ways in which policies could affect racial groups.\textsuperscript{91} They are action-based in that they link analysis with mitigation strategies, implementation and monitoring. CLOSING NOTES METHODS ACKNOWLEDGEMENTS END NOTES Community Food Centres Canada conducts an Annual Program Survey at participating Community Food Centres in order to determine the demographics of community members, improve programs, assess our impact and chart our progress. In 2019, we added a section to the survey to better understand the ways in which food insecurity compromises community members’ well-being. We also invited and trained partners in our Good Food Organizations to collect the data. We began this year’s survey design process by conducting 10 interviews and 2 focus groups with community members at the NorWest Co-op Community Food Centre in Winnipeg, Manitoba, and the Hamilton Community Food Centre in Hamilton, Ontario. These conversations allowed us to question assumptions that we may have held and go deeper into the common, but often overlooked, impacts of food insecurity. As a result, we were able to develop a survey framework that addresses the core issues and concerns for the broader survey group. The input of these community members guided our approach and the content of the survey. THE SURVEY Drawing on a validated two-item food insecurity screening questionnaire, respondents were asked whether, in the last year, they had worried about running out of food or had run out of food and didn’t have money to buy more. These two questions were asked to quickly determine whether or not the respondent was food insecure. Of the people surveyed, 561 screened positive for food insecurity. These respondents were then asked, through a series of closed-ended questions, whether their food situation had affected their physical and/or mental health; their relationships with friends and family; their children’s lives; and/or their ability to participate in social and/or community activities; find and maintain employment; express, share or celebrate their culture; and/or aim higher in life. Acknowledging that these close-ended questions alone could not adequately capture the distinct ways in which food insecurity affects one’s life, respondents were invited—through open-ended questions—to elaborate on how specifically food insecurity was interfering with their well-being. Unless a respondent requested otherwise, the surveys were conducted as verbal interviews by trained staff and community members. Interviewers also identified people whose experiences spoke directly to the issues raised, and we followed up to collect more detailed stories, which are featured here and on our website. 6.1 METHODS (continued) ANALYZING THE RESULTS Responses to the closed-ended questions generated the primary percentages reported above (e.g., the percentage of respondents who indicated that food insecurity negatively impacts their physical health), whereas responses to the open-ended questions generated the secondary percentages included in this report (e.g., the percentage of participants who spoke to the correlation between food insecurity and their difficulty managing one or more chronic health conditions). To generate the secondary percentages, the open-ended responses were analyzed using an inductive coding scheme. Where significant or revealing clustering was evident, percentages were calculated to demonstrate commonality in the shared experiences or explanations brought forward by respondents. Accordingly, these percentages may underreport the percentage of respondents for which each noted experience is true. Further, they should not be interpreted as mutually exclusive (e.g., respondents often mentioned more than one way in which their physical health was affected by food insecurity). Given that the survey was voluntary, not all respondents answered every question. Percentages presented in this report are based on the number of people who responded to each question rather than the full sample. Community Food Centres Canada thanks the hundreds of respondents from across the country who participated in this survey, as well as the participating Community Food Centres and Good Food Organizations. This report was made possible by the community members who participated in focus groups and contributed to the survey design and overall research process: Jessica L., Nicola, Junie Omand-Penner, Bradley Penner and 17 individuals who preferred to remain anonymous. We also recognize Meredith Hayes, Michelle Mak, Miranda McSorley, Ziadh Rabbani, Becky Thomas, Kat Yee and all of the other survey assistants. Thanks to Hannah Aldridge, Pedro Barrata, Adam Fair, Valerie Tarasuk and Ricardo Tranjan for their advice and feedback, and to PROOF for years of vital research and analysis of food insecurity in Canada. REPORT AUTHORS Sasha McNicoll Andrea Curtis REVIEWERS Nick Saul Kathryn Scharf Juniper Locilento Tracy Bordian Ramsey Hart Lila Knox Wade Thorhaug EVALUATION MANAGER Meagan Dellavilla RESEARCH ASSISTANT Jordan Mak COMMUNICATIONS ASSISTANCE Melissa Benner Allison Buchan-Terrell Chris Chaplin Hilary Ostrom Christina Palassio Kennedy Sherwood DESIGN BY Roseander Main TRANSLATION TO FRENCH Nicolas Soumis 6.2 ACKNOWLEDGEMENTS (continued) SURVEYS WERE ADMINISTERED AT THE FOLLOWING ORGANIZATIONS Mount Paul Community Food Centre (Kamloops, British Columbia) Nelson Community Food Centre (Nelson, British Columbia) The Alex Community Food Centre (Calgary, Alberta) NorWest Co-op Community Food Centre (Winnipeg, Manitoba) Regent Park Community Food Centre (Toronto, Ontario) Hamilton Community Food Centre (Hamilton, Ontario) The Table Community Food Centre (Perth, Ontario) The Local Community Food Centre (Stratford, Ontario) The North Grove Community Food Centre (Dartmouth, Nova Scotia) Natoaganeg Community Food Centre (Eel Ground First Nation, New Brunswick) Jewish Family Services (Vancouver, British Columbia) Family Services of Greater Vancouver (Vancouver, British Columbia) Society of Saint Vincent de Paul (Victoria, British Columbia) Community Connections Society (Revelstoke, British Columbia) Interfaith Food Bank Society of Lethbridge (Lethbridge, Alberta) Sherbourne Health Centre Corporation (Toronto, Ontario) Mission Services Hamilton (Hamilton, Ontario) York Region Food Network (Aurora, Ontario) Food for Life (Burlington, Ontario) Loving Spoonful (Kingston, Ontario) Family Ties Carrefour Famille New Carlisle (New Carlisle, Quebec) Chebucto Family Centre (Halifax, Nova Scotia) TO LEARN MORE OR TO DONATE, VISIT WWW.CFCCANADA.CA 1 Tarasuk V., and Mitchell, A. (2020). Household food insecurity in Canada, 2017–18. Toronto: Research to identify policy options to reduce food insecurity (PROOF). Retrieved from https://proof.utoronto.ca/ 2 Statistics Canada. (2020, May). Food insecurity during the COVID-19 pandemic. Retrieved from https://www150.statcan.gc.ca/nl/pub/45-28-0001/2020001/article/00039-eng.htm 3 Tarasuk and Mitchell 2020. 4 Inuit Tapiriit Kanatami. (2020). Inuit food insecurity in Canada. Retrieved from www.itk.ca/nuluaq-mapping-project/inuit-food-insecurity-canada-background/ 5 Tarasuk and Mitchell 2020. 6 Ibid. 7 Loopstra, R. (2013). Food insecurity indicator of poor progress on poverty. Canada Without Poverty. Retrieved from www.cwp-csp.ca/2013/08/food-insecurity-indicator-of-poor-progress-on-poverty/ 8 Research to identify policy options to reduce food insecurity (PROOF). (2016). The impact of food insecurity on health. 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Data tables, 2016 Census: income sources and taxes (34) and income statistics (4) for the population aged 15 years and over in private households of Canada, provinces and territories, Census divisions and Census subdivisions, 2016 Census — 100% Data. Retrieved from https://www12.statcan.gc.ca/census-recensement/2016/dp-pd/dt-td/Rp-eng.cfm?TABID=2&LANG=E&A=R&PATH=&DETAI L=0&DIM=0&FL=A&FRE=0&G=0&L=1&GID=1159582&GK=1&GRP=0&DPID=110261&PRID=108TYPE=109445&S=0&SHOWALL=0&SUB=999&Temporal=2016&THEME=1198V&ID=0&NAME=&VNAME=&D1=0&D2=0&D3=0&D4=0&D5=0&D6=0 37 Ontario Ministry of Children, Community and Social Services. (2018). Ontario Works directives. Retrieved from www.mcss.gov.on.ca/en/mcss/programs/social/directives/ow/9_4_OW_Directives.aspx 38 Canadian Rental Housing Index. (2020). Cost. Retrieved from www.rentalhousingindex.ca/en/#cost_prov 39 Tweddle, A., and Aldridge, H. (2019). Welfare in Canada, 2018. Maytree. Retrieved from https://maytree.com/welfare-in-canada/ 40 Tarasuk, V., Mitchell, A., and Dachner, N. (2014). Household food insecurity in Canada, 2012. Toronto: Research to identify policy options to reduce food insecurity (PROOF). Retrieved from https://proof.utoronto.ca/ 41 Canada Mortgage and Housing Corporation. (2018, June 22). 13.6% of urban households were in core housing need in 2016. Housing Observer. Retrieved from www.cmhc-schl.gc.ca/en/housing-observer-online/2018-housing-observer/13-point-6-percent-urban-households-were-core-housing-need-2016 42 Canadian Rental Housing Index. (2020). Affordability. Retrieved from www.rentalhousingindex.ca/en/#affordability_prov 43 MacDonald, D., and Friendly, M. (2019). Time out: child care fees in Canada 2017. Canadian Centre for Policy Alternatives. Retrieved from www.policyalternatives.ca/timeout 44 Advisory Council on the Implementation of National Pharmacare. (2019). A prescription for Canada: achieving pharmacare for all. Government of Canada. Retrieved from www.canada.ca/en/health-canada/corporate/about-health-canada/public-engagement/external-advisory-bodies/implementation-national-pharmacare/final-report.html#summ 45 Charlebois, S., et al. (2019). Canada’s food price report 2020. Dalhousie University and University of Guelph. Retrieved from www.dal.ca/sites/agri-food/research/canada-s-food-price-report.html 46 Tang, J., Galbraith, N., and Truong, J. (2019). Living alone in Canada. Statistics Canada. Retrieved from www150.statcan.gc.ca/n1/pub/75-006-x/2019001/article/00003-eng.pdf 47 Statistics Canada. (2020). Low income statistics by age, sex and economic family type. Retrieved from www150.statcan.gc.ca/t1/tbl1/en/tv.action?pid=1110013501 48 Ibid. 49 Bednar, V. et Stapleton, J. (2011). Trading places: single adults replace lone parents as the new face of social assistance in Canada. Mowat Centre for Policy Innovation. Retrieved from https://munkschool.utoronto.ca/mowatcentre/trading-places/ 50 Food Banks Canada. (2019). HungerCount 2019. Retrieved from https://hungercount.foodbankscanada.ca/ 51 Research to identify policy options to reduce food insecurity (PROOF). (n.d.) Home. Retrieved from https://proof.utoronto.ca/ 52 Tarasuk and Mitchell 2020. 53 Monsebraaten, L. (2019, October 23). Black families twice as likely to go hungry as white households, study shows. Toronto Star. Retrieved from www.thestar.com/news/gta/2019/10/23/black-families-twice-as-likely-to-go-hungry-as-white-households-study-shows.html 54 Block, S., Galabuzi, G.-E., and Tranjan, R. (2019). Canada’s colour coded income inequality. Canadian Centre for Policy Alternatives. Retrieved from www.policyalternatives.ca/publications/reports/canadas-colour-coded-income-inequality 55 Block, S. (2017). Canada’s population is changing but income inequality remains a problem. Canadian Centre for Policy Alternatives. 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Retrieved from https://foodsecurecanada.org/paying-for-nutrition 64 Office of the Auditor General of Canada. (2014). 2014 Fall report of the Auditor General of Canada. Retrieved from www.oag-bvg.gc.ca/internet/English/parl_oag_2014ll_e_39950.html 65 Fafard St-Germain, et al. 2019. 66 Government of Canada. (2019). How Nutrition North Canada works. Retrieved from www.nutritionnorthcanada.gc.ca/eng/1415538638170/1415538670874#tpc3a 67 Government of Canada. (2018). Immediate updates to the Nutrition North Canada and Harvesters Support grant programs. Retrieved from www.canada.ca/en/crown-indigenous-relations-northern-affairs/news/2018/12/immediate-updates-to-the-nutrition-north-canada-and-harvesters-support-grant-programs.html 68 Brown, E.M., and Tarasuk, V. (2019). Money speaks: reductions in severe food insecurity follow the Canada Child Benefit. Preventive Medicine 129: 1-8. 69 Office of the Prime Minister. (2019). Minister of Families, Children and Social Development Mandate Letter. Retrieved from https://pm.gc.ca/en/mandate-letters/minister-families-children-and-social-development-mandate-letter 70 McIntyre, L., et al. (2016). Reduction of food insecurity among low-income Canadian seniors as a likely impact of a guaranteed annual income. Canadian Public Policy 42(3): 274–286. 71 United Nations Sustainable Development Knowledge Platform. (n.d.). Sustainable Development Goal 2. Retrieved from https://sustainabledevelopment.un.org/sdg2 72 Valerie Tarasuk. Personal communication. June 12, 2020. 73 Dionne-Simard, D., and Miller, J. (2019). Maximum insights on minimum wage workers: 20 years of data. Statistics Canada. Retrieved from https://www150.statcan.gc.ca/nl/pub/75-004-m/75-004-m2019003-eng.htm 74 Tranjan, R. (2019). Towards an inclusive economy: syncing ei to the reality of low-wage work. Canadian Centre for Policy Alternatives Ontario Office. Retrieved from www.policyalternatives.ca/publications/reports/towards-inclusive-economy 75 Statistics Canada. (2018). Employment Insurance Coverage Survey, 2017. Retrieved from https://www150.statcan.gc.ca/nl/daily-quotidien/181115/dq181115a-eng.htm 76 Statistics Canada. (2020). Severity of disability for persons with disabilities aged 15 years and over, by age group and sex, Canada, provinces and territories. Retrieved from https://www150.statcan.gc.ca/t1/tbl1/en/tv.action?pid=1310037501 77 Till, M., et al. (2015). Canadian survey on disability, 2012: a profile of the labour market experiences of adults with disabilities among Canadians aged 15 years and older, 2012. Statistics Canada. Retrieved from https://www150.statcan.gc.ca/nl/pub/89-654-x/89-654-x2015005-eng.htm 78 Wall, K. (2017). Low income among persons with a disability in Canada. Statistics Canada. Retrieved from https://www150.statcan.gc.ca/nl/pub/75-006-x/2017001/article/54854-eng.htm 79 Bajwa, U. (2019). Income tax filing and benefits take-up: challenges and opportunities for Canadians living on low incomes. Prosper Canada. Retrieved from http://prospercanada.org/getattachment/b0a3599b-1b10-4580-bd2f-9887f5f165edb/Income-tax-filing-and-benefits-take-up.aspx 80 Ibid. 81 Prosper Canada. (2017). If they had a billion dollars…. Retrieved from http://prospercanada.org/News-Media/News/If-they-had-a-billion-dollars.aspx 82 Bajwa 2019. 83 Press, J. (2018, July 19). One-fifth of on-reserve families to miss out on child benefit boost: Duclos. iPolitics. Retrieved from https://ipolitics.ca/2018/07/19/one-fifth-of-on-reserve-families-to-miss-out-on-child-benefit-boost-duclos/ 84 Bajwa 2019. 85 Ibid. 86 Employment and Social Development Canada. (2019). New benefits are providing more support to the middle class and those working hard to join it. Government of Canada. Retrieved from www.canada.ca/en/employment-social-development/news/2019/01/new-benefits-are-providing-more-support-to-the-middle-class-and-those-working-hard-to-join-it.html 87 Canadian Centre for Policy Alternatives. (2018). No time to lose: alternative federal budget 2019. Retrieved from www.policyalternatives.ca/afb2019 88 Petersson, B., Mariscal, R., and Ishi, K. (2017). Women are key for future growth: evidence from Canada. International Monetary Fund. Retrieved from www.imf.org/en/Publications/WP/Issues/2017/07/19/Women-Are-Key-for-Future-Growth-Evidence-from-Canada-45047 89 Health Canada. (2019). Interim report from the Advisory Council on the Implementation of National Pharmacare. Government of Canada. Retrieved from www.canada.ca/en/health-canada/corporate/about-health-canada/public-engagement/external-advisory-bodies/implementation-national-pharmacare/interim-report.html 90 Office of the Prime Minister. (2019). Minister of Health Mandate Letter. Retrieved from https://pm.gc.ca/en/mandate-letters/minister-health-mandate-letter 91 Race Forward (2009). Racial Equity Impact Assessment Toolkit. Retrieved from https://www.raceforward.org/practice/tools/racial-equity-impact-assessment-toolkit 92 Hager, E.R., et al. (2010). Development and validity of a 2-item screen to identify families at risk for food insecurity. Pediatrics 216(1): E26–E32. To find out more about Community Food Centres Canada, please visit cfccanada.ca 80 Ward St., Suite 100, Toronto, ON M6H 4A6 (416) 531-8826 — cfccanada.ca — firstname.lastname@example.org Charitable # 83391 4484 RR0001 @placeforfood Community Food Centres Canada
Software Systems In-House Integration Strategies: Merge or Retire – Experiences from Industry Rikard Land\textsuperscript{a}, Laurens Blankers\textsuperscript{b}, Stig Larsson \textsuperscript{c}, Ivica Crnkovic \textsuperscript{a} \textsuperscript{a}Mälardalen University, Department of Computer Science and Electronics PO Box 883, SE-721 23 Västerås, Sweden \{rikard.land, stig.larsson, ivica.crnkovic\}@mdh.se \textsuperscript{b}Eindhoven University of Technology, Department of Mathematics and Computing Science PO Box 513, 5600 MB Eindhoven, Netherlands firstname.lastname@example.org ABSTRACT When an organization faces different types of collaboration, for example after a company merger, there is a need to consolidate the existing in-house developed software. A main challenge is to select a suitable strategy, such as merging the systems, evolve one of the existing systems to be able to merge others, or invest new development effort in order to retire the existing systems. This should arguably be done at a high abstraction level, i.e. architectural level. In order to investigate how a strategy should be chosen, we have performed a multiple case study, consisting of nine integration projects. Two major concerns have been found that can be used to exclude some strategies: 1) architectural compatibility, and 2) what we have labeled ‘retireability’, i.e. all considerations influencing whether or not the existing systems can be allowed to be retired. Categories and Subject Descriptors D.2.7 [Software Engineering]: Distribution, Maintenance, and Enhancement – Restructuring, reverse engineering, and reengineering. K.6.3 [Management of Computer and Information Systems]: Software Management – Software maintenance. General Terms Design, Economics, Human Factors, Management. Keywords Architectural Compatibility, Architectural Concern, Case Study, Integration Strategy, Software Integration, Software Merge, Retireability. 1. INTRODUCTION Organizations have spent large sums of money on development of software systems as part of their core business and want to capitalize on their investment. At the same time reorganizations and mergers force the organizations to integrate their software systems. This leads to a variety of problems such as functional overlap and architectural and platform incompatibility. The software may be the core products of the companies, or a support systems for the core business. If the software systems are mainly used in-house, performing further evolution and maintenance of two systems in parallel seems wasteful. If the software systems are products of the company, it makes little sense to offer customers two similar products. In either case, the organization would ideally want to take the best out of the existing systems and integrate or merge them with as little effort as possible. The available published experience on integration does not directly address this context, where the existing systems are developed separately but now completely controlled within a single organization. We have chosen to label integration in this context \textit{in-house integration} in contrast to other types of integration found in literature: integrating third-party components or systems, and interoperability based on standards in open systems. These approaches might be applicable also in the situation when an organization has full control over the development and evolution of the systems to integrate, but there are other options as well, such as modifying arbitrary parts of the existing systems in order to be able to merge them, starting a new development effort based on the merged execution, or retiring one of the existing systems and evolve it in order to replace all existing systems. To collect all the existing experience from organizations that have faced this challenge we have performed a multiple case study, consisting of nine integration projects in six organizations. Based on the case study we present four \textit{integration strategies} and two \textit{concerns} that are crucial to address when selecting a strategy, which we have labeled \textit{compatibility} and (lacking a better term) \textit{retireability}. The audience this paper aims for consists of both researchers and industrial architects. The paper is organized as follows: section 2 describes the methodology. Section 3 presents a model of four integration strategies which is used to classify the cases, which are described in section 4. The cases are further analyzed in section 5 in terms of strategies and concerns. Section 6 presents related work, and section 7 concludes the paper. 2. RESEARCH METHODOLOGY The multiple case study [37] consists of nine cases from six organizations that have gone through an integration process. Our main data source has been interviews. To collect the data, people willing to participate in the interviews were found through personal contacts. The interviews were to be held with persons in the organization who: 1. Had been in the organization and participated in the integration project long enough to know the history first-hand. 2. Had some sort of leading position, with first-hand insight into on what strategic decisions were made. 3. i.e., a technician, and had knowledge about the technical solutions considered and chosen. All interviewees fulfilled either criteria 1 and 2 (project leaders with less insight into technology), or 1 and 3 (technical experts with less insight into the decisions made). In all cases, people and documentation complemented each other so that all three criteria are satisfactory fulfilled. There are guidelines on how to carry out interviews in order to e.g. not asking leading questions [25], which we have strived to follow. The questions were open-ended, focused around architecture and processes, and the copied out interview notes were sent back to the interviewees for feedback and approval. The interviewees were asked to describe their experiences in their own words, as opposed to answering questions, having prepared a set of pre-arranged questions to ensure we got information about the history of the systems, problems, solutions, and more. The questions are reprinted in the Appendix. Due to space limitations the answers are not reprinted. They can be found however in a technical report [17], together with further details regarding the research design. In some cases, the interviewees offered documents of different kinds (system documentation as well as project documentation), which in our opinion was mostly useful only to confirm the interviewees’ narratives. In one case (F1) one of the authors (R.L.) participated as an active member during two periods (fall 2002 and winter 2004-2005). The research can be considered to be grounded theory [29] in the sense that we collected data to build models for previously un-researched questions, as compared to validating a pre-defined hypothesis. Strictly, there is no external validity in the traditional sense (of course the data fits the model, because the model is built from the data); validation would mean repeating the case study and comparing the current model with the new data. On the other hand, the new data would probably be used to modify or refine the model, leading to the same validity problem. It has been argued that for grounded theory research, the validation that can be achieved is a proper understanding, which can only be judged by other researchers [19,29]. We have deliberately avoided commenting the outcome of the cases as being good or bad, as the criteria as to how to do this are not at all obvious and are practically difficult to determine. Problems in answering this question include: how many years need to pass before all effects of the integration are known? How can the quality of the resulting systems be evaluated, if at all? Or is the competitiveness and financial situation of the company a certain number of years a more interesting measure? And by making case studies, it is impossible to know what the result of some other choice would have been. All value statements therefore come from the interviewees themselves, based on their opinions based on their perception of e.g. whether time and money was gained or spoiled. 3. STRATEGIES In order to classify the decisions made in the cases we present a model dividing the numerous possibilities for integration into four strategies that are easily understood analytically: No Integration, Start from Scratch, Choose One, and Merge. In reality, we can expect that these strategies are not strictly independent; some real cases can be seen as a combination of two, or as something in between. However, we find it useful to use this model as a framework for discussion. The strategies, especially the Merge strategy, are discussed in more detail in section 5.1. No Integration (NI) Develop existing software systems in parallel, which clearly will not result in an integrated or common system. However it is mentioned for the sake of completeness. Start from Scratch (SFS) Start the development of a new system, aimed to replace the existing systems, and plan for discontinuing the existing systems. In most cases (parts of) requirements and architecture of the existing systems will be carried over to the new system. This strategy can be implemented by buying a commercial solution or building the new system. Choose One (CO) Evaluate the existing systems and choose the one that is most satisfactory, officially discontinue development of all others and continue development of the selected system. It may be necessary to evolve the chosen system before it can fully replace the other systems. Merge (M) Take parts from the existing systems and integrate them to form a new system that has the strengths of both and the weaknesses of none. This is, of course, a very idealized strategy and as it will turn out the most complicated and broad strategy of the model. 4. THE CASES The cases come from different types and sizes of organizations operating in different domains, the size of the systems range from a maintenance and development staff of a few people to several hundred people, and the demands on extra-functional requirements are very different depending on the system domain. What the cases have in common though is that the systems have a significant history of development and maintenance. The cases are summarized in Table 1. They are labeled A, B, etc. Cases E1, E2, F1, F2, and F3 occurred within the same organizations (E and F). For the data sources, the acronyms used are I\textsubscript{X} for interviews, D\textsubscript{X} for documents, and P\textsubscript{X} for participation, where X is the case name (as e.g. in I\textsubscript{A}, the interview of case A), plus an optional lower case letter when several sources exist for a case (as e.g. for interview I\textsubscript{D\textsubscript{A}}, one of the interviews for case D). I\textsubscript{X,n} refers to the answer to question n in interview I\textsubscript{X}. In this paper, we have provided explicit pointers into this source of data. This paper focuses on architectural issues; for processes the reader is referred to [18]. \| Organization \| System Domain \| Goal \| Information Resources \| \|--------------\|---------------\|------\|-----------------------\| \| A \| Newly merged international company \| Safety-critical systems with embedded software \| New HMI$^1$ platform to be used for many products \| Interview: project leader for “next generation” development project (I$_A$) \| \| B \| Organization within large international enterprise \| Administration of stock keeping \| Rationalizing two systems within corporation with similar purpose \| Interview: experienced manager and developer (I$_B$) \| \| C \| Newly merged international company \| Safety-critical systems with embedded software \| Rationalizing two core products into one \| Interviews: leader for a small group evaluating integration alternatives (I$_C$); main architect of one of the systems (I$_C$) \| \| D \| Newly merged international company \| Off-line management of power distribution systems \| Reusing HMI$^1$ for Data-Intensive Server \| Interviews: architects/developers (I$_D$, I$_B$). \| \| E1 \| Cooperation defense research institute and industry \| Off-line physics simulation \| Creating next generation simulation models from today’s \| Interview: project leader and main interface developer (I$_E$) \| \| E2 \| Different parts of Swedish defense \| Off-line physics simulation \| Possible rationalization of three simulation systems with similar purpose \| Interview: project leader and developer (I$_E$) \| \| F1 \| Newly merged international company \| Managing off-line physics simulations \| Possible rationalization by using one single system \| Participation: 2002 (R.L.) (P$_F$); currently (R.L.) (P$_F$). Interviews: architects/developers (I$_F$, I$_B$); QA responsible (I$_F$). Documentation: research papers (D$_F$); project documentation (D$_F$) \| \| F2 \| Newly merged international company \| Off-line physics simulation \| Improving the current state at two sites \| Interviews: software engineer (I$_F$), I$_B$, I$_E$); project manager (I$_F$); physics experts (I$_F$, I$_E$) \| \| F3 \| Newly merged international company \| Software issue reporting \| Possible rationalization by using one single system \| Interview: project leader and main implementer (I$_F$) \| \| \| \| \| Documentation: miscellaneous related (D$_F$, D$_F$) \| The remainder of this section describes the cases in some more detail illustrating how strategies were considered and how one was chosen. Due to space limitations this is done in a very brief manner. Case A Each of the previous separate companies had developed software human-machine interfaces (HMIs) for their large hardware products (I$_A$,1,2). To rationalize, it was decided that a single HMI should be used throughout the company (I$_A$,2,3), that is, there was a wish to discontinue at least all but one of the existing HMIs. The two existing systems with the highest influence had a very different underlying platform: one was based on open source platforms and the other on commercial solutions (I$_A$,2,4). This difference was too large when compared to the cultural clash associated with the platform excluding the possibility of a Merge. As resource constraints were not a major influence, the decisive factor when choosing between the remaining strategies was the new consolidated set of requirements, especially larger configurability of the system, and the availability of new technology (I$_A$,3,5). Therefore, Start from Scratch was desired by the architects over Choose One and thus selected (I$_A$,7,8). Case B Two existing systems with similar functionality had to be merged in order to reduce cost (I$_B$,3). One system was used throughout the company the other only in one daughter-company (I$_B$,1). Discontinuing of the large system was not considered thereby excluding Start from Scratch. The smaller system was built on the tight integration paradigm, while the large system was build as a loose integration of many subsystems (I$_B$,1,6,7,13). The difference in approach made Merging the systems infeasible, therefore the Choose One strategy was chosen (I$_B$,7). Case C The systems and the development staff of the organization had to be merged after the merger, several MLOC and hundreds of developers (I$_C$,1,9). Two such systems with very similar functionality were being developed within the now merged company and both were nearing release (I$_C$,1, I$_C$,1). Management did not want to retire either of them, but wanted the best parts of both systems to form the new system within six months, i.e. Merge (I$_C$,6, I$_C$,6). The systems were similar in --- $^1$ HMI=Human-Machine Interface many ways (l\textsubscript{10}:7, l\textsubscript{35}:1), but there were differences as well: some technology choices, framework mechanisms such as failover, supporting different (natural) languages, and error handling, as well as a fundamental difference between providing an object model or being functionally oriented (l\textsubscript{26}:1,6,7). The differences prevented Merging the systems in a short period of time, but allowed for Merging over a longer period. The architects reported to management that the Merge would take 2 years, much longer than desired, and that a better option was to Choose One (l\textsubscript{35}:6, l\textsubscript{35}:6). Eventually management changed its position so that either (but not both) could be discontinued, allowing for the Choose One strategy which was implemented (l\textsubscript{35}:6). However the decision was not made until both systems were independently released and deployed at customers. This caused a significant loss of one year of development effort by a team of several hundred developers (l\textsubscript{35}:6), confusion to the customers who did not know which of the two products to choose, and required additional effort in migrating the customers of the retired system to the chosen one (l\textsubscript{35}:6). One of the interviewees points out that although the process seems suboptimal it is difficult to say whether other approaches would have been more successful (l\textsubscript{35}:12). Case D The two systems, both consisting of an HMI and a server, have a common ancestry, but have evolved independently for 20 years (l\textsubscript{10}:1). Five years before the merger the HMI of one of the systems was decomposed into components and significantly modernized (l\textsubscript{10}:7). The other system built on more aged technologies, and around the time of the merger the customers of this system considered that HMI to be outdated. It was therefore decided that the dated HMI should be replaced with the modern one, thus a Choose One (l\textsubscript{10}:1, l\textsubscript{10}:3). In order to do this the server that used to be controlled by the dated HMI had to be changed, but thanks to the common ancestry it was relatively easy to make the same modifications to the server that had been made five years ago when the modern HMI was developed (l\textsubscript{10}:8). The servers themselves have not been integrated yet; they both implement the same industry standards and the plans are to perform a gradual Merge but there are no concrete plans (l\textsubscript{10}:1, l\textsubscript{10}:6). In the summary and analysis of the cases we will therefore discuss the integration of HMIs and servers separately. Case E1 The goal in this cooperation project was not only to integrate several existing systems, but also to add another, higher level of functionality (l\textsubscript{11}:1,3). Retiring the existing systems was possible because all parts would benefit from the new system (l\textsubscript{11}:1). Many of the existing systems (but not all) were written in the same language (l\textsubscript{11}:6). However, a new language was considered better suited for a higher level of system complexity and would also bring a number of additional benefits such as reusable code, robustness, commonality within the organization (l\textsubscript{11}:6,7). Thus Start from Scratch strategy was chosen (l\textsubscript{11}:6). Case E2 A certain functional overlap among three simulation systems was identified (l\textsubscript{12}:1, D\textsubscript{234}). The possibility of retiring any, but not all, of these systems was explicitly left open, partly because of limited resources and partly because (some of) the functionality was available in the others (D\textsubscript{234}, l\textsubscript{12}:13). Two systems were somewhat compatible, but due to limited resources the only integration has been reuse of the graphical user interface of one into the other. The third was incompatible with the anticipated changes (l\textsubscript{12}:6). We thus have some reuse but no Merging, as there are no resources and no concrete plans for integrating these two systems into one. Although not directly replaced by the others, the third system has in practice been retired (l\textsubscript{12}:6,13) and we consider this case to be a Choose One strategy (actually Choose Two out of three). Case F1 After the company merger, there has been a need to improve and consolidate management and support for certain physics simulations with data management mechanisms and user interfaces (l\textsubscript{13}:0,1, l\textsubscript{13}:1, l\textsubscript{13}:1-1,2, D\textsubscript{14}, P\textsubscript{14}, P\textsubscript{13}). Initially, three systems were considered for integration or replacement; the two possibilities outlined were a tight merge with a result somewhere between Merge and Choose One and a loose integration in an Merge manner, which became the decision (l\textsubscript{13}:3, l\textsubscript{13}:3, P\textsubscript{14}, D\textsubscript{14}). However, the many incompatibilities indicated a very long development time. It was not considered possible to discontinue development on the existing systems before a full replacement was available and the limited resources and other local priorities in practice resulted in an In Progress toward a common system (l\textsubscript{13}:6, P\textsubscript{14}, P\textsubscript{13}, P\textsubscript{14}). Currently, in-house teams are following Choose One, but the scope is unclear and integration activities still have a low priority (l\textsubscript{13}:1,6, l\textsubscript{13}:6,9, l\textsubscript{13}:1, P\textsubscript{13}); some participants have seriously begun to question the value of integration altogether (l\textsubscript{13}:3,9, l\textsubscript{13}:6,9) and the result so far, after four years, has been No Integration. This apparent lack of results is not due to lack of will or effort, because throughout these years there have been numerous attempts to identify a proper integration strategy (l\textsubscript{13}:3,6, l\textsubscript{13}:9,11, l\textsubscript{13}:6, P\textsubscript{13}). Case F2 The two systems both consist of four programs run in sequence, with very similar roles, communicating via input and output files: pre-processor, 2D simulator, post-processor, and 3D simulator (l\textsubscript{12}:2,1,9, l\textsubscript{12}:7,7, l\textsubscript{12}:10,1,11, l\textsubscript{12}:8,8, l\textsubscript{12}:5,5, l\textsubscript{12}:8). To create a common system, it was decided in advance to discontinue the first three programs, as long as there is a satisfactory replacement, although the simulator need to be validated which makes time to release longer (l\textsubscript{11}:6, l\textsubscript{11}:6). The 3D simulator is considered very large and complex to replace, so this is not realistic within the next few years (l\textsubscript{11}:6). So far there are common pre- and post-processors; they have been rewritten, i.e. Start from Scratch, although the post-processor started as an attempt to Choose One of the post-processors and evolve it, but due to insufficient analysis of requirements it had to be almost completely rewritten (l\textsubscript{12}:9, l\textsubscript{12}:8,1,7, l\textsubscript{12}:7,7, l\textsubscript{12}:6,7, l\textsubscript{12}:7). Although the 2D simulators are branched from a common ancestor, they are no longer very similar, and one of the 2D simulators is currently being evolved to replace the other, i.e. Choose One (l\textsubscript{12}:2,1,9, l\textsubscript{12}:7,7, l\textsubscript{12}:7,7). Parts of the simulators have been re-developed completely, i.e. Merge (l\textsubscript{12}:3, l\textsubscript{12}:3, l\textsubscript{12}:6,7, l\textsubscript{12}:7,8, l\textsubscript{12}:5,6,7). Due to the different states and choices of integration of the four parts we will treat them separately. Case F3 Three different software systems for tracking software issues (errors, requests for new functionality etc.) were used at three different sites within the company, two developed in-house and one being a ten-year old version of a commercial system (l\textsubscript{13}:1). The two systems developed in-house where somewhat compatible (l\textsubscript{13}:1). All involved saw a value in a common system supporting the best processes within the company, and apart from the fact that a transition to such a common system would mean some disruption at each site, independently of whether the common system would be completely new or a major evolution of the current system there was little to no reluctance to the change (l\textsubscript{13}:10,11). Being in many domains outside of the company’s core business, and realizing the effort required to creating a new issue tracking system from scratch themselves, the decision was to Start from Scratch by acquiring a commercial system (l\textsubscript{13}:6). 5. ANALYSIS Many aspects affect the choice of strategy, which will be discussed in this section. 5.1 Refining the Model In section 3 we presented a model to assist us in the discussion of the cases. Based on the cases, we extend the Merge strategy, introduce two concerns that aid exclusion of strategies, and discuss influences on the selection of a final strategy. 5.1.1 Subdividing the Merge Strategy To aid the discussion, we first present two types of Merge, labeled Instant and Evolutionary, only distinguished by their associated time scale. By introducing them, some events in the cases and some conclusions are more easily explained, although there is no strict borderline between them. These two types of Merge should not be understood as two strategies with distinct identities in the same sense as the four originally presented. Instant Merge (IM) With “instant” we mean that the existing components can be rearranged with little effort, i.e. basically without modification or development of adapters. How to evaluate and select components is the responsibility of the architect. This strategy was desired in case C, but could not be implemented. Evolutionary Merge (EM) Continue development of all existing systems towards a state in which architecture and most components are identical or compatible, in order to allow for Instant Merge sometime in the future. The architects in case C asserted that if a Merge was desired an Evolutionary Merge was the only possibility. Case F2 clearly demonstrates this strategy. Indications are that case Dserve will also follow this path in the future. 5.1.2 Concerns Strategy selection in the cases was influenced by many factors of many different kinds, including the current state of the existing systems, both technically and from a management perspective, both in themselves and in relation to each other; the level of satisfaction with existing systems, among users, customers, and the development organization; the completeness or scope of the existing systems with respect to some desirable set of features; development resources; desired time to market; the impact of retiring any or all of the systems. To suggest a systematic procedure for selecting a strategy, one starting point would be to identify issues that would not only suggest one or more strategies as appropriate, but also exclude some strategies as inappropriate. Of the concerns listed, we identified only two of these as being able to, when properly addressed, exclude strategies: the architectural compatibility of the systems and the retireability of the systems. Compatibility Architectural mismatch can make integration hard if not impossible [9]. In order for (parts of) systems to be integrated they therefore need to be compatible to some extent. Also when systems are not based on components or clearly defined interfaces, differences in the framework used can also have a negative impact on compatibility. Ideally systems are compatible to such an extent that it is possible to pick the best components from both resulting in an Instant Merge. However this situation has not been observed among the cases even though some systems share a common ancestry ($I_{E3C:1}, I_{F2A:1}$) or are based on common standards ($I_{C3C:1}$). In reality systems may be somewhat compatible possibly allowing for an Evolutionary Merge, but there are also the options to also Choose One or Start from Scratch. If systems are totally incompatible neither Evolutionary Merge nor Instant Merge is possible. We want to emphasize that compatibility is a greyscale and there is no universal compatibility measure. Similar structures seem to be a necessary condition as well as similar in the sense of environment that defines components [16]. What compatibility may mean in every new situation must be evaluated by the architect. Retireability Stakeholders may consider retiring a system unfeasible for various reasons, such as market considerations, user satisfaction, or potentially the loss of essential functionality. If all systems can be retired, all integration strategies are possible. If not all systems can be retired, it is not possible to Start from Scratch. Retireability would require discontinuing all systems. If none of the existing systems can be discontinued, both of the integration strategies Choose One and Start from Scratch are excluded. Table 2 summarizes the exclusion of strategies based on these concerns, where black denotes exclusion of a strategy. Although compatibility is a continuous scale, for the sake of discussion it is divided into three classes: High, Modest, and None. “High” means that the systems are compatible to such an extent that components can be picked from either one and combined into a new system with very little modification, “None” means that the systems are fundamentally different, and “Modest” is somewhere in between. Retireability is divided into All, Not all, and None. “All” means that it is possible to retire all systems, “Not all” means that one of the two or more systems one or more systems can be retired, but at least one can not, and “None” means that none of the systems can be retired. We note that evaluating compatibility mainly involves finding information and facts about the current state of the systems, which is not the case for statements about retireability. To what extent a system is retireable is not solely determined by the architect, but involves the opinions of other stakeholders such as management, users, and marketing. This also means that retireability is not a static property, but that it can be renegotiated with involved stakeholders. This is especially true when this concern excludes a strategy that is for other reasons considered desirable. Although many influences on the decisions made were found in the cases, retireability was only found to result in the exclusion of strategies. It appears as other influences, such as satisfaction with the existing systems, scope, available development resources, and availability of commercial products, can not be considered in isolation to exclude some strategies, but taken together they can motivate the choice of one strategy over another, and also influence retireability considerations. General influences found are discussed in section 5.3.3. \| Compatibility \| SFS \| CO \| EM \| IM \| \|---------------\|-----\|----\|----\|----\| \| High \| \| \| \| \| \| Modest \| \| \| \| \| \| None \| \| \| \| \| \| Retireability \| SFS \| CO \| EM \| IM \| \|---------------\|-----\|----\|----\|----\| \| All \| \| \| \| \| \| Not all \| \| \| \| \| \| None \| \| \| \| \| Table 3: Concerns per case (question mark indicates that the information was not available) \| \| Retireability \| Compatibility \| \|----------\|---------------\|---------------\| \| A \| All \| None \| \| B \| Not all \| None \| \| C (initial) \| None \| Modest \| \| C (final) \| Not all \| Modest \| \| D\textsubscript{HMI} \| Not all \| None \| \| D\textsubscript{Server} \| (?) \| Modest (?) \| \| E1 \| All \| Modest \| \| E2 \| Not all \| Modest \| \| F1 (initial) \| No \| None \| \| F1 (final) \| No \| None \| \| F2\textsubscript{prc} \| All \| None/Modest (?) \| \| F2\textsubscript{in} \| All \| Modest \| \| F2\textsubscript{post} \| All \| None \| \| F2\textsubscript{3D} \| None \| Modest \| \| F3 \| All \| None/Modest (?) \| 5.2 Revisiting the Cases Table 3 summarizes the concerns for all cases. Table 4 combines tables 2 and 3 by showing which strategies are excluded, marked with black, based on the concerns, which was desired and (where applicable) eventually chosen, which is indicated with a circle. Three rows in the tables (D\textsubscript{Server}, F2\textsubscript{in}, and F2\textsubscript{3D}) are marked with an asterisk (""), indicating that the systems are not yet integrated and the information summarized is preliminary. A question mark indicates that the classification is unsure, but we have chosen to show the interpretation that could falsify our proposed scheme, i.e. excluding the most strategies. In case C retireability was clearly renegotiated, and in case C and F1 the decision changed, illustrated in Table 4 with multiple entries for these cases showing these iterations. 5.3 Strategy Exclusion and Selection In section 5.1.2 we presented two important concerns for selecting a strategy and proposed that these concerns can exclude the selection of certain strategies (e.g. if systems are not compatible they can not be instantly merged). Table 4 shows that most cases have selected a strategy that, according to this model, is not excluded. In these cases integration was successful or is making progress. There are three rows (C, "F1", and F1") where a strategy was deemed that was excluded. The reason in fact been somewhat problematic due to that in case C the decision had to be changed, and in case F1 all alternatives are still excluded, and no significant progress has been made. Thus, two cases directly support our premise that the concerns compatibility and retireability exclude certain strategies, and the other cases do not contradict it. The rest of this section describes observations concerning architectural compatibility, followed by a number of influences to retireability and the final choice of strategy. 5.3.1 Compatibility Compatibility, unlike retireability, is not a concern that can be negotiated or modified because it is a static property of a collection of systems. Given an assessment of architectural compatibility, it cannot be changed only because it gives a dissatisfactory answer. There are two things however that can be done to improve the compatibility in order to make a merge possible. First, if a subset of the candidate systems (or some subsystems) is considered compatible it may be possible to change the scope of the integration project to include only these subsystems, thus enabling the possibility of a Merge. Case F1 exemplifies a change in scope, but unfortunately no suitable set of systems to merge have been found (l\textsubscript{p1}:1, l\textsubscript{p1b}:1.6, l\textsubscript{p1b}:1, p\textsubscript{f1a}, p\textsubscript{f1b}). Second, it is possible to evolve one or all systems towards a state in which they are compatible, i.e. performing an Evolutionary Merge. However, given the time required, some other strategy may be considered preferable, as shown by case C (l\textsubscript{c}, k\textsubscript{c}, k\textsubscript{c}). A definition of architectural (in-)compatibility would be subject to the same semi-philosophical arguments as definitions of architecture, and we will not attempt to provide one. Exactly what aspects of compatibility are the most important to evaluate will arguably differ for each new case. Some observations from the cases are provided in the following, which can be a complement to other reports of architectural incompatibility [9]. Similar high-level structures seem to be a pre-requisite for a Merge, i.e. if there are components with similar roles in the existing systems. In case D, both systems consisted of an HMI and server, which made it possible to reuse the HMI from one system into the other. In case F1 two of the existing systems consisted of a graphical user interface (GUI) and simulation engine, loosely coupled, which made reuse of the GUI possible. In case F2, the two existing pipe-and-filter structures were strikingly similar. Reuse of components and architectural solutions into a common system in the cases is analyzed in depth elsewhere [16]. Similarity of frameworks could also be one measure of compatibility. In case F2, the framework can be said to describe separate programs communicating via input and output files. Two of the existing systems in case F3 were developed in Lotus Notes, and they were, with the words of the interviewee, "surprisingly similar” (I\textsubscript{15}:1). In case C, the hardware topology and communication standards define one kind of framework. One common source of incompatibility in systems is differences in the data model. Both syntactical and semantically differences can require vast changes in order to make system compatible. This has been a recurring problem in case F1 (I\textsubscript{12}:6; D\textsubscript{14}:6, P\textsubscript{F1}:6, P\textsubscript{F1}b). In case F2, a new data model was defined and the existing systems adapted (I\textsubscript{22}:7; I\textsubscript{22}:6). In case F3, the three existing systems all implemented similar workflows, however the phases were different (I\textsubscript{31}:3). Some systems in the cases shared a common ancestry (cases D and F2) or were based on common standards (C and D), but in no case were the systems compatible enough to allow for an Instant Merge. This indicates that these factors in themselves do not guarantee compatibility. As compatibility is not re-negotiable, and has such profound impact on the possible integration strategies, it must be carefully evaluated and communicated prior to a decision. Obvious as this may sound, the cases illustrate that this is not always the case. In case C, management insisted on an Instant Merge, although considered impossible by the architects (I\textsubscript{26}:6, I\textsubscript{26}:6) resulting in several hundred person-years being lost. In case F1 an Evolutionary Merge was decided upon because the systems could not be retired, even though the systems were incompatible (I\textsubscript{F1}:6, D\textsubscript{F1}:6, P\textsubscript{F1}:6), resulting in no progress after 4 years of work. The decisions were, when considered in isolation, perfectly understandable: it is easier to not bother about the complexities associated with retiring systems, and it is easier to assume that technicians can merge the systems. This is a typical trade-off situation with no simple solution. ### 5.3.2 Retireability Retireability, unlike compatibility, can be reevaluated or renegotiated. While all cases considered the retireability of their existing systems this is an integral interwoven part of the decision process and is often not done explicitly. However it appears that cost plays an important role in the decision on retireability. Cost has many aspects; we will discuss several of them. Existing systems represent a value to the company. Throwing away something that is “already” worth effort is not an appealing option because it would mean discarding part of the investment. Some of the systems discussed represent hundreds of person-years of development. Also discarded parts would have to be replaced, requiring another investment. The organization, at present, may not have the necessary resources to do this. In case F2 implementation and validation of a 3D simulator (\textit{Start from Scratch}) would take the better part of 10 years (I\textsubscript{F2}:6), while an Evolutionary Merge, even though the systems were not totally compatible, was estimated to take less time and therefore preferred. Another aspect that affects retireability is satisfaction. Satisfaction is very broad and can involve many stakeholders (architects, users, management, etc.) and many aspects (functionality, architecture, performance, modifiability, etc.). When one or more of the existing systems is considered incompatible there is a tendency to favor replacing the dissatisfactory system(s). If some of the existing systems are considered aged, they are candidates for retirement, i.e. Choose One or Start from Scratch, as was the case for the HMIs in case D (I\textsubscript{D6}:3). ### 5.3.3 Selection of a Strategy \textit{Start from Scratch} can be implemented as either build in-house or acquire an external system. If the domain is mature and the software systems are not core products but supporting the organization, it may be well worth to transition to a commercial or open source solution. This was the case in case F3, where a commercial software issue-tracking system was acquired. Most organizations have formalized processes for development, evolution, and retirement of software systems, and these strategies can be cast in these terms. No Integration means the existing systems are evolved independently. If Choose One is possible to implement, it appears to be the simplest strategy as it only involves retiring some systems. \textit{Start from Scratch} means planning the retirement of the existing systems while starting a new development project. Evolutionary Merge cannot readily be expressed in terms of existing processes, which might indicate that it is more difficult to implement, especially since it often involves a long time scale. Once again though, the costs must be weighed against other influences. Availability of resources, such as time, money, people, and skills, has a big influence on the choice of strategy. Fundamentally, the architects and the organization must ask whether a certain strategy can be afforded. Even if the expected outcome would be a common, high-quality system, the costs could simply be prohibitive. In case E2, resource constraints resulted in some integration of two existing systems, and the retirement of the third system without replacement. The question ‘Do we want one common system?’ is a very fundamental question and a positive answer to this is usually the starting point of the integration project. One fundamental reason we do not have an example where No Integration was selected explicitly is that the selection of cases was based on their actually trying some sort of integration. However, case F1 illustrates the situation when the existing systems are incompatible and cannot be discontinued, which leaves only strategy No Integration. In this situation, either retireability has to be reconsidered (together with the associated costs, assignment of resources, etc.) or the fundamental question about the value of integrating at all has to be revisited (I\textsubscript{F1}:3; I\textsubscript{F1}:9). ### 5.4 Feedback There are numerous sources of influences both on whether any of the existing systems can be retired and on the selection of a strategy. It is almost impossible to distinguish between how the factors mentioned influences the retireability decision, which is often not made explicitly at all, and how these factors were re-evaluated given the outcome of (possible) strategies. In case C, this feedback was fairly explicit: faced with the time needed for an Evolutionary Merge (the only available possibility), it was decided that retiring one system would cause less harm, and the decision could be changed to Choose One. However this decision took quite some time to reach resulting in a cost of at least several hundred person-years. Although it is impossible to predict what the outcome would have been if the decision to retire was taken earlier it is likely that it would have saved a lot of time and thus money. In many other cases analyses, decisions, and reconsiderations were more interleaved. We believe that all influencing factors involved in this feedback should be based on a proper analysis, documented explicitly, and made in a timely manner. 6. RELATED WORK Existing research in related areas is presented below, starting with software integration, continuing with software architecture and architectural evaluation methods, and strategic planning. 6.1 Software Integration In our previous literature survey [15], we found that there are two classes of research on the topic of software integration: - Basic research describing integration rather fundamentally in terms of a) interfaces [13,34,35], b) architecture [1,10,12], architectural mismatch [9], and architectural patterns [2,8,27], and c) information/taxonomies/data models [11]. These foundations are directly useful in this context. - There are three major fields of application: a) Component-Based Software Engineering [6,20,30,33], including component technologies, b) standard interfaces and open systems [20,21], and c) Enterprise Application Integration (EAI) [7,26]. These existing fields address somewhat different problems than ours: - Integration in these fields means that components or systems complement each other and are assembled into a larger system, while we consider systems that overlap functionality. The problem here is therefore not to assemble components into one whole, but to take two (or more) whole systems and reduce the overlap to create one single whole, containing the best of the previous systems. - These fields typically assume that components (or systems) are acquired from third parties controlling their development, meaning that modifying them is not an option. We also consider systems completely controlled in-house, and this constraint consequently does not apply. - The goals of integration in these fields are to reduce development costs and time, while not sacrificing quality. In our context the goals are to reduce maintenance costs (while not sacrificing quality). There is no existing literature that directly addresses the context of the present research: integration or merge of software components controlled and owned within an organization. While we certainly can and should utilize the knowledge and approaches of these fairly mature fields, our research fills an apparent gap. The architect is considered being the person who understands the language and concerns of other stakeholders [28,36], and/or the person who monitors and decides about all changes being made to the system to ensure conceptual integrity and avoid deterioration [22,32]. The academic focus of software architecture has been the (static) structure of the system, in terms of “components” (or “entities”) and “connectors” [1,10,23]. The present paper describes many important issues an architect needs to consider during in-house integration, which only partly involves the structure of the existing systems. There are several proposed methods for architectural analysis, mainly designed to be used during new development, such as the Architecture Trade-Off Analysis Method (ATAM) and Cost-Benefit Analysis Method (CBAM) [3]. Closely related to our description of compatibility is the seminal “architectural mismatch” paper, which points out many issues to be assessed as part of the architectural compatibility [9]. Also related to assessing architectural compatibility are architectural documentation good practices [4,12,14]. It has been observed that a similar structure of the existing systems is a necessary but not sufficient condition for compatibility [16]. There exist catalogues of generally useful structural patterns, however these are specifically intended for use during new development [2,8,27]. Many issues are not purely technical but require insight into business, and many decisions require awareness of the organization’s overall strategies. Strategic planning (and strategic management) is known from business management as a tool for this kind of reasoning, that is to systematically formulate the goals of the organization and compare with the current and forecasted environment, and take appropriate measures to be able to adapt (and possibly control) the environmental changes [5,31]. In our case, investigating retraceability clearly fits within the framework of strategic planning, by explicitly considering the money already invested, existing (dis)satisfaction, risk of future dissatisfaction, estimated available resources, and work done based on these perceived possible futures. In fact, the whole process we have described, and perhaps much of an architect’s activities should be cast in terms of strategic planning such as the PESTEL framework or the Porter Five Forces framework [24]. (It should perhaps be noted that our term “integration strategy” is a plan, which is not synonymous to a company strategy in the sense of strategic planning.) 7. SUMMARY AND CONCLUSIONS In this paper we present strategies an organization may select when faced with two or more systems with similar functionality, of which the source code is available and changes can be made. The strategies are based on actual integration projects and are: No Integration, Start from Scratch, Choose One, and two types of Merge: Evolutionary Merge and Instant Merge. No Integration describes the situation in which no process toward a common system is made. Start from Scratch involves either a new development process or the acquisition of a commercial product while retiring the old systems. Choose One means selecting one system to replace the others, and Merge will see components from both existing systems combined into the new system that replaces them. Evolutionary Merge seems to be the most complex strategy to implement, and Instant Merge seems to be theoretical, possible only in the rare situation of systems with very similar structures, built using the same or very similar technologies, standards and other conventions. Instant Merge strategy was the only strategy not observed in the cases, although it appears this sometimes is what management has in mind when demanding a merge of the existing systems into one. There are two concerns to consider which will limit the set of strategies that can possibly be selected, namely architectural compatibility and retraceability. There is no exhaustive definition of architectural compatibility, but some observations in the cases are that the structures, data models, and environment that defines the components must be similar. Standards and a common ancestry can make systems somewhat compatible, although it is not a guarantee for total compatibility. Besides that compatibility is very system specific and should be thoroughly analyzed by the architects before choosing a strategy to avoid problems during integration. With somewhat compatible systems, Evolutionary Merge is possible but Instant Merge is not. If the systems are not compatible at all neither of the Merge strategies are possible. Determining the retraceability of the existing systems depends on numerous factors. Major influences found in the cases were investments made, cost, satisfaction, time to market, and available resources. Typically there is a tight feedback loop between evaluating these influences and the resulting possible strategies. Hurdles in this feedback loop, either because architects are unable to communicate their findings to management or because management delays taking decisions, cause the integration cost to increase. If it is not possible to retire all existing systems this excludes Start from Scratch as a possible strategy. If some of the existing systems can be retired, it is possible to Choose One. If none can be retired this leaves Merge as the only possibility. The worst case scenario is that the existing systems are considered impossible to retire and are also incompatible. This leaves no strategy left but No Integration, which of course brings none of the potential benefits from integration. This was observed in one of the cases. Drawing on the experiences from the cases, we suggest that future architects together with other stakeholders make these influences explicit thus making strategy selection faster, better founded, and decrease the cost associated with uninformed decisions. The message to management is that delaying a decision comes with a cost. 7.1 Future work We have also analyzed the reuse of components and architectural solutions into a common system elsewhere [16], as well as good practices for the strategy selection process [18]. We would like to compile a more complete catalogue of different aspects of architectural compatibility, for example by investigating structural patterns and styles [2,8,23] suitable for Merge, the environment defining components, and the impact of cross-cutting concerns whose implementation is distributed throughout the system. This would also provide insight in how to make Evolutionary Merge closer to the desired Instant Merge. 7.2 Acknowledgements We would like to thank all interviewees and their organizations for sharing their experiences and allowing us to publish them. We would also like to express our gratitude for the helpful suggestions from the anonymous reviewers. 8. REFERENCES [1] Bass L., Clements P., and Kazman R., Software Architecture in Practice (2nd edition), ISBN 0-321-15495-9, Addison-Wesley, 2003. [2] Bushmann F., Meunier R., Rohrert H., Sommerlad P., and Stal M., Pattern-Oriented Software Architecture: A System of Patterns, ISBN 0-471-95869-7, John Wiley & Sons, 1996. [3] Clements P., Bachmann F., Bass L., Garlan D., Ivers J., Little R., Nord R., and Stafford J., Evaluating Software Architectures, ISBN 0-201-70482-X, Addison-Wesley, 2001. [4] Clements P., Bachmann F., Bass L., Garlan D., Ivers J., Little R., Nord R., and Stafford J., Documenting Software Architectures: Views and Beyond, ISBN 0-201-70372-6, Addison-Wesley, 2002. [5] Courtney H., The 20/20 Foresight: Crafting Strategy in an Uncertain World, ISBN 1-57851-266-2, Harvard Business School Press, 2001. [6] Crnkovic I. and Larsson M., Building Reliable Component-Based Software Systems, ISBN 1-58053-327-2, Artech House, 2002. [7] Cummins F. A., Enterprise Integration: An Architecture for Enterprise Application and Systems Integration, ISBN 0471400106, John Wiley & Sons, 2002. [8] Gamma E., Helm R., Johnson R., and Vlissides J., Design Patterns - Elements of Reusable Object-Oriented Software, ISBN 0-201-63361-2, Addison-Wesley, 1995. [9] Garlan D., Allen R., and Ockerbloom J., “Architectural Mismatch: Why Reuse is so Hard”, In IEEE Software, volume 12, issue 6, pp. 17-26, 1995. [10] Garlan D. and Shaw M., “An Introduction to Software Architecture”, In Advances in Software Engineering and Knowledge Engineering, volume 1, 1993. [11] Guarino N., Formal Ontology in Information Systems, ISBN 9051993994, IOS Press, 1998. [12] Homburger C., Nord R., and Soni D., Applied Software Architecture, ISBN 0-201-32571-3, Addison-Wesley, 2000. [13] IEEE, IEEE Standard Glossary of Software Engineering Terminology, IEEE Std 610.12-1990, IEEE, 1990. [14] IEEE Architecture Working Group, IEEE Recommended Practice for Architectural Description of Software-Intensive Systems, IEEE Std 1471-2000, IEEE, 2000. [15] Land R. and Crnkovic I., “Existing Approaches to Software Integration – and a Challenge for the Future”, In Proceedings of Software Engineering Research and Practice in Sweden (SERPS), Linköping University, 2004. [16] Land R., Crnkovic I., Larsson S., and Blankers L., “Architectural Mismatch in Software Systems: In-house Integration and Merge – Experiences from Industry”, In Proceedings of First International Conference on the Quality of Software Architectures (QoSA), Springer, 2005. [17] Land R., Larsson S., and Crnkovic I., Interviews on Software Integration, MDRC report ISSN 1404-3041 ISRN MDH-MRTC-177/2005-5-SE, Mälardalen Real-Time Research Centre, Mälardalen University, 2005. [18] Land R., Larsson S., and Crnkovic I., “Processes Patterns for Software Systems In-house Integration and Merge – Experiences from Industry”, In Proceedings of 31st Euromicro Conference on Software Engineering and Advanced Applications (SEAA), Software Process and Product Improvement track (SPPI), 2005. [19] Maxwell Joseph A., “Understanding and validity in qualitative research”, In Harvard Educational Review, volume 62, issue 3, pp. 279-300, 1992. [20] Meyers C. and Oberndorff P., Managing Software Acquisition: Open Systems and COTS Products, ISBN 0201704544, Addison-Wesley, 2001. [21] Meyers C. and Oberndorf T., Open Systems: The Promises and the Pitfalls, ISBN 0-201-70454-4, Addison-Wesley, 1997. [22] Parnas D. L., “Software Aging”, In Proceedings of The 16th International Conference on Software Engineering, pp. 279-287, IEEE Press, 1994. [23] Perry D. E. and Wolf A. L., “Foundations far the study of software architecture”, In ACM SIGSOFT Software Engineering Notes, volume 17, issue 4, pp. 40-52, 1992. [24] Porter M. E., Competitive Strategy: Techniques for Analyzing Industries and Competitors, ISBN 0684841487, Free Press, 1998. [25] Robson C., Real World Research (2nd edition), ISBN 0-631-21305-8, Blackwell Publishers, 2002. [26] Rah W. A., Magimis F. X., and Brown W. J., Enterprise Application Integration, A Wiley Tech Brief, ISBN 0471376418, John Wiley & Sons, 2000. [27] Schmid D., Stal M., Rohnert H., and Buschmann F., Pattern-Oriented Software Architecture - Patterns for Concurrent and Networked Objects, Wiley Series in Software Design Patterns, ISBN 0-471-60695-2, John Wiley & Sons Ltd., 2000. [28] Sewell M. T. and Sewell L. M., The Software Architect’s Profession - An Introduction, Software Architecture Series, ISBN 0-13-060796-7, Prentice Hall PTR, 2002. [29] Strauss A. and Corbin J. M., Basics of Qualitative Research: Techniques and Procedures for Developing Grounded Theory (2nd edition), ISBN 0803959400, Sage Publications, 1998. [30] Szyperski C., Component Software - Beyond Object-Oriented Programming, ISBN 0-201-17888-5, Addison-Wesley, 1998. [31] Thompson Jr. A. A. and Strickland III A. J., Strategic Management : Concepts and Cases (11th edition), ISBN 0-07-303714-1, Irwin/McGraw-Hill, 1999. APPENDIX: INTERVIEW QUESTIONS 1. Describe the technical history of the systems that were integrated: e.g. age, number of versions, size (lines of code or other measure), how was functionality extended, what technology changes were made? What problems were experienced as the system grew? 2. Describe the organizational history of the systems. E.g. were they developed by the same organization, by different departments within the same organization, by different companies? Did ownership change? 3. What were the main reasons to integrate? E.g. to increase functionality, to gain business advantages, to decrease maintenance costs? What made you realize that integration was desirable needed? 4. At the time of integration, to what extent was source code the systems available, for use, for modifications, etc.? Who owned the source code? What parts were e.g. developed in-house, developed by contractor, open source, commercial software (complete systems or smaller components)? 5. Which were the stakeholders of the previous systems and of the new integrated system? Were there main interests of the systems? Please describe any conflicts. 6. Describe the decision process leading to the choice of how integration? Was it done systematically? Were alternatives evaluated or was there an obvious way of doing it? Who made the decision? Which underlying information for making the decision was made (for example, were some analysis of several possible alternatives made)? Which factors were the most important for the decision (organizational, market, expected time of integration, expected cost of integration, development process, systems structures (architectures), development tools, etc.)? 7. Describe the technical solutions of the integration. For example, were binaries or source code wrapped? How much source code was modified? Were interfaces (internal and/or external) modified? Were any patterns or infrastructures (proprietary, new or inherited, or commercial) used? What was the size of the resulting system? 8. Why were these technical solutions (previous question) chosen? Examples could be to decrease complexity, decrease source code size, to enable certain new functionality. 9. Did the integration proceed as expected? If it was it more complicated than expected, how did it affect the project/product? For example, was the project late or cost more than anticipated, or was the product of less quality than expected? What were the reasons? Were there difficulties in understanding the existing or the resulting system, problems with techniques, problems in communication with people, organizational issues, different interests, etc.? 10. Did the resulting integrated system fulfill the expectations? Or was it better than expected, or did not meet the expectations? Describe the extent to which the technical solutions contributed to this. Also describe how the process and people involved contributed – were the right people involved at the right time, etc.? 11. What is the most important factor for a successful integration according your experiences? What is the most common pitfall? 12. Have you changed the way you work as a result of the integration efforts? For example, by consciously defining a product family (product line), or some components that are reused in many products?
TAKLIMAT KESELAMATAN ICT JKSN PAHANG 2018 Tarikh : 31 Januari 2018 Masa : 8.00 pagi – 1.00 petang Tempat : Dewan Bakawali, Tingkat 0, KOMTUR, Bandar Indera Mahkota, Kuantan. Slot 1: "Security Awareness on Social Media" Penceramah: En. Jazannul Azriq bin Aripin Cybersecurity Malaysia Slot 2: "Why Hackers Like Your Computer?" Penceramah: En. Jazannul Azriq bin Aripin Cybersecurity Malaysia CyberSAFE Awareness Program Let’s Make The Internet A Safer Place www.cyberSAFE.my Copyright © 2018 CyberSecurity Malaysia Mr. Jazannul Azriq B. Aripin; Senior Executive of Outreach Department, CyberSecurity Malaysia. He has a degree in Computer Science from Universiti Malaysia Sabah. A Microsoft Certified System Engineer (MCSE), Certified Information Security Awareness Manager (CISAM) and ISMS Lead Auditor. Ten years with CyberSecurity Malaysia doing Facebook Security, Facebook Forensic, Information Security Audit (ISMS/ISO27001-2005) and Social Engineering. CyberSecurity Malaysia (CSM) adalah pusat rujukan teknikal dan khusus dalam bidang keselamatan siber di Malaysia. CSM juga diperlukan bagi menyokong dan menyediakan bantuan teknikal serta perkhidmatan latihan untuk pengurusan krisis siber negara. - Cyber999 Incident Handling (MyCERT) - Malware Research Center - Strategic Research and Advisory - Security Management & Best Practices - Security Evaluation Facility - Cryptography Research - Digital Forensic & Data Recovery - ISMS Audit and Certifications - Common Criteria Evaluation & Certification - Vulnerability Assessment - Government & International Engagement - CyberSAFE – Outreach Awareness Program - Training and Professional Certification - Industry Development Programs Legend: - Blue = Technology - Green = Process - Yellow = People ## CYBERSECURITY MALAYSIA SERVICES ### CYBER SECURITY RESPONSIVE SERVICES - Cyber999 Help Centre - More than 80,000 CYBER SECURITY INCIDENTS - Digital Forensics - More than 5,000 DIGITAL FORENSICS CASES / INCIDENTS ### CYBER SECURITY PROACTIVE SERVICES - Security Management & Best Practices - 8 INFORMATION SECURITY GUIDELINES - 11 BEST PRACTICES GUIDELINE - Security Assurance - 67 VULNERABILITY ASSESSMENT AND INFORMATION SYSTEM TECHNOLOGY SERVICES - Cyber Security Certification - 54 ICT SECURITY PRODUCT ### OUTREACH & CAPACITY BUILDING - InfoSecurity Professional Development - 5,277 PROFESSIONAL CERTIFICATION IN INFORMATION SECURITY - Outreach - 170,057 PARTICIPATION FROM SCHOOL, UNIVERSITIES AND ORGANIZATION ### STRATEGIC RESEARCH & ENGAGEMENT - Strategic Engagement - INTERNATIONAL STRATEGY AFFAIRS 12 - LOCAL ENGAGEMENT STRATEGY 8 - COMPANIES REGISTERED UNDER COLLABORATION PROGRAM WITH INDUSTRY 33 - Research - 40 CYBER SECURITY PRODUCT AND SERVICES Jenis-jenis Ancaman Siber TECHNOLOGY RELATED THREATS - HACK THREAT - Hacking Detected - Risk Alert - INTRUSION - Intrusion - FRAUD - Fraud Alert - SPAM - Spam (372) - Trash - MALICIOUS CODE - Error: unable to read file - Malicious virus: Install - DENIAL OF SERVICE ATTACK - DDoS Attack CYBER CONTENT RELATED THREATS - THREATS TO NATIONAL SECURITY - SEDITIOUS / HATE SPEECH - CHILD PORN - FAKE NEWS / DEFAMATION Report any cyber security incidents to Cyber999 FRAUD PHISHING FRAUD PURCHASE ONLINE SCAM UNAUTHORIZED TRANSACTION ILLEGAL INVESTMENT LOTTERY SCAM FRAUD NIGERIAN SCAM Malicious Malware Spam Intrusion Account compromise Defacement Content Related Pornography Intellectual Properties National Threat DOS Cyber Harassment Cyber Bullying Cyber Stalking Vulnerabilities Report INTRUSION ATTEMPT REPORT NOW Cyber999 1300-88-2999 24x7 Emergency: +6019-266 5850 Format: Cyber999 Report send to 15888 cyber999 [at]cybersecurity.my Fax +603-8945 3992 60% HUMAN ERROR 29% POWER OUTAGES 10% EARTHQUAKES 44% SERVER ROOM ISSUES 56% UNEXPECTED UPDATES & PATCHES 26% FIRE OR EXPLOSIONS What You Keep Inside Your Computer Work-Related Information - company information (structure, process, systems) - corporate email - business applications access - business servers access - business documents - customer information - vendor information Personal-Related Information - personal information - personal emails - online banking - social networking - personal documents - personal photos - your dirty little secrets Security Scenarios I Bad Guys’ Perspective Bad guys are constantly finding for the weakness of each components to ensure the success of malicious attack. Users’ Perspective Most users are more focused on how to use computer to do their daily tasks but no so much about their security. “If you think technology can solve your security problems, then you don’t understand the problems and you don’t understand the technology” - Bruce Scheneir Security Awareness #1 – Password Is your password easy as 123? How Hackable Is Your Password? The length and strength of your password can make a huge difference in how long it takes for hackers to crack the code! 2 Minutes Would you like fries with that? If you have an all lowercase 5-character password, a hacker can feast on your personal data by the time you get your drive-thru order. 10 Minutes Do you have a 5-character password with all lowercase letters and numbers? A hacker can crack it before you and Spike make it around the block. 1 Hour Hackers are incredibly flexible, even without exercise. In the hour you spend doing yoga, they can crack a 5-character password with upper and lowercase letters. 17 Years + Longer, stronger passwords put hackers in a time-out. An 8-character password that uses upper and lowercase letters and symbols takes longer to crack than raising a child. Test Your Password – “The Password Meter” \| Test Your Password \| Minimum Requirements \| \|--------------------\|----------------------\| \| Password: \| Minimum 8 characters in length \| \| Hide: \| Contains 3/4 of the following items: \| \| \| - Uppercase Letters \| \| \| - Lowercase Letters \| \| \| - Numbers \| \| \| - Symbols \| \| Additions \| Type \| Rate \| Count \| Bonus \| \|--------------------\|----------\|-----------------------\|-------\|-------\| \| Number of Characters \| Flat \| +(n4) \| 0 \| 0 \| \| Uppercase Letters \| Cond/Incr\| +((len-n)2) \| 0 \| 0 \| \| Lowercase Letters \| Cond/Incr\| +((len-n)2) \| 0 \| 0 \| \| Numbers \| Cond \| +(n4) \| 0 \| 0 \| \| Symbols \| Flat \| +(n6) \| 0 \| 0 \| \| Middle Numbers or Symbols \| Flat \| +(n2) \| 0 \| 0 \| \| Requirements \| Flat \| +(n*2) \| 0 \| 0 \| Test Your Password – “Passfault” Welcome to OWASP passfault Paving the road to secure passwords Because passwords can be less annoying, and more intuitive. What Why How Policies Try it Beta Open Source Enter a Password, and click Analyze Analyze Show Examples Show Options Passwords will be searched for these patterns: Dictionary Word Insertion Dictionary Ward Substitution Dictionary Werd Misspelling Dictionary 1337 Substitution Dictionary droW Backwords Dictionaries English Latin Spanish US Cities Extensible... Security Awareness #2 – Media Sosial Copyright © 2018 CyberSecurity Malaysia Media Sosial Pengguna Media Sosial Global 2.9 BILLION ACTIVE SOCIAL MEDIA USERS WORLDWIDE 1 BILLION UNIQUE MONTHLY YOUTUBE USERS WORLDWIDE 1.9 BILLION UNIQUE MONTHLY FACEBOOK USERS WORLDWIDE 600 MILLION UNIQUE MONTHLY INSTAGRAM USERS WORLDWIDE (Malaysians are the most active Instagram user in the Asia-Pacific region – 73%) 317 MILLION UNIQUE MONTHLY TWITTER USERS WORLDWIDE 20 MILLION ACTIVE SOCIAL MEDIA USERS IN MALAYSIA (As of 2017) Facebook helps you connect and share with the people in your life. Welcome to Facebook - Log In, Sign Up or Learn More Facebook is a social utility that connects people with friends and others who work, study and live around them. People use Facebook to keep up with friends, ... Facebook Statistics Total Facebook Users (MY) 18,890,850 Position in the list 19 Penetration of population 47.32% Penetration of online population 83.68% Facebook helps you connect and share with the people in your life. Pie chart showing age distribution: - 18-24 years: 34.3% - 25-34 years: 28% - 35-44 years: 28% - 45-54 years: 10% - 55-64 years: 5% - 65-100 years: 2% Pie chart showing gender distribution: - Female: 45% - Male: 55% Before you... THINK! T = Is it True? H = Is it Helpful? I = Is it Inspiring? N = Is it Necessary? K = Is it Kind? Copyright © 2018 CyberSecurity Malaysia THINK BEFORE YOU POST ONLINE WHO MIGHT BE ABLE TO READ THIS? COULD SOMEONE MISINTERPRET WHAT I'M SAYING? AM I SHOWING A BAD SIDE OF MYSELF? AM I REVEALING TOO MUCH ABOUT MYSELF? AM I POSTING IN ANGER? COULD SOMEONE FEEL DISRESPECTED? safebook YOU THINK Think before you post FRIENDS Only connect with friends KIND Be kind to others PASSWORD Don’t share your password PRIVACY Keep your settings private HURT Don’t be hurtful towards others PARENTS & TEACHERS Join Facebook Understand how it works Teach safety and responsibility Privacy – check their settings FRIENDS DON’T: Stay silent DO: Help your friend Report the bully Tell your parents Tell your teacher THE BULLY DON’T: Respond DO: Save what they say Unfriend the person Block them Tell a Friend Tell your Parents Report the person TELL • UNFRIEND • BLOCK • REPORT This is our reaction to cyber-bullying. We must all play our part! Play yours - email email@example.com for a print ready file To make WhatsApp secure, your chats and calls are automatically end-to-end encrypted. This means your content is private, so WhatsApp and third parties can’t see it. Learn more about WhatsApp security. Show security indicators If you’d like to verify your chats and calls are end-to-end encrypted, enable this setting and tap “verify security number” in contact info, group info, or when you’re in a WhatsApp call. Your chats and calls are encrypted regardless of this setting. When possible, the messages you send and your calls are secured with end-to-end encryption, which means WhatsApp and third parties can’t read or listen to them. Learn more about WhatsApp security. Show Security Notifications Turn on this setting to receive notifications when a contact’s security code has changed. The messages you send and your calls are encrypted regardless of this setting, when possible. Social Media - Whatsapp WhatsApp Web Scan code with your phone to log in Keep me signed in To reduce data usage, connect your phone to Wi-Fi Android Open WhatsApp → Menu → WhatsApp Web BlackBerry Open WhatsApp → Chats → Menu key → WhatsApp Web Nokia S60 Open WhatsApp → Menu → WhatsApp Web Windows Phone Open WhatsApp → Menu → WhatsApp Web BlackBerry 10 Open WhatsApp → Swipe down from top of screen → WhatsApp Web Nokia S40 Open WhatsApp → Swipe up from bottom of screen → WhatsApp Web Requires the latest version of WhatsApp Social Media - Whatsapp WHICH MESSAGING APP IS BEST FOR PROTECTING PRIVACY? Has end-to-end encryption as a default: - Facebook WhatsApp - Apple iMessage - Apple Facetime - Line - Google Duo - Viber - Facebook Messenger - Google Allo - Telegram Messenger - Kakao Talk Has end-to-end encryption, but not set as default: - Microsoft Skype - Snapchat - Google Hangouts - Tencent WeChat - Tencent QQ Messenger - BlackBerry Messenger Does not have end-to-end encryption: - Skype - Snapchat - QQ - WeChat - Tencent QQ Messenger - BlackBerry Messenger © Amnesty International OVERSHARING Your Biggest Security Risk Could be You Reports of massive data breaches and hacked accounts are flooding the airwaves. Are you making it easier for criminals to steal your information? TIPS FOR USING SOCIAL MEDIA SAFELY AND SECURELY - Use unique, complex passwords for every online account you own and change them regularly — especially following announcement of a security breach or account compromise. - Weigh your risk before posting or sharing information that could be valuable to cybercriminals. - Configure privacy settings for your social profiles to control what kind of information you share with others. - Never share sensitive information on social media, including financial information, account credentials, confidential company information, and personal information that could be used to steal your identity or compromise your accounts. Social Media Security - Be especially wary of unsolicited contact via social media, particularly from people you don’t know. - Avoid clicking on suspicious links or content in direct messages or news feeds. - Only connect with people that you know and trust in real life. Social Media – Apps Lock Protect your privacy Security Awareness #3 – Mobile Security 10 TIPS TO SECURE YOUR MOBILE GADGETS 1. Use password protected access controls 2. Control wireless network and service connectivity 3. Control application access and permissions 4. Keep your OS and firmware current 5. Back up your data 6. Wipe devices data automatically if lost or stolen 7. Never store personal financial data on your device 8. Beware of free apps 9. Try mobile antivirus software or scanning tools 10. Use mobile device management (MDM) software if recommended by IT 5 Ways to Protect Yourself from Bad Apps BE AWARE Know that smartphone malware is growing and it is mostly through apps. DO YOUR HOMEWORK Research apps, read reviews and check app ratings before you download. CHECK YOUR SOURCES Only purchase from a well-known reputable app store. WATCH THE PERMISSIONS Check to see what types of permissions your app has to your smartphone. If something doesn’t look right, don’t download it. PROTECT YOUR PHONE Install antivirus and antitheft protection on your phone. The purpose of phishing is to collect people’s personal information. A phishing website or message tries to trick you into revealing personal information by appearing to be from a legitimate source. A few simple ways to avoid these scams: 1. Never reply to suspicious emails, tweets, or posts with your personal or financial information. 2. Never enter your password after following a link in an email or chat that you don’t trust. 3. Don’t send your password via email. 4. Only sign in to your account when you’re 100% sure you’re on the real site. 5. Install browser updates immediately, or choose a browser like Chrome that updates automatically to the latest version. 6. Report suspicious emails and phishing scams. 1. A hacker targets a company. Using social networks or other internet data, he finds employees with access to company data/systems. 2. Following the social trail, he identifies other people the employee may know. 3. A fake but recognizable email address is created to impersonate a colleague or boss. 4. A personalized email is sent to the employee from the fake address with a link or attachment. 5. The email passes the spam filter and arrives at the employee’s inbox. 6. The email is opened because they ‘know’ the sender. 7. A link is clicked or attachment opened. 8a. Opened website causes credentials to be stolen/malware to be installed. 8b. Opened attachment causes malware to infect the computer/smartphone/network. 9. The hacker uses the backdoor to steal information. Types of Phishing Attacks Voice Phishing A phishing attack which uses social engineering over the telephone system to gain access to personal and financial information. SmShing A phishing attack wherein a victim receives an SMS that claims to be from a reputable source and asks for their personal information. Security Awareness #6 – Ransomware Users may encounter “Ransomware” through spam or malicious links. Once installed, it will limit access to the user’s system and display a pop up message threatening the user to pay to have access to their information. What is RANSOMWARE??? A type of malware that can stop you from using your PC, rename or encrypt your files so you can’t use them. You may be warned that you need to pay money, Bit Coins, complete surveys or perform other actions before you can use your PC. Payment for private key Choose a convenient payment method: Bitcoin (most cheap option) Bitcoin is a cryptocurrency where the creation and transfer of bitcoins is based on an open-source cryptographic protocol that is independent of any central authority. Bitcoins can be transferred through a computer or smartphone without an intermediate financial institution. You have to send below specified amount to Bitcoin address 1KP72Bnh3X9RfuJDMp53APaM6iMRspCh and specify the transaction ID, which will be verified and confirmed. Home Page Getting started with Bitcoin Enter the transaction ID and press «Pay»: 2 BTC << Back PAY The Damage Caused by Ransomware 97% OF PHISHING EMAILS DELIVER RANSOMWARE 70% OF INFECTED BUSINESSES HAVE PAID THE RANSOM 42% ONLY 42% OF RANSOMWARE VICTIMS RECOVERED DATA $200-$10,000 IS THE PRICE OF THE RANSOM FOR CONSUMERS 50% MORE THAN 50% OF THESE COMPANIES PAID BETWEEN $10,000 TO $40,000 1 IN 4 PAYING USERS NEVER RECOVERED THEIR DATA End Message HUMAN ERROR .. YET AGAIN Cyber Security is everyone's responsibility... Protect your information at home and at work! Copyright © 2018 CyberSecurity Malaysia
Wave diffraction by multiple arbitrary shaped cracks in an infinitely extended ice sheet of finite water depth Zhi Fu Li\textsuperscript{1}, Guo Xiong Wu\textsuperscript{2}\textsuperscript{†} and Kang Ren\textsuperscript{2} \textsuperscript{1}School of Naval Architecture and Ocean Engineering, Jiangsu University of Science and Technology, Zhenjiang 212003, China \textsuperscript{2}Department of Mechanical Engineering, University College London, Torrington Place, London WC1E 7JE, UK (Received xx; revised xx; accepted xx) Flexural gravity wave interactions with multiple cracks in an ice sheet of infinite extent are considered, based on the linearized velocity potential theory for fluid flow and thin elastic plate model for the ice sheet. Both the shape and location of the cracks can be arbitrary, while an individual crack can be either open or closed. Free edge conditions are imposed at the crack. For open cracks, zero corner force conditions are further applied at the crack tips. The solution procedure starts from series expansion in the vertical direction based on separation of variables, which decomposes the three dimensional problem into an infinite number of coupled two dimensional problems in the horizontal plane. For each two dimensional problem, integral equation is derived along the cracks, with the jumps of displacement and slope of the ice sheet as unknowns in the integrand. By extending the crack in the vertical direction into the fluid domain, an artificial vertical surface is formed, on which an orthogonal inner product is adopted for the vertical modes. Through this, the edge conditions at the cracks are satisfied, together with continuous conditions of pressure and velocity on the vertical surface. The integral differential equations are solved numerically through the boundary element method together with the finite difference scheme for the derivatives along the crack. Extensive results are provided and analyzed for cracks with various shapes and locations, including the jumps of displacement and slope, diffraction wave coefficient, and the scattered cross section. Key words: Authors should not enter keywords on the manuscript, as these must be chosen by the author during the online submission process and will then be added during the typesetting process (see http://journals.cambridge.org/data/relatedlink/jfm-keywords.pdf for the full list) 1. Introduction A typical feature of both Polar regions is that vast of ocean is covered by ice. Observation showed that the waves generated in open sea could penetrate far into the ice-covered region (Squire \textit{et al.} 1995). The feature of the wave will change due to its interaction with the ice sheet. One example is that the reduction of the ice extent and thickness will lead to an overall uptrend of the wave height. The topic of coupled ocean... wave/sea ice interactions has increasingly attracted research interests over the last two decades. This is due to the fact the Polar ice cover can be greatly affected by the global climate change, which will in turn affect the global environment (Squire 2020). It is also due to the requirement of safe navigation of the potential shipping routes and offshore operations in Arctic region (Eliasson et al. 2017). Field experiments conducted by Robin (1963) and Squire et al. (1988) have confirmed that the large ice sheet would bend to let the energy pass through in form of flexural-gravity waves. Based on the linear velocity potential theory for fluid flow and thin elastic plate model for ice sheet deflection, a number of solution approaches have been developed for wave scattering in icy waters. When waves propagate from open sea to the ice-covered water or the other way around, the energy will be partially reflected and transmitted due to the change of the dispersion relation. The problem of wave interactions with a homogeneous semi-infinite ice sheet, was solved for the normal incident wave by Fox & Squire (1990) and for the oblique incident wave by Fox & Squire (1994), based on the method of matched eigenfunction expansions (MEE). It was found that strong transmission would be more likely for the long wave. For oblique case, when the incident wave angle was larger than a critical value, no wave would transmit into the ice. MEE was also used by Sahoo et al. (2001) to the same problem, but with the unknowns found through introducing an orthogonal inner product. In addition, the problem can be solved by the Wiener-Hopf method (WHM), as was given by an unpublished report of Evans & Davies (1968). Later, some modifications were introduced into the WHM, which enabled the numerical computations much easier to be carried out, e.g. Balmforth & Craster (1999), Chung & Fox (2002), and Tkacheva (2001, 2004). In Balmforth & Craster (1999), the Timoshenko-Mindlin model, which further included the effects of rotary inertia and transverse shear of the plate, was adopted for the ice sheet. The authors then showed that the Kirchhoff-Love model for thin elastic plate would give similar results to those by Timoshenko-Mindlin model for a wide range of thickness of the ice sheet. In addition to the MEE and WHM, Linton & Chung (2003) applied the residue calculus technique (RCT) to the semi-infinite ice sheet, and obtained solutions which were equivalent to those provided by WHM. In some cases, the ice sheet may not extend to infinity. It may have a section of free surface and then continue with the ice cover. Chung & Linton (2005) considered wave propagations through an ice polynya by RCT, and found that perfect transmission could occur at an infinite number of discrete wave frequencies. Based on the Green function method (GFM), Squire & Dixon (2001b) studied flexural gravity wave interactions with an embedded iceberg. It may be noted that GFM can be also used to solve the wave propagation through an ice floe, as for example in Meylan & Squire (1994). Williams & Squire (2006) considered a more general problem by RCT and WHM, i.e. three connected ice sheets with the first and last ones to be semi-infinite. The above individual scatters can be also assembled together to model the wave evolutions through icy waters in a large scale, as has been done in Bennetts & Squire (2012). Apart from the above two dimensional (2D) problems, three dimensional (3D) problems have also been considered, which reflect more accurately the physics in many cases. For a circular ice floe, Meylan & Squire (1996) solved the problem by the boundary integral equation method, based on either the eigenfunction expansions of the potential and its normal derivative on the circular ice floe or writing the normal derivative in terms of another integral equation. The problem was then extended to the finite water depth by Peter et al. (2004). To simulate the propagation of waves through marginal ice zone (MIZ), ice floe with complicated shape needs to be considered. This was done by Meylan (2002) and Wang & Meylan (2004) through boundary element method for fluid flow and finite element method for ice sheet. Instead of determining the free modes of vibration or the dry modes of the floe independently, Bennetts & Williams (2010) solved the fluid motion and ice sheet flexure together, i.e. the governing equation for ice sheet flexure was incorporated into the water surface condition for fluid flow through kinematic and dynamic conditions at the interface, as done in most of other works. In Bennetts & Williams (2010), the wave interactions with a polynya embedded in an infinite ice sheet was also solved. Based on the solution of a single ice floe and the slab clustering method (SCM) originally for multiple structures interaction in open sea, Montiel et al. (2016) investigated the wave spectra evolution features in the MIZ which were comprised of tens of thousands ice floes. Ice sheets in nature are rarely homogeneous and perfect. One of the imperfections is the crack. Based on the MEE originally developed by Fox & Squire (1990), Barrett & Squire (1996) solved the problem of an infinitely long straight line crack in ice sheet on the water surface. Numerical results showed that for short waves most of the energy would be reflected back, which was similar to the case of wave impinging a semi-infinite ice sheet. It was found that there would be a frequency at which perfect transmission would occur. Based on the Green function for ice sheet without the crack, analytical solution for reflection and transmission coefficients could be derived, e.g. by Squire & Dixon (2000) for a single crack through an explicit formulae and by Squire & Dixon (2001a) for multiple cracks through a matrix equation. Single or multiple parallel infinitely long cracks were also solved by Evans & Porter (2003) and Porter & Evans (2006) for finite water depth. Li et al. (2018b) derived a Green function which satisfied the conditions at the crack. This enabled the expression for the diffraction potential to be written explicitly. The advantage of this method was that it allowed multipole for a circle to be constructed directly (Li et al. 2018b), and the obtained Green function could be easily extended to multiple cracks and used for a body of arbitrary shape Li et al. (2018a). For the 3D problems, the work has been mainly limited to the cracks of some special shapes. Porter & Evans (2007) considered parallel straight line cracks. The jumps of the displacement and slope of the crack deflection were expanded into Chebyshev polynomials, which took into account the behaviour at the crack ends. Li et al. (2018c) considered a circular crack. The jumps of the displacement and slope of the crack deflection were expanded into Fourier series and the unknown coefficients were found explicitly. In addition to parallel straight lines and closed circles, the cracks in Polar regions may have other shapes. Also, when there is a high concentration of ice floes and the gaps between floes are very narrow, this could be treated as a crack problem. For a crack in a general shape, the problem becomes a major challenge. One of the difficulties is that the free edge conditions at the crack contain high derivatives. When this is applied to an already singular boundary integral equation, it becomes a high order hyper singular equation. The solution of such an equation is not easy to obtain and therefore the physics in such a case is not easy to capture. In this work, we shall develop a methodology to overcome the difficulty, and then solve the problem of wave interactions with multiple cracks of arbitrary shapes and locations. An individual crack can be either closed or open. In the methodology, we extend the crack in the vertical direction into the fluid domain to form an artificial vertical surface. On this surface, continuity of the velocity and pressure of the fluid will be imposed. The 3D problem is then decomposed into an infinite number of coupled 2D problems. The methodology is verified through the analytical solution for the circular crack and then used for a variety of case studies. The paper is organized as follows. The mathematical problem for flexural gravity wave propagations in ice sheet with multiple arbitrary shaped cracks is formulated in §2, and the conditions satisfied at the crack together with those at the ends of an open crack are described. The solution procedures are constructed in §3, and the numerical discretization of the hypersingular integral differential equations are given in §4. Extensive results for cracks with various shapes and distributions are presented and discussed in §5, and conclusions are made in §6. In Appendix, the diffraction coefficient corresponding to the far field diffracted wave is derived, and an energy conservation relationship for the scattered cross section is provided. 2. Mathematical model We consider the problem of wave interaction with multiple cracks of arbitrary shapes in an ice sheet, as sketched in figure 1. The ice sheet is horizontally infinitely extended, and floating on water of finite depth. To describe the problem, a Cartesian coordinate system $O-xyz$ is defined, with $O-xy$ plane being the undisturbed interface of water and ice sheet, and $z$-axis pointing vertically upwards. The direction of flexural-gravity incident wave from infinity is assumed to form an angle $\beta$ with positive $x$-axis, and the water depth $H$ is assumed to be constant, as shown in the figure. The shape of crack $i$ can be described parametrically by $$\vec{T}_i(s) = (x(s), y(s)), \quad (-\gamma_i < s < +\gamma_i, \ 1 \leq i \leq N),$$ (2.1) where $2\gamma_i$ is the total arc length of crack $i$, and $s$ is the curvilinear coordinate along the crack. Based on the assumption that the fluid is inviscid, incompressible and homogeneous, and its motion is irrotational, the velocity potential $\Phi$ can be introduced to describe the fluid flow. When the amplitude of wave motion is small compared to its length, the linearized velocity potential theory can be further used. For sinusoidal motion in time with radian frequency $\omega$, we may write the total velocity potential as $$\Phi(x, y, z, t) = \text{Re} \left[ \phi(x, y, z)e^{i\omega t} \right],$$ (2.2) where $$\phi = \phi_I + \phi_D,$$ (2.3) with $\phi_I$ and $\phi_D$ as the incident velocity potential and diffracted velocity potential by the cracks respectively. The conservation of mass requires that the velocity potential $\phi$ should satisfy the following Laplace equation $$\nabla^2 \phi + \frac{\partial^2 \phi}{\partial z^2} = 0,$$ (2.4) throughout the fluid, where \[ \nabla^2 = \frac{\partial^2}{\partial x^2} + \frac{\partial^2}{\partial y^2}, \] (2.5) is the Laplacian in the horizontal plane. Following Squire (2011) and others, the ice sheet is modelled as a thin elastic plate, and its properties (i.e. Young’s modulus $E$, Poisson’s ratio $\nu$, density $\rho_i$ and thickness $h$) are assumed to be constant. Assuming that there is no gap between the ice sheet and the water upper surface, we can write the boundary condition on their interface as \[ (L\nabla^4 + \rho_w g - m\omega^2)\frac{\partial \phi}{\partial z} - \rho_w \omega^2 \phi = 0, \quad (\vec{r} \neq \vec{T}_i, \ z = 0), \] (2.6) where $\vec{r} = (x, y)$, $L = Eh^3 / [12(1-\nu^2)]$ is the effective flexural rigidity of the ice sheet, $m = \rho_i h$ is the corresponding areal density, $\rho_w$ is the density of water, and $g$ is the acceleration due to gravity. On both sides of the crack, the edges of the ice sheet are assumed to be free to move, which means that the following zero bending moment and modified shear force conditions should be satisfied (Timoshenko & Woinowsky 1959) \[ \mathcal{B}\left(\frac{\partial \phi}{\partial z}\right) = 0 \quad \text{and} \quad \mathcal{S}\left(\frac{\partial \phi}{\partial z}\right) = 0, \quad (\vec{r} = \vec{T}_i, \ z = 0), \] (2.7) where the operator $\mathcal{B}$ and $\mathcal{S}$ are respectively defined as \[ \mathcal{B} = \nabla^2 - \nu_0 \left(\sin^2 \Theta \frac{\partial^2}{\partial x^2} + \cos^2 \Theta \frac{\partial^2}{\partial y^2} - \sin 2\Theta \frac{\partial^2}{\partial x \partial y}\right), \] (2.8) \[ \mathcal{S} = \frac{\partial}{\partial n} \nabla^2 + \nu_0 \frac{\partial}{\partial s} \left[\cos 2\Theta \frac{\partial^2}{\partial x \partial y} + \frac{\sin 2\Theta}{2} \left(\frac{\partial^2}{\partial y^2} - \frac{\partial^2}{\partial x^2}\right)\right], \] (2.9) with $\nu_0 = 1 - \nu$, and $\vec{n}$ and $\vec{s}$ are the unit vectors along the normal and tangential directions, respectively. Here, $\Theta(s)$ is the angle between positive $\vec{n}$ and $x$-axis, and thus $\vec{n} = (\cos \Theta, \sin \Theta)$ and $\vec{s} = (-\sin \Theta, \cos \Theta)$. By noticing \[ \frac{\partial x}{\partial s} = -\sin \Theta \quad \text{and} \quad \frac{\partial y}{\partial s} = \cos \Theta, \] (2.10) the operators $\mathcal{B}$ and $\mathcal{S}$ in (2.8) and (2.9) can be also expressed into the curvilinear coordinate system as \[ \mathcal{B} = \nabla^2 - \nu_0 \left(\frac{\partial^2}{\partial s^2} + \frac{\partial \Theta}{\partial s} \frac{\partial}{\partial n}\right), \] (2.11) \[ \mathcal{S} = \frac{\partial}{\partial n} \nabla^2 + \nu_0 \frac{\partial}{\partial s} \left(\frac{\partial^2}{\partial s \partial n} - \frac{\partial \Theta}{\partial s} \frac{\partial}{\partial s}\right), \] (2.12) where the partial derivatives with respect to $s$ are carried out with respect to the curvilinear coordinate. It should be noticed that equation (2.12) is in fact an equivalent shear force after three boundary conditions at a plate edge being combined into two. The second term in (2.12) is from the twisting moment, which is equivalently replaced by the force perpendicular to the plate. In doing so, when a plate edge has a sharp corner, it leads to a concentrated force at the corner, which has to be set as a zero as an additional condition. For an open crack, at the ends of the crack the free edge in fact turns 360°. Thus this additional condition should be imposed at the sharp corner of a plate (Timoshenko & Woinowsky 1959) \[ \left(\frac{\partial^2}{\partial s \partial n} - \frac{\partial \Theta}{\partial s} \frac{\partial}{\partial s}\right) \frac{\partial \phi}{\partial z} = 0, \quad (s \to \pm \gamma_i, \ z = 0). \] (2.13) The edge conditions described above are on the basis that the ice sheets on both sides of the crack are completely detached from each other, which is suitable when the ratio of width of the gap to the typical length scale of the ice sheet is small (Li et al. 2018b). It might be noticed that the implications of the mathematical model for the ice crack have been reviewed and discussed by Squire (2007). On the flat seabed, the impermeable condition provides \[ \frac{\partial \phi}{\partial z} = 0, \quad (z = -H). \] (2.14) At infinity the radiation condition is imposed, which requires that the diffracted wave should propagate outwards, or \[ \lim_{r \to \infty} \sqrt{r} \left( \frac{\partial \phi_D}{\partial r} + i \kappa_0 \phi_D \right) = 0, \] (2.15) where $\kappa_0$ is the flexural gravity wave number. It may be noticed that $\kappa_0$ is the purely positive real root of the dispersion equation $K(\omega, \kappa) = 0$ for flexural gravity wave in the ice sheet, with \[ K(\omega, \kappa) \equiv (L\kappa^4 + \rho_w g - m\omega^2) \kappa \tanh(\kappa H) - \rho_w \omega^2. \] (2.16) 3. Solution procedures To solve the boundary value problem described in the section above, through using variable separation method, we may write the diffracted velocity potential $\phi_D$ into the following form \[ \phi_D = \sum_m \varphi_m(x, y)\psi_m(z). \] (3.1) Substituting (3.1) into the governing Laplace equation (2.4), we can obtain $(\nabla^2 \varphi_m)/\varphi_m = -(d^2 \psi_m/dz^2)/\psi_m$. This equation has to be equal to a constant. Letting it be $-\kappa_m^2$, we have \[ \nabla^2 \varphi_m + \kappa_m^2 \varphi_m = 0, \] (3.2) and \[ \frac{d^2 \psi_m}{dz^2} - \kappa_m^2 \psi_m = 0, \] (3.3) for $\varphi_m$ and $\psi_m$ respectively. By further applying the boundary conditions in (2.6) and (2.14) to (3.3), we have \[ \psi_m(z) = \frac{\cosh[\kappa_m(z + H)]}{\cosh(\kappa_m H)}. \] (3.4) Here, $\kappa_m$ are the roots of the dispersion equation (2.16), with $\kappa_{-2}$ and $\kappa_{-1}$ as two complex roots with negative imaginary parts and symmetric about the imaginary axis, $\kappa_0$ as the purely positive real root, $\kappa_m$ ($m = 1, \ldots, \infty$) as an infinite number of purely negative imaginary roots. Taking the summation in (3.1) through all possible eigen values and eigen functions, we have \[ \phi_D = \sum_{m=-2}^{\infty} \varphi_m(x, y)\psi_m(z). \] (3.5) Then the three dimensional boundary value problems for $\phi_D$ are transformed into the two dimensional ones for $\varphi_m$. The incident velocity potential $\phi_I$ in (2.3) may be written as \[ \phi_I = \varphi_I(x, y)\psi_0(z) \] (3.6) where \[ \varphi_I(x, y) = I e^{-i \kappa_0 (x \cos \beta + y \sin \beta)} / \tanh (\kappa_0 H), \] with $I = i \omega A / \kappa_0$ and $A$ as the amplitude of the incident wave. The two dimensional Helmholtz equation in (3.2) may be converted into an integral equation through using the Green function below \[ G_m(p, q) = \frac{\pi}{2i} H_0^{(2)}(\kappa_m R), \] where $H_0^{(2)}$ is the zeroth order Hankel function of second kind (Abramowitz & Stegun 1965), and $R$ is the distance between the field point $p(x, y)$ and source point $q(\xi, \eta)$ in the two dimensional horizontal plane. We may note that $G_m$ in (3.8) satisfies the Helmholtz equation and the radiation condition in (2.15). Applying Green’s identity to $G_m$ and $\varphi_m$, we have \[ \alpha \varphi_m(p) = \int_{\Gamma} \left[ G_m(p, q) \frac{\partial \varphi_m(q)}{\partial n_q} - \frac{\partial G_m(p, q)}{\partial n_q} \varphi_m(q) \right] ds_q, \] where the integral and normal derivative are carried out with respect to the source point $q$, and $\alpha$ is the two dimensional solid angle at the field point $p$. In (3.9), $\Gamma$ should include all the lines along the ice sheet edges. However, the closed line at infinity has been excluded due to the fact that both $G_m$ and $\varphi_m$ satisfy the radiation condition in (2.15), and the integrand becomes zero there. For ice crack, we may denote the variable on its two sides with superscripts $+$ and $-$ respectively. Noticing that on $+$ and $-$ side $\vec{n}$ in (3.9) is opposite to each other, it can be rewritten as \[ \alpha \varphi_m(p) = \sum_{i=1}^{N} \int_{\Gamma_i} \left[ G_m(p, q) \frac{\partial \tilde{\varphi}_m(q)}{\partial n_q} - \frac{\partial G_m(p, q)}{\partial n_q} \tilde{\varphi}_m(q) \right] ds_q, \] where $\Gamma_i$ is the route along the crack $i$, $\vec{n}$ is now from $-$ side to $+$ side. $\tilde{\varphi}_m$ and $\partial \tilde{\varphi}_m / \partial n$ are the corresponding jumps of velocity potential and its normal derivative across the crack, or \[ \tilde{\varphi}_m = \varphi_m^- - \varphi_m^+, \] \[ \frac{\partial \tilde{\varphi}_m}{\partial n} = \frac{\partial \varphi_m^-}{\partial n} - \frac{\partial \varphi_m^+}{\partial n}. \] Once the values of $\tilde{\varphi}_m$ and $\partial \tilde{\varphi}_m / \partial n$ along the cracks are determined, the diffraction potential $\phi_D$ in any point of fluid can be obtained through equations (3.5) and (3.10). The main task is then to find these two jumps. To do that, we extend each ice crack vertically from the ice sheet to the sea bed to form a vertical surface $\Sigma_i$, as shown in figure 1. On both sides of the artificial surface $\Sigma_i$, we denote the total velocity potential $\phi$ as $\phi^+$ and $\phi^-$ respectively, where the superscripts correspond to those of $\varphi_m$. In fluid, the pressure and fluid velocity should be continuous across each $\Sigma_i$, or \[ \phi^+ = \phi^-, \] \[ \frac{\partial \phi^+}{\partial n} = \frac{\partial \phi^-}{\partial n}, \] for $-H \leq z \leq 0$. Different from the free surface problem, the eigenfunction in (3.4) is not orthogonal in the usual sense. However, we may introduce the following orthogonal inner product (Sahoo et al. 2001) \[ \langle \psi_m, \psi_{\tilde{m}} \rangle = \int_{-H}^{0} \psi_m \psi_{\tilde{m}} \, dz + \frac{L}{\rho_0 \omega^2} \left( \frac{d \psi_m}{dz} \frac{d^3 \psi_{\tilde{m}}}{dz^3} + \frac{d^3 \psi_m}{dz^3} \frac{d \psi_{\tilde{m}}}{dz} \right)_{z=0}, \] which provides that $ \langle \psi_m, \psi_{\tilde{m}} \rangle = 0 $ if $ m \neq \tilde{m} $ and $ \langle \psi_m, \psi_{\tilde{m}} \rangle = Q_m $ if $ m = \tilde{m} $, with \[ Q_m = \frac{2\kappa_m H + \sinh (2\kappa_m H)}{4\kappa_m \cosh^2 (\kappa_m H)} + \frac{2L\kappa_m^4}{\rho_w \omega^2} \tanh^2 (\kappa_m H). \] (3.16) To satisfy the continuity condition of pressure in (3.13), applying the inner product to $ \phi^- - \phi^+ $ and $ \psi_{\tilde{m}} $, we have \[ \langle (\phi^- - \phi^+), \psi_{\tilde{m}} \rangle = \int_{-H}^{0} (\phi^- - \phi^+) \psi_{\tilde{m}} \, dz \\ + \frac{L}{\rho_w \omega^2} \left[ \frac{\partial (\phi^- - \phi^+)}{\partial z} \frac{d^3 \psi_{\tilde{m}}}{dz^3} + \frac{\partial^3 (\phi^- - \phi^+)}{\partial z^3} \frac{d \psi_{\tilde{m}}}{dz} \right]_{z=0}. \] (3.17) Similarly, for the continuity condition of velocity in (3.14), we have \[ \left\langle \frac{\partial (\phi^- - \phi^+)}{\partial n}, \psi_{\tilde{m}} \right\rangle = \int_{-H}^{0} \frac{\partial (\phi^- - \phi^+)}{\partial n} \psi_{\tilde{m}} \, dz \\ + \frac{L}{\rho_w \omega^2} \left[ \frac{\partial^2 (\phi^- - \phi^+)}{\partial z \partial n} \frac{d^3 \psi_{\tilde{m}}}{dz^3} + \frac{\partial^4 (\phi^- - \phi^+)}{\partial z^3 \partial n} \frac{d \psi_{\tilde{m}}}{dz} \right]_{z=0}. \] (3.18) In the above two equations, $ z = 0 $ should be understood as that the crack is approached from ice sheet not from $ \Sigma_1 $, and therefore jumps exist. Substituting equations (3.5) and (3.6) into (2.3), and further the obtained results into (3.17) and (3.18), we can get \[ \tilde{\varphi}_{\tilde{m}} Q_{\tilde{m}} = \frac{L}{\rho_w \omega^2} \left[ \tilde{D} \frac{d^3 \psi_{\tilde{m}}}{dz^3} + \frac{\partial^3 (\phi_D^- - \phi_D^+)}{\partial z^3} \frac{d \psi_{\tilde{m}}}{dz} \right]_{z=0}, \] (3.19) and \[ \frac{\partial \tilde{\varphi}_{\tilde{m}}}{\partial n} Q_{\tilde{m}} = \frac{L}{\rho_w \omega^2} \left[ \tilde{S} \frac{d^3 \psi_{\tilde{m}}}{dz^3} + \frac{\partial^4 (\phi_D^- - \phi_D^+)}{\partial z^3 \partial n} \frac{d \psi_{\tilde{m}}}{dz} \right]_{z=0}, \] (3.20) where the continuity conditions (3.13) and (3.14) have been used in the first terms on the right hand sides of (3.17) and (3.18), and $ \tilde{D} $ and $ \tilde{S} $ are respectively the jumps of displacement and slope across the crack or \[ \tilde{D} = \left( \frac{\partial \phi_D^-}{\partial z} - \frac{\partial \phi_D^+}{\partial z} \right)_{z=0}, \] (3.21) \[ \tilde{S} = \left( \frac{\partial^2 \phi_D^-}{\partial n \partial z} - \frac{\partial^2 \phi_D^+}{\partial n \partial z} \right)_{z=0}. \] (3.22) It may be noticed that in equations (3.19) and (3.20), the continuity of $ \varphi_I $ in (3.6) across the artificial vertical surface $ \Sigma_I $ has been implied. Since $ \phi_D $ should satisfy the Laplace equation in (2.4) or $ \partial^2 \phi_D / \partial z^2 = -\nabla^2 \phi_D $, we may further write (3.19) and (3.20) as \[ \tilde{\varphi}_{\tilde{m}} Q_{\tilde{m}} = \frac{L}{\rho_w \omega^2} \left[ \tilde{D} \frac{d^3 \psi_{\tilde{m}}}{dz^3} - \frac{d \psi_{\tilde{m}}}{dz} \nabla^2 \frac{\partial (\phi_D^- - \phi_D^+)}{\partial z} \right]_{z=0}, \] (3.23) and \[ \frac{\partial \tilde{\varphi}_{\tilde{m}}}{\partial n} Q_{\tilde{m}} = \frac{L}{\rho_w \omega^2} \left\{ \tilde{S} \frac{d^3 \psi_{\tilde{m}}}{dz^3} - \frac{d \psi_{\tilde{m}}}{dz} \frac{\partial}{\partial n} \left[ \nabla^2 \frac{\partial (\phi_D^- - \phi_D^+)}{\partial z} \right] \right\}_{z=0}. \] (3.24) Since both $ \phi^- $ and $ \phi^+ $ satisfy the ice sheet edge conditions in (2.7), their difference should also satisfy the same edge conditions. By further noticing that \[ B \left( \frac{\partial \phi^-_I}{\partial z} \right) = B \left( \frac{\partial \phi^+_I}{\partial z} \right) \quad \text{and} \quad S \left( \frac{\partial \phi^-_I}{\partial z} \right) = S \left( \frac{\partial \phi^+_I}{\partial z} \right), \] we can obtain \[ \nabla^2 \frac{\partial (\phi^-_D - \phi^+_D)}{\partial z} = \nu_0 \left( \frac{\partial^2 \tilde{D}}{\partial s^2} + \frac{\partial \Theta}{\partial s} \tilde{S} \right), \] (3.26) \[ \frac{\partial}{\partial n} \left[ \nabla^2 \frac{\partial (\phi^-_D - \phi^+_D)}{\partial z} \right] = -\nu_0 \frac{\partial}{\partial s} \left( \frac{\partial \tilde{S}}{\partial s} - \frac{\partial \Theta}{\partial s} \frac{\partial \tilde{D}}{\partial s} \right). \] (3.27) Substituting equations (3.26) and (3.27) into (3.23) and (3.24), we have \[ \tilde{\varphi}_m = \frac{L \kappa_m \tanh (\kappa_m H)}{Q_m \rho_w \omega^2} \left[ \kappa_m^2 \tilde{D} - \nu_0 \left( \frac{\partial^2 \tilde{D}}{\partial s^2} + \frac{\partial \Theta}{\partial s} \tilde{S} \right) \right], \] (3.28) and \[ \frac{\partial \tilde{\varphi}_m}{\partial n} = \frac{L \kappa_m \tanh (\kappa_m H)}{Q_m \rho_w \omega^2} \left[ \kappa_m^2 \tilde{S} + \nu_0 \frac{\partial}{\partial s} \left( \frac{\partial \tilde{S}}{\partial s} - \frac{\partial \Theta}{\partial s} \frac{\partial \tilde{D}}{\partial s} \right) \right]. \] (3.29) Substituting equations (3.28) and (3.29) into (3.10), we can obtain \[ \varphi_m = \chi_m \sum_{i=1}^{N} \int_{\Gamma_i} \left\{ G_m \left[ \kappa_m^2 \tilde{S} + \nu_0 \frac{\partial}{\partial s} \left( \frac{\partial \tilde{S}}{\partial s} - \frac{\partial \Theta}{\partial s} \frac{\partial \tilde{D}}{\partial s} \right) \right] - \frac{\partial G_m}{\partial n_q} \left[ \kappa_m^2 \tilde{D} - \nu_0 \left( \frac{\partial^2 \tilde{D}}{\partial s^2} + \frac{\partial \Theta}{\partial s} \tilde{S} \right) \right] \right\} ds_q, \] (3.30) where \[ \chi_m = \frac{L \kappa_m \tanh (\kappa_m H)}{\alpha Q_m \rho_w \omega^2}. \] (3.31) We may apply integration by parts to the second term on the right hand side of (3.30) and use (2.13), which provides \[ \varphi_m = \chi_m \sum_{i=1}^{N} \int_{\Gamma_i} \left( f^D_m \tilde{D} + f^S_m \tilde{S} \right) ds_q, \] (3.32) where \[ f^D_m = \frac{\partial G_m}{\partial s_q} \nu_0 \frac{\partial \Theta}{\partial s} \frac{\partial}{\partial s} - \frac{\partial G_m}{\partial n_q} \left( \kappa_m^2 - \nu_0 \frac{\partial^2}{\partial s^2} \right), \] (3.33) \[ f^S_m = G_m \kappa_m^2 + \frac{\partial G_m}{\partial n_q} \nu_0 \frac{\partial \Theta}{\partial s} - \frac{\partial G_m}{\partial s_q} \nu_0 \frac{\partial}{\partial s}. \] (3.34) Taking normal derivation in (3.32) at point $ p $, we further have \[ \frac{\partial \varphi_m}{\partial n} = \chi_m \sum_{i=1}^{N} \frac{\partial}{\partial n_p} \int_{\Gamma_i} \left( f^D_m \tilde{D} + f^S_m \tilde{S} \right) ds_q. \] (3.35) Now, the integral equations contain the unknown jumps of displacement and slope across the crack. To solve $ \tilde{D} $ and $ \tilde{S} $, we may substitute equations (3.32) into (3.5) directly to obtain $ \phi_D $ and (3.35) into the normal derivative of (3.5) to obtain $ \partial \phi_D / \partial n $, and then apply the crack conditions in (2.7), which gives two sets of differential equations, or \[ \sum_{m=-2}^{\infty} \left[ \left( \frac{d^3 \psi_m}{dz^3} + \nu_0 \frac{d \psi_m}{dz} \frac{\partial^2}{\partial s^2} \right) \varphi_m + \nu_0 \frac{d \psi_m}{dz} \frac{\partial \Theta}{\partial s} \frac{\partial \varphi_m}{\partial n} \right] = B \left( \frac{\partial \phi_I}{\partial z} \right), \] (3.36) \[ \sum_{m=-2}^{\infty} \left[ \nu_0 \frac{d \psi_m}{dz} \left( \frac{\partial^2 \Theta}{\partial s^2} \frac{\partial}{\partial s} + \frac{\partial \Theta}{\partial s} \frac{\partial^2}{\partial s^2} \right) \varphi_m + \left( \frac{d^3 \psi_m}{dz^3} - \nu_0 \frac{d \psi_m}{dz} \frac{\partial^2}{\partial s^2} \right) \frac{\partial \varphi_m}{\partial n} \right] = S \left( \frac{\partial \phi_I}{\partial z} \right), \] (3.37) for $ \vec{r} \to \vec{Y}_i $ and $ z = 0 $. 4. Numerical discretization To find the solution for the boundary integral equations (3.32) and (3.35) as well as the differential equations (3.36) and (3.37) numerically, we may divide the $ i $-th ice crack into $ M_i $ straight line segments with length respectively as $ \ell_i^1, \ell_i^2, \ldots, \ell_i^{M_i} $. On each segment, the jumps of displacement and slope or $ \tilde{D} $ and $ \tilde{S} $ are also assumed to be constant and are taken from those at the centre of the segment, where the crack conditions will be enforced. Here, it may be noticed that the solid angle $ \alpha $ in the integral equation (3.10) should always be $ 2\pi $, even on the crack, due to that the computational domain exists on both sides of the crack, which is different from that for wave interactions with a body of non-zero thickness. For the first and second partial derivatives with respect to $ s $, the three point finite difference scheme for unequal segment will be used (Burden & Faires 2010), or at the $ i $-th segment centre with $ s = s_1 $ \[ \left. \frac{\partial f_i}{\partial s} \right\|_{s=s_1} = \frac{-h_2^2 f_0 - (h_1 - h_2)(h_1 + h_2)f_1 + h_1^2 f_2}{h_1 h_2(h_1 + h_2)}, \] (4.1) and \[ \frac{\partial^2 f_i}{\partial s^2} = 2 \frac{h_2 f_0 - (h_1 + h_2)f_1 + h_1 f_2}{h_1 h_2(h_1 + h_2)}, \] (4.2) where $ h_1 = s_1 - s_0 $ and $ h_2 = s_2 - s_1 $, $ s_0 $ and $ s_2 $ are the values of $ s $ at the previous and next segments respectively. In (4.1) and (4.2), the subscript in $ f_i $ indicates the values at the $ i $-th segment of the crack. Near the edge of an open crack, if there is no required point beyond edge, the one sided 3-point equation can be used, or \[ \left. \frac{\partial f_i}{\partial s} \right\|_{s=s_0} = \frac{-h_2(2h_1 + h_2)f_0 + (h_1 + h_2)^2f_1 - h_1^2 f_2}{h_1 h_2(h_1 + h_2)}, \] (4.3) \[ \left. \frac{\partial f_i}{\partial s} \right\|_{s=s_2} = \frac{h_2^2 f_0 - (h_1 + h_2)^2f_1 + h_1(h_1 + 2h_2)f_2}{h_1 h_2(h_1 + h_2)}. \] (4.4) It should be noticed that in equation (3.35), the normal derivative with respect to $ \vec{n}_p $ can be moved into the integral. As a result, there is a hypersingular integral which should be computed in the sense of the Hadamard finite part (Martin & Rizzo 1989). Substituting (3.32) and (3.35) into (3.36) and (3.37), and using (4.1) and (4.2) for the first and second partial derivatives with respect to $ s $, we can obtain two sets of linear equations, the total number of which is the same as that for $ \tilde{D} $ and $ \tilde{S} $. When the field point $ p $ tends to the source point $ q $, there will be a logarithmic singularity in the Green function $ G_m $, as (Abramowitz & Stegun 1965) \[ H_0^{(2)}(\kappa_m R) \to \frac{2}{\pi i} \ln(R) + O(1) \quad \text{as} \quad R \to 0. \] (4.5) In such a case, the integrals in (3.32) and (3.35) should be computed in the principle value or Hadamard finite part sense. For the logarithmic singularity, we may separate it out from $G_m$ and integrate it analytically (Linton & Mciver 2001). To compute the Hadamard finite part integral, we may denote $\vec{n}_p = (n^p_1, n^p_2)$ and $\vec{n}_q = (n^q_1, n^q_2)$. Then we have $$\frac{\partial^2 G_m}{\partial n_p \partial n_q} = \frac{\pi \kappa_m}{2iR} H^{(2)}_1 (\kappa_m R) (\vec{n}_p \cdot \vec{n}_q) + \frac{\pi \kappa_m}{2iR^2} \left[ \kappa_m H^{(2)}_0 (\kappa_m R) - \frac{2}{R} H^{(2)}_1 (\kappa_m R) \right]$$ $$\times [(\xi - x)n^p_1 + (\eta - y)n^p_2] [(\xi - x)n^q_1 + (\eta - y)n^q_2].$$ (4.6) For $p$ and $q$ on the same segment, by noticing $\vec{n}_p = \vec{n}_q$ and $(\xi - x)n^p_1 + (\eta - y)n^p_2 = 0$, we may further simplify the above equation as $$\frac{\partial^2 G_m}{\partial n_p \partial n_q} = \frac{\pi \kappa_m}{2iR} H^{(2)}_1 (\kappa_m R).$$ (4.7) We may also introduce a local coordinate system $t \in [-1, +1]$. On each panel of crack $i$, we have $R = \ell_i \|t\|/2$. Thus $$\frac{\partial^2 G_m}{\partial n_p \partial n_q} = \frac{\pi \kappa_m}{i\ell_i} H^{(2)}_1 (\kappa_m \ell_i \|t\|/2).$$ (4.8) Similar to (4.5), we have for $H^{(2)}_1 (\kappa_m R)$ (Abramowitz & Stegun 1965) $$H^{(2)}_1 (\kappa_m R) \rightarrow \frac{\kappa_m R}{\pi i} \left[ \ln(R) - \frac{2}{(\kappa_m R)^2} \right] + O(R) \quad \text{as} \quad R \rightarrow 0.$$ (4.9) Substituting (4.9) into (4.8), we have $$\frac{\partial^2 G_m}{\partial n_p \partial n_q} = \frac{4}{\ell_i^2 t^2} - \frac{\kappa_m^2}{2} \ln \|t\| + O(1),$$ (4.10) for $R \rightarrow 0$ or $t \rightarrow 0$. Thus, when $p$ and $q$ are located at the same segment, we may divide the integral of (4.8) into the singular part in (4.10) and the remaining regular part with order $O(1)$. The latter one can be computed numerically through the Gauss-Legendre approach. For the former one or the singular part in (4.10), we have $$\int_{\ell_i} \frac{\partial^2 G_m}{\partial n_p \partial n_q} \, ds_q = \frac{\ell_i}{2} \int_{-1}^{+1} \frac{\partial^2 G_m}{\partial n_p \partial n_q} \, dt = \frac{\kappa_m^2 \ell_i}{2} - \frac{4}{\ell_i},$$ (4.11) where $p$ being located at the centre of $\ell_i$ has been assumed. It might be noticed that the singular term in equation (4.11) of order 2 is treated through the Hadamard finite part integral (Martin & Rizzo 1989). 5. Results and analysis To provide meaningful results in physics, the typical values of the parameters of ice sheet and fluid are taken to be $$E = 5 \text{ GPa}, \quad \nu = 0.3, \quad \rho_i = 922.5 \text{ kg/m}^3, \quad h = 1 \text{ m}, \quad \rho_w = 1025 \text{ kg/m}^3, \quad H = 100 \text{ m},$$ (5.1) which are the same as those in Squire & Dixon (2000), and the considered wave length $\lambda_0 = 2\pi/\kappa_0$ will vary from $10\pi$ m to $400\pi$ m. The length scales of closed and open cracks are chosen to be similar to that in Li et al. (2018c) and to that in Porter & Evans (2007) respectively. In the following text, numerical results will be provided in the Figure 2. Modulus of the jump of displacement $\tilde{\eta}/A$ and that of slope $\tilde{\eta}_n/A$ along the crack with different $M_i$ and $T$ at $\kappa_0 = 3$ and $\beta = 0$. Solid lines: $M_i = 500$ and $T = 100$; dashed lines: $M_i = 1000$ and $T = 200$; open circles: analytical solution from Li et al. (2018c). dimensionless form, based on three basic parameters, or a characteristic length scale, the density of water $\rho_w$, and acceleration due to gravity $g = 9.80 \text{ m/s}^2$. To conduct numerical computations, in addition to the discretization of cracks, the infinite series in (3.5) will be truncated at a finite number $T - 3$ or the first $T$ terms will be kept. Higher accuracy can be achieved through smaller segments and more terms being kept in the eigenfunction expansions. It might be noticed that the computational cost very much depends on the number of segments $M = M_1 + \cdots + M_N$ used to discretize the integrals (3.32) and (3.35) and the number of terms $T$ used to truncate the infinite series (3.36) and (3.37). Generally, the CPU time required to construct the coefficient matrix is proportional to square of $M$ and is to $T$ linearly. For the case studies here, $M_i = 500$ and $T = 100$ with $N$ up to 4 are found to be enough to provide convergent results for all the considered crack shapes and wave lengths. For $N = 1$, the developed sequential FORTRAN 90 code WISPICE requires about 24.8 s to obtain the solution for each wave length in computer with CPU as i7 6700k. When they become very large, further refinement of the numerical method is needed, such as through domain decomposition method (Wu & Eatock Taylor 1995). 5.1. Convergence study and verification Computations are first carried out for the wave diffraction by a circular crack with radius $a$ in an ice sheet. The case has been investigated by Li et al. (2018c) and an explicit solution was obtained. Here, $a = 20\text{m}$ is taken to be the characteristic length scale, and the same parameters as those in Li et al. (2018c) have been used, namely $\kappa_0 = 3$ and $\beta = 0$. Figure 2 shows the modulus of the jump of displacement $\tilde{\eta}$ and that of slope $\tilde{\eta}_n$ across the crack against polar coordinate $\theta = \arctan(y/x)$, which are obtained through the kinematic condition on the ice sheet, or $$\tilde{\eta} = \frac{\tilde{D}}{\text{i}\omega} \quad \text{and} \quad \tilde{\eta}_n = \frac{\tilde{S}}{\text{i}\omega}. \quad (5.2)$$ Due to symmetry of the problem, only the results for $\theta \in [-\pi, 0]$ are provided. It can be seen from the figure that there is no visible difference between the results obtained by $M_i = 500$, $T = 100$ and $M_i = 1000$, $T = 200$, indicating that the convergence has been achieved. Here, it may be noticed that the results are obtained through discretizing the crack into segments with equal length. From the figure, it can be also observed that the numerical results are in an excellent agreement with the analytical solutions from Li et al. (2018c), which validates the proposed solution procedure. Further verification of the solution procedure is carried out through the scattered cross section $F$ in (A.4), as shown in figure 3 against wave number $\kappa_0$. Numerical computation is carried out through taking $M_i = 500$ and $T = 100$. It can be seen from this figure that the results obtained by direct integration of $U(\theta)$ show a good agreement with those computed by equation (A.9), and both these two sets of results agree well with the analytical solutions. This again demonstrates the accuracy of the present solution procedure. 5.2. Wave diffraction by a single closed crack In this and following sections, the ice thickness $h$ will be taken as the characteristic length scale, and $M_i = 500$ and $T = 100$ will be used for numerical computations, if it is not specifically specified. We first investigate the problem of flexural gravity wave interactions with a closed crack, and the effect of its shapes on the scattered wave field. For this purpose, closed cracks with elliptic shape are considered, i.e. defined as $(x/a)^2 + (y/b)^2 = 1$, where $a$ and $b$ are the half axes in the $x$ and $y$ directions, respectively. To demonstrate how wave diffraction by the crack will be affected when its shape changes and also to get a better understanding of flow physics for this type of problem, three Figure 4. Modulus of the jump of displacement $\tilde{\eta}/A$ and that of slope $\tilde{\eta}_n/A$ along the elliptic crack with different $b/a$ at $\kappa_0 = 2\pi/\sqrt{A}$ and $\beta = 0$ ($A = \pi ab = 400\pi$). Solid lines: $b/a = 0.5$; dashed lines: $b/a = 1.0$; dash-dotted lines: $b/a = 1.5$. Figure 5. Modulus of the diffraction coefficient $U$ as a function of $\theta$ and $\kappa_0$ for elliptic cracks with different $b/a$ at $\beta = 0$ ($A = \pi ab = 400\pi$). (a) $b/a = 0.5$; (b) $b/a = 1.0$; (c) $b/a = 1.5$. Crack shapes are chosen, namely $b/a = 0.5, 1.0, 1.5$ with its confined area kept fixed or $A = 400\pi$. For discretization, the nodes of the crack are distributed in the following form $$x^j = a \cos \left[ \frac{(2j - M)\pi}{M} \right] \quad \text{and} \quad y^j = b \sin \left[ \frac{(2j - M)\pi}{M} \right] \quad \text{with} \quad j = 0, 1, \ldots, M - 1.$$ (5.3) The jumps of displacement $\tilde{\eta}$ and slope $\tilde{\eta}_n$ along the crack are respectively shown in Figure 4(a) and 4(b) against curvilinear coordinate $s/\gamma$, with the incident wave number taken to be $\kappa_0 = 2\pi/\sqrt{A}$. The wave length corresponding to this $\kappa_0$ is equal to the characteristic scale of the crack or $\sqrt{A}$. Here, the incident wave angle is chosen as $\beta = 0$, and thus only half of the $s$ range or $s/\gamma \in [-1, 0]$ is plotted due to symmetry. It ought to be mentioned that the results given in this figure are convergent, namely $M_3 = 500$ and $T = 100$ are found to be large enough and their larger values give graphically indistinguishable curves. It can be seen from this figure that the jumps of $\tilde{\eta}$ and $\tilde{\eta}_n$ at the crack are very much affected by the shape of the crack, although the areas enclosed by crack are the same. Typically, $\tilde{\eta}$ and $\tilde{\eta}_n$ will oscillate with $s/\gamma$, and the number of the oscillation and its peaks and troughs are different when the crack shape varies. As given in equation (A.1), the far field diffracted wave field may be described by a diffraction coefficient $U(\theta)$, which can be obtained through an integral involving jumps $\tilde{D}$ and $\tilde{S}$ along the crack, as shown in (A.3). In figure 5, $U$ is sketched through a contour plot as a function of polar coordinate $\theta$ and wave number $\kappa_0$. It can be seen from this figure that there is a strong variation of the far field diffracted waves for crack with different shapes. It can be also seen from figure 5 that when $\kappa_0 \to 0$, there will be no diffracted wave by the crack or the ice sheet is equivalent to a continuous one. From mathematical aspect, when $\kappa_0 \to 0$ or $\omega \to 0$ the ice sheet condition in (2.6) will become $\partial \phi/\partial z = 0$. This indicates that the free edge condition in (2.7) at the crack and no concentrated force condition in (2.13) will be automatically satisfied, or the ice sheet will be “continuous”. From physical aspect, when the wave length $\lambda_0 = 2\pi/\kappa_0$ tends to infinity, the dynamic effect of wave motion will disappear, and so does the disturbance to the ice sheet, either with a crack or without. When $\kappa_0$ increases, the diffraction coefficient $U$ becomes more pronounced, and for a given $\kappa_0$ there is an obvious difference of the distribution of $U$ against $\theta$ for a crack with a different shape. A common feature is that they all oscillate against $\theta$, and a larger $\kappa_0$ will lead to more oscillatory results. This is because more wave cycles will be encountered by a given crack when the wave length decreases. It can be also seen from figure 5 that for all these three situations and various $\kappa_0$, a large part of the diffracted wave energy appears near the direction of the incident wave. From this figure, we can further observe that when $\theta$ is fixed, $U$ will oscillate with respect to $\kappa_0$. This can be more clearly seen from figure 6 which shows the 2D curves of scattered cross section $F$ against $\kappa_0$. For the specific range of $\kappa_0$, three large peaks of $F$ can be observed in addition to some local small peaks for different crack shapes. This is one of the typical Figure 7. Modulus of the jump of displacement $\tilde{\eta}/A$ and that of slope $\tilde{\eta}_n/A$ along circular cracks with different open angle $\vartheta$ at $\kappa_0 = \pi/20$ and $\beta = 0$ ($\gamma = 20\pi$). Solid lines: $\vartheta = \pi/20$; dashed lines: $\vartheta = \pi/3$; dash-dotted lines: $\vartheta = 39\pi/20$; dotted lines: closed circular crack. features for a closed crack. It is well known that for a finite elastic plate in vacuum, after an initial disturbance of the plate, it will oscillate forever at its natural frequencies if the structural damping effect is ignored. The oscillation amplitude will tend to infinity if the frequency of the continuous exciting force is equal to one of the natural frequencies of the plate. However, for ice plate inside the crack, when there is fluid in its lower side, its oscillations will generate water waves. Part of energy will transmit through the crack and propagate to infinity, which provides a damping through wave radiation. The peaks at the natural frequencies which will be different from those in the vacuum may be very large instead of infinity. When the geometry of ice plate varies, its natural frequencies can be expected to be different (Smith et al. 2011). Therefore, for a closed crack with various shapes, its near natural frequencies will be different or the large peaks will occur at different wave numbers, as shown in figure 6. 5.3. Wave diffraction by a single open crack Investigations now move to the question of how differently open cracks will affect the diffracted wave fields. To do this, we consider circular cracks with different open angles, i.e. $x = a \cos \theta$ and $y = a \sin \theta$ with $\theta \in [-\bar{\theta}, +\bar{\theta}]$. Here $\vartheta = 2(\pi - \bar{\theta})$ is the open angle. Three different crack are chosen, i.e. $\vartheta = \pi/20$, $\pi/3$ and $39\pi/20$, with their length fixed as $40\pi$. It should be noticed that the corresponding radius of these three cracks are Figure 8. Modulus of the diffraction coefficient $U$ as a function of $\theta$ and $\kappa_0$ for circular cracks with different open angle $\vartheta$ at $\beta = 0$ ($\gamma = 20\pi$). (a) $\vartheta = \pi/20$; (b) $\vartheta = \pi/3$; (c) $\vartheta = 39\pi/20$; (d) closed circular crack. Figure 9. Scattered cross section $F$ against wave number $\kappa_0$ for circular cracks with different open angle $\vartheta$ at $\beta = 0$ ($\gamma = 20\pi$). Solid line: $\vartheta = \pi/20$; dashed line: $\vartheta = \pi/3$; dash-dotted line: $\vartheta = 39\pi/20$; dotted line: closed circular crack. 800/39, 24 and 800 respectively. The incident wave number is chosen as $\kappa_0 = \pi/20$, or the incident wave length $\lambda_0 = 2\pi/\kappa_0 = 40$ which is the diameter of the case with $\vartheta = 0$, and the incident wave angle is chosen as $\beta = 0$. From equation (A.8) in Appendix, we have the asymptotic behaviours $\tilde{D} = O(s^\alpha)$ and $\tilde{S} = O(s^{\alpha-1})$ near a tip of the open crack, with $\alpha \geqslant 3/2$, where $s$ is the distance measured from the tip. From this, it can be expected that their partial derivatives $\partial^2 \tilde{D}/\partial s^2$ and $\partial \tilde{S}/\partial s$ involved in the integral equations (3.32) and (3.35) could vary very sharply near the tips of the crack. Therefore, to accelerate convergence of the results in the computations, the nodes are distributed in a cosine form along the crack, or \[ s^j = -\gamma + \gamma [1 - \cos(j\pi/M)] \quad \text{with} \quad j = 0, 1, \ldots, M. \] (5.4) The jumps of displacement and slope at the crack are shown in figure 7 against curvilinear coordinate $ s/\gamma $. As a comparison, the results for a closed circular crack are also provided. It can be seen that the jumps due to the diffracted wave at the cracks with the same length but different curvatures differ from each other significantly. Particularly, the results of larger curvature (39/800 and 1/24) are much more oscillatory against $ s/\gamma $ than those of very small curvature (1/800) in the figure. The small curvature case is closer to that of a straight line crack parallel to the $ y $-axis. When its length is very large and approaches infinity, the problem tends to a 2D one, and $ \tilde{\eta} $ and $ \tilde{\eta}_n $ will be constant along the crack or their variations will be zero. From figure 7, it is also interesting to see that when the opening of a crack is small and its two ends tend to merge to form a closed crack, the diffracted wave field of the former does not tend to that of the latter, as can be seen through the solid lines and dashed lines. In fact, although the open crack has nearly become a closed crack, the physics is still different. For the latter one, the inside ice sheet is fully separated from the outside ice sheet by the crack, or there is no direct connection between the two ice sheets, and their interactions are through the fluid. However, for an open crack, the ice sheets on both sides of the crack remain fully connected, and there will always be a direct interaction between their motions. When the open angle tend to zero, the connection will become a point at which the jumps $ \tilde{\eta} $ and $ \tilde{\eta}_n $ should still be zero, as shown in figure 7, which is different from that of the closed one. The effect of open crack shape on the diffracted wave in far field is demonstrated in figure 8, through the diffraction coefficient $ U $ in contour plot as a function of $ \theta $ and $ \kappa_0 $. It can be observed from this figure that $ U $ tends to be zero as $ \kappa_0 \rightarrow 0 $ for the reason explained in §5.2. When $ \kappa_0 $ increases, the diffracted wave become more obvious. From the contour plot, we have that the diffracted wave fields differ from each other significantly for cracks with the same length but different shapes. However, similar to the closed crack case, most of the diffracted wave will propagate in the direction of incident wave $ \beta $ for all situations. For the crack with a very small curvature, there is also a large part of diffracted wave in direction of $ -\beta $, as shown in figure 8(c). This is similar to the waves normally incident to an infinitely straight line crack of zero curvature, in which waves will transmit to the direction 0 and be reflected back to the direction $ \pi $. As discussed in the above section, there will be near resonant motions when the crack is closed, which will lead to large amplitude diffracted waves or $ U(\theta) $. When the crack is open, no similar resonant behaviors can be observed, even for a very small open angle. This can be seen from the comparisons of figure 8(a) with 8(d), and more clearly be observed from figure 9 which provides the variations of scattered cross section coefficient $ F $ against $ \kappa_0 $. From the contour plot in figure 8, we also have that when $ \kappa_0 $ is fixed, $ U $ will oscillate with $ \theta $. As $ \kappa_0 \rightarrow 0.2 $, there will be more cycles of $ U $ with respect to $ \theta $ for a moderate open angle in figure 8(b). ### 5.4. Wave diffraction by multiple cracks The developed methodology in this paper can be applied to any crack shapes and arrangements. Here, we will consider a few cases of wave diffraction by multiple cracks. The first case we consider is two straight line cracks with the same finite length of $ 2\gamma_i = 40\pi $, $ i = 1, 2 $. One is parallel to the $ y $-axis with its start and end points at $(x_s^1, y_s^1) = (-2.5, -20\pi)$ and $(x_s^2, y_s^2) = (-2.5, 20\pi)$ respectively. For the other crack, its start point is fixed at $(x_s^2, y_s^2) = (2.5, -20\pi)$, but its angle with respect to $ x $-axis... Figure 10. Modulus of the diffraction coefficient $U$ as a function of $\theta$ and $\kappa_0$ for two straight line cracks with different arrangements at $\beta = 0$. (a) $\tau = \pi/2$; (b) $\tau = \pi/4$; (c) $\tau = 0$; (d) single crack. Figure 11. Scattered cross section $F$ against wave number $\kappa_0$ for two straight line cracks with different arrangements at $\beta = 0$. Solid line: $\tau = \pi/2$; dashed line: $\tau = \pi/4$; dash-dotted line: $\tau = 0$; dotted line: single crack. changes, namely $\tau = \pi/2$, $\pi/4$ and 0. Both of these two cracks are discretized with nodes distributed in the cosine form in (5.4), which provides a very finer mesh near the tips of crack. Figure 10 provides the contour plot of diffraction coefficient $U$ as a function of polar coordinate $\theta$ and wave number $\kappa_0$, for two straight line cracks with different arrangements. As a comparison, the results for a single crack or with the second crack above being removed are also provided. Here, the incident wave angle is taken as $\beta = 0$. Different Figure 12. Modulus of the jump of displacement $\hat{\eta}/A$ and that of slope $\hat{\eta}_n/A$ along the left crack for different arrangements of the right crack at $\kappa_0 = 0.1$ and $\beta = 0$. Solid lines: $\tau = \pi/2$; dashed lines: $\tau = \pi/4$; dash-dotted lines: $\tau = 0$; dotted lines: single crack. from the case in §5.3, since the cracks are not arranged symmetrically about $y = 0$, the obtained results are asymmetric, as shown in the figure. From the figure, it can be seen that the diffracted wave field varies differently for cracks with different arrangements, although they all tend to be zero when $\kappa_0 \to 0$ for the reason discussed in §5.2. When the two cracks are closely arranged, it is expected that there will be stronger interactions between waves generated by the cracks, as can be observed in figure 10(a) and 10(b). This is clearer in figure 11, which shows the variation of the scattered cross section $F$ against $\kappa_0$. For two cracks parallel to each other or $\tau = \pi/2$, it resembles a 2D problem. There is much strong variation with $\kappa_0$ in this case. When the right crack is arranged parallel to the $x$-axis, or $\tau = 0$, the diffracted wave in the far field is very similar to that by a single crack. In figure 11, the dash-dotted line and dotted line respectively for these two cases are nearly overlapping each other. In fact, for a crack parallel to $x$-axis, by noticing $\partial \vartheta/\partial s = 0$, $\partial/\partial s = \partial/\partial x$ and $\partial/\partial n = -\partial/\partial y$, the operators $\mathcal{B}$ and $\mathcal{S}$ in equations (2.11) and (2.12) can be rewritten as $$\mathcal{B} = \frac{\partial^2}{\partial y^2} + \nu \frac{\partial^2}{\partial x^2},$$ (5.5) $$\mathcal{S} = -\frac{\partial}{\partial y} \left[ \frac{\partial^2}{\partial y^2} + (2 - \nu) \frac{\partial^2}{\partial x^2} \right].$$ (5.6) For an incident wave with $\beta = 0$ the right hand sides of equations (3.36) and (3.37) become $$\mathcal{B} \left( \frac{\partial \phi_I}{\partial z} \right) = \nu \frac{\partial^3 \phi_I}{\partial x^2 \partial z} \quad \text{and} \quad \mathcal{S} \left( \frac{\partial \phi_I}{\partial z} \right) = 0,$$ which means that only the second term in (5.5) has a contribution to the results. Then, it can be expected that there will be more diffracted waves for $\beta = \pi/2$ than those for $\beta = 0$. This feature has also been shown in the numerical results of Porter & Evans (2007), where they considered only the straight and parallel crack lines. For the case in figure 10(c), incident wave propagates along the $x$-axis. It will arrive with normal incident angle at the left crack first, and generate a diffracted wave which will mainly propagate along and opposite to the positive $x$-axis, as demonstrated in §5.3. The new wave field can be seen as an incident wave for the other crack. When it arrives at the right crack which is parallel to $x$-axis, the generated diffracted wave will be very small, as the direction of the main component of the incident wave field is parallel to $x$-axis. This indicates that the results for two cracks will be similar to those for a single crack in figure 10(c). In figure 12, the jumps of displacement and slope at the left crack are shown for various arrangements of the right crack. The shapes and arrangements of the cracks as well as the incident wave angle are the same as those in figure 10, while the incident wave number is taken to be $\kappa_0 = 0.1$. As can be expected, the jumps of all situations tend to be zero as the point approaches to the tips of crack. Similar to $U$ or $F$ in figures 10 and 11, from figure 12, it can be observed that the jumps of displacement and slope along the crack for $\tau = 0$ are also close to those for a single crack. The cracks of a uniform ice sheet formed by the excitation of a unidirectional regular wave might have a simple shape. Due to the random nature of the ocean waves, the cracks in Polar regions may be generally complex, which can be either open, closed, or the mixture of them. This can be partly reflected by the photos taken on site as well as in the laboratory (Kohout et al. 2016; Herman et al. 2018). Also, when there is a high concentration of ice floes with very narrow gaps between the floes, this could be equivalently treated as a crack problem mathematically, as noted by Squire & Dixon (2001a). The shapes of these narrow gaps could be highly complex (e.g. Fig. 2, Herman et al. 2018). Therefore, in our final case we consider a more general situation, or the flexural gravity wave interactions with multiple mixed closed and open cracks, i.e. two closed circular cracks with radius $a$ as 20 and centre $(x, y)$ respectively at $(-40, 0)$ and $(20, -20)$, and two straight line cracks parallel to $y$-axis with length $2\gamma_i$ as 40 and centre $(x, y)$ respectively at $(-10, 20)$ and $(50, 0)$. Here, oblique incident wave with $\beta = \pi/4$ is considered. Figure 13 shows the jumps of displacement $\tilde{\eta}$ and slope $\tilde{\eta}_n$ along the cracks against curvilinear coordinate $s/\gamma_i$. Here, the incident wave number is taken to be $\kappa_0 = \pi/20$, and the corresponding wave length is equal to diameter of the circular crack or length of the straight line crack. Convergence with respect to $M_\ell$ and $T$ has been verified, and the energy conservation relationship in equation (A.9) has been used as a partial check. It can be observed from the figure that for the open cracks both $\tilde{\eta}$ and $\tilde{\eta}_n$ will tend to be zero as $s \to \pm \gamma_i$, as expected from the physics. For the specific wave length or $\kappa_0$, it can be seen that $\tilde{\eta}$ and $\tilde{\eta}_n$ will oscillate with $s/\gamma_i$, and more peaks and troughs appear for a closed circular crack than those for a straight line crack. In figure 14, contour plots are shown for the diffraction coefficient $U$ as a function of $\theta$ and $\kappa_0$. It can be observed that similar to the single crack case, the wave energy is mainly diffracted to the direction of the wave incidence. The diffraction coefficient for Figure 13. Modulus of the jump of displacement $\tilde{\eta}/A$ and that of slope $\tilde{\eta}_n/A$ against curvilinear coordinate $s/\gamma_i$ for multiple mixed closed and open cracks at $\kappa_0 = \pi/20$ and $\beta = \pi/4$. Solid lines: circular crack at $(-40, 0)$; dashed lines: circular crack at $(20, -20)$; dash-dotted lines: straight line crack at $(-10, 20)$; dotted lines: straight line crack at $(50, 0)$. Figure 14. Modulus of the diffraction coefficient $U$ as a function of $\theta$ and $\kappa_0$ at $\beta = \pi/4$. (a) multiple mixed closed and open cracks; (b) single closed circular crack. A single circular closed crack is also shown in figure 14. It is interesting to see that the wave number $\kappa_0$ corresponding to the large peaks in figure 14(a) for multiple cracks are similar to those in figure 14(b) for a single crack, although the value of the former case is generally larger than the latter case. This can be more clearly observed from figure 15, which shows the scattered cross section $F$ against $\kappa_0$. Here, three large peaks appear within the range calculated. As discussed in §5.2, for a closed crack there will be a near resonant wave motions at a set of discrete $\kappa_0$. At these $\kappa_0$, the amplitude of the diffracted wave can be very large. For multiple cracks, there will be interactions between the waves due to different cracks. Thus, the wave numbers at which large motion may occur may not be exactly the same as those $\kappa_0$ for an individual crack. However, in many cases, these wave numbers are still close to $\kappa_0$. This is reflected by the results in figure 15. 6. Conclusions The problem of flexural gravity wave interactions with multiple cracks in ice sheet of infinite extent has been solved, in which both the shape and location of the cracks can be arbitrary, and the individual crack can be either open or closed. The problem is first transformed into an infinite number of coupled two dimensional problems in horizontal plane. Each two dimensional problem is converted into an integral equation along the cracks. By writing the potential in a series in the vertical direction and adopting an orthogonal inner product, all the required conditions including those at the crack are satisfied. The integral differential equations are solved using the boundary element method together with the finite difference scheme for the high derivatives along the crack. For the interaction of wave with a closed crack, the jumps of displacement $\tilde{\eta}$ and slope $\tilde{\eta}_h$ are generally smooth along the crack length. However, there are several cycles of oscillations with peaks and troughs, and the amplitude of the oscillation is not a constant. For a closed crack, the enclosed ice sheet becomes detached from the external one. For an ice plate in vacuum, it will oscillate forever at its natural frequencies after an initial disturbance, if there is no structure damping. When the excitation force has a component at one of the natural frequencies or at resonance, the motion amplitude can be infinite. When the ice plate is on water surface, similar resonant behaviour can occur. However, the motion amplitude will not be infinite because of wave radiation damping. Instead, the motion will show large amplitude as reflected by the variation of the diffraction coefficient $U(\theta)$ with $\kappa_0$. For an open crack, the variations of displacement and slope jumps are less oscillatory. Both jumps tend to zero at the tip of the crack. However, the slope jump changes very rapidly near the tip and its high derivative is singular at the tip. This singularity has to be treated analytically in the integral equation and numerically in the discretization, as has been done successful in this work. The displacement and slope jumps are not as oscillatory as those of a closed crack. It is interesting to see even when the two tips of the open crack are very close, the results do not tend to those of a closed one. A single point connection between the internal and external ice sheets make the physics very different. When there are multiple cracks, both the crack shapes and their arrangements will have effects on the diffracted waves. Interactions between cracks are much stronger in the local field flow than that in the far field flow. This is mainly due to the fact that the evanescent waves of each crack have strong effects only locally. For a straight line crack, when it is parallel to the local wave direction, its effect to the total flow is small. Its removal does not have much effect on the overall diffraction coefficient. The developed methodology can be also used to solve flexural gravity wave diffractions by cracks with corners. In such a case no concentrated force condition in equation (2.13) should be imposed at the corners. However, the method is limited to the ice sheet with constant physical properties, and the analysis is within the scope of the linear velocity potential theory. Acknowledgements This work is supported by Lloyd’s Register Foundation, to which the authors are most grateful. Lloyd’s Register Foundation helps to protect life and property by supporting engineering-related education, public engagement, and the application of research. This work is also supported by the National Natural Science Foundation of China (Grant No. 51709131 and 51879123) Declaration of interests The authors report no conflict of interest. Appendix A. Diffracted wave in far field and the scattered cross section After $\tilde{D}$ and $\tilde{S}$ having been found, similar to Li et al. (2018c) for wave diffraction by a circular crack, we may write the diffracted velocity potential $\phi_D$ in the far field as $$\lim_{r \to +\infty} \phi_D = \sqrt{\frac{2}{\pi \kappa_0 r}} e^{-(\kappa_0 r - \pi/4)} IU(\theta) \psi_0(z) / \tanh (\kappa_0 H), \quad (A1)$$ where $x = r \cos \theta$ and $y = r \sin \theta$, $\xi = r_0 \cos \theta_0$ and $\eta = r_0 \sin \theta_0$, and the diffraction coefficient $U(\theta)$ represents the scattered wave energy distribution along the circumferential direction. Substituting (3.32) into (3.5) and noticing $$H_0^{(2)}(\kappa_m R) = \sqrt{\frac{2}{\pi \kappa_m r}} e^{-i(\kappa_m r - \pi/4)} e^{i \kappa_m r_0 \cos(\theta - \theta_0)} \quad \text{as} \quad r \to +\infty, \quad (A2)$$ we have $$U(\theta) = \frac{\pi \chi_0}{2iI} \tanh (\kappa_0 H) \sum_{i=1}^N \int_{\Gamma_i} \left\{ \left[ \frac{\partial G_\infty}{\partial s_q} v_0 \frac{\partial \Theta}{\partial s} \frac{\partial}{\partial s} - \frac{\partial G_\infty}{\partial n_q} \left( \kappa_0^2 - v_0 \frac{\partial^2}{\partial s^2} \right) \right] \tilde{D} \right.$$ $$+ \left( G_\infty \kappa_0^2 + \frac{\partial G_\infty}{\partial n_q} v_0 \frac{\partial \Theta}{\partial s} - \frac{\partial G_\infty}{\partial s_q} v_0 \frac{\partial}{\partial s} \right) \tilde{S} \right\} ds_q, \quad (A3)$$ where $ G_\infty = \exp[i\kappa_0 r_0 \cos(\theta - \theta_0)] $. Then the scattered cross section $ F $ can be defined as follows \[ F = \frac{1}{2\pi} \int_{-\pi}^{+\pi} \|U(\theta)\|^2 \, d\theta, \] (A 4) which is a measure of the total scattered energy. It may be noticed that an energy conservation relationship for $ F $ can be also derived. Applying Green’s identity to $ \phi $ and its complex conjugation $ \phi^* $, we have \[ \int_S \left( \phi \frac{\partial \phi^}{\partial n} - \phi^ \frac{\partial \phi}{\partial n} \right) ds = 0, \] (A 5) where $ S $ is comprised of sea bed $ S_H $, ice sheet $ S_i $ and a cylindrical surface at infinity $ S_\infty $. Invoking the corresponding boundary conditions together with the Gauss theorem, we have \[ I_i + \int_{S_\infty} \left( \phi \frac{\partial \phi^}{\partial n} - \phi^ \frac{\partial \phi}{\partial n} \right) ds \\ + \frac{L}{\rho_w \omega^2} \int_{\Gamma_\infty} \left[ \frac{\partial \phi^}{\partial z} \frac{\partial \nabla^2}{\partial n} \frac{\partial \phi}{\partial z} - \frac{\partial \phi}{\partial z} \frac{\partial \nabla^2}{\partial n} \frac{\partial \phi^}{\partial z} + \frac{\partial^2 \phi}{\partial n \partial z} \nabla^2 \frac{\partial \phi^}{\partial z} - \frac{\partial^2 \phi^}{\partial n \partial z} \nabla^2 \frac{\partial \phi}{\partial z} \right]_{z=0} ds = 0, \] (A 6) where \[ I_i = \frac{2i\nu_0 L}{\rho_w \omega^2} \sum_{i=1}^{N} \left\{ \text{Im} \left[ D \left( \frac{\partial S^}{\partial s} - \frac{\partial \Theta}{\partial s} \frac{\partial D^}{\partial s} \right) + \frac{\partial D^}{\partial s} S \right]_{-\gamma_i}^{+\gamma_i} \right\}_{+}, \] (A 7) which is due to the integral over $ S_i $. 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THE BALANCE OF PAYMENTS AND INTERNATIONAL LIQUIDITY Remarks by Governor J. Dewey Daane Member, Board of Governors of the Federal Reserve System at the meeting of the Cincinnati Council On World Affairs Cincinnati, Ohio on Tuesday, December 7, 1965 As I understand it, anyone from Washington who ever departs from his prepared remarks on a subject is promptly dubbed a "text deviate". At the risk of being placed in this category I would like to diverge from my earlier prepared text on "Our Balance of Payments Situation and International Liquidity" long enough to make a comment or two on the actions which the Federal Reserve Board announced yesterday--actions which are clearly not irrelevant either to the United States balance of payments position or the continuing strength of the dollar as one of the major components of world liquidity. The Federal Reserve actions, in which I participated as one of the majority of the Board members favoring, to approve discount rate increases and raise the rate ceilings on bank time deposits parallel and support the Government's actions, also announced yesterday, to strengthen the balance of payments program particularly with respect to the dollar drain from overseas investment. The rationale of the Federal Reserve actions is, I believe, well set forth in yesterday's press release and I would like to re-emphasize to you the pertinent passages: The Federal Reserve announced today two complementary actions to reinforce efforts to maintain price stability, and thus to foster balance in the economy's continued growth and strength in the dollar's international standing. The actions, intended not to cut back on the present pace of credit flows but to dampen mounting demands on banks for still further credit extensions that might add to inflationary pressures, were as follows:------- The increase in the rates that member banks are permitted to pay their depositors is intended to enable the banks to attract and retain deposits of businesses and individuals and thus to make more effective use of savings funds already available in the economy to finance their loan expansion. The increase in discount rates is intended to moderate additional bank reliance on short-term borrowings from the Federal Reserve to meet intensifying loan demands. The action contemplates, however, the continued provision of additional reserves to the banking system, in amounts sufficient to meet seasonal pressures as well as the credit needs of an expanding economy without promoting inflationary excesses, primarily through the Federal Reserve's day-in and day-out purchases of government securities in the open market. The changes in discount rates and the maximum rates that banks may pay depositors were the first in either respect since November 24, 1964. Since then, total borrowing by consumers, business, and State and local governments has risen sharply, and interest rates at all maturities from the shortest to the longest have been rising under demand pressures. In these circumstances, the Federal Reserve would be forced to increase bank reserves at an accelerated pace if all demands for borrowing money at present rates were to be satisfied. With slack in manpower and productive capacity now reduced to narrow proportions, with the economy closer to full potential than at any time in nearly a decade, and with military demands on output and manpower increasing, it was felt that excessive additions to money and credit availabilities in an effort to hold present levels of interest rates would spill over into further price increases in goods and services. Such price rises would endanger the sustainable nature of the present business expansion. Moreover, increases in costs and prices would make it more difficult for American goods to compete in markets at home and abroad. In addition, a pattern of interest rates that is accepted by borrowers and lenders as fully reflecting market forces should add assurance of a smooth flow of funds to all sectors of the economy. Discount rate increases in 1963 and 1964 did not stop business or credit growth, but helped to keep the economy within an expansion that was sustainable. In sum, the actions taken today should have the three-pronged impact of: 1. Backing up the Government's efforts to prevent inflationary excesses from damaging an economy now carrying the added burden of military operations in Vietnam; 2. Bolstering the Government's programs to overcome persistent deficits in the U.S. balance of payments; and 3. Demonstrating anew the United States' determination to maintain the international strength of the dollar. ******** Five years ago, on the eve of our present relatively long period of sustained expansion, an expansion which I am firmly convinced our action this week will help to keep sustainable, I attended an economists meeting at which one of the leading speakers said profoundly, "We may be entering into an attenuated state of unstable equilibrium." After puzzling on this I decided that he meant the economy might continue to go sideways if it did not go up or down. The second speaker was equally profound, saying, "At present, we seem to have a delicate balance of inflationary and deflationary forces, with possibilities of continuing in this state, of moving temporarily into a moderately deflationary readjustment phase, or of having, after new piecemeal adjustments, a renewal of inflationary developments." Again, after thinking about this statement, I decided that he meant if we did not go sideways we would go up or down. Today, rather than engage in this kind of gobbledygook, which sometimes seems to be the economists' stock-in-trade, I will simply say at the outset that I do not know precisely how the balance of payments situation will appear in the future, or precisely how the problem of shaping our international monetary system for the future will be resolved. What I do know is that we have made substantial progress in 1965 on our balance of payments problem, are taking additional steps to ensure further progress in 1966, and that we are moving ahead also in our efforts to determine basic areas of agreement in the field of international monetary reform. First, taking a look at our own balance of payments situation, last February the President announced his program to "achieve a substantial reduction in our international deficit during 1965, and secure still further improvement in 1966." The 1965 part of this objective is being fulfilled. On the former concept, referred to as the "regular transactions" basis, our deficit this year may prove to be in the $1-1/2 to $2 billion range, compared with $3.1 billion last year. On the newer "liquidity" or "overall" basis, which simply also takes into account debt prepayments and prepayments for military goods, the deficit may prove to be about in the $1-1/4 to $1-1/2 billion range this year, compared with more than $2-1/2 billion in almost every one of the previous seven years. Finally, the deficit on the newest "official settlements" basis may prove to be in the neighborhood of only $1/2 billion, compared with $1-1/4 billion last year and substantially more in earlier years. I might mention that the 1965 deficit would turn out to be even smaller if the United Kingdom Treasury had not already converted several hundred million dollars of its wartime acquired portfolio of U.S. equity securities into assets we count as liquid and therefore as a drain on our balance. Most significantly, the improvement in our balance of payments this year has occurred despite a decline in the current account surplus, and specifically in the surplus on trade account. It has resulted primarily from a very sharp reduction in the net outflow of United States private capital from $6-1/2 billion in 1964 to an annual rate thus far this year of about $3-1/2 billion. This reduction is mainly attributable to three developments, (1) the sharp cut in bank credit outflows achieved under the voluntary restraint program, reinforced by the interest equalization tax, (2) the substantial reflow from abroad of corporate liquid funds and, (3) the stronger domestic credit demands generated by our expanding economy. As a major contributing part of the continuing capital outflow problem, direct investment abroad expanded at a very sharp rate in 1964 and early this year. It has since diminished but the year's total will still be very large. As a result Secretary Connor announced yesterday more ambitious targets for corporations and called for "special efforts" to restrain the outflow of funds for direct investment abroad. Looking ahead at 1966, some encouragement can be found in the most recent developments in our export and import trade. Averaging the four months July-to-October together to iron out some statistical complexities, the surplus of non-military exports over imports was at an annual rate of $5-1/2 billion, compared with a relatively poor $4-1/2 billion average rate in the first half of this year. Next year we should be able to sustain this improvement in our trade position. We can also expect continuing gains in the receipts of income from foreign investments. On the capital outflow side, which in 1965 was still a major drain on our balance of payments, there was a strengthening of the President's program announced yesterday, including a strengthening of the Commerce program with respect to direct investment, and a renewing and revising of the Board's program with the issuance of new guidelines for financial institutions to follow during 1966. Accordingly, there should be some further improvement in our payments position next year as outflows of United States capital are held down by these voluntary programs. But beyond 1966 it will no doubt become increasingly difficult to limit capital outflows by voluntary programs. Since the long run objective in any case should be to permit greater freedom of capital movements, it is obvious that continued improvement in the balance of payments will require further gains in our receipts from net exports. In this connection, it remains of crucial importance to avoid inflationary developments in the United States economy, so as to reap the competitive advantage of relative price stability here while price increases are still occurring in most industrial countries abroad. And, in this context, the most recent Federal Reserve actions will clearly serve to reinforce national efforts to maintain price stability. As to the relationship of the United States balance of payments and the whole matter of international liquidity and monetary reform there are both links and what I would term "non-links" between them. By international liquidity, of course, we mean simply all of the reserves--mainly gold and dollars--and credit facilities available to monetary authorities to settle imbalances in their balance of payments. On the "non-link" side it is a misconception to think that somehow there can be an international liquidity escape route from the hard road of restoring equilibrium in our balance of payments. Nor can or should the creation of international liquidity be looked to as the means for attempting to ensure appropriate efforts to eliminate deficits and surpluses in the balance of payments. Yet both of these misconceptions frequently emerge. I have been struck by the fact that much of the continental European yearning for international monetary reform and new forms of liquidity basically reflects a desire to constrict the present degree of liquidity, and in a way that would, as they see it, enforce monetary discipline upon the reserve currency countries. To be blunt, it is no secret that some European observers feel that our monetary policies in recent years have not been sufficiently restrictive—and contend that our ability to finance external deficits with the dollar in its role as a reserve currency has exempted us from monetary discipline. Here at home, on the other hand, much of the academic and other clamor for greater international liquidity and for altering the international monetary system reflects the idea that this would enable much more expansionary domestic policies, monetary and other. In fact, both notions are, in my judgment, erroneous. The answer to the first charge lies in the continuous and increasingly comprehensive efforts made to contain the United States balance of payments deficit, beginning in 1960, broadened greatly in February, 1961, accelerated in mid-1963, widened further in February of 1965, and strengthened again this week—efforts which have all along not neglected actions in the monetary area. Thus I would categorically deny the assertion of some continental European bankers and economists that the reserve currency status of the dollar enables the United States to live consistently beyond its means and to flout the discipline of the balance of payments. The United States' current willingness to explore new methods of reserve asset creation does not, and cannot, reflect any lessened determination to achieve equilibrium in our balance of payments. President Johnson has made this crystal clear, not only in his remarks last fall at the meetings of the International Monetary Fund and World Bank but in his letter of yesterday approving the strengthened balance of payments program and directing that it be put into effect. Liquidity cannot replace dollar viability and dollar viability rests squarely on the continuance of appropriate domestic policies. I have dwelt thus far on the "nonlinks" but there are valid links as well between the United States balance of payments deficit and the need for contingency planning with respect to international monetary reform. If one looks at the increase in world monetary reserves over the past seven years, around one-third of the total increase in such reserves was accounted for by increased holdings of United States dollars, reflecting the continuance of United States deficits. Most strikingly, in the earlier part of this period, 1958-1962, the United States deficit contributed substantially to international liquidity as the dollars flowing out were largely retained in foreign reserves. In fact, in this 1958-62 period almost two-thirds of the increase in world monetary reserves represented increased official foreign holding of U. S. dollars. More recently, however, the United States deficit has been neutral or even contractive of world liquidity as foreign central banks have converted dollar reserve accumulations into gold, or even in a few instances so converted previously accumulated dollar balances. Thus, the United States' ability to eliminate its deficit is directly relevant to the amount of world liquidity in the form of monetary reserves. The real point of contact then between U.S. balance of payments equilibrium and international liquidity is not that more liquidity would enable the United States to avoid taking necessary adjustment measures, but is twofold. Unless the United States succeeds once and for all in dispelling skepticism regarding its ability to put its house in order, the conversion of dollars into gold can and will continue and can only be contractive of world reserves and world liquidity. As the United States succeeds, the outflow of dollars will no longer serve to meet in the same way the needs for world reserves and world liquidity. Hence, both until and after equilibrium is achieved, our dollars will not provide as much international liquidity as they have in the past. As to the other reserve asset forming the bulk of world monetary reserves, namely gold, it is generally conceded that the production of gold will prove to be insufficient, and Soviet sales unreliable as a supplement, to meet growing needs for reserves. On this score, for example, it is interesting to note that world monetary gold reserves have not increased at all this past year. And total world monetary reserves, including gold, have declined from 58% of imports in 1958 to 39% in 1965. If we are to ward off the contractive threat of insufficient reserves leading to restrictive measures by various countries--each country seeking to improve its own reserve position at the expense of others, which will inevitably make world economic growth less than it might be and should be--there is a clear need to provide for other means to increase liquidity when and if needed, both through owned reserves and credit facilities. On the latter score much has already been done in the way of additional credit facilities in the network of Federal Reserve swap and standby swap arrangements, now totaling close to $3 billion, in Roosa-type bonds, and in substantial additions to resources of the IMF both by increases in quotas of member countries and by the agreement to provide supplemental resources in the General Arrangements to Borrow. But there has also been a wide variety of proposals for other new arrangements put forth over the past two years, some looking toward new methods of reserve asset creation within the International Monetary Fund itself and others outside of the Fund. I do not intend today to make a detailed examination of these various proposals and of their possible merits and demerits. For that I refer you to the excellent report published last August of the Study Group on the Creation of Reserve Assets, under the chairmanship of one of the Italian Deputies of the Ten, Signor Rinaldo Ossola. Most of the proposals under discussion are aimed at the deliberate and controlled creation of international reserves. Furthermore, most of them create reserve assets "out of thin air" in the sense that countries participating in the proposed arrangements would benefit from an increase in the reserves without giving up goods and services or accepting a capital inflow. Most schemes would also require some limitation on the freedom of countries to determine the composition of their reserves. For the schemes to be workable, participating countries would have to commit themselves to accepting the newly-created assets in payment for surpluses within agreed limits. In their other characteristics the various schemes for creating reserve assets differ considerably. Although I do not intend to elaborate on the technical aspects of the various proposals, the Ossola Report highlights four issues in reserve asset creation, apart from the fundamental issue of whether a new reserve asset should supplement or supplant reserve currency balances (i.e. dollars or pounds). Those issues, also in part technical, are: 1) the question of a link between gold and a new reserve asset, the closeness of that link, and its effects on the existing system; 2) the width of membership for purposes of management and distribution of the assets; 3) the role of the I.M.F. as regards deliberate reserve creation; 4) the rules for decision-making concerning the creation of reserve assets. The Deputies of the Ten (the Deputies of the Ministers of Finance and central bank Governors of the ten leading industrial countries) are now engaged in seeking out the basis for agreement on these and related issues with a view to making a progress report by late Spring of 1966. On these issues, the substantive views of the United States are in process of development and crystalization. But, on the first question of whether or not a new reserve asset can be used for settlements only along with a specified quantity of gold or of other reserves, or may circulate on its own Under Secretary Deming has recently stated: "For our part, we believe that the creation or use of a new unit should not influence nations directly or indirectly to seek to add unnecessarily to their holdings of gold. As the country to whom others turn for gold when new supplies are not available, we have a vital interest in this respect." On the second question of the width of membership it may be noted that this raises economic, financial, and political questions involving the status of nations outside the Group of Ten and their relationship to the process of creating and distributing new reserve assets. With respect to the third question of the role of the International Monetary Fund, Pierre-Paul Schweitzer, the Managing Director, says simply and directly that "International liquidity is the business of the Fund." Support for this view which emerged at the last meeting of the International Monetary Fund and World Bank suggests adaptation of the existing IMF procedures to deliberate reserve creation. The general idea is simple in substance: the creation of claims on the Fund and a limited commitment by countries to accept such claims when they are in surplus. On the other hand, others have expressed the view that the International Monetary Fund should properly be provided with sufficient resources to fulfill its function of providing credits to individual countries, but that the Fund should not have a leading or important policy role in the deliberate creation of reserves. Similarly, as to the fourth question of the rules for decision making, again this involves both economic and political questions as to how to design the decision making process to protect the minority without providing a veto power that could prove stultifying. Finally, I would like to close with a few comments as to the guidelines or objectives on which the United States has consistently stood firm. The first is that any scheme should not be contractive of world liquidity. A new reserve asset should not be detrimental to existing liquidity. An important part of existing liquidity represents reserve currency holdings, and the attitudes of their holders are of vital concern in constructing an acceptable reserve asset that would add to, and not subtract from, present liquidity. Secondly, the first phase of preparation for new and improved monetary arrangements now underway in the Group of Ten must be followed by a second phase of preparation involving more countries in a wider forum. Secretary Fowler emphasized this point in his address at the Bank-Fund meetings stating that "there lies a second phase of preparation of the utmost importance, on which the United States has been both insistent and persistent in its pursuit of appropriate preparation for an international monetary conference. This second phase should be designed primarily to assure that the basic interests of all members of the Fund in new arrangements for the future of the world monetary system will be adequately and appropriately considered and represented before significant intergovernmental agreements for formal structural improvements of the monetary system are concluded. Within the Fund membership there are variations in the extent to which individual countries are able to, or choose to, accumulate and hold large reserve balances. All, however, have a vital interest in the evolution of the world's monetary arrangements."
MODELS AND IMPLEMENTATIONS OF ONLINE LABORATORIES; A DEFINITION OF A STANDARD ARCHITECTURE TO INTEGRATE DISTRIBUTED REMOTE EXPERIMENTS by Luis Felipe Zapata Rivera A Dissertation Submitted to the Faculty of The College of Engineering and Computer Science in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy Florida Atlantic University Boca Raton, FL May 2019 Copyright 2019 by Luis Felipe Zapata Rivera MODELS AND IMPLEMENTATIONS OF ONLINE LABORATORIES; A DEFINITION OF A STANDARD ARCHITECTURE TO INTEGRATE DISTRIBUTED REMOTE EXPERIMENTS by Luis Felipe Zapata Rivera This dissertation was prepared under the direction of the candidate’s dissertation advisor, Dr. Maria M. Larrondo Petrie, Department of Computer & Electrical Engineering and Computer Science, and has been approved by the members of his supervisory committee. It was submitted to the faculty of the College of Engineering and Computer Science and was accepted in partial fulfillment of the requirements for the degree of Doctor of Philosophy. SUPERVISORY COMMITTEE: Maria M. Larrondo Petrie, Ph.D. Dissertation Advisor Hamadou Saliah-Hassane, Ph.D. Eduardo B. Fernandez, Ph.D. Ravi Shankar, Ph.D. Dingding Wang, Ph.D. Nurgun Erdol, Ph.D. Chair, Department of Computer & Electrical Engineering and Computer Science Stella Batalama, Ph.D. Dean, College of Engineering and Computer Science Khaled Sobhan, Ph.D. Interim Dean, Graduate College March 25th, 2019 ACKNOWLEDGEMENTS First, I would like to thank my advisor Dr Maria Petrie, for all her support and invaluable help during this process of apprenticeship. LACCEI for the research assistantship that supported this research to develop a Latin American and Caribbean Online Laboratory System. To my committee members Dr. Eduardo Fernandez, Dr. Ding Ding Wang, Dr. Ravi Shankar and Dr. Hamadou Saliah-Hassane for their commitment and valuable comments provided during all the meetings. Dr. Hamadou Saliah Hassane chair of the IEEE P1876 - Networked Smart Learning for Online Laboratories Working Group, for his mentorship and the opportunity to serve as vice-chair of this standard development committee. Dr. Manuel Castro and his team in Madrid Spain for their advisory during this research process. Dr. Javier Garcia-Zubia for sharing the Keynote “Remote Labs: 360 Degrees View” which provided a starting point for the literature review of this research. John Costa for his invitation to develop a proof of concept integration between an online laboratory and ADB (Actionable Data Book), which gave to both projects insight about the potential of xAPI applied to the educational context. John Shockley and ARM for providing hardware components (micro-controllers, sensors and actuators) used for the remote measurement experiments. Charles Weinthal for all his support and feedback during the development of the Introduction to Logic Design online laboratories. Finally, to the group of undergraduate students that volunteered in the development of online laboratory prototypes. Hands-on laboratory experiences are a key part of all engineering programs. Currently there is high demand for online engineering courses, but offering lab experiences online still remain a great challenge. Remote laboratories have been under development for more than 20 years and are part of a bigger category, called online laboratories, which includes also virtual laboratories. Development of remote laboratories in academic settings has been held back because of the lack of standardization of technology, processes, operation and their integration with formal educational environments. Remote laboratories can be used in educational settings for a variety of reasons, for instance, when the equipment is not available in the physical laboratory; when the physical laboratory space available is not sufficient to either set up the experiments or permit access to all on-site students in the course; or when the teacher needs to provide online laboratory experiences to students taking courses via distance education. This dissertation proposes a new approach for the development and deployment of online laboratories over online platforms. The research activities performed include: The design and implementation of an architecture of a system for Smart Adaptive Remote Laboratories (SARL) integrated to educational environments to improve the remote laboratory users experience through the implementation of a modular architecture and the use of context information about the users and laboratory activities; the design pattern and implementation for the Remote Laboratory Management System (RLMS); the definition and implementation of an xAPI-based activity tracking system for online laboratories with support for both centralized and distributed architectures of Learning Record Stores (LRS); the definition of Smart Laboratory Learning Object (SLLO) capable of being integrated in different educational environments, including the implementation of a Lab Authoring module; and finally, the definition of a reliability model to detect and report failures and possible causes and countermeasures applying ruled based systems. The architecture proposed complies with the just approved IEEE 1876 Standard for Networked Smart Learning for Online Laboratories and supports virtual, remote, hybrid and mobile laboratories. A full set of low-cost online laboratory experiment stations were designed and implemented to support the Introduction to Logic Design course, providing true hands-on lab experience to students through the a low-cost, student-built mobile laboratory platform connected via USB to the SARL System. The SARL prototype have been successfully integrated to a Virtual Learning Environment (VLE) and a variety of configurations tested that can support privacy and security requirements of different stakeholders. The prototype online laboratory experiments developed have contributed and been featured in IEEE 1876 standard, as well as been integrated into an Industry Connections Actionable Data Book (ADB) that was featured in the Frankfurt Book Fair in 2017. SARL is being developed as the infrastructure to support a Latin American and Caribbean network of online laboratories. To my beloved parents Fabio and Norelia, my wife Catalina Aranzazu-Suescun ♥ and brothers Juan Diego, Daniel Mauricio and Sergio David MODELS AND IMPLEMENTATIONS OF ONLINE LABORATORIES; A DEFINITION OF A STANDARD ARCHITECTURE TO INTEGRATE DISTRIBUTED REMOTE EXPERIMENTS List of Tables .......................................................... xiii List of Figures ......................................................... xiv 1 Introduction ......................................................... 1 1.1 Motivation ....................................................... 1 1.2 Problem Statement ........................................... 2 1.3 Contribution .................................................... 3 1.4 Organization .................................................... 4 2 Literature Review ............................................... 6 2.1 Online Laboratory Taxonomies ............................. 8 2.2 Latin American and Caribbean Region Online Laboratory Initiative .... 9 2.3 Online Laboratories and Integration with Virtual Learning Environments .. 11 2.3.1 Total Learning Architecture (TLA) .................. 13 2.4 Collaborative Roles in Online Laboratories .............. 16 2.5 Adaptive Interfaces in Online Laboratories .............. 17 2.6 Reliability Assessment for Online Laboratories .......... 19 2.7 Online Laboratory Implementations ....................... 21 2.7.1 University Projects ................................. 21 2.7.2 Collaboration Projects ............................. 29 2.7.3 Industry Projects .................................... 43 2.7.4 Comparison of Online Laboratories Implementations .......................... 45 2.7.5 Analysis of Implementations ......................................................... 47 2.8 Chapter Summary ............................................................................. 48 3 Online Laboratories Models and Integration with Virtual Learning Environments (VLEs) ................................................................. 49 3.1 Proposed Model of a Remote Laboratory Management System ............ 50 3.2 Proposed Model for the Taxonomy of Laboratories .............................. 52 3.3 Configurations of Hybrid Laboratories .................................................. 54 3.3.1 Local Access to a Real Laboratory (on-site) with Online Access to a Virtual Laboratory ................................................................. 54 3.3.2 Local Access to a Real Laboratory (on-site) with Local Access to a Virtual Laboratory ................................................................. 55 3.3.3 Local Access to a Mobile Laboratory and Online Access to a Virtual Laboratory ................................................................. 55 3.3.4 Local Access to a Mobile Laboratory with Local Access to a Virtual Laboratory ................................................................. 55 3.3.5 Remote Access to a Mobile Laboratory and Online Access to a Virtual Laboratory ................................................................. 55 3.3.6 Remote Access to a Mobile Laboratory and Local Access to a Virtual Laboratory ................................................................. 56 3.3.7 Remote Access to a Real Laboratory (on-site) and Remote Access to a Virtual Laboratory ................................................................. 56 3.3.8 Remote Access to a Real Laboratory (on-site) and Local Access to a Virtual Laboratory ................................................................. 56 3.4 Collaborative Roles in Online Laboratories ........................................... 56 3.5 Proposed Model of Remote Laboratory Integrated with Virtual Learning Environments ................................................................. 58 3.5.1 Proposed Remote Laboratory Layered Architecture ....................... 59 3.5.2 Proposed Model to Integrate Remote Laboratory with a Virtual Learning Environment ................................................................. 61 3.6 IEEE-1876 Standard for Networked Smart Learning for Online Laboratories ................................................................. 63 3.7 Chapter Summary .................................................. 64 4 Remote Laboratory Management System (RLMS) ............ 66 4.1 RLMS Basic Use Cases ........................................... 67 4.2 Remote Laboratory Management System (RLMS) pattern .... 75 4.2.1 Name ......................................................... 76 4.2.2 Introduction ............................................... 76 4.2.3 AKA ............................................................. 77 4.2.4 Intent ......................................................... 77 4.2.5 Example ...................................................... 77 4.2.6 Context ....................................................... 77 4.2.7 Problem ...................................................... 78 4.2.8 Solution ...................................................... 79 4.2.9 Structure .................................................... 79 4.2.10 Dynamics ................................................... 80 4.2.11 Related Patterns .......................................... 84 4.2.12 Implementation ........................................... 85 4.2.13 Consequences ............................................ 86 4.2.14 Example Resolved ........................................ 88 4.3 Chapter Summary .............................................. 89 5 Smart Adaptive Remote Laboratories (SARL) .................. 90 5.1 Smart Adaptive Remote Laboratory Architecture ............ 91 5.2 Adaptability of Interfaces for Laboratories Integrated with VLEs 93 5.3 Reliability Models of Online Laboratories .................. 95 5.3.1 Reliability Assessment for Online Laboratories ...... 96 5.3.2 Design of a Rule-Based System to Support Failure Detection and Recovery 97 5.3.3 Integration of the Reliability Module with the RLMS ... 101 5.4 Chapter Summary .................................................. 102 6 xAPI for Reporting User Interaction with Online Laboratories ........... 103 6.1 xAPI Context .................................................. 104 6.2 xAPI applied to Online Laboratories ......................... 106 6.2.1 c-MOOLs Model ........................................ 107 6.2.2 FORGE Box Model ..................................... 108 6.2.3 xAPI model for Learning Analytics .................... 108 6.2.4 Lab@Home - xAPI Based Architecture ................. 109 6.2.5 Online Lab Interactions - xAPI Framework .......... 110 6.3 Comparison of the xAPI implementation models ............... 111 6.4 Proposed Model of xAPI Integration with Online laboratories .... 112 6.4.1 Model of xAPI Integrated to the Remote Laboratory Management System ........................................ 112 6.5 Implementations of Learning Record Store (LRS) for distributed mobile online laboratories ........................................ 118 6.6 M-MOOLs and Educational Platforms .......................... 119 6.6.1 Pedagogical Uses of xAPI .............................. 119 6.6.2 Proposed Centralized and Distributed LRS M-MOOLs Architectures 122 6.7 Chapter Summary ........................................... 124 7 The SARL Online Laboratories Implementations (demos and proof of concept) ........................................ 125 7.1 Implementation of a SARL Prototype .......................... 125 7.1.1 Data Model ............................................. 127 7.1.2 Registration and Authentication Module ............... 128 7.1.3 Gallery of Labs ........................................ 129 7.1.4 Lab Scheduler .......................................... 129 7.1.5 xAPI Tracking Module .................................. 131 7.1.6 LTI Integration of a Remote Laboratory with an LMS .. 132 7.1.7 SARL Low-Cost Laboratory Station Components .......................... 133 7.2 Integration of the Student Mobile Laboratory kit with the SARL Online Laboratory System ......................................................... 134 7.2.1 Florida Atlantic University’s Low Cost Tetherless Laboratory Platform for Logic Design ......................................................... 135 7.2.2 Proposed Integration of a Mobile Online Laboratory Based on the Student Lab platform ......................................................... 136 7.3 Integration of SARL with Actionable Data Book (ADB) using the xAPI proposed model ............................................................. 138 7.4 Implementation of a SARL Remote Laboratory selecting programming language using Blockly connected to Centralized and Distributed LRS ........................................... 142 7.5 Implementation of Online laboratories for Introduction to Logic Design Course ................................................................. 146 7.5.1 Boolean Expressions Validator Hybrid Laboratory ...................... 148 7.5.2 Implementation of Railroad Crossing Remote Laboratory ............ 151 7.5.3 Implementation of Color Generator Remote Laboratory ............. 153 7.5.4 Implementation of Basketball Game Remote Laboratory ............ 157 7.5.5 Implementation of Hex-Bugs Robots Remote Laboratory .......... 160 7.6 Chapter Summary ....................................................................... 162 8 Analysis of Online Laboratories Implementations .......................... 164 8.1 Comparison with Existing Online Laboratories University Projects .... 164 8.2 Analysis of the Results ............................................................... 165 8.3 xAPI Implementations Comparison ............................................. 166 9 Contributions, Conclusions and Future Work ............................... 167 9.1 Summary of Contributions ......................................................... 167 9.2 Conclusions ............................................................................. 168 9.3 Future Work ............................................................................ 171 Bibliography .................................................................................. 173 \| Table \| Description \| Page \| \|-------\|-----------------------------------------------------------------------------\|------\| \| 2.1 \| Main challenges of online laboratories \| 12 \| \| 2.2 \| Table of comparisons online laboratory projects \| 46 \| \| 5.1 \| Common Failures Online Laboratory Systems \| 98 \| \| 5.2 \| Causes of failures and countermeasures \| 99 \| \| 6.1 \| Comparison of existing xAPI approaches \| 111 \| \| 6.2 \| xAPI verbs for user activities in the eolic windmill lab. (Adapted from [136]) \| 121 \| \| 7.1 \| Intensity combinations of colors RGB, decimal and binary \| 154 \| \| 8.1 \| Table of comparisons including SARL \| 164 \| \| 8.2 \| Comparison of existing xAPI approaches including SARL \| 166 \| 2.1 Conceptual map “What are Online Laboratories?” ................................. 7 2.2 Types of remote laboratories depending on location. Source: [7] ........... 8 2.3 Types of remote laboratories depending of the nature of the resource. Source: [8] ................................................................. 9 2.4 Overview of Learning Tools Interoperability (LTI). (Adapted from: [25]) . 13 2.5 2017 TLA Architecture. Adapted from: [28] ........................................ 15 2.6 2018 TLA Reference Implementation Architecture. Adapted from: [28] . 15 2.7 DIESEL interface - multiple users interacting with the same laboratory experiment [6]. ................................................................. 16 2.8 Role-Based Access Control (RBAC) [29]. ............................................ 17 2.9 Component Diagram Smart Device services. Adapted from: [34] .......... 18 2.10 Remote laboratory configuration interface. Adapted from: [33] ............. 18 2.11 Interface circulation within the system. Adapted from: [30] .................. 19 2.12 General architecture of a rule-based system. Adapted from: [45] .......... 21 2.13 iLab Shared Architecture (ISA). Adapted from: [47] ........................... 22 2.14 VISIR laboratory architecture. Adapted from: [48] ............................. 23 2.15 WebLab-Deusto laboratory architecture. Adapted from: [49] .............. 24 2.16 UNED virtual and remote laboratories architecture [50]. .................... 25 2.17 Architecture for Web Services and Grid-Based Technologies for Online Laboratories [53]. ................................................................. 26 2.18 Internet School Experimental System (ISES) experiment example. [55] .. 27 2.19 Non-linear system with 4 propellers mounted on a 3 Degrees of Freedom (DOF) pivot joint. [62] ......................................................... 30 2.20 LILA laboratory architecture. Adapted from: [63] ............................... 31 2.21 GOLC laboratory architecture. Adapted from: [65] .......................... 32 2.22 LabShare laboratory architecture. Adapted from: [66] .................... 33 2.23 Go-Lab ecosystem for sharing and authoring laboratory experiences online [68] ................................................................. 34 2.24 Federation of laboratories based on the architecture of VISIR (PILAR) [77] 38 2.25 NANSLO laboratory architecture. Adapted from: [82] ................... 40 2.26 REMLABNET IV laboratory architecture. Adapted from: [84] ........ 41 2.27 Red CLARA network. [86] ....................................................... 42 2.28 Bacterial quantification by culture: Count bacteria with serial dilution virtual laboratories in Labster [92] ............................................. 44 2.29 HHMI Bio interactive virtual laboratories [93] ................................ 45 3.1 Model of a remote laboratory ...................................................... 52 3.2 Proposed UML model of laboratory taxonomy ............................... 53 3.3 Second proposed UML model of laboratory taxonomy .................... 54 3.4 Hierarchy of roles ....................................................................... 58 3.5 Proposed online laboratory SOA general architecture [102] ............ 60 3.6 Remote laboratory integrated to a virtual learning environment using educational standards ......................................................... 61 3.7 General use case for the remote laboratories platform ..................... 64 4.1 General use case for the remote laboratories platform ..................... 67 4.2 Use case for User Login ............................................................... 68 4.3 Use case for Access Lab Gallery .................................................. 69 4.4 Use case for Perform Lab Access .................................................. 69 4.5 Use case for View Lab Results ..................................................... 70 4.6 Use case for Assign Lab .............................................................. 70 4.7 Use case for Schedule Lab .......................................................... 71 4.8 Use case for Create LLO ............................................................ 71 4.9 Use case for Evaluate Student Lab Results .................................... 72 4.10 Use case for Manage Users .................................................. 72 4.11 Use case for Manage Lab Resources ................................. 73 4.12 Use case for Record Lab Results ........................................... 73 4.13 Use case for Access Student Data ........................................ 74 4.14 Use case Generate Adaptive Remote Lab Interface ............. 74 4.15 RLMS as module of the SARL System ............................... 75 4.16 Remote Laboratory Management System (RLMS) pattern .... 80 4.17 Sequence diagram for use case create a laboratory experiment 82 4.18 Sequence diagram for use case access a laboratory experiment 83 5.1 Different user interfaces and the integration of Smart Adaptive Remote Laboratories (SARL) with the Virtual Learning Environments (VLE) [104] 92 5.2 Proposed Smart Adaptive Remote Laboratories (SARL) high level classes diagram. (Adapted from [104]) .............................. 93 5.3 SARL - Remote lab for a LEDs experiment adapted to student A 94 5.4 SARL - Remote lab for a LEDs experiment adapted to student B 94 5.5 SARL - Smart Adapter proposed process ............................ 95 5.6 Example of periodical relative frequency of occurrence .......... 100 5.7 JESS facts definition example ............................................. 101 5.8 JESS rule definition example ............................................. 101 6.1 Conceptual map “What is xAPI?” ........................................ 106 6.2 xAPI integration with MOOLs. (Adapted from [54]) ............ 107 6.3 FORGEBox model with xAPI integration (Adapted from [128]) 108 6.4 xAPI integration to support the generation of learning analytics. (Adapted from [129]) .................................................. 109 6.5 Lab@Home model with xAPI integration. (Adapted from [132]) 110 6.6 Granularity levels model with xAPI integration .................... 110 6.7 xAPI statements reporting (UML - Sequence Diagram) .......... 115 6.8 Student role xAPI verbs used to report interactions with the Lab 116 6.9 Student role xAPI verbs used to report interactions with the SARL System .......................... 116 6.10 Teacher role xAPI verbs used to report interactions with the SARL System ......................... 117 6.11 Teacher role xAPI verbs used to report interactions with the Lab ..................................... 117 6.12 Lab experiment role xAPI verbs ....................................................................................... 117 6.13 SARL role xAPI verbs ...................................................................................................... 118 6.14 Lab manager role xAPI verbs ........................................................................................... 118 6.15 M-MOOL connected to internet and accessed by users through mobile devices ............... 120 6.16 xAPI statement constructed using JSON of a user activity in the eolic windmill lab. (Adapted from [136]) ................................................................. 121 6.17 Architecture of a centralized LRS for a set of M-MOOLs .................................................. 122 6.18 Architecture of a distributed LRSs for a set of M-MOOLs ................................................ 123 6.19 Architecture of a centralized LRS + a local network LRS that can forward messages to the central LRS ........................................................................................................ 123 6.20 Architecture of a one local LRS per each mobile lab plus the central LRS ....................... 124 7.1 High level view of the SARL system .................................................................................. 126 7.2 SARL prototype data base model ....................................................................................... 127 7.3 SARL prototype login interface .......................................................................................... 128 7.4 SARL prototype registration interface ............................................................................... 128 7.5 SARL prototype gallery interfaces ..................................................................................... 129 7.6 SARL prototype scheduler interfaces ................................................................................ 130 7.7 SARL prototype scheduler interfaces ................................................................................ 131 7.8 SARL prototype xAPI interfaces ....................................................................................... 132 7.9 SARL experiment view from LMS ..................................................................................... 133 7.10 Lab kit for the Logic Design course [149] ........................................................................ 135 7.11 Lab kit case design (drawing). (Adapted from [155]) ...................................................... 137 7.12 Mobile online lab kit prototype. (Adapted from [155]) .................................................... 137 7.13 ADB interface showing integrated external tools ............................................................... 139 7.14 Remote digital design laboratory integrated with the ADB .......................... 140 7.15 LRS xAPI statements forwarding configuration ........................................... 141 7.16 xAPI statement content (JSON structure) .................................................... 142 7.17 Online laboratory 1 using Blockly interface ............................................... 143 7.18 LRS view - receiving an xAPI statements ..................................................... 144 7.19 Online laboratory 2 using Blockly interface ............................................... 145 7.20 Different stages of the user code ................................................................. 146 7.21 Set of implemented online laboratory stations (Lab in a window) ............... 147 7.22 Boolean expression evaluation laboratory control from Student Lab kit ....... 149 7.23 Railroad crossing remote experiment .......................................................... 152 7.24 Hybrid version of the railroad crossing remote experiment with audio and augmented reality video added ................................................................. 152 7.25 Venn diagram clustering additive RGB color model) .................................. 153 7.26 origami template for box to defuse RGB LEDs to generate colors .............. 156 7.27 Color matching remote lab experiment ......................................................... 156 7.28 Color matching remote experiment - SARL platform ................................ 157 7.29 Basketball game hoop sensor ..................................................................... 158 7.30 Basketball game accessed through the SARL platform ................................ 159 7.31 Basketball game controlled from student lab kit ........................................ 160 7.32 Hex bug lab station ...................................................................................... 161 7.33 Hex bug mission AR scenario ..................................................................... 162 7.34 Laboratory stations developed for Introduction to Logic Design ................ 163 1.1 MOTIVATION Laboratory activities in an educational context are very important for the learning process of students in k12 and higher education levels. They are commonly used in areas such as physics, chemistry, electronics, biology, etc. Online laboratories are a solution for institutions that offer online educational programs and want to offer hands-on training to their students, and for institutions that do not have the infrastructure to set up some specific experiments. In some cases, due to budget problems some institutions do not have properly equipped laboratories or even do not have laboratories. For these reasons some institutions have started the use of online laboratories, reducing cost in terms of space, equipment, maintenance, personnel, among others. Online laboratories are defined as an alternative to provide remote access through internet connection to real equipment or virtual experiments located in another place. Using this technology one student for example in Haiti can use a computer to connect to a real physics experiment located in a laboratory in United States, Europe, Asia, or South America; or at the other end a student in a Massive Open Online Course (MOOC) could connect to an online laboratory part of a system of federated online laboratories. Online laboratories have been implemented as individual systems and laboratory experiments have been developed for specific purposes without a connection with any pedagogical object or educational environment. However, advances in software systems, specifically in web applications, standard protocols for communications between applications, and cloud-based architectures have improved the accessibility, usability, security, privacy and reliability of this type of systems. This has motivated the Institution of Electrical and Electronics Engineers (IEEE) to develop the recently approved IEEE 1876 Standard for Networked Smart Learning for Online Laboratories and the IEEE Industry Consortium on Learning Engineering (ICICLE) that is defining a new discipline called “Learning Engineering” perhaps better described as Engineering of Learning Systems. According to the Third Regional Comparative and Explanatory Study (TERCE) In the Latin American and Caribbean regions less than 50% of the students from third and sixth grade attend schools with sufficient educational or academic spaces such as arts and/or music room; science lab; computer lab; and school library [1]. This impacts negatively the quality of the education in these communities. However, the mobile devices penetration in the Latin America region in 2018 is higher than 70% [2]. With the implementation of online laboratories, it is possible to increase the coverage of students practical experimentation component, which can make the difference in the professional future of many student in those regions. The Latin America and Caribbean Consortium of Engineering Institutions (LACCEI) is interested into develop a hemispheric network for the improvement of the quality in the learning processes in engineering disciplines. As part of this strategy, LACCEI is developing a network of online laboratories that will make use of the models and implementations made during this research process. 1.2 PROBLEM STATEMENT Online laboratory systems do not follow a common pattern for their design, limiting their scalability, integration, interoperability, traceability, reliability, security and privacy. 1.3 CONTRIBUTION The proposed Smart Adaptive Remote Laboratory (SARL) architecture and design pattern complies with the IEEE 1876 standard, a prototype has been tested proven to serve as a system that is capable of providing individualized experiences of the laboratory activities to the students and integration to other systems to provide additional functionalities and capabilities. The Virtual Learning Environment (VLE) or more specifically the Learning Management System (LMS) reports to the proposed Remote Laboratory Management System (RLMS) information about the student progress in the class. Based on that information and teacher definition of parameters, the system adapts the interface of the Smart Laboratory Learning Object (SLLO), which can include class materials, examples, laboratory activities and the access to the hardware experiments needed for that specific lab. Reporting capabilities and learning analytics are added through the integration of Experience API (xAPI). The user interactions and administrative information is collected and stored in the Learner Record Store (LRS) in the form of xAPI statements and is ready to be accessed by the VLE or any other platform. The system supports different configurations of LRSs to comply with different privacy and security requirements of stakeholders. This dissertation proposes design pattern models, describing online laboratories architectures and variations. Innovations proposed include: support of educational roles and adaptive laboratory experiences customized to the user. The models define both centralized and distributed architectures for online laboratory systems. The design pattern has been reviewed and accepted for publication in the ACM digital library. Additionally, this dissertation defines a system to support future developments of learning analytics for online laboratories. The system makes use of an xAPI-based activity tracking system capable of collecting information in the form of statements stored in a Learning Record Store (LRS) and uses standard vocabulary for the statement composition. The system implements security validations and controls such as: authentication, encryption of the data and timestamps management; and discusses the compliance with the security and privacy requirements for the European General Data Protection Regulation (GDPR). A reliability assessment model for online laboratories systems is also proposed. Finally, the dissertation presents examples of different prototype experiments implementation of SARL that have been used as proof of concept labs for the new standards under development, such as the Industry Connections Actionable Data Book (ADB), the IEEE Industry Connections - Industry Consortium on Learning Engineering (ICICLE) and the newly approved IEEE 1876 - Networked Smart Learning for Online Laboratories. A set of remote laboratories have been developed to be integrated into multiple sections of an undergraduate engineering course on the Florida Atlantic University Canvas learning management system as proof of concept of the feasibility of the use of the architecture in the academic domain, and also integrated with an actionable data book that has been demonstrated during the Frankfurt Book fair in 2017. 1.4 ORGANIZATION The document is organized as follows: Chapter 2 presents the literature review including taxonomies, definitions of concepts such as: virtual learning environments, collaboration roles in online laboratories, adaptive interfaces, assisted experimentation, resource sharing for remote laboratories and finally, an overview of the online laboratories implementations. Chapter 3 develops models of online laboratory systems, including models for laboratory taxonomies, collaboration roles and integration of online laboratories with educational environments. Chapter 4 goes over the definition of Smart Adaptive Remote Laboratories (SARL); The Unified Modeling Language (UML) models presented include class diagrams of the architecture, use cases for the basic operations and dynamic models describing interactions in online laboratories. Chapter 5 presents the definition of a design pattern for a generic Remote Laboratory Management System (RLMS) which has been shepherded and accepted by the Pattern Languages of Programs (PLoP). Chapter 6 reviews the xAPI technology in the context of online laboratories. Chapter 7 presents our demos and implementation of the SARL model in different laboratory experiments for an Introduction of Logic Design class. Chapter 8 presents the comparison between our proposed system and current implementations. Finally, contributions, conclusions and future work are presented in Chapter 9. CHAPTER 2 LITERATURE REVIEW This chapter analyzes the main concepts of online laboratories including online laboratory taxonomies, integration of online laboratories with virtual learning environments, collaborative roles in online laboratories, adaptive interfaces for remote laboratories, reliability assessment for online laboratories and finally a review of the current implementations and projects (based on the keynote given by Javier Garcia-Zubia “Remote Labs: 360 Degrees View” [3]). Figure 2.1 presents a conceptual map that answers the question What are Online Laboratories? The Conceptual map was created following the definition of Conceptual Maps Theory proposed by Joseph Novak [4]. This map includes the basic concepts related to online laboratories, such as: taxonomies, hardware and software components, technologies used for its implementation and integration. The goal of this type of representation is to give the readers a general view of the concepts of online laboratories. The software tool used to draw the conceptual map was Cmap-tools [5]. Figure 2.1: Conceptual map “What are Online Laboratories?” 2.1 ONLINE LABORATORY TAXONOMIES Laboratories can be physical laboratories, online laboratories, or a hybrid combination of physical and online laboratories. Remote and virtual laboratories are types of online laboratories. A remote laboratory uses real physical equipment connected to a network that can be controlled remotely [6]. Figure 2.2 presents a classification of remote laboratories [7], based on the location of the experiment and the location of the experimenter. This definition will be covered in depth in chapter 3. ![Figure 2.2: Types of remote laboratories depending on location. Source: [7]](image) According to the nature of the resource, the laboratories can be classified as: real or simulated and from the point of view of the type of access to the resource, can be classified as local or remote. Additionally, they can be used for one user or for many users simultaneously (see Figure 2.3). Hybrid laboratories are created by combining physical and/or online laboratories. In this configuration the users work on equipment in a physical facility but also simulate some processes using virtual laboratories available externally. An example of this is: a group of students studying the topic of energy in a physics lab, and at the same time, using an open educational resource (OER) [9, 10] virtual laboratory available in the University of Colorado Physics Education Technology (PhET) platform [11] to simulate the kinetic and potential energy in the movement of a skateboard. 2.2 LATIN AMERICAN AND CARIBBEAN REGION ONLINE LABORATORY INITIATIVE In Latin American and Caribbean educational institutions, due to their limited budget, especially for the public institutions, many of the electronics, physics and chemistry courses are taught just with the theoretical concepts or with a very limited component of hands-on experimentation. This problem can be mitigated using remote laboratories that allow institutions to connect remotely to other institutions of the same region, country or even in another continent. The Latin American and Caribbean Consortium for Engineering Institutions (LACCEI) [12] has been working since 2002 to generate collaboration in engineering education initiatives involving Latin American and Caribbean universities. It works with the Ministers of Science and Technology of the 35 country members of the Organization of American States (OAS) [13] with the charge of launching and leading educational innovation under the OAS’ Engineering for the Americas initiative and the OAS Working Group 2: Human Capacity Building and Education. Motivated by a request by Haitian deans for assistance with developing laboratory and teaching infrastructure after the 2010 earthquake that devastated Haiti, destroying universities buildings and killing or displacing faculty and students, LACCEI launched an initiative that provided funding to support this dissertation at its headquarters at Florida Atlantic University where a research group was formed [14]. This LACCEI initiative aims to create an open multi-language network of online laboratories for Latin American and Caribbean institutions to centralize the access and optimize finding and using of the available shared resources and educational materials. For this goal, LACCEI representatives actively participated in the IEEE-SA P1876 Standard Working Group on Networked Smart Learning Objects for Online Laboratories [15], the IEEE Industry Councils Industry Collaboration for Learning Engineering (ICICLE) initiative [16], the IEEE education society board, and the IEEE Committee on Engineering Accreditation Activities (CEAA). Since 2016 LACCEI has hosted the IEEE Industry Collaboration Initiative for Online Laboratories workshop [17], as part of the OAS Summit of Engineering for the Americas, an annual workshop that involves academics, industry, international organizations and government representatives to talk about the progress of the online laboratories and its impact in Education. These included industry representatives such as ARM, National Instruments, Quanser and Dassault Systèmes. In 2017 LACCEI was invited to join the IEEE ICICLE board and organize an IEEE ICICLE Latin American Group. In 2018 the LACCEI standing committee on Learning engineering and Online laboratories [18] was established, officially formed in Lima, Peru during the LACCEI International Multi-Conference for Engineering Education and Technology. This committee includes the participation of researchers from Florida Atlantic University in USA, EAFIT University and Santo Tomas University in Colombia, TECSUP in Peru, TELUQ from Canada, UNISAL from Brazil, and the OAS in Washington, DC. The purpose of this group is to aggregate local efforts in topics of remote and virtual labs and integrate them in one Latin American and Caribbean Network of Online laboratories. This dissertation proposes the architecture, and proof of concept implementation that adheres to the standards under development. This will become the infrastructure for the LACCEI’s Latin American and Caribbean Network of Online Laboratories, that will be part of the OAS Center of Engineering for the Americas. 2.3 ONLINE LABORATORIES AND INTEGRATION WITH VIRTUAL LEARNING ENVIRONMENTS Within the educational context, there is an important demand for online laboratories services. Remote laboratories play an important role in academic areas like physics, chemistry, biology, medicine, and engineering. There are two main elements in the educational context that remote laboratories providers need to take in account. A first consideration is the role of the users: the users can be teachers, administrators or students. Each role will use the services in a different way. Secondly, the integration and interoperability are important when there is demanded to combine and integrate these services with educational platforms. Due to the need for integration, contextualization and interoperability, IEEE Education Society has formed the IEEE-SA P1876 Working Group on Networked Smart Learning Objects for Online Laboratories to develop the standard that defines the architectures and implementation processes. The IEEE 1876 standard was approved in March 2019. Remote laboratories have been identified as a solution to provide hands-on experiences to distance education students [19–21]. Some advantages of remote laboratories over real and virtual laboratories that have been identified are availability, security, reasonable cost, calibration control, etc. However, this technology has a set of challenges that have been identified in previous studies [3], see Table 2.1. \| Category \| Challenge \| \|----------------\|---------------------------------------------------------------------------\| \| Technology \| scalability, reliability, hybrids labs, smart labs, thin labs and IoT, \| \| \| collaborative labs, authoring tools, security \| \| Pedagogy \| learning effect, learning analytics, deployment in schools/universities, \| \| \| non formal learning, industry \| \| User experience\| engagement, interface, tutoring, automatic assessment \| \| Deployment \| stakeholders, secondary schools \| \| Industry \| in-company training, demonstrations, upgrades \| Laboratory as a service (LaaS) [22–24] has been proposed as an approach where companies, researchers and laboratories centers, providing services of remote laboratories, accordingly to the demands of the user. However, without standards and models for implementation of remote laboratories to guarantee minimum levels of quality, reliability, safety, security, these services will be implemented without interoperability considerations. In 2002 Hamza et al. [19] evaluated alternatives to physical laboratories used in engineering education, including simulation and remote laboratories. Since then, research laboratories and companies have improved the quality of the experience with remote laboratories by increasing infrastructure technology available to build remote laboratory experiments. The bandwidth, processing capacity, video codification algorithms, new and more versatile controllers and hardware devices, repositories [7] and portals to access the remote experiments are some of the elements that have been improved drastically in a relatively short period of time. Two technologies can be used for the integration of the RLMS with the VLE. The first one is the Learning Tools Interoperability (LTI) [25] that makes possible the integration of the educational resources with the VLE. Figure 2.4 shows the interaction between the tool provider and the tool consumer with user gaining access to resources through launching LTI to make the connection. This would allow students using any VLE, such as Canvas, BlackBoard or Moodle to access the online laboratories within their VLE environment and allow the tool provider access to report results to the VLE grading system. ![Diagram](image) Figure 2.4: Overview of Learning Tools Interoperability (LTI). (Adapted from: [25]) The second technology is Tin Can API (xAPI) [26]. Through xAPI it is possible to continuously store in the Learning Record Store (LRS) the interactions of teachers, administrators and students with the system, allowing the VLE and the RLMS to access and manage the student information and interactions for the laboratory experience. xAPI technology is one of the technologies in the IEEE 1876 Networked Smart Learning for Online Laboratories standard. The IEEE 1876 proposes a common definition in terms of layers and interfaces, that will generate a unified view about the meaning of the laboratory learning objects totally compatible and integrated with the VLEs such as LMSs or educational content repositories. Recently there have been some advances in integrating remote laboratories with LMSs through the use of federation protocols methodology [27]. ### 2.3.1 Total Learning Architecture (TLA) Total Learning Architecture (TLA) proposed by [28] defines the interaction between training, education, and personnel management technologies providing a standardized structure. of functions for “internet for learning”. The TLA definition is under development since 2015 and will generate a framework to interconnect already developed and new learning technologies as a plug-and-play system. For this purpose TLA includes on its development internet and software specifications to enable “next-generation personalized, data-driven, and lifelong technology-enabled learning”. TLA development includes 3 stages [28]: - Spiral-1 (2015-2017) developing APIs consisting of candidate specifications as well as protocols developed specifically for the initial development cycle, receive feedback and first interaction of end users. After Spiral-1 was demonstrated success in users learning as well as efficiency in data management. - Spiral-2 (2017-2018) with the goal to evaluate additional technologies and standards as well as having a second empirical trial of a TLA prototype. It gave “researchers an opportunity to observe its operation under semi-realistic, ecological conditions”. - Spiral-3 (2019+) will focus on refinement of the specification. Having special attention in the articulation of different types of data, learning analytics, visualization, adaptive privacy support, and xAPI profiles. In 2017 an experimental architecture of TLA was proposed, see Figure 2.5. In 2018 a more developed reference architecture was proposed, see Figure 2.6 Figure 2.6: 2018 TLA Reference Implementation Architecture. Adapted from: [28] 2.4 COLLABORATIVE ROLES IN ONLINE LABORATORIES Collaborative remote laboratories allow a specific laboratory to be simultaneously used by a group of users. Callaghan, Harkin, McGinnity and Maguire in 2007 [6] proposed a technological architecture to support collaboration in remote laboratories. Figure 2.7 shows the DIESEL interface in which multiple users can interact in a collaborative session. ![DIESEL interface](image) Figure 2.7: DIESEL interface - multiple users interacting with the same laboratory experiment [6]. Schumacher, Fernandez-Buglioni, Hybertson, Buschmann and Sommerlad published a book of security patterns [29], software design patterns that have been validated and standardized for implementing security. Their patterns include: Role-Based Access Control (RBAC) which defines the structure of roles for accessing a protected object. This pattern shown in Figure 2.8, permits the user to have multiple roles and access depends on the role they have selected. The administrator defines a set of standard roles and their rights to protected objects. The role is then assigned to users and according to the role, the user is granted the rights to access a set of activities to interact with the protected objects inside. 2.5 ADAPTIVE INTERFACES IN ONLINE LABORATORIES Adaptive user interfaces have been applied in a variety of software applications, such as commercial web applications, educational and research applications, among others. In the context of online laboratories some advances have been done adapting the interface of the simulations and allowing the user to personalize the interface [30]. An adaptive user interface in software gives the possibility of a software interface to change according to some input parameters defined for the users or identified automatically by the system. Some advances have been done in the user interfaces for online laboratories [31] and remote laboratories [30, 32–35] that provide alternatives to improve the user experience with the remote laboratory. Salzmann et al. [34] proposed the Smart Device specification, allowing the automatic generation of a basic client application. Their approach decouples the client from the server providing the interfaces to connect them. Figure 2.9 shows the components of the Smart Device. Salaheddin et al. [33] defined in their work a middleware layer to allow the reusability and customization of the online laboratory experiments. Figure 2.10 shows the interface of configuration in which it is possible to define what elements are going to be presented to the users in the menu. Figure 2.10: Remote laboratory configuration interface. Adapted from: [33] Hamadou et al. These developed an interface designer that allows users to design online laboratory interfaces dragging and dropping graphical components. The interface design is stored in an XML file that is transferred to the server and executed by an ActiveX controller that displays the result to the user in real time. This process has been named by the authors as PolymorphiX. Figure 2.11 shows the step by step process that occurs with the customized interface controls from the Designer Application to the browser. ![Diagram](image) Figure 2.11: Interface circulation within the system. Adapted from: [30] ### 2.6 RELIABILITY ASSESSMENT FOR ONLINE LABORATORIES Current development in virtual and remote laboratories have shown a lack of re-usability, interoperability in their hardware and software implementations [36, 37]. There is work on models of hardware failures [38] and on models of probability to determine failure rates [39]. However, no reference models were found for the evaluation of the hardware and software components of the online laboratories. Some studies have described issues with the reliability in complex software systems [40], and they defined formal measures related to a system’s reliability [41], such as: the Mean Time Between Failures (MTBF) or the Mean Time to Repair (MTTR), which are useful for the classifications of the type and gravity of the failures. According to Crisitan [42], failures in distributed systems occur when an unexpected behavior occurs. The failures classification includes: Omission failure (server fails to respond to an input), Timing failure (server response is correct but not provided in the correct or expected interval of time, related to performance failures), Response failure (server responds with incorrect values; due to either a value failure or a state transition failure), and finally, Crash failure (failure to produce an output, the server does not produce outputs to all subsequent inputs until it is restarted). Recovery from a failure is done with one of two approaches [43]. The first approach, forward recovery, tries to solve the problem in the process or system through a specific action without loss of steps in the system execution (normally is a signal, a code or a patch that recovers the system). The second approach, backward recovery, returns to a previous state when the system was working correctly. This approach of recovery can be done in two ways: operation-based recovery, that implies the recording of all the details to restore the system to the immediately previous state; or through a state-based recovery that relies in a periodical storage of checkpoints (this procedure saves memory but has the risk of losing the activity performed between the last check point and the failure occurrence). Rule-based systems can be used for reliability assessment support and consists of: a knowledge base, composed of a set of rules (IF some condition THEN some action); a database composed of facts; an inference engine that processes the rule (chaining process), and makes decisions; and an explanation system that translate the results in a more human understandable structure [44]. An application of rule-based systems are the expert systems that use rules to make deductions or make decisions in specific problems. The general architecture of a rule-based system is presented in the Figure 2.12. Implementation of these type of systems have been developed in different domains. The most common applications of these type of systems have been developed in economics, weather analysis, health applications (disease diagnosis, treatment suggestion) and general classification systems [45]. 2.7 ONLINE LABORATORY IMPLEMENTATIONS The current panorama of implementations of online laboratories can be described from different points of view. First, implementations of online laboratories coming from university projects. Second, collaboration projects developed between two or more organizations, such as universities, government institutions, or international organizations. Finally, companies that offer services of online laboratories. 2.7.1 University Projects These are some of the most representative university projects that were or have been active during the last two decades: iLab project from Massachusetts Institute of Technology (MIT) developed in the United States, the Virtual Instruments Systems In Reality (VISIR) developed at Blekinge Institute of Technology in Sweden (BTH), Weblab-Deusto from the University of Deusto in Bilbao, Spain, and the National Distance University (UNED) also in Spain. Online Experimentation from Faculdade de Engenharia da Universidade do Porto (FEUP) in Portugal, c-MOOLS from TELUQ University in Quebec, Canada, Internet School Experimental System (ISES) from Charles University Prague in the Czech Republic, e-lab Instituto... Superior Técnico (IST) in Portugal, the Remotely Controlled Laboratories (RCL) from Universitat der Bundeswehr Munchen (UniBw M) in Germany, Remote Labs Learning Environment (RELLE) at Universidade Federal de Santa Catarina (UFSC) in Brazil, eLab / TeleLab projects from the Monterrey Institute of Technology (ITESM) in Mexico, and finally, the Remote Farm from Berlin Institute of Technology in Germany. iLab The iLab project objective is to create a wide set of experiment resources that facilitate the sharing of experiments using the internet [46, 47]. iLab defines a networked infrastructure for the deployment of remote laboratories to enrich science and engineering education and impact student learning. The iLab Shared Architecture (ISA) (see Figure 2.13) was proposed by iLab, and it is composed by three components. First, is the computer that controls the experimental setup. The second component is the user interface that adapts according to the user device. Finally, the service broker, links the other two components and schedules access to different iLab equipment around the world [46]. ![Figure 2.13: iLab Shared Architecture (ISA). Adapted from: [47]](image-url) The Virtual Instruments Systems In Reality (VISIR) project [48] develops online laboratories specifically in areas of Electrical and Electronics Engineering, including hands-on, virtual, and remote experiments. The VISIR experiments include: protoboards, sources, signal generators, meters, oscilloscopes and components (resistors, capacitors, inductors, diodes etc). All the experiments can be remotely operated through the Internet. This characteristic allows users from all over the world to use the laboratory 24/7. It is considered a powerful tool for cooperation among institutions. VISIR was developed by Blekinge Institute of Technology in Sweden (BTH). Figure 2.14 shows the architecture of VISIR. Figure 2.14: VISIR laboratory architecture. Adapted from: [48] WebLab-Deusto The WebLab-Deusto project [49] has evolved during the last 2 decades, starting in early 2000’s. WebLab-Deusto 1.0 was implemented to be used in classes for teaching Complex Programmable Logic Devices (CPLDs). In November 2005, WebLab-Deusto 2.0, was improved to control Field-Programmable Gate Arrays (FPGAs). This version of the platform included support for mobile devices, see Figure 2.15. A major improvement of the systems was implemented in 2007 including the centralization of the laboratories administration, facilitating the maintenance of the system. This version was called Weblab-Deusto 3.0. The improvements included support for multiple laboratories in a distributed network. WebLab-Deusto received awards both by the Spanish Chapter of the IEEE Education Society and by the Faculty of Engineering of the University of Deusto. ![Figure 2.15: WebLab-Deusto laboratory architecture. Adapted from: [49]](image) Universidad Nacional de Educación a Distancia (UNED) - UNEDLabs UNED is one of the biggest online universities in Europe with more than 160 thousand students. To provide laboratory experiences to their online students, UNED has developed since 1991 a strategy to implement virtual and remote laboratories that can supply the need of practical knowledge in their engineering programs. In particular, two approaches have been followed, first the creation of virtual labs that provide computer-based simulations that show the behavior of the real laboratories, and second, the development of remote laboratories that use real components and are remote controlled in real time. One of the contributions of UNED in the virtual and remote laboratories has been the integration of the experiments to the LMS systems. Figure 2.16 shows the general architecture of the UNED virtual and remote laboratories (VRLs) [50]. Figure 2.16: UNED virtual and remote laboratories architecture [50]. Online Experimentation - Faculdade de Engenharia da Universidade do Porto (FEUP) Online experimentation at University of Porto project has 4 lines of developments: The first one, remote experiments include laboratory experiments based on LabVIEW and HTML. Second, augmented reality experiments include eight categories of experiments in topics such as: sound, circuits, light regulation, etc. The third line, virtual experiments use 2D and 3D simulations. Finally, haptic interactions and instrumentation devices, such as tools for health, rehabilitation and monitoring and control [51]. FEUP online laboratories have been integrated and deployed through the use of LMS platforms, providing scheduling systems and course structure type of access [52]. L@d (laboratory at distance) TELUQ University, Quebec Canada In 1997 laboratory at distance for education and research (Lab@DER) later called just L@d [53] was proposed at TELUQ University as an architecture for online laboratories based on Web Services with modular components (services), see Figure 2.17, The online laboratory system uses a web server for the front end representation. The back end has three layers. The top layer is the logic layer, where the learning scenarios are defined, and the processes are managed. The second layer is the Grid Container. Where GSH/GSR is a mechanism in Grid Service to get the reference of the remote objects and forward the requests to the remote objects. The bottom layer is the Application Server layer, it provides flexible mechanisms to manage the Service Objects and interface to the Web Service Engine. Figure 2.17: Architecture for Web Services and Grid-Based Technologies for Online Laboratories [53]. In 2014 Saliah-Hassane and Reuzeau [54] developed the concept of Connectionist Mobile Open Online Laboratories (c-MOOLs). Two concepts were proposed in this c-MOOLs. First (MOOLs) as Mobile Open Online Laboratories and second (MOOLs) as Massive Open Online Laboratory, using the concept of lab@home or portable laboratory also defined in this project. The incorporation of xAPI as technology to support the tracking of the user activities has been including in this project, this implementation is extended in chapter 6 where the concept of xAPI is developed. Internet School Experimental System (ISES) ISES project [55] was proposed in Czech Republic, specifically at Charles University in Prague. The project defined a tool for local and remote real time data acquisition. Additionally, it defined a tool for data processing and control of online experiments. The ISES tool is an open system that includes the ISES hardware and their own control software called ISESWIN. For the remote laboratories they created the ISES WEB Control kit based on JAVA APPLETS which includes the software needed to enable the remote access to the laboratories. Since 2013 they moved to a different approach using JavaScript and defined the ISES Remote Lab SDK. ![Figure 2.18: Internet School Experimental System (ISES) experiment example. [55]](image) e-lab Instituto Superior Técnico (IST) Instituto Superior Técnico is part of the Lisbon University in Portugal and they developed the e-lab project. The e-lab is a remote laboratory platform that supports remote laboratory experiments in the topic of physics. The experiments are developed in Java language, including real time and pre-recorded experiments. The platform includes role-based access control, supports user appointments and makes use of user queues [56]. Remotely Controlled Laboratories (RCL) RCL project is developed at Universitat der Bundeswehr Munchen (UniBw M) since 2012. Their experiments are used for teaching physics at school and university levels. The laboratory experiments include topics such as: diffraction of electrons, diffraction and interference of light, photo-electrical effect, among others. RCL project creators have focused in creating laboratories experiences that are intuitive, interactive, authentic and with possibilities for data transferring and data gathering in background that helps the setup and technical support [57]. Remote Labs Learning Environment (RELLE) RELLE has been developed by the working group in remote experimentation (GT-MRE), part of the remote experimentation laboratory (RExLab) at Universidade Federal de Santa Catarina (UFSC) in Brazil. RELLE remote laboratory system offers around 20 laboratory experiments in topics of physics, biology and robotics [58]. eLab / TeleLab Monterrey Institute of Technology (ITESM) The Monterrey Institute of Technology (ITESM) has developed the eLAB / TeleLab project [59] [60] with 9 remote laboratories in topics of electronics circuits, electronics, electrical machines, automation, robotics and control systems. These labs offer access to students from 4 different ITESM campuses located in Monterrey, Laguna, Tampico and Aguascalientes, attending more than 200 students per semesters and a total of 1200 students in the period between 2016 and 2018. Additionally ITESM has developed the platform RemoteLabs, including a set of advanced remote laboratories, available exclusively for ITESM researchers and graduate stuThe topics of these labs are: power theory, power electronics, motors, and electrical generators. The technological architecture of these two systems include the use of proprietary equipment provided by Siemens, National Instruments (NI) - Engineering Laboratory Virtual Instrumentation Suite (ELVIS) and LabView platform to generate the user interfaces, additionally and appointment scheduling system and a video streaming service has been integrated. Remote Farm - Berlin Institute of Technology The remote farm provides access to experiments in solid-state physics. Using these laboratories, the users can record the experiment data and later access it using a website section called “measured data”. Any user can use these laboratories creating an account with their email address. This project is supported by the Federal Ministry for Education and Research and the president of the Technische Universitat Berlin [61]. ### 2.7.2 Collaboration Projects Collaboration projects include: UniLabs from UNED in Spain, Library of Labs (LiLa), the Global Online Laboratory Consortium (GOLC), LabShare, VISIR+, Go-Lab, Next-Lab, Forging Online Education through FIRE (FORGE) that uses Future Internet Research and Experimentation (FIRE) labs, the Network of Remote Laboratories (NeReLa), the Industrial Cooperation and Creative Engineering Education (iCo-op), Virtual Labs India (V labs), Modernizing Undergraduate Renewable Energy Education (MUREE), Platform Integration of Laboratories based on the Architecture of VISIR (PILAR), Micro Electronics Cloud Alliance (MECA), Electronic and Optic e-Learning for Embedded Systems (EOLES), Training in Automation Technologies for Ukraine (TATU), the North American Network of Science Labs Online (NANSLO), REMLABNET, e-Lab Renata, The Binational Laboratory for the Smart Management of Energetic Sustainability and the Technological Formation, and finally, RedCLARA. UNED-UNILabs The University Network of Interactive Laboratories (UNILabs) Laboratories led by UNED in Spain, is a network of a group of universities that share their laboratory experiments in centralized Moodle LMS platform in the form of courses [62]. Participating institutions are: Universidad de Huelvas in Spain, Universidad Complutense de Madrid in Spain, Universidad de Almería in Spain, Pontificia universidad Católica de Valparaiso in Chile, Universitas Miguel Hernández in Spain, Universidad Loyola Andalucia in Spain, Universidad de Alicante in Spain, Universidad de Murcia in Spain and Universidad Federal de Santa Catarina in Brazil. ![Non-linear system with 4 propellers mounted on a 3 Degrees of Freedom (DOF) pivot joint.](image) Figure 2.19: Non-linear system with 4 propellers mounted on a 3 Degrees of Freedom (DOF) pivot joint. [62] LiLa Library of Labs (LiLa) [63, 64] is an initiative of eight European universities and three companies, which aims to develop an integrated platform for remote experiments and virtual laboratories. LiLa project implements RLMS functions such as: access control and booking systems for accessing the LiLa Laboratory Objects (LLO) that can be either virtual or remote laboratories. Figure 2.20 shows the architecture of LILA. ![Figure 2.20: LILA laboratory architecture. Adapted from: [63]](image) GOLC Taking into account the increasing interest of the education community in online experiments, GOLC is focused on promoting the development, sharing and research of remotely accessible laboratories for educational use. GOLCs’ goal is to establish an unified architecture that turns the online experimentation into a more efficient and economically viable technology, making it interoperable and more widely used [65]. GOLC’s interest topics include online labs, curricular materials, lab sharing mechanisms, infrastructure to allow shareable experiments, support for communities of scholars working on online experimentation, and development of a standard architectures for online laboratories. ![GOLC laboratory architecture](image) Figure 2.21: GOLC laboratory architecture. Adapted from: [65] LabShare The Australian Government funded the LabShare project, whose mission is: “To create a nationally shared network of remote laboratories that will result in higher quality labs”. LabShare has developed, during the last decade, initiatives to develop remote laboratories in diverse topics and provides centralized access to their network to Australian universities. LabShare was created under the premise that there is not enough capacity for an individual institution to afford the most advance and complex infrastructure of laboratories. Instead, it is more feasible to create a network in which every institution can share their laboratory infrastructure with each other. LabShare received, for the period 2009 to 2011, the amount of 3.8 million USD for its operation [66]. ![LabShare laboratory architecture](image) Figure 2.22: LabShare laboratory architecture. Adapted from: [66] The LabShare Institute (TLI) was established to “ensure sustainability in leveraging the use of remotely accessible laboratory technologies within the education sector” [66]. VISIR+ VISIR+ [67] collaboration has involved the implementation of remote laboratories based on the VISIR architecture (see Figure 2.14) to deploy laboratories of electrical and electronics circuits in countries such as: Argentina, Austria, Brazil, Portugal Spain, and Sweden. Go-Lab Go-Lab [68] is defined as an Ecosystem for sharing and authoring laboratory experiences online. It is considered one of the largest collections of online laboratories including virtual and remote laboratories. Go-Lab provides tools to enrich the teaching process providing a possibility to share Inquiry Learning Spaces (Spaces). The teacher can create or re-use learning scenarios in the class, additionally those resources can be found in different languages. The Go-Lab authoring platform offers learning analytics capabilities, where the teacher can follow the students’ progress, and additionally providing collaboration tools for the students and teachers. The Go-Lab was co-funded by the European Commission and currently, the platform is in scope of the innovation project Next-Lab Next Generation Stakeholders and Next Level Ecosystem for Collaborative Science Education with Online Labs. Figure 2.23: Go-Lab ecosystem for sharing and authoring laboratory experiences online [68] Next-Lab Next-Lab (Next Generation Stakeholders and Next Level Ecosystem for Collaborative Science Education with Online Labs) [69] is being developed in the framework of the Horizon 2020 program of the European Union (EU). Next-Lab’s goal is to expand the work developed by Go-lab project in k12 education levels. Next-Lab gives users a multilingual platform with virtual and remote laboratories, and learning materials organized by the level and age groups. Additionally, it provides an authoring tool that allows teachers to create their own learning scenarios and possibilities for Forging Online Education through FIRE (FORGE) Project FORGE [70] was created to align the e-learning definitions with the infrastructure created by the project FIRE (Future Internet Research and Experimentation) [71]. FORGE defined methodologies and best practices for the integration of FIRE experimentation infrastructures to learners in different locations. The benefits of this integration include the generation of open educational resources (OER) that are reusable learning solutions. The components of FORGE called FORGEBox and FORGEStore offer a wide set of interactive courses and widgets defined under their architecture compatible with xAPI. This is a modular architecture capable of integrating online laboratories and educational materials in a single resource. NeReLa-LiReX The Network of Remote Laboratories (NeReLa) [72] is a collaboration project with the objective of creating a network of remote labs sponsored by the European Union. NeRela project uses the Library of Remote Experiments (LiReX) that contains remote experiments and exercises developed by the four project partner universities in Serbia: University of Kragujevac, University of Belgrade, University of Nis and University of Novi Sad. [73] iCo-op iCo-op [74] started in Armenia, Georgia, and Ukraine, with the goal of providing to students the skills necessary for a successful career. The platform connects local and external facilities with remote and virtual instrumentation. iCo-op aims to: - Establish a methodology for identification and monitoring of demand for knowledge and skills in industry • Deliver learning programs using remote laboratories/virtual instrumentation knowledge and competences • Build mutually beneficial, sustainable partnerships between academia and enterprises by offering internship programs and up-to-date industry training programs Virtual Labs India (VLabs) Virtual Labs India (VLabs) is an initiative of the Ministry of Human Resource Development of India under the National Mission on Education through Information and Communications Technology (ICT). The initiative has the following objectives [75]: • To provide remote access to labs in various disciplines of science and engineering • To benefit students of all levels and researchers • To motivate students to learn advanced concepts through remote experimentation, motivating curiosity • To provide integration of the virtual laboratories with the educational systems such as Learning Management Systems, with the possibility of integrating multimedia content • To share remote access to expensive laboratory equipment, solving problems generated by costs of transportation or long geographical distances Modernizing Undergraduate Renewable Energy Education (MUREE) Modernizing Undergraduate Renewable Energy Education (MUREE) [76] is an European Union project developed and applied in Jordan. The project objective is to follow the complete process, from the creation until the quality evaluation of a bachelor’s program in renewable energy in Jordan. This includes the laboratory component that is jointly taught by a group of universities in Jordan. As part of the MUREE initiatives it is important to mention the remote laboratory initiative that has the objective of deploying online laboratory experiments. UNED from Spain and the Jordanian MUREE team have developed together the following remote labs in: - Wind and solar power - Hybrid energy - Fuel cell - Solar tracking control Platform Integration of Laboratories based on the Architecture of VISIR (PILAR) PILAR [77] is a collaboration project between 8 institutions, five universities: BTH (Blekinge Institute of Technology, Sweden), UNED (Universidad Nacional de Educación a Distancia, Spain), CUAS (Carinthia University of Applied Sciences, Austria), IPP (Instituto Politécnico do Porto, Portugal) and UDEUSTO (University of Deusto, Spain), and 3 other external institutions, the International Association of Online Engineering (IAOE) from Austria, the EVM organization project management experts, and Regional Center (OMNIA) from Finland. PILAR’s objective is to improve the practical training at high school and university levels, by developing electronic practices through an innovative digital integration of laboratory technologies, providing real time laboratory experiences to students from any of the participants countries. Basically, PILAR proposes a VISIR laboratories federation to help students to achieve basic skills. Using VISIR the students from different universities can access any VISIR instance no matter where it is located, leveraging the accessibility and giving more control of the infrastructure to the administrators of the federated instances. Figure 2.24 shows how different students can access laboratories located in different institutions. Micro Electronics Cloud Alliance (MECA) Micro Electronics Cloud Alliance (MECA) [78] was part of the European Commission Erasmus+ Knowledge Alliances established in 2015. MECA goal was to develop a Cloud-based infrastructure for Europe with main focus on education in micro and nano-electronics. Among the outcomes of the project are: create a variety of open educational resources, provide remote access to resources, develop an infrastructure to share educational and professional software, and develop learning facilities enabled for the remote access. Electronic and Optic e-Learning for Embedded Systems (EOLES) EOLES program [79] (Electronics and Optics e-Learning for Embedded Systems) is one of the Trans-European Mobility Program for University Studies (TEMPUS) project. It has been funded by the European Commission. EOLES is part of the 3rd year bachelor’s degree and gives a diploma valid in the countries of the European Higher Education Area. EOLES project involve the participation of 3 African and 15 European countries. The course is given simultaneously among the participant institutions and is accredited as a specialization year program in all the institutions. The infrastructure of the EOLES includes an LMS and the integration of distributed remote Laboratories [80]. Training in Automation Technologies for Ukraine (TATU) TATU [81] is also one of the TEMPUS projects that started in 2013. TATU is interested in increasing specialist graduates of Ukrainian universities, specifically in areas of automation of production. The strategies included the introduction of European standards of education through practical examples. The results expected from this project included: - Development of 20 mobile smart labs in industrial automation - 5 certified equipped training centers - Creation of high-quality learning-teaching materials in English, Ukrainian and Russian languages - Offering of certified E-Learning courses - Lifelong Learning Platform (LLL) and professional development training for more competent students, teachers and trainers - Improvement of the employability of graduates in industrial automation programs - Dissemination of project results. NANSLO In North American the Network of Science Labs Online (NANSLO) [82] developed the Remote Web-based Science Laboratory (RWSL), including innovative remote laboratory interfaces with the capacity of using up to 4 cameras, each of them with pre-configured positions to get a sense of the real environment, as well as focus on the display of each instrument. The controls on the interface for remote adjustments of variables such as: panning and zooming the cameras and setting current and voltage. NANSLO platform includes more than 30 laboratory activities for introductory biology, chemistry, and physics courses. All NANSLO activities are developed by science instructors and are available for use, subject to Creative Commons CC. Figure 2.25: NANSLO laboratory architecture. Adapted from: [82] REMLABNET REMLABNET [83] is an open RLMS system available for universities and secondary research-based teaching schools. REMLABNET has delivered different versions of its RLMS design. In 2016 they released the REMLABNET IV which includes use of LTI, federation of laboratories, virtualization of components, diagnostic tools and different servers for diagnostics, communications and data warehouse, see Figure 2.26. ITESM - National Remote Laboratories (NRL) and MOOCLab ITESM is part of the Binational Laboratory for the Smart Management of Energetic Sustainability and the Technological Formation. In this initiative also participate the Energy Ministry and the Science and Technology National Council and public and private higher education institutions. This initiative is creating a platform that generates technology and knowledge around energy, looking to place Mexico at the level of the most advanced in the fields of training, research, and infrastructure. ITESM is providing National Remote Laboratories and MOOCLab platforms with remote laboratories in the energy topic. Red Clara RedCLARA [86] is an international organization whose goal is to connect Latin America’s academic computer networks. They have the participation of institutions in 13 Latin America countries, and are connected with the United States Internet2 [87], a network that connects research, academia, industry and government institutions. This network is also connected with the Latin American Interconnect with Europe (ALICE, for its acronym in Spanish) [88], which is a project co-funded by the European Commission and Latin American countries, created to stimulate the creation and development of the Information Society in Latin America. The third connection is with the Gigabit European Academic Network (GEANT) [89]. RedCLARA has offices in Tijuana, Miami, Panama City, Sao Paulo, Santiago de Chile and Buenos Aires. ![Red CLARA network](image) Figure 2.27: Red CLARA network. [86] The National Laboratory for the Smart Management of Sustainable Energy and the Technological Formation The National Laboratory for the Smart Management of Sustainable Energy and the technological formation is an initiative from the Mexican Science and Technology National Council, ministry of Energy, Monterrey Institute of Technology, and national and international universities. The goal of this initiative is to improve the knowledge around the energy topic, developing advanced technologies, training, research and infrastructure. Physical, virtual and remote laboratories in the topic of energy are part of the technologies in process of development, as well as the generation of 4 collaboration networks. RENATA e-Lab In Colombia, the Minister of Education created the initiative RENATA e-Lab [90] “Red Nacional Académica de Tecnología Avanzada”, a national network of remote laboratories. Annually institutions can participate to receive funding for developing their network infrastructure and remote laboratories technology to make their labs accessible through this national network. RENATA e-Lab is part of the RedCLARA network which centralizes the laboratory access and provides interfaces to manage the schedules for the periods of experimentation. ### 2.7.3 Industry Projects Some of the most representative industry providers of online laboratory services are: LabsLand, Labster, PhET and HHMI BioInteractive. LabsLand LabsLand is a network of distributed remote laboratories around the world. In LabsLand, institutions can share their laboratories and/or they can be consumers of laboratory experiments from other institutions. “LabsLand connects schools and universities with real laboratories available somewhere else on the Internet. A real laboratory can be a small arduino-powered robot in Spain, a kinematics setup in Brazil or a radioactivity testing lab in Australia. They are real laboratories, not simulations: the laboratories are physically there, and students from these schools and universities access them” [91]. Labster Labster develops interactive virtual laboratories including simulations based on mathematical algorithms that support open-ended investigations. Their products are also developed including gamification elements such as 3D environments, storytelling and a scoring system. The laboratories are being used for different universities including Harvard, MIT, Stanford among others. Figure [92] presents the interface of one of the LABSTER laboratories about bacterial quantification by culture. This lab guides the student or trainee through complete realistic virtual laboratory experience. ![Figure 2.28: Bacterial quantification by culture: Count bacteria with serial dilution virtual laboratories in Labster [92]](image) PhET Physics Education Technology (PhET) [11] interactive simulations, is an open platform with hundreds of virtual simulations in topics such as physics, biology, chemistry, earth science and math. All the Phet simulations are open educational resources (OER). The project was developed at University of Colorado and funded by the Nobel prize winner Carl Wieman. Their mission is “To advance science and math literacy and education worldwide through free interactive simulations.” HHMI The Howard Huge Medical Institute (HHMI), for 60 years has been promoting science development. HHMI BioInteractive offers multimedia resources, including apps, animations, videos, interactive, and virtual laboratories. This tool has the objective to “bring the excitement of scientific discovery into your classroom”. HHMI gives supports to scientists and educators. The most important advances of the HHMI have been made in the biology and medical field [93]. ![Figure 2.29: HHMI Bio interactive virtual laboratories](image) ### 2.7.4 Comparison of Online Laboratories Implementations Table 2.2 shows a comparison between the different implementations in online laboratories. The features compared were selected based on the challenges of the online laboratory systems [3] such as: scalability, reliability, hybrids labs, smart labs, thin labs, collaborative labs, authoring tools and security; and the needs identified during the development of the IEEE standard 1876 “Networked Smart Learning for Online Laboratories” [15] that include: integration with VLEs (LMS), multiple user roles, common interfaces, tracking systems, collaboration, smartness of the labs, portability and security. GOLC and Red Clara collaboration projects are not included in the following table because they have not generated new online laboratory implementations. They have been hubs for the integration of other well-known project platform implementations. Table 2.2: Table of comparisons online laboratory projects \| Category* \| Lab Implementation \| Integration VLE \| Users Login \| Learning Activities \| Lab Type** \| Concurrency \| User Roles \| Async-Lab \| Scheduling \| \|-----------\|--------------------------\|-----------------\|-------------\|---------------------\|------------\|-------------\|------------\|-----------\|------------\| \| UP \| iLab \| - \| - \| Yes \| R \| P \| Yes \| Yes \| Yes \| \| UP \| VISiR \| - \| - \| - \| R \| P \| - \| - \| Yes \| \| UP \| WebLab-Deusto \| Yes \| Yes \| - \| R \| P \| Yes \| - \| Yes \| \| UP \| UNED \| Yes \| Yes \| Yes \| R, V \| Yes \| Yes \| - \| Yes \| \| UP \| FEUP \| Yes \| Yes \| Yes \| R, V \| Yes \| Yes \| - \| Yes \| \| UP \| TELUQ L@d \| Yes \| Yes \| Yes \| R, M \| P \| Yes \| - \| Yes \| \| UP \| ISES \| - \| - \| Yes \| R \| - \| - \| - \| Yes \| \| UP \| IST \| - \| Yes \| Yes \| R \| - \| Yes \| - \| Yes \| \| UP \| RCL \| - \| - \| Yes \| R \| - \| Yes \| - \| Yes \| \| UP \| RELLE \| - \| Yes \| Yes \| R \| - \| Yes \| - \| Yes \| \| UP \| eLab-TeleLab \| - \| Yes \| Yes \| R \| - \| Yes \| - \| Yes \| \| UP \| Remote Farm \| - \| Yes \| Yes \| R \| - \| - \| - \| Yes \| \| CP \| UNED - UNILABS \| Yes \| Yes \| Yes \| R, V \| Yes \| Yes \| - \| Yes \| \| CP \| LiLa \| Yes \| Yes \| Yes \| R, V \| Yes \| Yes \| - \| Yes \| \| CP \| LabShare \| - \| Yes \| Yes \| R \| P \| Yes \| - \| Yes \| \| CP \| VISiR+ \| Yes \| Yes \| Yes \| R \| P \| - \| - \| Yes \| \| CP \| Gio-Lab \| Yes \| Yes \| Yes \| R, V \| Yes \| Yes \| - \| Yes \| \| CP \| Next-Lab \| Yes \| Yes \| Yes \| R, V \| Yes \| Yes \| - \| Yes \| \| CP \| FORGE-BOX \| Yes \| Yes \| Yes \| R \| - \| Yes \| - \| Yes \| \| CP \| NeReLa-LiReX \| - \| - \| Yes \| R \| - \| - \| - \| Yes \| \| CP \| iCo-op \| Yes \| Yes \| Yes \| R, V, H \| Yes \| Yes \| - \| Yes \| \| CP \| V Labs \| Yes \| Yes \| Yes \| R, V \| Yes \| Yes \| - \| Yes \| \| CP \| MUREE \| Yes \| Yes \| Yes \| R \| - \| Yes \| Yes \| Yes \| \| CP \| PILAR \| - \| Yes \| Yes \| R \| P \| Yes \| - \| Yes \| \| CP \| MECA \| Yes \| Yes \| - \| R, V \| Yes \| Yes \| - \| Yes \| \| CP \| EOLES \| - \| Yes \| Yes \| R \| - \| - \| - \| Yes \| \| CP \| TATU \| - \| - \| Yes \| R, M \| - \| - \| - \| Yes \| \| CP \| NANSLO \| - \| Yes \| Yes \| R \| P \| Yes \| - \| Yes \| \| CP \| REMLABNET \| - \| Yes \| Yes \| R,V \| Yes \| - \| - \| Yes \| \| CP \| ITESM – NRL and MOOCLab \| Yes \| Yes \| Yes \| R,V \| Yes \| - \| - \| Yes \| \| CP \| RENATA e-Lab \| - \| Yes \| - \| R,V \| Yes \| - \| - \| Yes \| \| IP \| LabsLand \| Yes \| Yes \| Yes \| R \| P \| Yes \| Yes \| Yes \| \| IP \| Labster \| Yes \| Yes \| Yes \| V \| Yes \| Yes \| - \| Yes \| \| IP \| PhET \| - \| Yes \| Yes \| V \| Yes \| Yes \| - \| - \| \| IP \| HHMI \| - \| Yes \| Yes \| V \| Yes \| Yes \| Yes \| - \| Legend: Category: (UP: University Projects, CP: Collaboration Projects and IP: Industry Projects) Lab Type: (V: Virtual, R: Remote, M: Mobile and H: Hybrid) Yes: Fully implemented P: Partially implemented - : Not reported Additional features of interest, such as reliability and security, were not reported in the available projects information. 2.7.5 Analysis of Implementations From the implementations reviewed, we found that most of the implementations made by universities reached operational level and were implemented to teach specific concepts of a course. Most of those projects did not implement robust platforms for the online laboratory management, and just a few of them integrated the laboratories with their academic system VLEs or LMSs. Collaboration projects instead went further, including in their development concepts such as federation of labs to connect easily new laboratory experiments to their system. Additionally, in this category it is more common to use a Remote Laboratory Management Systems (RLMS) and to integrate laboratories with academic environments. Some projects such as VISIR+ and NextLab reported the use of web services or external APIs to support its integration. At the industry level, we found that most implementations have been developed in the area of virtual laboratories. There is a concern in the availability of the laboratories and the usability of the interfaces, as well as the integration with learning environments, but they are neither flexibility for the users in terms of customization of laboratory activities nor customization of the laboratory interfaces. Continuity of the laboratory implementations is also a concern, specially in the collaboration projects category. Some of these implementations have evolved while they received funds, but after that period, there were no resources available for maintenance and support of the laboratory infrastructures. We found that a large number of the remote labs implementations were not available, or presented errors while we tried to access them. Common errors were lack of permissions, plugins or extensions not installed in the browser (not explanation or guidelines available), cameras not accessible, ports access problems, among others. Concurrency feature can be accomplished partially on remote laboratories when different user roles have been defined within the system, for example when a group of students and teachers accessed the laboratory experiment having different responsibilities and tasks. Another scenario where concurrency is partially fulfilled is when the context of the experiment and its execution times are very short, for example when the user prepares the data without having to be exclusively controlling the remote lab equipment and later sends the data to be run in the lab station, if this execution time is very short (in the order of hundreds of seconds or even few seconds) the lab station should be able to attend a large amount of request giving the feeling of concurrency support. This is common in electronics remote experiments where the laboratory tests for calculation of, for example, resistance, capacitance, voltage, current among others can be calculated very quickly. 2.8 CHAPTER SUMMARY This chapter covered in detail key concepts related with online laboratories, such as: the taxonomies of laboratories, integration with educational virtual learning environments, the different roles in the laboratory interaction, adaptive interfaces and reliability. Section 2.7 described 35 projects that have implemented any type of online laboratory and that have generated impact in the research area. These implementations have been compared based on features of interest in the development of this research area. Online laboratories normally have been implemented as isolated systems, which means that they are not integrated to other systems used in academia. In the educational context it is important to interchange information back and forth between the remote lab and the Learning Management Systems (LMS) or VLE. The online laboratory interface can be customized to the student if it has access to student data from the VLE. The online laboratory should be able to send results of the student experimentation experience to VLE grading systems. This current lack of integration can negatively impact the motivation for using remote laboratories as part of the education processes. Standard protocols for the communications between applications, cloud-based architectures, and educational standards for educational content, allow the design of simple and efficient mechanisms of interaction between the remote experimentation process and the formal educational learning processes. Approaches, such as Laboratories as a Service (LaaS), would benefit from development of detailed models and design patterns that could be used to describe the requirements to developers and users, and would allow composing more complex collaborative interactions with remote laboratories, and more interoperable architectures that would better support the learning process and requirements. Recently many services have been released to be integrated into the LMS. The EduApps Center [94] is a centralized repository of software applications. These applications make use of some level of educational standards, such as: Learning Tools Interoperability (LTI) or Tin Can API, but currently there are not many applications available in the topic. of remote laboratories. Additionally, integration of remote laboratories with LMSs using federation protocols methodologies have been developed [27]. The educational institutions that have their own equipped laboratory facilities have to deal with periodic costs of equipment acquisition, maintenance and upgrade; costs of personnel needed to maintain, secure, and supervise the laboratory; cost of building and maintaining the physical space that houses the laboratory. These laboratories commonly are unused for long periods of time. There is an increased demand for e-Learning classes, and the classes with laboratories are normally not available in this format. The Massively Open Online Courses (MOOCs) are growing in popularity and need alternatives that can accommodate the 24x7 flexibility required by these students. Online laboratories hold great promise in reducing the cost of laboratory courses yet providing the flexibility and access to shared distributed equipment. This chapter proposes models for remote laboratory management systems architectures, the current taxonomy of laboratories including hybrid laboratories variations that occur when the user or lab changes location or uses different types of laboratories during the same experimentation session, definition of user collaboration roles of online laboratories to allow concurrent use and finally, a proposed architecture of remote laboratories integrating a VLE. 3.1 PROPOSED MODEL OF A REMOTE LABORATORY MANAGEMENT SYSTEM In this section we present an architecture of a distributed remote laboratory based on the work of Tawfik, Salzmann, Gillet and Lowe who proposed delivering remote labs using a Laboratory as a Service (LaaaS) approach [22]. Our proposed model for the remote lab, shown in Figure 3.1, has three components. 1. The Remote Client layer, provides the User and the LabInterface to request and interact with remote lab experiments by communicating with the second layer, the 2. The Remote Laboratory Management System layer provides the Remote Client access to a remote laboratory using four modules: SessionManager, responsible for validating the identity and authorization rights of the user. The second module, the LabGallery* presents to the user the available laboratory experiments, the LabScheduler, provides the services related with the management of the lab experiments (Resources). The scheduler works with the third module, called LabResourceManager, which implements the searching service over the indexed list of resources using the metadata associated with each resource. Once the LabScheduler has identified resource availability, the server sends a confirmation and access token to the user. 3. The third component is related to the Remote Laboratory, which includes the LabAdministrator responsible of performing administrative activities, such as: update the new resources, report changes of schedules originating at the physical site (for maintenance, etc.), and activate alerts when security or safety constraints occur in the use of the equipment. As part of this component are the lab stations that include the lab experiment Controller and additional hardware and software. 3.2 PROPOSED MODEL FOR THE TAXONOMY OF LABORATORIES Physical laboratories are commonly part of government agencies, companies, educational institutions and science museums. There exist two types of physical laboratories: on-site traditional stationary laboratories, sometimes called real laboratories, constructed in a fixed physical place; and mobile laboratories, which can be hosted on vehicles, such as boats, airplanes, cars, satellites (for climate monitoring, surface sensing for example). Science museums and educational institutions sometimes place experiments and computers in vehicles to create mobile labs that can be shared by traveling to the student site to provide hand-on experience. These also are called mobile labs but are accessed directly by the student on-site. The mobile laboratories use additional important variables, such as the current geographical position and time stamp as part of each experimental data result. In Figure 3.2, we proposed a taxonomy model that uses the Unified Modeling Lanlanguage (UML) notation [95] to represent the types of laboratories and relations between them. Laboratories can be physical, online or hybrid. The physical lab can be on-site or mobile, while the online lab can be remote or virtual. A hybrid laboratory can be composed of combinations of physical laboratories (e.g., an on-site and a mobile laboratory), or a combination of online laboratories (e.g., a remote and a virtual laboratory), or a combination of a physical and an online laboratory. The model extends the two taxonomies proposed by [7] and [8], shown in Figures 2.2 and 2.3 of the literature review chapter in the taxonomies section. A mobile lab such as the space station can be a local physical to the astronaut aboard conducting hands-on experiments, as well as an online mobile lab to users accessing the experiments from earth. ![Figure 3.2: Proposed UML model of laboratory taxonomy](image) A review of the previous taxonomy is proposed expanded to add local simulations for on-site labs and online virtual laboratories as well as virtual and remote capabilities to mobile laboratories, see Figure 3.3. 3.3 CONFIGURATIONS OF HYBRID LABORATORIES Hybrid laboratories are created by combining physical and/or online laboratories. The following are some of the possible configurations and examples of these laboratories. 3.3.1 Local Access to a Real Laboratory (on-site) with Online Access to a Virtual Laboratory In this configuration the users work on equipment in a physical facility but also simulate some processes using virtual laboratories available externally. An example of this is: a group of students working the topic of energy in the physics lab, and at the same time, using an open educational resource (OER) virtual laboratory available in the University of Colorado PhET platform [11] to simulate the kinetic and potential energy in the movement of a skate board. 3.3.2 Local Access to a Real Laboratory (on-site) with Local Access to a Virtual Laboratory This is very similar situation to the previous one, but in this case the virtual laboratory is available locally. An example of this is: a group of students working in the construction of an aerodynamic vehicle. Prior to constructing it physically, they simulate it using software installed on their university’s computer to know the effect of the wind on a particular design of the vehicle. 3.3.3 Local Access to a Mobile Laboratory and Online Access to a Virtual Laboratory In this configuration the users work in a mobile laboratory but also simulate some processes using virtual laboratories available via the internet. An example of this is: a group of meteorologists in a mobile laboratory vehicle measuring climate variables and also at the same time, running a climate prediction model available online on the server [96]. 3.3.4 Local Access to a Mobile Laboratory with Local Access to a Virtual Laboratory This is very similar situation to the previous one, but in this case the virtual laboratory is also local. Referencing the previous example, the only difference is that the meteorologists would run the climate simulation model from a local program installed in their laptop. 3.3.5 Remote Access to a Mobile Laboratory and Online Access to a Virtual Laboratory This particular configuration is commonly used when it is not easy for people to have access to the mobile laboratory. For example, if the mobile laboratory is created to perform experiments in the ocean, it is accessed remotely. Additionally, the user can have the support of simulations available external on the boat to be completely sure of some instructions 3.3.6 Remote Access to a Mobile Laboratory and Local Access to a Virtual Laboratory This is very similar situation to the previous one, but in this case the simulations are locally stored on a laptop on the boat. 3.3.7 Remote Access to a Real Laboratory (on-site) and Remote Access to a Virtual Laboratory In this configuration the users work in a remote laboratory and also simulate some processes using virtual laboratories available externally. An example of this is: the design process of a circuit, the user decided first to simulate the circuit using Partsim web platform [97] to verify the maximum power supported by the circuit. With this data the user can determine the type of components such as capacitor and resistances that are needed for the real circuit in the remote laboratory session. 3.3.8 Remote Access to a Real Laboratory (on-site) and Local Access to a Virtual Laboratory This is very similar situation to the previous one, but in this case the virtual laboratory is also local; for instance, if the students of the previous situation use the stand-alone software OrCAD [98] on-site instead of using Partsim online. 3.4 COLLABORATIVE ROLES IN ONLINE LABORATORIES During the last 10 years the industry has developed interesting products to provide experimental environments to companies, universities and schools in topics such as: physics, chemistry, electronic systems among others. But most of them are limited to providing remote access to physical resources and are not concerned about user feedback nor how the information generated by user interactions could be useful to teachers and students in the learning processes. On the other hand, another common problem of remote laboratories is that multiple users cannot use the same resource at the same time. For instance, in the case of laboratories related with control systems, students commonly need to schedule an appointment to use the laboratory remotely in an individual mode, because the actuators cannot execute actions from different users at the same time. In contrast, in the case of using sensors the readings of a specific sensor can be broadcast to a group of concurrent users. Multiple users manipulating a laboratory experiment create risks in terms of security and safety for the laboratory equipment and facilities, for this, it is important to generate mechanisms to automate the assignment of roles and restrict the activities according the needs of each role. In a collaborative scheme, users must have specific roles which identify the type of activities that they can do, for example, only one of the members of the group can give instructions to the actuators, another member will have the job of monitoring the sensors, and so on. In the educational context, the roles may vary depending on the structure of the institution. Commonly defined roles are teacher, student, grader, lab assistant and administrator. It is also possible to give more than one role to one user, for example the teacher of the course can act as a teacher and/or as an administrator of the laboratory, as seen in Figure 3.4. The Online Lab Administrator manages the laboratory stations, interfaces, schedulers and all the RLMS functions, the Local Lab Administrator determines which experiments the students in the course sessions will be assigned. The Teacher requests access to the lab for the students in his class list. The Teacher role can be more specific to include the Instructor role, who monitors the progress of the students, grants extensions and determines final grades, and the Coordinator, who is the grader or lab assistant assigned to the Instructor, records student participation and lab completion and handles student questions. regarding the remote lab experiments or access. The student role reflects the constraint that the equipment of the laboratory can only be manipulated by one user at a time by defining more specific roles for students, such as: - Leader - responsible for coordinating all the requests and use of the experiment (resources, security, time, control, etc) - Implementer: responsible for codifying the instructions in the software platform - Executor: responsible for sending the instructions to the equipment - Recorder: responsible for monitoring and recording the results of the experiment Other roles can be defined according to the specific type of laboratory. ![Figure 3.4: Hierarchy of roles](image) ### 3.5 PROPOSED MODEL OF REMOTE LABORATORY INTEGRATED WITH VIRTUAL LEARNING ENVIRONMENTS Remote laboratories can be integrated with the virtual learning environments, such as Learning Management Systems (LMS) [99, 100], supported by the use of standards for educational technologies [101]. We proposed a model that integrates remote laboratories with virtual learning environments (VLE), for instance, a Learning Management Systems (LMS) [102]. In this architecture it is important to mention the use of LTI that allows the connection of external tools with learning systems, such as an LMS. Additionally, xAPI, also known as the Tin Can API, an e-learning software specification, is used to allow the tracking of users actions while using the learning systems. For each interaction a statement with the learning experience is recorded for later analysis. These two technologies are better described in the literature review chapter 2.3. 3.5.1 Proposed Remote Laboratory Layered Architecture The model proposed is a service-oriented architecture (SOA) with five layers. The first layer is the User Layer. It provides to users an interface to interact with the remote laboratories. The user layer includes interfaces for each role, such as administrators, teachers and students. The second layer, the Process Layer, includes the processes required for user management and those required for the remote laboratories management. Every process is composed of one or more services described in the next layer. The third layer is the Services Layer which includes atomic functions implemented to support the operation of the remote laboratories. The interaction of these services makes possible the accomplishment of a specific process. Examples of the services are: - In the case of the user management process: - Authenticate users - Validate the authorization rights - Open and close sessions - In the case of the remote lab management process: - Create a resource (remote laboratory) - Update a resource (remote laboratory) - Remove a resource (remote laboratory) In the case of the remote laboratory use process: - Check the schedule - Reserve the remote lab - Check the availability of resources The fourth layer is the Platform Level. This layer contains the operating system, application servers, APIs and additional software services to support the services and processes layers, see figure 3.5. ![Proposed online laboratory SOA general architecture](image) Figure 3.5: Proposed online laboratory SOA general architecture [102] The bottom layer, Infrastructure Layer, includes the data storage for lab resources, interactions and user’s data. This contains all the support for the databases, network connections and network devices. Additionally, it supports control and interface connections with the laboratory equipment. Finally, the architecture implements 3 orthogonal components which are security, communications and operational management. These are related with all the layers of the architecture. The main benefit of this layered architecture is that it allows making changes or upgrades to one layer without affecting the top layers. ### 3.5.2 Proposed Model to Integrate Remote Laboratory with a Virtual Learning Environment Figure 3.6 shows the proposed UML model illustrating how a learning environment, such as LMS, could be integrated to the remote laboratories infrastructure. ![Figure 3.6: Remote laboratory integrated to a virtual learning environment using educational standards](image) The model presented in Figure 3.6 has 4 components. The first one is the Remote Client component, which in this case defines the Users with their educational roles: the student, teachers and administrators. All of them should have their own credentials to access the system and should have different rights according to their role, this component also includes the LabInterface that allows the user to access the laboratories according to their role. The second component is the Virtual Learning Environment (VLE), which commonly is a Learning Management System (LMS), to support the Course content and Student Record through the Access Manager; and students' lab activities management through the LTI Connection providing access to remote labs that report back results through the xAPI statements stored in the LRS. The third component is the RLMS, which controls the processes related with the laboratories management: SessionManager, LabGallery, LabScheduler and LabResourceManager. Finally, the fourth component is the Remote Laboratory that includes the remote Lab Stations with their hardware equipment, administration, and communication interfaces with the RMLS. Each lab station consists of a controller and Equipment: that includes Actuators that users can control, Sensors that report values and Camera to provide visual feedback to the user. In this model, the access control is implemented using Role-Based Access Control (RBAC) having three main roles: teacher, student, and administrator. In the case of the teacher role, he is responsible for the administration of the course, and has the possibility to request and schedule resources (experiments) not only for individual students but for complete groups, and to enable resource access to the students. Administrators and teachers also can assign different roles to every member of a group of students to use one remote laboratory in a collaborative way within the scheduled class timeline window to connect and complete the lab activities. The students will have available the laboratory access inside a learning unit for their course within the LMS using LTI, and in this case, within a scheduled class meeting time. Access to the laboratory experiments should be configured previously by the teacher. During the session of experimentation with the laboratory, all important interactions (from the point of view of the teacher), will be stored in the Learner Record Store (LRS) system using xAPI statements. Students also can find in the same learning environment, the guide with instructions to perform the experiment (laboratory activities) and tools to make the report with the results of the experimentation process. In another variation with additional methods and details, the model can be extended to allow the teacher to assign the lab experiment, a slot of time for the lab access, a window of time for the lab to be completed, and also can allow the student to request the scheduling of the exact time of their lab experience. This second variation would be more appropriate for distance learning environment. 3.6 IEEE-1876 STANDARD FOR NETWORKED SMART LEARNING FOR ONLINE LABORATORIES The IEEE-1876 Standard for Networked Smart Learning for Online Laboratories defines “Methods for storing, retrieving, and accessing online laboratories as smart and interactive learning objects. For this purpose, the first level of the standard offers any online laboratory (lab) as a service (Lab as a Service or LaaS). The standard also defines methods for integrating online laboratories as smart learning objects in learning environments and learning object repositories” [15]. Figure 3.7 shows the proposed standard layers. The first layer in the bottom part of the figure is the hardware and software (layer #0), that supports the online laboratory operations. Second, Lab as Service (layer #1) that defines the wrapping of the laboratory functionalities as services (LaaS). Third, is the Laboratory learning Object (layer #2) that defines all the metadata necessary for the integration with educational platforms described in layer #3. Two transversal layers are defined in this model, Learning Traces & Outcomes layer, manages all the tracking and system logs as support for security and experiences reports used for future learning analytics processes. An Authentication and Authorization layer validates the identity of users and their permissions over accessing protected objects across the system. Our contribution in the standard development has been mainly focused on the definition of the layer #1 of standardization Lab as a Service (LaaS), specially in the definition of recommended functionalities as well, as the recommended practices for using online labs as learning objects, defining pedagogical support resources and possibilities for Learning analytics. Additional contributions, were done in the definition of the authentication and authorization implementation schemes, defining a use cases structure that defines pedagogical aspects and basic flow of events (interfaces between layers). Finally, we contributed with one of the (informative) use cases presented in the standard draft about the design hybrid labs. 3.7 CHAPTER SUMMARY This chapter emphasized the need for establishing models for educational uses of the remote laboratories and its compatibility with learning environments. We defined different user roles for the remote laboratories, as a strategy to enable collaboration during the remote laboratory experimentation. Additionally, we presented detailed examples of hybrid configurations of online laboratories that will be supported by the implemented model of Smart Adaptive Remote Laboratory (SARL) presented in chapter 5. Finally, we proposed a model classifying the different types of laboratories in Figure 3.2, and we extended the basic model presented in Figure 3.1 with a model that includes the learning environment, and different user laboratory access roles in Figure 3.6. CHAPTER 4 REMOTE LABORATORY MANAGEMENT SYSTEM (RLMS) Current online laboratory systems implementations do not follow any software design pattern or reference architecture for their design. For these reasons, it is important to define general models and architectures that can be used as templates for the implementation of these laboratory systems. This section presents the definition and pattern for the Remote Laboratory Management System (RLMS) and its integration with an online laboratory system. Remote laboratories are now being implemented by companies and educational institutions. Online education has problems in providing hands-on laboratory experience to students. Online laboratories have become an alternative for them. This poses a challenge for online laboratory providers to offer high quality services in terms of accessibility, reliability, adaptability, scalability, and security, among others. Most of the current developments on online laboratories were not implemented using software engineering standards. Software and hardware architectures of online laboratories vary according to the type of laboratory implementation. The taxonomy of online laboratories includes virtual, remote and mobile laboratories and hybrid configurations [7]. In the educational context, online laboratories are commonly used in topics such as: control systems, digital electronics, physics, medicine, biology, among others. Remote laboratories, particularly, can be classified as synchronous or asynchronous. Synchronous when the interaction occurs in real time, and asynchronous when the user sends commands and the lab executes them in batch mode [105] or deferred labs when the result are pre-recorded and shown to the user according to the parameters selected. One of the problems identified in online laboratory architectures is the lack of common knowledge for its design. General models that define the common interactions will ease the design and implementation of these systems. ![General use case for the remote laboratories platform](image) Figure 4.1: General use case for the remote laboratories platform ### 4.1 RLMS BASIC USE CASES Figure 4.1 describes the basic operations granted to different SARL system and VLE roles such as: students, teachers and administrators during the interaction with a remote laboratories platform integrated with the LMS or any other virtual learning environment (VLE). This subsection describes operations such as user sessions, authentication and authorization, scheduling, user and resources management, learning objects integration, results management and more important the student interaction process with the remote laboratory. The laboratory experiments connected to the RLMS use xAPI to report information about the students results, and general information about the use and the state of the laboratories. The following diagrams show the details of each use case, they include operations from the point of view of students, teachers and administrators. The Login use case, in which the user validates the user credentials and authenticates and authorizes according to the user role and initializes a lab session, see Figure 4.2. ![Login Use Case Diagram](image) Figure 4.2: Use case for User Login The Access Lab Gallery use case, allows the student to see all the laboratories available assigned by the teacher and state of progress on previously scheduled laboratories, see Figure 4.3. The Perform Lab Experiment use case, allows the student to interact with the selected online laboratory through the controls provided by the adaptive interface and complete the lab activities and submit lab results, see Figure 4.4. The View Lab Results use case, allows students to see all the results of their online laboratories and allows teachers to see individual as well as aggregated results per student or class. Additionally, it provides adapted reports according to the rights of each role. These results will be available from the LMS and will be integrated with the grade book of the course, see Figure 4.5. The Assign Lab use case, allows the teacher to select or adapt a lab learning object for a lab, reserve specific lab(s) during specific periods of time in which a group of students can perform the laboratory activities and publish the lab in the lab gallery of the class. During these periods of time the scheduling function is not available for users from another groups see Figure 4.6. The Schedule Lab use case allow the user to schedule an appointment to use an online laboratory. Once the user permissions are validated, the system will check the availability and reserve the requested remote experiment, see Figure 4.7. The Create LLO use case permits the teacher to improve the student learning experience by wrapping the remote lab into a laboratory learning objects (LLO) that can include for example: original content, documentation, animations, videos or simulations, as well as the rubric to be used to evaluate the lab, see Figure 4.8. The Evaluate Student Lab Results use case provides teachers tools for the lab evaluation process. The teacher can integrate rubrics for the remote laboratory evaluation to automatically master competency: pass-fail, letter grade, percentage or specific points for a grade. To evaluate the student results during the experimentation process, the platform provides an interface to view results, post the grades to the LMS or VLE and to give feedback to the students, see Figure 4.9. Figure 4.9: Use case for Evaluate Student Lab Results In the Manage Users use case, the teacher, administrators or SARL or VLE systems can add, update or delete users and their roles in a class or individually, see Figure 4.10. Figure 4.10: Use case for Manage Users In the Manage Lab Resources use case, the administrator can manage the remote experiments available in the platform, add resources, edit the experiments configuration of a specific experiment or even remove one of the experiments, see Figure 4.11. Figure 4.11: Use case for Manage Lab Resources In the Record Lab Results use case, the SARL-RLMS system can store the laboratory results by creating a xAPI statement and later sending it to the LRS. These results can be accessed by the teacher or the student through the reports interface, see Figure 4.12. Figure 4.12: Use case for Record Lab Results In the Access Student Data use case, the SARL-RLMS system retrieves the student profile from the VLE and also from the SARL system, see Figure 4.13. ![Figure 4.13: Use case for Access Student Data](image) The Generate Smart Laboratory Learning Object (SLLO) use case, is called by the RLMS system. This uses the student profile to take information about the student level or disabilities, and automatically assign an adapted view of the lab interface. During the interaction with the lab, the students can have more or less controls of the equipment according with his level of knowledge, see Figure 4.14. ![Figure 4.14: Use case Generate Adaptive Remote Lab Interface](image) 4.2 REMOTE LABORATORY MANAGEMENT SYSTEM (RLMS) PATTERN “A pattern describes a problem which occurs over and over again in our environment, and then describes the core solution to that problem, in such a way that you can use the solution a million times over, without ever doing it the same way twice” [106]. This definition has been applied in the context of software design in which a pattern is a general solution to a common problem that can be reused. Software developers can use design pattern as a guide of software design best practices presented here. The pattern of Remote Laboratory Management Systems went shepherding and review before being accepted for publication in the Proceedings of the 2018 Latin American Conference on Pattern Languages of Programs (PLoP), indexed in the ACM Digital Library [107], it is now part of the PLoP repository of best practices. The pattern presented in this section uses the standard pattern template of [110] that includes: Name, Introduction, Also Known As (AKA), Intent, Example, Context, Problem, Solution, Structure, Dynamics, Known Uses, Implementation, Consequences and Example Resolved. The expected audience includes online laboratory designers and RLMSs developers. Figure 4.15 presents the packages diagram of the proposed SARL system that includes the RLMS package as one of its modules. Figure 4.15: RLMS as module of the SARL System 4.2.1 Name Remote Laboratory Management System (RLMS) Pattern. 4.2.2 Introduction The Smart Adaptive Remote Laboratory (SARL) provides to Users individualized experiences of the laboratory experiments. The student experience is created in the form of Smart Laboratory-based Learning Objects (SLLO) defined based on the previous definition of the Laboratory-based Learning Object (LLO) [108] and the one proposed in the Lab4CE [109]. The SLLO includes lab activities, assessment information, student information, and information about the access to the remote laboratory experiments. These learning objects are managed by the Remote Laboratory Management System (RLMS). In the SARL architecture, the RLMS can be integrated to a Virtual Learning Environment (VLE), that could be a Content Management System (CMS), Learning Management System (LMS), Actionable Data Book (ADB) or any other type of VLE. The VLE system will share the user information and roles with the RLMS system. This integration is possible through the use of standard technologies such as Learning Tools Interoperability (LTI) or through the implementation of web services, for example RESTful web services. LTI module provides session information to the RLMS session manager and allows the correct user laboratory interface visualization inside the VLE. The experience API (xAPI) module is responsible to inform about on the user interaction with the system and to report information to the Learning Analytics module. Reliability Support module detects failures and reports them to the lab manager with possible causes and solutions. The Smart Adapter retrieves the laboratory activities and assessment content from the VLE and connect them with one or more Online Laboratory Experiment to create SLLOs. 4.2.3 AKA The Remote Laboratory Management System can be known as Remote Laboratory Broker, Remote Laboratory System. 4.2.4 Intent A RLMS is a system that manages online laboratory experiments. It provides functions such as: authentication, authorization, scheduling, lab resources management and optionally laboratory authoring tools, remote measurement tools, and management of the laboratory experiments activities. 4.2.5 Example An educational institution offers its students a set of laboratory experiments. One of the students needs to have access to a different type of experiment that is not available in the school. He found another institution that has an online experiment available in their laboratory facilities. But this online laboratory experiment will need to be integrated and customized for its use. Additional challenges are having a feature to identify the remote users using the laboratory experiment and also for scheduling appointment to access the lab experiment, giving the students specific slots of time in which this lab will be available for external access. Finally, a mechanism is required for reporting to the institution that owns the laboratory experiment, information about the users and reporting back to the teacher the results of the student’s laboratory activities. 4.2.6 Context Implementations of online laboratory systems have been increasing rapidly during the last decade. Online education programs need to provide hands-on experience to their online students. In order to provide support for a large number of users and a correct management of the laboratory experiments, it is important to have a software platform that centralizes the access and the connections to remote experiments and reports results. Educational and industrial distributed laboratory facilities make use of RLMSs for the management of their remote laboratories and for the integration of external laboratory resources to provide an online laboratory environment. Harward [47] defined a Laboratory Service Broker that integrates distributed experiments. Additionally, Bin [111] defined a four layer architecture system that offered services such as: remote monitoring and control software for the routine laboratory management, online experiment booking, remote visual experiment, instruction and evaluation. ### 4.2.7 Problem The problem is how to provide services of online laboratories to a set of distributed users, having a system that considers aspects such as: accessibility, concurrency, portability, reliability, scalability, adaptability and, security and privacy. The solution to these problems is affected by the following forces: - Accessibility The remote laboratories should support easy access to let users perform a set of available experiments. - Concurrency The remote laboratories experiments should allow concurrent users to maximize the number of users attended during an specific period of time on each laboratory station. - Portability Portability of the remote laboratory will allow transferring a lab from one system to another, where each implementation is required to follow the definitions of the host RLMS. • Reliability Due to the extensive use of software and hardware in remote laboratory systems, it is important to have reliable labs to guarantee the availability labs and consistency of the results. • Scalability When the number of users increases, the system should be able to be expanded without affecting the quality of the service in terms of usability and performance. • Adaptability Remote laboratories should have the ability to be updated or modified by users that have permissions. • Security, Safety and Privacy Online laboratory system may implement modules to support security and privacy. This can help to keep protected the people and the laboratory equipment, facilities, as well as the users accounts and personal information. ### 4.2.8 Solution The user has access to the online laboratory experiments through the use of the RLMS system, that offers support for laboratory experiments management. ### 4.2.9 Structure The RLMS is composed of: the user Authenticator, based on [112], that validates the user identity. The Authorizer based on the authorization pattern proposed by [112], that validates if the authenticated user has the credentials to access certain sections of the system, in this case specific modules according to the role in the system (Administrator, Student, The Security Logger/Auditor proposed by [112] records all the activities and actions that are relevant for security and that could affect the operation of the system. The SessionManager, based on the Session pattern proposed by [112], is responsible for providing the environment where rights of the user are controlled, for example, while the user session is active in the system, the user can access the resources available for his role. The SessionManager also implements a mechanism to close the session when the user requests or when the user is inactive for a specific period of time. The LabScheduler manages the user booked sessions with the laboratory experiments. The LabResourceManager is a critical component that controls the availability of the laboratory stations, activities and laboratory experiments. This module has to be available for the LabExperimentAuthoring component in which the teacher creates, compose or edit laboratory experiments that are stored in the LabResourceManager and that can later be posted as an available resource in the LabGallery. Figure 4.16 presents the Remote Laboratory Management System pattern. ![Figure 4.16: Remote Laboratory Management System (RLMS) pattern](image) ### 4.2.10 Dynamics We present details of two use cases that describe some of the dynamic aspects of the pattern. Figure 4.17 shows the sequence diagram of the use case for a teacher or administrator creating a new laboratory experiment (LLO), and Figure 4.18 presents the sequence diagram of the use case for a user, with the student role, accessing a laboratory experiment available in his laboratory gallery. Use Case: Create a laboratory experiment Summary: An actor with a role of teacher or lab administrator creates a laboratory experiment selecting lab station(s) and attaching to it one or more laboratory activities and educational materials Actors: Person (Role teacher or lab administrator) Pre-condition: The actor has the rights to access the system with the teacher or lab administrator role Description: 1. The actor accesses the system using his user name and password 2. The actor requests to create a laboratory experiment in the LabExperimentAuthoring module 3. The LabExperimentAuthoring asks to the Authorizer for access permission with the user id and role 4. If the actor is authorized, he can access LabExperimentAuthoring component 5. The actor starts with the first step describing the activity(s) 6. The actor selects the laboratory station(s) from the available resources in the LabResourceManager 7. The actor finalizes the process including administrative information (topic, activity duration, course, difficulty level, objectives and rubrics) 8. The actor request to the LabExperimentAuthoring to save the laboratory experiment as a Laboratory Learning (LLO) 9. LabExperimentAuthoring stores the LLO in the LabResourceManager as one of the available resources Post-condition: If the resource was created correctly, it will be available in the LabResourceManager. Also, the teacher can either create a new laboratory resource or edit an existing resource. Figure 4.17: Sequence diagram for use case create a laboratory experiment Use Case: Access a laboratory experiment Summary: An actor with a role of student requests access to a laboratory experiment that he or she has already scheduled. Actors: Person (Role Student) Pre-condition: The actor has the rights to access the system with the student role and had an appointment scheduled for the lab. Description: 1. The actor requests access to the laboratory experiment from the LabGallery. 2. The LabGallery validates with the LabScheduler if the actor has an active appointment. 3. If the appointment is scheduled, a laboratory connection request is sent to the LabResourceManager. 4. The LabResourceManager validates with the Authorizer if the actor role has permission to access the laboratory experiment. 5. The user access to the laboratory is granted. Post-condition: If the actor got access to the lab he can start performing the lab experiment, if not, he has to schedule an appointment for the same or other existing lab resource. Other related use cases include publish a laboratory experiment in the gallery, edit an existing laboratory experiment, schedule a lab appointment, etc. 4.2.11 Related Patterns - The Authenticator pattern [112] defines the identity verification of a subject trying to access the system. The use of a credential such as user name and password is one of the authentication protocols available. - Authorization pattern [112] defines who is authorized to access some specific resource in the system. - Role-Based Access Control pattern [112] defines the structure of roles for accessing a protected object. - Security Logger/Auditor pattern [112] defines the mechanism for tracking users actions, this helps to determine what the user did and when. - Book The Resource pattern [113] describes the management of resources reservation. - Reservation and Use of Reusable Entities pattern [114] describes how to make a reservation for a reusable entity and its subsequent use. Known Uses Online laboratory provider companies, educational institutions and international collaboration projects have developed online laboratory systems and have implemented their particular version of the RLMS. Some examples are: - ISA [47]: The iLab Shared Architecture (ISA) is composed of three components. First is the computer that controls the experimental setup. The second component is the user interface. Finally, the service broker that acts as an RLMS linking the other two components and scheduling the access to different iLab equipment around the world. • LiLa [63]: Library of Labs (LiLa) is an initiative of eight European universities and three companies, which aims to develop an integrated platform for remote experiments and virtual laboratories. LiLa project implements RLMS functions such as: access control and booking systems for accessing either virtual or remote laboratories. • LabShare [66]: LabShare project from the University of Technology Sydney (UTS) has developed its online laboratory architecture, during the last decade. Their centralized system uses the RLMS to manage the access to their laboratory network to other Australian universities. • VISIR [48]: Virtual Instruments Systems In Reality (VISIR) was developed by Blekinge Institute of Technology in Sweden (BTH). VISIR is focused in online laboratories specifically in areas of electrical and electronics engineering, including hybrid, virtual, and remote experiments. VISIR experiments have been integrated and replicated in different RLMSs in several countries around the world. • WebLab-Deusto [49]: This project has evolved during the last two decades, starting in early 2000’s, developing teaching complex programmable logic devices (CPLDs) and field-programmable gate array (FPGAs). This system supports multiple laboratories in a distributed network supported by an RLMS. • REMLABNET [83]: REMLABNET is an open RLMS system available for universities and secondary research-based teaching schools. 4.2.12 Implementation The defined RLMS components can be applied in systems for either virtual, remote or hybrid laboratories, considering the remote and hybrid categories the more challenging categories due to the combination of software and hardware components, creating problems of synchronization and consistency of the laboratories data. Implementations of the RLMS should take into account the restrictions of remote laboratories for managing concurrent users. According to the type of online resource, it is possible to improve the availability and scalability of the system, managing different approaches for the user's access. For instance, for measurement tasks that do not require too much time to be executed, a queuing system can be used instead of a traditional appointments scheduling system. Features of the RLMS can be applied in systems implementing remote control of hardware. Some examples are: tele-operation of robots or machinery for medicine, science, military or space exploration, as well as Internet of Things (IoT) devices that make extensive use of real-time tele-operation of hardware. 4.2.13 Consequences Advantages This pattern offers the following advantages. - Accessibility The user can discover and access the laboratory experiments and activities through the internet. - Concurrency The RLMS can facilitate the user's load distribution and management. Through the scheduler module, the RLMS can control the distribution of the hardware load. It can offer different types of non-real-time interactions such as: batch executions or using pre-recorded videos of the laboratory experiments. Additionally, it can manage concurrent users in laboratory experiments with short execution time not requiring a dedicated session and using a queue mechanism to control the access. • Portability Having RLMSs compatible with laboratory learning objects facilitates the portability of those objects among different RLMS systems. • Reliability The RLMS can decide to turn off a specific instance of the lab when it is required, to ensure the correct management of the resources and the reliability of the laboratory experiences. LabLog and alerts from users can assist the lab manager in maintaining the lab in a timely fashion. • Scalability The RLMS can manage resources in different locations independently, facilitating the addition of more laboratory stations and activities without losing performance, accountability and control of the available resources. • Adaptability Adaptability in terms of functionality can be provided by the RLMS using a laboratory experiment authoring module that allows the administrators to create, modify and update laboratory experiments. • Security, Safety and Privacy Through users role validation by the authorizer module, the RLMS can control user access to some resources, preventing for example students accessing the laboratory resource manager. Additionally features such as: encryption and detection of security anomalies in the system (DoS and DDos attacks, malicious code insertion, Databases code injection, etc). Unsafe conditions can be controlled or monitored by the control settings of the system. Students need to know lab safety rules when conducting remote labs. By integrating to the LMS a single sign on and the use of institutional id, the student information is maintained by the institution according to its rules and laws. Liabilities Four major liabilities of this pattern include: cost, maintenance, training and security. - Ensuring the availability, concurrency of users and scalability of an Online Laboratory infrastructure has a big cost, for instance, the deployment of mirror laboratory stations that can supply the user demands, as well as the costs related with servers, network devices and, lab administrators that can guarantee the good performance of the system. - Providers have to commit to keep the online laboratories available in the long term, running inspections of the equipment periodically. Implementing maintenance procedures that do not affect the current operation of the system. - Teachers and other staff from the educational institution will need to be trained to develop a set of skills in terms of use of the laboratory authoring interfaces and for accessing and managing the reports. - Security vulnerabilities are a concern due to the openness of the system. Allowing users (students and teacher) to access the laboratory interfaces from home poses challenges in terms of the equipment surveillance and protection. This may require that some online laboratories be accessible only when personnel from the institutions are available to attend any emergency or abnormal situation. 4.2.14 Example Resolved The educational institution has implemented the online laboratory system including the RLMS. This has simplified the management tasks for the lab administrator, having now information about the current state of the labs and its usage reports to proactively replace components before their mean time to failure. Teachers now have the possibility of creating and combining different laboratory activities with different laboratory stations and educational materials. Security, safety and privacy has also improved by the inclusion of role-based access control RBAC and integration with the institutional LMS. 4.3 CHAPTER SUMMARY Advances in technology and standards under development have greatly helped with the growth and development of educational institution infrastructures. Online educational programs are also growing in number, but there are still issues for classes that require development of hands-on experimentation skills for their students. Online laboratories can help to solve the issue of acquisition of hands on experience for distance students. The challenge is to develop a system that it is reliable, scalable, adaptable, and secure. This is where the process of software engineering becomes important, helping in the definition of a set of standard models and patterns for these type of systems, that will be helpful for future implementations. More robust online laboratory systems will in the near future provide interfaces that support different types of connections and devices, compatibility among providers technology, mobile hybrid online laboratories that mix virtual and real components, distributed laboratories infrastructures and lastly, a stronger integration with education virtual learning environments. Security, safety and privacy aspects are not commonly implemented in online laboratory systems, this creates risks for users and also for the laboratory facilities. In order to improve this situation, security controls should be defined at the design stage of RLMSs or laboratory experiments. Finally, to increase the security of the laboratory systems, it is important to implement security patterns at early stages of its development. CHAPTER 5 SMART ADAPTIVE REMOTE LABORATORIES (SARL) Smart Adaptive Remote laboratory (SARL) concept proposed is based on previous work that have shown how laboratory web interfaces users can create or adjust the laboratory interface to the services needed [31, 34, 35]. In SARL, the system can provide the user an individualized experience, after processing the user information stored in the VLE along with wrapping the educational content and the remote laboratories with the adapted interface. Everything is wrapped in a Smart Laboratory Learning Object (SLLO) defined specifically for laboratory experiences. In this sense, different students will have access to different activities that, in some cases, can use the same laboratory experiments exhibiting different levels of complexity in their interactions and requiring different levels of knowledge for its operation. An example of this is a skilled student using a more challenging experiment and activities, while less skilled students will see a simpler version of the experiment with different activities that evaluate more basic concepts. The VLE provides the academic content and the assessment component, providing a complete learning experience when integrating to SARL. The results of the experiments are sent back to the VLE to update the students academic information. Smart components can be offered in online laboratories by using educational standards. For instance, through the use of technologies such xAPI, it is possible to inform the remote laboratory of the mastery level of the student and the complexity of the experiment. Then, the laboratory system can decide when to show or hide some of the controls, restricting the operation of part of the system or disabling the option of configuring some others. In this way, students can start using a simplified version of the remote laboratories experiment based on the difficulty level and their knowledge. As their knowledge and mastery level increase, the remote laboratory system or the teacher can turn on more controls, increasing the complexity of the experiment. Information must flow in both directions, from the student profile to the remote laboratory and vice versa, keeping updated the student level and the remote laboratory interface used. The interest of this part of the research was to extend remote laboratories interoperability by integrating the architecture proposed by the IEEE-1876 Networked Smart Learning for Online Laboratories Standard [15] and adding a smart component through the integration of smart adaptive interfaces. 5.1 SMART ADAPTIVE REMOTE LABORATORY ARCHITECTURE The proposed Smart Adaptive Remote Laboratory (SARL) [103] uses a strategy in which the remote laboratory is aware of the user information, offering the necessary tools to allow the remote laboratories to gather information from the virtual learning environment, information such as: the student mastery level in certain topic, any required disability accommodations, the current level of progress in the course and the accumulated experience with that specific experiment. Based on this information and the values of the variables of the lab defined by the teacher, SARL can adapt the activities and complexity of the experiment. For this purpose, the laboratory interface asks the student to do specific activities and will change the controls, restricting the access to some commands or blocking the choice of configuring others. In this way, students can start using a simplified version of the remote laboratories experiment based on the difficulty level and their knowledge. With the increase of their knowledge, experience and mastery level, the remote laboratory will turn on more controls, increasing the complexity of the experiment. Figure 5.1 shows the SARL layered architecture, integrating both the VLE and the RLMS to allow the adaptation of interfaces (view 1, view 2... view n). Each interface is generated based on the student information retrieved from the VLE or stored in the same remote laboratory management system. This architecture follows the defined architecture Figure 5.1: Different user interfaces and the integration of Smart Adaptive Remote Laboratories (SARL) with the Virtual Learning Environments (VLE) [104] Figure 5.2 presents the high-level design of the SARL system. The diagram components are color coded as follows: - Blue: Users. - Red: External APIs (xAPI, LTI) - Yellow: VLE (LMS, ADB, E-Books) - Purple: SARL RLMS components - Gray: SARL smart components - Green: Remote laboratory station components 5.2 ADAPTABILITY OF INTERFACES FOR LABORATORIES INTEGRATED WITH VLES This section presents a SARL remote laboratory developed as an example of the possibilities brought by the adaptability of user interfaces feature when is used with a laboratory connected to a VLE. In our prototype implementation, the LMS Moodle was used, an open source platform that allows the configuration of the LTI connection between the RLMS and the VLE, the teacher can easily integrate the labs in the course and define the parameters for the Smart Adapter directly from the LMS. Figure 5.3 and 5.4 show adapted views for the same experiment. Two students (A and B) see different versions of the same remote experiment according to their own profile information. Figure 5.3: SARL - Remote lab for a LEDs experiment adapted to student A Figure 5.4: SARL - Remote lab for a LEDs experiment adapted to student B Student A is asked to do two activities, in the first one he/she has to write a code in Python Language to make an Light Emitting Diode (LED) blink, and the second requires programming the LEDs to do a sequence red, yellow and green during ten times also in Python. The system can change the interface to perform the same activities using a block-based language such as Blockly (see section 7.4). In the case of the student B, the activity asks the student to create a dimmer light sequence. To accomplish this, the student needs to know the concept of Pulse Width Modulation (PWM), the student must write also a program using Python language, the code is saved, validated and executed in the remote experiment in real time. Smart behavior of the SARL system is accomplished when the system offers flexible and configurable laboratories interfaces. It offers an architecture that supports automatic composition of laboratory resources based on the user level and course content. Figure 5.5 presents a process diagram that describes the steps proposed in the SARL architecture to support this feature. ![Figure 5.5: SARL - Smart Adapter proposed process](image) 5.3 RELIABILITY MODELS OF ONLINE LABORATORIES There are no reference models for the evaluation of the hardware and software components of the online laboratories. An assessment model that collects and measures different variables during the operation of online laboratory systems can help developers and administrators to incorporate the best practices that mitigate the impact on the overall system when some problem occurs. Due to the significant differences in the design and implementation of virtual, remote and hybrid laboratories, the model proposed needs to take into account elements related to distributed web applications, such as cloud servers, data bases and mobile devices interfaces and quality of connectivity; and also for remote and hybrid configurations, the model should also include analysis and evaluation of the hardware components of the laboratory experiments. 5.3.1 Reliability Assessment for Online Laboratories Identification of Failures, Causes and Countermeasures for Online laboratories To assess the online laboratories (the virtual, remote or hybrid laboratories), we assume an architecture of distributed experiments connected to a centralized Remote Laboratory Management System (RLMS). The users in this scenario are also distributed and have access through internet. Remote laboratories use components, such as actuators, sensors, controllers, processors, storage and supportive components, to articulate the remote experiment. A sensor is a device that can measure changes in the values of some characteristics, such as temperature, pressure, humidity, light, movement, or smoke, among others. Some examples are: thermometers, cameras, light sensors, proximity sensors, touch sensors. Actuators perform actions that affects the environment. They can be hydraulic, pneumatic, electrical or mechanical systems; some examples are: pistons valves, electric motors, LEDs, displays, among others. Controllers, processors and storage devices include memory modules, micro-controllers, microprocessors and all the communication modules such as: WIFI devices or Ethernet cards. Supportive components help the implementation of the experiments. They can be strips, cables, resistors, diodes, logic gates or any other objects necessary for the experiment operation. Virtual laboratories are programmed in different languages such as: Java, JSP (Java Server Pages), C#, C++, ASP.net, MatLAB, LabView or HTML 5. The elements that can be evaluated to determine the quality and the reliability of the virtual laboratory are similar to those defined to evaluate quality of software systems: stability, compatibility, interoperability, among others [115]. Additional to the failures reviewed in Chapter 2, online laboratory systems failures can be classified into those failures related, not with the lab server, but with the distributed lab experiments hardware or software; it includes user interface failures, hardware failures, communication failures and, finally, software failures. An online laboratory system is composed of hardware and software components that provide determined services. A failure happens when the system cannot perform one task or a group of tasks. The causes can be a software problem, communication delay or a physical fault, sometimes leading the system to a state of error or inconsistency. Failure recovery is a process with the goal of correcting errors and moving the system back to a normal or non-error state [116]. 5.3.2 Design of a Rule-Based System to Support Failure Detection and Recovery The system to manage failures and recovery proposed is a rule-based system, which, in this case, uses as facts the most common failures and most common failure causes. Also, a periodical log or report of the frequency of occurrence of a specific failure with its specific cause or causes is used to generate a more dynamic and accurate system. Another component of the rule-based system is the set of rules that validate each failure with a specific set of causes; the rule-based system makes inferences based on the validation of the rules. Table 5.1: Common Failures Online Laboratory Systems \| ID \| A. Graphical User Interface \| B. Online Experiment Components \| C. RLMS, Admin Software, Hardware Component \| D. Academic Systems LMS (Or Any Other External Tool) \| E. Communications \| \|----\|----------------------------\|---------------------------------\|---------------------------------------------\|--------------------------------------------------\|-------------------\| \| 1 \| User cannot see all or parts of the online lab experiment \| Experiment is missing all or part of the user commands \| Server is not listing correctly the available online labs \| Lab activities were not available in the LMS \| Communication problems between the online laboratory and the server \| \| 2 \| User cannot access or view all or parts of online lab activities \| Sensor is not reading or giving wrong values (error measurements) \| Server is not scheduling session \| User results were not uploaded to the LMS \| Communication problems between the user and the server \| \| 3 \| Online lab is totally or partially unresponsive from the user interface (blocked or slow) \| Actuator is not executing actions or is receiving wrong values \| Server is not managing the user session \| User profile was not retrieved from the LMS \| Communication problems between the server and the LMS or external tool \| \| 4 \| User does not receive all or part of the results from the online Lab Learning Object, but still responsive \| Online lab Experiment controller is not reading or sending signals through the ports \| Server is not logging in users (authentication) \| LMS does not allow the visualization of the online Lab Learning Object interface \| Communication problems between the User and the LMS or external tool \| \| 5 \| User cannot send all or part of a command to the online lab, but still responsive \| Online lab controller is not sending data to the server \| Server is not storing log of the lab sessions \| The external tool does send information to the server \| \| \| 6 \| User cannot see or is having problems with the quality of the video or audio streaming \| Online lab supportive components are not working \| \| \| \| The table 5.1 shows the most common failures for these type of systems. This information has been processed using as input the software and hardware common failures reported for this type of system [117–119], and information retrieved from SARL remote laboratory demonstrations [120] that have been tested during a period of one year. The laboratory administrator reported several failures mostly related with connectivity, memory issues, camera problems, among others. Table 5.2 shows the most common causes of failure, and countermeasures for these types of failures. \| # \| Cause \| Countermeasure \| Failure ID \| \|---\|----------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|------------\| \| 1 \| Client terminal browser does not support lab interface language (java, flash etc) \| Verify the plugins in the browser, check permission in the browser, alert user \| A1, A2, A3, A6 \| \| 2 \| Security configuration of the browser blocked the components of the online lab \| Check security restrictions, alert user and local administrator \| A1, A2, A3, A6 \| \| 3 \| Terminal or display does not meet the minimum hardware requirements to run the lab \| Improve the resources in the user terminal, alert users \| A1, A2, A3, A6 \| \| 4 \| Communication channel lost in the server \| Verify the network configuration in the server, verify with service provider ISP if the internet service is working properly, activate the service with a backup internet connection (if available), use the backup connection to activate alert system \| A1, A2, A3, A4, A5, A6, C1, C4, C5, D4, E1, E2, E3 \| \| 5 \| Communication channel lost in the user terminal \| Save the current session status and wait while the session period is active \| A1, A2, A3, A4, A5, A6, E2, E4 \| \| 6 \| Communication channel lost in the online lab (virtual, remote or hybrid) \| Notify the user, send a signal to reboot the experiment, if it does not start again then set alert for the administrator of the lab \| A1, A2, A3, A4, A5, A6, B1, B2, B3, E1 \| \| 7 \| Communication channel lost in the LMS or external tool \| Save results in the server until it is possible to make updates in the LMS. If the activity could not load in the online lab, make the online laboratory unavailable in the LMS until the communication is re-established and set an alert to the LMS administrator and create a log report using xAPI statement \| A2, C4, D1, D2, D3, D5, E3, E4 \| \| 8 \| Power issues in the server \| Have a backup power source for the server, send an alert to the user of the problem and create a log report using xAPI statement \| A1, A2, A3, A4, A5, A6, B1, B5, C1, C2, C3, C4, C5, D4, E1, E2, E3 \| \| 9 \| Power issues in the client \| Close the user session, send report to the server, save the last state of the user session \| A1, A2, A3, A4, A5, A6, E2 \| \| 10\| Power issues in the online lab (virtual, remote or hybrid) \| Isolate the lab experiment until the power is back, disable all the online Lab Learning Objects that require access to that experiment, notify the user about the problem, set an alert for the experiment administrator and create a log report using xAPI statement \| A1, A3, A4, A5, A6, B1, B2, B3, B4, B5, E1 \| \| 11\| Sensor damaged during the use of the remote laboratory \| Isolate the sensor, notify the user about the problem, if experiment became not usable, set an alert for the experiment administrator and create a log report using xAPI statement \| B2 \| \| 12\| Actuator damaged during the use of the remote laboratory \| Isolate the actuator, if experiment became not usable, notify the user about the problem, set an alert for the experiment administrator and create a log report using xAPI statement \| B3 \| \| 13\| Supportive components damaged during the use of the online laboratory \| Isolate the supportive components and notify the user about the problem, if experiment became not usable, set an alert for the experiment administrator and create a log report using xAPI statement \| A6, B6 \| \| 14\| Actuators is receiving values out of range \| Run a test with known values to determine if there is a problem with the actuator or if the values have been changed for an external component, if experiment became not usable, alert user and administrators and create a log report using xAPI statement \| B3 \| \| 15\| Controllers, memory and storage, damaged before or during the use of the remote laboratory \| Run a test for each of the components and if necessary, isolate the experiments connected to that specific controller, notify the user about the problem and set an alert for the experiment administrator and create a log report using xAPI statement \| A1, A3, A4, A5, A6, B1, B2, B3, B4, B5 \| \| 16\| Defect Sensor in the remote laboratory \| Isolate the experiment and notify the user about the problem, set an alert for the experiment administrator and create a log report using xAPI statement \| B2 \| \| 17\| Defect Actuator in the remote laboratory \| Isolate the experiment, notify the user about the problem, set an alert for the experiment administrator and create a log report using xAPI statement \| B3 \| \| 18\| The user has a slow internet connection speed \| Notify the user and create a log record in the server \| A1, A3, A4, A5, A6, B1, E2, E4 \| \| 19\| Interference caused by an external component \| Identify the component, notify the administrator responsible of the operation of the external component \| B2, B3 \| \| 20\| User does not get authorization rights \| Validate user credential against the LMS, set and alert for the online lab administrator, local administrator and teacher \| A1, A2, D1, D4 \| \| 21\| Problems in the software interface of the online lab \| Set an alert for the online lab administrator, after the severity of the problem is determined, disable the online lab according to the admin report \| A1, A2, A3, A6 \| \| 22\| Problems in the software for the online lab controller \| Set an alert for the online lab administrator, after the severity of the problem is determined, disable the online lab according to the admin report \| A1, A3, A4, A5, A6, B1, B2, B3, B4, B5, E1 \| \| 23\| Problems in the software for the data storage of the online lab (traces of results xAPI and admin data) \| Set an alert for the online lab administrator, after the severity of the problem is determined, disable the online lab according to the admin report \| C5, D2, D5 \| \| 24\| Problems in the software of the administrative modules of the server (user, lab repository, scheduler, communications, etc) \| Set an alert for the server administrator, after the severity of the problem is determined, restore the software to a previous version only if needed \| C1, C2, C3, C4, C5, D1, D2, D3, D4, E1, E2, E3 \| \| 25\| Streaming service down in the online lab \| Restart streaming service of the online lab, notify the online lab administrator \| A1, A6 \| \| 26\| Light is off or inadequate at the remote lab \| Notify the online lab administrator \| A1, A6 \| \| 27\| Laboratory hardware component reaches its mean time to failure \| Keep timestamp, component ID and action such as replacement to determine the mean time to failure and decide whether to change vendors or model of sensor \| B1, B2, B3, B4, B5, B6 \| All the failures causing the student to fail the lab, may be notified to the professor and administrators and the student will be re-routed to another laboratory experiment if available, items () in table 5.2. The occurrence frequency of a specific failure is a parameter obtained based on historic data about failures and its possible causes. The system takes historical data from a specific period of time defined by the lab administrator. For example, if a “sensor wrong measurement” failure has occurred recently, and a defect in the sensor is the cause, there is a counter that increases that cause frequency. To simplify the rule-based system, 3 levels of frequency of occurrence have been defined: low, medium or high frequency of occurrence. These results can change during the time according to the current information available in the log of reported failures and causes. The levels are returned in order from high to low frequency of occurrence. Figure 5.6 presents an example of the periodical relative frequency of occurrence for failures and causes. This is used as part of the facts of the system. \| Cause \ Failure \| $F_1$ \| $F_2$ \| $F_3$ \| \|-----------------\|---------\|---------\|---------\| \| $C_1$ \| 10 (High) \| 5 (High) \| 0 \| \| $C_2$ \| 5 (Medium) \| 1 (Low) \| 0 \| \| $C_3$ \| 2 (Low) \| 0 \| 4 (Medium) \| \| $C_4$ \| 0 \| 0 \| 2 (Low) \| \| $C_5$ \| 0 \| 0 \| 9 (High) \| \| $C_6$ \| 0 \| 0 \| 0 \| \| $C_7$ \| 0 \| 0 \| 0 \| Figure 5.6:* Example of periodical relative frequency of occurrence The rules are defined as the validation of the specific failure based on the current state of the causes (one rule is defined for each possible failure), for example: in the case of failure F1: “Wrong value in the sensor readings”, some of the causes can be C1: defective sensor, C2: power problems in the sensor or C3: interference generated for another component. An example of a rule in this case is: Rf1: if current failure = F1 then get the Frequency(Causes of (F1)); If another failure in the database has the same set of causes (occurrence frequency levels can be different), the system will report that failure as a concurrent failure that can be happening in the system because of the detection of the other failure. Rc1: if Causes of (F1) == Causes of (F2) then, F1 and F2. A prototype of the system has been implemented in the Tool Jess [121]. The Figures 5.7, 5.8 show some facts and rules defined for the test. ``` (defacts initial-phase (phase get-failure) ) (deffacts failure-causes-knowledge-base (failure-causes (failure 1) (cause1 "Defect Sensor") (cause2 "Power Problems") (cause3 "interference by another device")) ) (deffacts causes-frequency (failure-causes-frequency (failure 1) (cause1f 10) (cause2f 5) (cause3f 2)) ) ``` Figure 5.7: JESS facts definition example ``` (defrule failure-causes ?selection <- (failure ?choice) (failure-causes (failure ?choice)(cause1 ?c1)(cause2 ?c2)(cause3 ?c3)) => (printout t "Based on the Failure, the causes are " ?c1 " or " ?c2 " or " ?c3 crlf) ) (defrule failure-causes-frequencies ?selection <- (failure ?choice) (failure-causes-frequency (failure ?choice)(cause1f ?c1f)(cause2f ?c2f)(cause3f ?c3f)) => (printout t "For that Failure, the causes frequencies are " ?c1f ", " ?c2f ", " ?c3f crlf) ) ``` Figure 5.8: JESS rule definition example ### 5.3.3 Integration of the Reliability Module with the RLMS The reliability module has the rule-based system as the main component. The logs related to the laboratory performance are stored in the RLMS logger and are available in the academic system, supported by the implementation of xAPI services in online laboratories. These reports can be accessed by the reliability module in order to feed the model. If some failure is detected and associated with one or more causes and countermeasures that the system has predefined, the system will trigger those countermeasures automatically. If the solution of the problem needs a human intervention, the module will activate an alert for the lab administrator and will take some actions trying to prevent the spreading of the risk, trying to maximize the availability of the rest of the online labs connected to the RLMS. 5.4 CHAPTER SUMMARY This chapter described the concept of Smart Adaptive Remote Laboratory, supporting it over the use cases and the proposed pattern of a general Remote Laboratory Management System (RLMS) and also the definition of a reliability model for online laboratory systems. CHAPTER 6 XAPI FOR REPORTING USER INTERACTION WITH ONLINE LABORATORIES Online laboratories can exhibit smarter behavior when information about the user and his/her context is given as an input to the lab. Part of this data can be gathered from a virtual learning environment (VLE) or any other educational system that contains information about the user. Information provided for these systems include: the type of user (student, teacher, administrator), user current level of experience (amount of time performing lab experiments, background knowledge), user language, user programming language(s), disabilities or accommodation, and results obtained in previous lab experiences. Additional context information can be provided by the user device, such as the geographical location, device type, bandwidth, date and time, among others. With this information, the online laboratory system can offer different variations of laboratories to each user and customize the experiment interfaces and activities in terms of task difficulty level, situational context and support information. The user interactions and administrative information can be collected and stored in the Learner Record Store (LRS) in the form of xAPI statements, ready to be accessed by the VLE to update the current state of the user information and extract/perform learning analytics. This chapter presents the design and implementation of a model to integrate xAPI technology with online laboratories demonstrations that includes the VLE integration and user context information as part of the online lab experience. In the evolution of online laboratories there is a need to capture and track the user interactions and experiences to enhance the lab experience. Current systems normally report information about the hardware and software through the system log reports, only used by administrators when some problem occurs. The problem of lack of integration and tracing capabilities is a problem that has been identified not only in the online laboratory systems but also in the tools used for content generation and integration for e-learning. The Education Society of the Institute of Electrical and Electronic Engineers (IEEE) formed the IEEE-P1876 Working Group Standard Development for Networked Smart Learning Objects for Online Laboratories. During the last 3 years this working group has been developing the standard that defines the architectures and the standard implementation processes of online laboratories for education. The author and his advisor have participated actively in this standard development and the external member of this dissertation is chair of the P1876 Standard Development Committee. This standard was very recently approved by the IEEE Standard Association committee on March 21, 2019. This part of the research looks at implementations that use xAPI for tracking user experiences. We compare these approaches and propose a model for the integration of xAPI for use with our Smart Adaptive Remote Laboratory system (SARL). We include a classification of xAPI statements, dividing xAPI statements for technical aspects of the lab experiments and xAPI statements related with the user interactions, supporting educational roles to support pedagogical aspects and data necessary for learning analytics [122]. 6.1 XAPI CONTEXT xAPI, also called Tin Can API or Experience API, has evolved rapidly during the last years and is now being implemented, not only in the educational context, but also in other types of systems. This technology allows the collection and distribution of online or offline user’s experiences in the form of statements stored in a Learner Record Store (LRS) allowing assessment rubrics and learning analytic to be applied. xAPI is under standardization process by the IEEE Industry Councils Industry Collaboration for Learning Engineering (ICICLE) initiative. xAPI as mentioned in chapter 2 was proposed by the Advanced Distributed Learning group (ADL) [123]. A previous definition from ADL was the Shareable Content Object Reference Meta-data (SCORM) [124] specification that defined the structure of an educational content package that can be deployed in any Learning Management System (LMS) that supports SCORM. In the 2014 version and later revisions, SCORM implemented a content object-to-run-time environment communication, and the possibility to define the sequences of the content in an adaptive manner. This permits capturing and reporting information about the use of the content such as: results, time expended, clicks made, etc. This information could be visible or used across the same or other content objects at the course level or even at the LMS level. xAPI is not considered an improvement of SCORM, it is by itself a different definition, innovating in the information management process, allowing the collection, distribution and retrieval of information about user’s experiences either offline or online. This technology makes possible the integration of applications by accessing a common repository of information. xAPI can be used by different types of systems through the use of a simple common vocabulary. xAPI provides flexibility and interoperability. Activities are recorded in the form of a triplet: Noun, Verb, Object with optional additional attributes and are stored in a Learning Record Store (LRS). The syntax used for the statements is based in JavaScript Object Notation (JSON) [125], these statements can be stored and shared with other LRSs. Additionally, the LRS can exist on its own, or inside of a Learning Management System (LMS). xAPI allows the integration of applications by utilizing an LRS as a common repository. The LRS can be implemented following the definition from ADL, however, there are some cloud platforms that offer the possibility to create an LRS and provide the tools to connect the applications that are going to send xAPI statements. The most common services available to create LRS instances are SCORM Cloud [126] and Learning Locker [127]. They also offer possibilities to retrieve information from the LRS in order to send information to the LMS or any other platform. ADL has defined the freedoms of the Experience API, in terms of the xAPI statements, allowing the storage of almost anything through the use of the structure of noun, verb and object. In terms of the history, the LRSs have the ability to communicate to each other, through forwarding functions. In this way, users can take their experiences to other institutions or organizations. In terms of devices, it enables any type of device to send xAPI statements with the advantage of not needing a permanent internet connection. Finally, in terms of workflow, xAPI allows tracing activities that occur in different application and locations. xAPI libraries are available for a wide range of web technologies, either running on the client side or on the server side. The most commonly used xAPI packages are the JavaScript xAPI library and the PHP: Hypertext Pre-processor (PHP) Library. Figure 6.1 presents a conceptual map that answers the question “What is xAPI?”. ![Conceptual Map](image) Figure 6.1: Conceptual map “What is xAPI?” ### 6.2 XAPI APPLIED TO ONLINE LABORATORIES In this section we describe and compare four different existing models that incorporate xAPI with online laboratories. 6.2.1 c-MOOLs Model In 2014 Saliah-Hassane and Reuzeau [54] proposed the use of xAPI as a tool for monitoring experiments. Each action results in sending an xAPI Statement to the LRS. This feature provides to teachers the possibility of accessing the student list of performed actions synchronously or asynchronously. Teachers can then see the evolution and progress of each student, allowing them to detect a student's conceptual weaknesses during the learning process and guide them to choose specific exercises to deepen the concepts that were difficult for the student. As part of their research, a xAPI data process workflow was developed as shown in Figure 6.2. ![Diagram](image) Figure 6.2: xAPI integration with MOOLs. (Adapted from [54]) The process is described as collecting data from interfaces and sensors, and geographical information, formatting into xAPI statements, storing in the LRS, and later retrieving through a Web App that displays a map to show the geographical information. 6.2.2 FORGE Box Model In 2014 the FORGE Project, defined the FORGEBox model [128]. This element includes interactive content with the possibility to be instantiated, collecting and sharing xAPI statements with the LRS to support learning analytics. Figure 6.3 presents the model of the FORGEBox. While the user interacts with the course content, or with the remote laboratory (testbeds), xAPI statements are generated and sent to the LRS. Boxes make use of testbeds laboratories from the FIRE project: Future Internet Research and Experiment (FIRE), these testbeds can also generate and send xAPI statements to the Box LRS. ![Figure 6.3: FORGEBox model with xAPI integration (Adapted from [128])](image) 6.2.3 xAPI model for Learning Analytics In 2015 Wuttke, Hamann and Henke [129] presented an alternative to connect an online laboratory with analytic tools to get learning relevant data during the students interaction with the remote laboratory. The data analysis had the goal of informing about higher order thinking skills, based on “Blooms Taxonomy of Educational Objectives” [130]. Figure 6.4 shows the xAPI statements generated and reported to the LRS during the whole process of learning. They defined a learning process including the following stages: Acquisition of knowledge, preparation of the experiment, execution of the experiment, Experiment results and finally, the evaluation of the experiment. From each of the first four stages, xAPI statements are generated and sent to the LRS. In the last stage the LMS receives all the information collected in the LRS to feed the evaluation of experiment stage which stores results using xAPI. An additional software tool, Weka [131], is used to process the data and extract relevant information for the students and teachers. 6.2.4 Lab@Home - xAPI Based Architecture In 2017 the model for mobile laboratories integrating xAPI was implemented as a proof of concept of a low-cost configuration of labs [132]. This model included the concept of Lab@Home proposed in 2011 by Saliah-Hassane et al. [133]. The mobile laboratory includes the use of a Lab Gateway located between the “Lab@Home” module that includes the user interface, and the Smart Device module that includes the lab server. The actions and outcomes during the experimentation process were stored in an LRS using xAPI statements. They defined two actors: the smart device and the lab user. The vocabulary defined for the statements includes verbs such as: display, require, present, connect, disconnect and share. Figure 6.5 shows the integration proposed. 6.2.5 Online Lab Interactions - xAPI Framework In 2017 Paredes, Barragan et al. [134] defined a framework to describe learning interactions reported using xAPI statements. Their objective was to capture the interactions between student and instructor, or between the lab and either the student or the instructor, reporting the status of the system during those interactions, see Figure 6.6. The xAPI statements were also used to report problems with some component of the lab. The vocabulary implemented included either verbs defined by ADL (Launched, Initialized, Abandoned), and other verbs defined for this specific domain (Increased, Decreased, Rotated, Set and Queried). In terms of objects, they defined specific objects such as: experiment, sensor or actuator. They included a new optional field for their messages called Context. This field could include contextual information of the experiences, for instance if the experience reported was part of a team-base activity. Context concepts include: Lab-info, Observer and Mode. Additionally, the authors defined three different granularity levels for the xAPI statements. Level 1, related to experiment meta-data. Level 2, related to operational components, such as sensor and actuators. Level 3, for the higher-level elements, for instance all the statements generated by the interaction between lab and user. 6.3 COMPARISON OF THE XAPI IMPLEMENTATION MODELS This section presents an analysis of the strengths and shortcomings of the five related works taken into consideration when we developed our model. Table 6.1 compares the xAPI implementation presented in the related works section in terms of features and support provided. An “” indicates the feature was not implemented or was not reported by the author in the reviewed papers. Note: Features such as: xAPI statement forwarding, implementation of security, or use of the xAPI statement for adapting user interfaces, were not implemented or not reported in those works. The proposed model develops some of these features as part of its core. \| Feature \ Tool \| c-MOOLs \| Box \| Lab@-Home \| xAPI Int Framework \| LA (TU Ilmenau) \| \|--------------------------------\|---------\|-------\|-----------\|--------------------\|-----------------\| \| Reporting user experiences \| YES \| YES \| YES \| YES \| YES \| \| Reporting system information \| \| * \| YES \| YES \| * \| \| Classification xAPI statements \| YES \| * \| YES \| YES \| * \| \| Origin xAPI statements \| * \| * \| Client \| Client and Experiment \| Client and Experiment \| \| ADL vocabulary or other \| ADL + Other \| * \| ADL + Other \| ADL + Other \| Other \| \| Optional fields xAPI statement \| YES \| YES \| YES \| YES \| * \| 6.4 PROPOSED MODEL OF xAPI INTEGRATION WITH ONLINE LABORATORIES The proposed model of xAPI integration includes a definition of the actors taking into account different roles important in the laboratory educational context. The identified roles are students, teachers, lab administrators and SARL administrator. Additional actors are the laboratory experiment and the SARL system. They can report xAPI statements about the system information or about the state of the lab components. Their reports can help the system to auto-adjust lab experiments parameters to increase the availability of the labs. The xAPI statements can also help in the distribution of users over the lab stations. 6.4.1 Model of xAPI Integrated to the Remote Laboratory Management System The proposed integration model of xAPI [122] is not only to report the status of the laboratories or to collect assessment data, but to integrate the LMS and RLMS systems and give real-time feedback to all the actors involved in the learning process. The xAPI statements proposed in this integration model are classified in two different categories: - Technical administrative information about the operation of the lab (Availability, streaming quality, controls responsiveness, controllers, sensors and actuators, exceptions generated) - Educational information (lab activities results, time expended, attempts made, and other traces of each user interaction) The following list presents different xAPI statements according to the type of actor reporting information to the LRS, where Role X represents a type of actor. - Role X reporting information about events occurred in the SARL (reports about login, logout, access lab gallery, lab schedule, networking configurations, adaptability of user interface, etc) - Role X reporting information about events occurred in remote lab experiment (availability, streaming quality, controls responsiveness, controllers, sensors and actuators, communication with SARL, etc) - Role X reporting information about educational administrative activities (design of lab activities, lab assessment, lab curriculum design, parameter definition for adaptive user interfaces, etc) - Role X reporting information about the educational outcomes (lab activities results, lab grades, time expended, attempts made, performance measurements, etc) The vocabulary defined for the proposed xAPI integration module uses the available verbs in the ADL repository [135] and additional verbs defined by other contributors of the xAPI community [139] that fit accurately with this model. Actors based on the roles defined in the model include those roles related to the educational context: - Student - Teacher - Lab Administrator - SARL Manager - Lab experiment (System) - SARL (System) It is common to see that, in some cases, an entity can be the Actor or the Object in the xAPI statement. For example: (Student X, Used, Lab experiment A) and (Lab experiment A, Disconnected, Server X). The proposed model includes all the hardware and software components of the Lab experiment and server. The following list presents some of the entities that are reported in the xAPI statements and can change according to the context or domain of the event: - Lab experiment - Lab activities - Lab experiment component - Lab session - Lab schedule - Lab user interface The model also makes use of four of the additional fields included in the original xAPI statement definition [140]: - Context (to include some contextual information) - Result (provides an option to report some measured outcome) - Authority (used to report the entity who certify the validity of the xAPI statement) - Time stamp (describe when the statement occurred, can be different to the sending date) Figure 6.7 presents an UML sequence diagram indicating how and when the xAPI statements are generated and sent. These statements can be generated from different modules of the system and are sent immediately after an event occurs. After each action is completed, an xAPI statement is generated and sent to the LRS. Figures 6.8 to 6.14 present the verbs proposed in our model to be used according to the role involved in the recorded action. Some verbs are used for more than one type of role. Figure 6.7: xAPI statements reporting (UML - Sequence Diagram) Figure 6.8: Student role xAPI verbs used to report interactions with the Lab Figure 6.9: Student role xAPI verbs used to report interactions with the SARL System Figure 6.10: Teacher role xAPI verbs used to report interactions with the SARL System Figure 6.11: Teacher role xAPI verbs used to report interactions with the Lab Figure 6.12: Lab experiment role xAPI verbs 6.5 IMPLEMENTATIONS OF LEARNING RECORD STORE (LRS) FOR DISTRIBUTED MOBILE ONLINE LABORATORIES Online laboratories architectures [103] can be distributed, centralized or hybrid. The specific architecture depends on the type of online laboratory (virtual, remote or hybrid) and specific requirements of the experiments. Normally these systems have been implemented in the educational context as an alternative to providing remote access to specific users to a specific setting. Distributed architectures over the internet have opened the possibility of integrating a wide number of distributed, low-cost, mobile, online laboratories that can be configured to generate different laboratory experiences. This idea is supported by the concept of Lab@Home, proposed in 2011 [133] to define the configuration and use of a low-cost laboratory infrastructure that can be integrated with educational platforms to share information. This section proposes four different architectures of an ad hoc environment of low-cost hybrid Mobile Massive Open Online Laboratories (M-MOOLs) composed of distributed Remote Laboratories, Mobile Lab@Home and Virtual laboratories integrated through the use of xAPI [136]. The first architecture includes the use of a centralized Learning Record Store (LRS) that collects user interactions that occurred in the distributed set of online laboratories. The second architecture is a distributed set of M-MOOLs, each connected with an individual LRS. Both of these approaches allow the professor to adopt a flipped pedagogy, where collaborative learning scenarios are possible and laboratory work is performed first. In that sense, both demonstrate valid use cases for the IEEE- 1876 standard for Networked Smart Learning for Online Laboratories. 6.6 M-MOOLS AND EDUCATIONAL PLATFORMS The definition of M-MOOLs is based on previous work, such as: connexionist MOOLs or c-MOOLs, which define the use of a low-cost infrastructure to deploy MOOLs [132]; integration of remote and virtual laboratories with Virtual Learning Environments (VLEs) [141, 142]; interoperability, scalability, and management solutions of traditional Remote Laboratories [143–146]; integration of MOOLs with MOOCs platforms [147]; and using xAPI as an integration tool for online laboratories with e-books [122]. All of these works have created the foundations and support for M-MOOLS (see Figure 6.15). 6.6.1 Pedagogical Uses of xAPI In terms of pedagogical uses, xAPI provides a flexible platform that allows the use and definition of vocabulary, specifically verbs that can be hierarchically composed to align with the educational context, and with the pedagogical requirements such as: micro curricular definitions, learning objectives and learning outcomes. An example of xAPI statements used in an online laboratory has been implemented in the eolic laboratory at the Universidad Nacional de Educación a Distancia (UNED). The laboratory is capable of recording measurements, such as battery and time; and actions, such as activate the fan to speed up the windmill. Table 6.2 shows specific verbs defined by UNED according to the elements integrated in the laboratory. Other verbs that are independent from the laboratory have been taken from ADL verb catalogue [135]. With a common vocabulary the user activity can be tracked as different xAPI statements. xAPI statements can then be described using JSON as in Figure 6.16. Table 6.2: xAPI verbs for user activities in the eolic windmill lab. (Adapted from [136]) \| Action / Verb \| Definition \| \|--------------\|------------\| \| Rotated \| Indicates the actor has turned the object on an axis by certain degrees \| \| TurnOn \| Indicates the actor has switched on an actuator \| \| TurnOff \| Indicates the actor has switched off an actuator \| \| Increased \| Indicates the actor has raised the value of an actuator \| \| Decreased \| Indicates the actor has reduced the value of an actuator \| ``` "actor": { "name": "user", "mbox": "mailto:firstname.lastname@example.org" }, "verb": { "id": "http://adlnet.gov/expapi/verbs/queried", "display": {"en-us": "queried"} }, "context": { "extension": { "https://w3id.org/xapi/labs/extensions/lab-information": { "http://example.com/ieee1876/eoliclab/sensor/battery": 10, "http://example.com/ieee1876/eoliclab/actuator/battery": 0, "http://example.com/ieee1876/eoliclab/actuator/fan": 0, "http://example.com/ieee1876/eoliclab/actuator/windmill": 0, "http://example.com/ieee1876/eoliclab/actuator/time": "00:00:00" }, "http://example.com/ieee1876/onlinelabs/extensions/mode": "charging" } }, "object": { "id": "http://example.com/ieee1876/eoliclab/sensor/battery", "definition": { "type": { "http://example.com/ieee1876/onlinelabs/sensor" } } } ``` Figure 6.16: xAPI statement constructed using JSON of a user activity in the eolic windmill lab. (Adapted from [136]) 6.6.2 Proposed Centralized and Distributed LRS M-MOOLs Architectures The first configuration proposed includes the use of a centralized LRS that collects all the interactions that occur in each of the distributed M-MOOLs, the VLE, the Learning Analytics Generator (LAG) and Remote Learning Management System (RLMS), see Figure 6.17. This approach simplifies the implementation and maintenance. However, failures of the centralized LRS will leave the whole distributed system without storage for the xAPI statements. Contingencies for that can be done through the implementation of an alternative LRS as backup of the original LRS, or through the use of an offline queue system for xAPI statements that keeps the statements until the connection is reestablished. Figure 6.17: Architecture of a centralized LRS for a set of M-MOOLs Figure 6.18 shows the second proposed configuration, an architecture of a distributed set of M-MOOLs, each instance of the lab connected with an individual LRS in the cloud. This approach allows each M-MOOL to decide what to report and what to not report. This configuration also facilitates the information retrieval from external systems. Figure 6.18: Architecture of a distributed LRSs for a set of M-MOOLs Figure 6.19 presents a variation of the centralized LRS for a set of M-MOOLs using a centralized LRS plus a local network LRS that can forward messages to the central LRS. Figure 6.19: Architecture of a centralized LRS + a local network LRS that can forward messages to the central LRS Figure 6.20 presents a variation of the distributed LRSs for a set of M-MOOLs using a one local LRS per each mobile lab plus the central LRS. 6.7 CHAPTER SUMMARY This chapter developed the concept of xAPI as a technology that supports the experiences information gathering, as well as its role supporting the integration of online laboratory systems with virtual learning environments. A comparison of five implementations that use xAPI is presented together with a model for the integration of xAPI with online laboratory systems. Finally, the chapter covers implementation and variations of the use xAPI in distributed architectures of online laboratories. CHAPTER 7 THE SARL ONLINE LABORATORIES IMPLEMENTATIONS (DEMONSTRATIONS AND PROOF OF CONCEPT) The SARL proposed architecture supports the adaptability of lab interfaces and activities according to the students’ background and previous results (information reported by the VLE and the RLMS). One lab experiment platform can be used for different lab assignments, topics, and courses. One hybrid lab scenario implemented is the local students connecting their personal mobile breadboard hardware kit through an Arduino interface with a USB port connection that allows them to connect to online labs accessed through the online lab server via a local computer device. 7.1 IMPLEMENTATION OF A SARL PROTOTYPE In order to validate the models proposed in this research, a prototype platform was developed that includes full functionalities for user registration, authentication, access to a set of demo laboratory activities, tracking and reliability features supported by xAPI, appointment scheduling, and integration with external systems using LTI. The SARL prototype development included the development of an RLMS with four basic modules: user manager, scheduler, resources manager, and the smart adapter. The user manager gives the user two services: the login interface to authenticate the user into the system, and the registration interface for new users. The user credentials can be provided directly by the user if he is accessing the RLMS directly or passed directly from the VLE through the implementation of a single sign-on scheme. The scheduler gives teachers the ability to reserve the experiments in windows of time for groups of students. Then, the teacher can choose different remote laboratories related with his course and reserve them to his class, blocking the access to students from different classes. The students can schedule slots of time inside the window reserved by their teacher. The resource manager manages all the remote labs available in the system. From there it is possible to configure the setting and basic operation of the lab such as: connect new labs, update, remove etc. Finally, the smart adapter provides the teachers a designer mode in which the professor defines the activities and can compose the lab stations with multiple remote labs. In this module, the teacher defines versions of the lab such as difficulty level of every activity of the lab, experience requirements and prerequisites (another labs or activities inside the same lab). Figure 7.1 shows the high-level architecture of the implemented SARL prototype system. The remote laboratory component can be one or many labs and can be distributed in different locations. ![High level view of the SARL system](image) Figure 7.1: High level view of the SARL system The integration with the VLE was implemented using LTI. In this way, the students can access the lab directly from the VLE. The VLE platform chosen for the prototype was the Moodle LMS. This open source platform allows the configuration of the LTI connection between the RLMS and the LMS. The teacher can integrate the labs in the course and define the parameters for the smart adapter directly from the LMS. 7.1.1 Data Model A SARL database system was implemented using MySQL database engine. It supports persistence of the information, validation of users, permissions all over the system and laboratory stations and activities storage. Figure 7.2 presents the data model used for the prototype implementation. ![SARL Prototype Database Model](image) Figure 7.2: SARL prototype database model 7.1.2 Registration and Authentication Module A system based on username and password for direct access to the RLMS was implemented. This module uses a SQL database and interfaces developed in PHP. Figures 7.3 and 7.4 present the login and registration interfaces. Figure 7.3: SARL prototype login interface Figure 7.4: SARL prototype registration interface 7.1.3 Gallery of Labs A dynamic online laboratory gallery has been implemented to show the available lab activities for each user. Figure 7.5 presents an example of the gallery of laboratory activities for a student. ![SARL prototype gallery interfaces](image) Figure 7.5: SARL prototype gallery interfaces 7.1.4 Lab Scheduler To facilitate the user appointments scheduling, we implemented an appointments system based on the open source system Easy Appointment. The database of Easy Appointment application includes seven tables, as seen in Figure 7.6. The table “ea_users” includes information about the users within the system; these users are synchronized with the SARL users module. The table “ea_roles” contains roles for users and appointment services. The table “ea_appointments” contains information... about individual appointments elements such as booking date, starting date, end date among others. Appointment table is very important for the implementation of validation in the online laboratory system. The table “ea_services” corresponds to the information about the specific service the user is reserving with the appointment, in our case it is used to identify the online laboratory scheduled and its description. The table “ea_providers” corresponds to the providers of those services in our demo implementation all the laboratory experiments provide from the same provider, but it is prepared to support different providers. The remaining tables are related to various settings within the Easy Appointment application, and do not have any direct impact on the remote laboratory system. Figure 7.6: SARL prototype scheduler interfaces Figure 7.7 presents the lab scheduler interface indicating the lab experiments dates and the time slots available. 7.1.5 xAPI Tracking Module For the tracking support using xAPI, an LRS instance was implemented using the cloud service Scorm Cloud. This platform provides online availability of LRSs. A complete xAPI module was implemented to manage the generated xAPI statements. This module uses the xAPI model presented in chapter 6. Figure 7.8 presents the scheduler interface. 7.1.6 LTI Integration of a Remote Laboratory with an LMS The integration with the VLE was implemented using LTI to give access to the student to the lab through the VLE. The platform chosen for the prototype was the Moodle LMS. This open source platform allows the configuration of the LTI connection between the RLMS and the LMS, the teacher can integrate the labs in the course and define the parameters for the Smart Adapter directly from the LMS. Figure 7.9 shows an experiment composed of a set of LEDs that controls a servo-motor that raises and lowers a gate, simulating a railroad crossing traffic signal. It projects behind the railroad crossing traffic signal a video loop that shows a railroad crossing and eventually a passing train from left to right and right to left. This experiment is integrated in the LMS Moodle. 7.1.7 SARL Low-Cost Laboratory Station Components The configuration of the online laboratory stations prototypes presented in this section includes the use of a basic set of electronic components: LEDs, resistors, switches and servo motors, the total cost of the station is less than 50 USD including the Raspberry Pi3 micro-controller. The experiments in topics related with digital electronics and specifically Logic Design. The remote lab station uses a Raspberry Pi3 micro-controller and one or two cameras. The software for the prototype was implemented using Python and JavaScript languages and HTML 5 for the interfaces, so it can be accessed using a browser on any device. The software architecture style was based on a client server that is cloud computing based, in which the SARL is a PHP based application running over a Linux Ubuntu operating system cloud server, running Apache web application server and MySQL database engine. The platform also needs Python, PHP languages interpreters. To allow the experiments remote access and control, the WebIOPi [137] service has been installed in the RPi3 to expose the General Purpose Input Output (GPIO) communication ports to the server. The Linux service package Motion [138] was used for creating the video streaming server, this service allows the experiment visualization through the camera. HTML5 components were used to integrate video and audio to create the AR experience. With the controller running all the services for communication and the video streaming, the process is completed with the connection of the experiment to the controller. 7.2 INTEGRATION OF THE STUDENT MOBILE LABORATORY KIT WITH THE SARL ONLINE LABORATORY SYSTEM “Mobile laboratories refer to self-contained, traveling laboratories that accommodate student participation in hands-on laboratory science and engineering. They provide students and teachers with access to equipment and supplies that are difficult for most schools to acquire and maintain. However, mobile laboratory programs are designed to do much more than provide equipment and supplies. The value added by these programs stems from access to engaging, substantive, and thought-provoking inquiry experiences for students and teachers. These include a range of laboratory experiences that involve students carrying out carefully specified procedures to verify established scientific knowledge as well as experiences that engage students in formulating questions, designing investigations, and creating and revising explanatory models” [148]. Mobile online laboratories are being implemented to provide users an option for developing hands on experience. One example of this is the kit proposed in the Faculty of Technology at Buskerud University College in Norway [150] that design a generic motherboard that can be used as a platform for the development of remote laboratories. In this section we show the adaptation and integration of a personal tether-less student-built laboratory kit with an online laboratory system. 7.2.1 Florida Atlantic University’s Low Cost Tetherless Laboratory Platform for Logic Design Florida Atlantic University developed a low cost (less than $25 USD) tether-less laboratory kit for logic design lab experiments. This lab kit allows the students to build their lab platform and experiment building and testing their lab circuits anywhere. The students do not have to be in the physical laboratory to complete and test their lab assignments. Figure 7.10 shows a completed setup of the provided lab kit for the logic design course without the oscillator on two joined breadboards. The bottom breadboard contains the platform and the top one the logic circuit to be designed [149]. Videos and schematics are provided to the students who build the kit over a two week period in the beginning of the course. ![Lab kit for the Logic Design course](image) Figure 7.10: Lab kit for the Logic Design course [149] The provided lab-kit consists of: a 9V battery-operated power supply with reverse polarity protection for the logic buses and power supply, nine LED status indicators, twelve DIP-switches, four push button switches, Tri-State logic probe, dual 7-segment display and driver, and dual square wave oscillators or 555 timer for the clock function [149, 151]. 7.2.2 Proposed Integration of a Mobile Online Laboratory Based on the Student Lab platform In 2017, we proposed an improvement of the already in use students laboratory kit, integrating a signal interface device that makes possible the connection of the lab kit to the computer through USB [152]. This capability would allow also the integration of the kit with the online laboratory platform SARL. With these improvements it would be possible to have interaction between circuits that student implement on their mobile laboratory platform and online laboratories (either virtual, remote or hybrid), as well as online validation of the student laboratory activities. In this stage of the research we tested 2 different devices to connect the student laboratory kit provided by Florida Atlantic University to logic design class students. The first was the 8 channel Saleae Analyzer [153] and the second was the Arduino Nano [154]. Additional to the integration of the signal interface device, a plastic case enclosure for the student lab kit was proposed to prevent students from cheating or sharing their lab implementations with other students for grading. The case prevents the students from extracting the breadboard once the lab platform is built. The micro-controller’s unique iD # can be associated with an individual student and stored in the lab xAPI statement. The lab kit case also serves as protection for the signal interface device (micro-controller) and the breadboard [155]. Figure 7.11 shows the initial design of how the student can slide the breadboard in and out before they start their experiment. The height of the opening of the case and the height of the breadboard must be such that once the students start building, the only way they can take the breadboard out is to remove all of the components from the breadboard. Figure 7.12 shows an early prototype of the mobile online lab kit. The student slides the breadboard into the case from left to right. The micro-controller is placed on the right. side of the breadboard and is protected from extraction. This kit provides the student a real hands-on experience building their circuit with real components and integrating it to a virtual and/or remote laboratory to provide a lab context and testing within that context. VISIR labs [48] and circuit simulators available permit students to drag and drop virtual components on a virtual breadboard to either connect real components on a pre-built remote generic circuits that supports different circuits configurations, or to a simulator to display resulting timing diagram. However, there is much that experience using a real breadboard with real components teaches a student that cannot be taught virtually. For this reason, we opted to design the portable platform (cost less 25 $USD) as the user interface connected via USB to a laptop, tablet or cellphone. The user needs to download a software driver to their device prior to connect to the SARL system. Using a signal interface device such as: the Saleae Analyzer chip or the Arduino Nano, it is possible to read electrical signals and send this information to the student computer. This device is connected to the user computer via USB cable. The analyzer channels were used as inputs to gather information from the user breadboard. The power and ground pins of the chip were disabled to prevent students from powering their circuit using the micro-controller, preventing the mobile lab wiring errors from damaging the user device, the mobile interface is independently battery powered. The students will see how the inputs and outputs of the circuit he or she built on the mobile student’s kit breadboard, triggers an action in the SARL remote laboratory on the computer screen. 7.3 INTEGRATION OF SARL WITH ACTIONABLE DATA BOOK (ADB) USING THE XAPI PROPOSED MODEL The xAPI model proposed in chapter 6, has been successfully integrated with the IEEE Industry Connections Actionable Data Book (ADB) [156] and demonstrated at the Annual Frankfurt Book Fair in Frankfurt - Germany in 2017 [157]. This e-book has been implemented as a demonstration of the capabilities of using xAPI as a centralized repository of data collection generated by the users of the e-book. The demo book presents different interactive materials, including the interfaces of one of our demo remote lab. The demo lab sends information to the LRS. Once the LRS receives the information, it is immediately forwarded to the e-book LRS. The ADB also implements xAPI capabilities, having its own LRS. Statements are forwarded from the LRS of the online laboratories to the LRS of the ADB. This integration allows the e-book to be aware of all the interactions done by the users, not only in the native content of the e-book, but also those that occurred in integrated external tools (see Figure 7.13 and 7.14). Figure 7.13: ADB interface showing integrated external tools Figure 7.14: Remote digital design laboratory integrated with the ADB Figures 7.15 and 7.16 present screen captures of the xAPI statements that are sent from the SARL system to the LRS implemented in the SCORM cloud platform. The first one, Figure 7.15, is the statements forwarding pipe configuration that enables the ADB resource to receive in its own LRS information about the user’s interactions with the online laboratory. Figure 7.16 shows the composition of the xAPI statement using JSON within SARL created and sent when the student executes a command in the remote lab experiment. In the example statement are reported the fields: $id$, which is a unique identifier for the statement; $actor$, in this case the student that is using the laboratory experiment; $verb$ refers to the action performed by the user, each verb should have a Uniform Resource Identifier (URI), in the example the verb was “interacted”; $result$, which is not a mandatory field but in this case is used to report the student score; $timestamp$ corresponds to the exact date and time. when the event occurs; stored is the date and time when the statement was sent to the LRS; authority is defined as a subject or entity that certifies the validity of the xAPI statement, it can be the teacher or the lab administrator; version reports the version of xAPI used in the statement; and finally, is the object that in the case of the example is the laboratory activity performed by the user. In the example statement the student received 100 points out of a 100 possible in the remote experiment. Figure 7.15: LRS xAPI statements forwarding configuration studentA interacted with 'Remote Experiment - Laboratory 2A1_Basketball' ``` { "id": "c5cfdcbc-d365-4504-af96-7ba95b351e2a", "actor": { "objectType": "Agent", "mbox": "mailto:email@example.com", "name": "studentA" }, "verb": { "id": "http://adlnet.gov/expapi/verbs/interacted", "display": { "und": "interacted" } }, "result": { "score": { "scaled": 1, "raw": 100, "min": 0, "max": 100 } }, "timestamp": "2018-04-18T00:30:12.814Z", "stored": "2018-04-18T00:30:13.275Z", "authority": { "objectType": "Agent", "mbox": "mailto:firstname.lastname@example.org", "name": "Luis Felipe Zapata Rivera" }, "version": "1.0.0", "object": { "objectType": "Agent", "mbox": "mailto:email@example.com", "name": "Remote Experiment - Laboratory 2A1_Basketball" } } ``` Figure 7.16: xAPI statement content (JSON structure) ### 7.4 IMPLEMENTATION OF A SARL REMOTE LABORATORY SELECTING PROGRAMMING LANGUAGE USING BLOCKLY CONNECTED TO CENTRALIZED AND DISTRIBUTED LRS This SARL demonstration of the distributed LRS has been performed by the implementation of a set of M-MOOLs geographically distributed in South America, North America and Europe. The experiments use a Raspberry Pi3 as a communications device, an Arduino as a controller of the mobile Lab, servo motors, and other supportive components. For the laboratories software interfaces and commands execution, Python was used as a programming language together with a customized version of the Google blocks programming tool “Blockly” [158]. The software interfaces for the laboratories were created using PHP and Javascript. Figure 7.17 shows an example of a low-cost online laboratory implementing a block programming interface. This laboratory allows the user to change between Python and Blockly coding interface to control the timing of three LEDs, red, yellow and green, to simulate a semaphore and to raise a traffic pole to permit or block flow of traffic. Each laboratory uses a Raspberry Pi 3, connected via the cloud to an RLMS server and reporting xAPI statements to an external LRS. See Figure 7.18. Figure 7.17: Online laboratory 1 using Blockly interface Figure 7.18: LRS view - receiving an xAPI statements Figure 7.19 shows another example implementing a block programming interface. This laboratory presents a Red, Green, Blue (RGB) color generator in which the student has to use Blockly Software to perform activities with the colors, the color wheel and 7 segment display octal representation of states of three LEDs generating the colors. To execute the Blockly code in the remote laboratory experiment, a conversion of the basic operations, such as turn-on, turn-off LEDs, rotate a servomotor, display a text or number in the experiment screen, delay the execution, among others, had to be implemented to match the corresponding code instructions including the libraries available in the Raspberry Pi3. Figure 7.19: Online laboratory 2 using Blockly interface Figure 7.20 presents the three stages of the code. In the left side of the figure is the Blockly code created by the user, the code in the middle of the figure is the Python language Blockly auto-generated code, and the code in the right side of the figure is the final code created by SARL system that can be run in the remote laboratory station (the internal code of some of the functions used in the final code are not presented in Figure 7.20). 7.5 IMPLEMENTATION OF ONLINE LABORATORIES FOR INTRODUCTION TO LOGIC DESIGN COURSE To demonstrate SARL’s ability to support and validate laboratory activities in an engineering class, laboratory experiments were designed for Introduction to Logic Design classes at Florida Atlantic University, see Figure 7.21. Introduction to Logic design is a basic course taught at Florida Atlantic University in the Electrical and Computer Engineering and Computer Science programs. The ABET program objectives addressed in this course’s outcomes for the students at the end of the course are [159]: - The students will be able learn the fundamental structures and behavior of logic components. - Develop the ability to analyze and synthesize digital circuits and systems. • Develop the basic understanding of computing hardware. • Develop the ability to design basic digital systems for real life applications. Figure 7.21: Set of implemented online laboratory stations (Lab in a window) The course topics include: 1. Number Systems and Combinational Systems 2. Switching Algebra and Logic Circuits 3. Simplification Techniques 4. Sequential Circuits The laboratory component of the Introduction to Logic Design class includes six laboratory assignments designed by Alhalabi, et al. [160] to be conducted in the physical laboratory using a Digital Lab Analyzer station, covering all the topics of the class. For each of these laboratories one online laboratory is proposed as part of the implementation of the SARL architecture. These online laboratories are presented in the next five subsections. Architecture used for this implementation was presented in Figure 7.1. ### 7.5.1 Boolean Expressions Validator Hybrid Laboratory In the implemented demo, a Boolean expression can be generated by the system preset by teachers or input by the user to be validated as right or wrong based on the input on the user breadboard. The students have to implement the Boolean expression using the logic gates in a circuit build in their mobile lab kit. Once the students finish the implementation of the circuit, they will connect the mobile lab kit through the signal interface device to their device (computer, tablet, cellphone) to interact with the virtual laboratory. In this case the virtual lab story consists of authorizing access to someone based on some conditions, such as outfit, or color of hair. For this specific lab experiment we use six channels of the Saleae Analyzer chip, the first four channels being connected to the switches (the inputs of the circuit) on the mobile lab allowing up to four Boolean variables, and the next two channels being connected to the output of the circuit (outputs from mobile lab to allow comparison of up to two Boolean expressions). The Figure 7.22 shows an example of how the experiment works. Each variable is giving a meaning in the virtual lab. In this example the user views the character seeking admission to the party and sets switches to give the state of each variable, when: - A= Wearing hat - B= Wearing glasses - C= Wearing dress - D= Wearing shirt Then presses submit on the browser screen on the user device. First, the program will split the Boolean equation into separate terms and then convert each of those terms into binaries of 1 for high values, 0 for negated values, and -1 for don't care values; which is a combination of variables whose logical value is not specified to create the correct truth table. It will then get the predetermined correct input answers for each variable of the given picture to determine the correct outputs. Second, the SARL will give the command to Saleae Software via the mentioned connection to start capturing the data from the breadboard. Once the capturing process is finished, a command is sent to the Saleae Software telling it to export the read data out as a Comma-Separated Values (CSV) file. In this case, the file contains a row with the timestamp and six binary values. Then, the SARL system will read the CSV file for needed data, skipping the first value, since it is the timestamp of capture, the next four values are the values of the input channels, and the last two values are the values of the output channels. After having all needed data, the program will start comparing the data to generate and display the results and repeat with another character until all possible variable combinations are generated. The display can be shown as a truth table validating the user output for each combination. From the perspective of the data flow, the program has the following processes: - Setup problem: Get problem statement. Get the Boolean expression and generate the truth table. - Validate input correct: At the start, get the meaning of each variable, get the graphic to be displayed with correct answers to the variables, generate correct truth table. The program will compare the values from the input channels to the values of the term given to the displayed picture, which was converted into binaries. If those sets of values do not match each other, a message will appear prompting the students to check the input channels or answers since the inputs do not match the correct value. Otherwise, the program can move onto the next step. This detects if user did not interpret the values of variables correctly, - Get user output: Each value from the output channels will be checked against the value of the Boolean equation for the given input equation. If the value from the output does not match the associated value from the equation, then the program will show a message prompting the students to check the output channel and the program can move onto the final step. - Validate circuit: Finally, the program will need to check all the values of the terms given to the displayed picture against the values from each term of the equation; except for the “dont care variables”. If the student has filled in all the output values correctly, he receives a 100% for the activity, if not the system will follow rubric to determine the grade. A successful adaptation of the same laboratory was done using the Arduino Nano micro-controller. This experiment also serves as a proof of concept that SARL supports hybrid labs. The student uses a mobile lab to create a circuit and interface with a virtual lab and remote lab. The teacher can generate different labs by changing the two Boolean expressions, the meaning of the variables, and the corresponding figures to be shown. 7.5.2 Implementation of Railroad Crossing Remote Laboratory A remote laboratory implementation of a railroad crossing system has been developed. The experiment is composed of a set of LEDs and a servo-motor that raises and lowers a gate, serving as a railroad crossing traffic signal. This experiment is integrated in the LMS Moodle. Two versions of this experiment were implemented, see Figures 7.23 and 7.24. The first version includes a two light semaphore and the servo motor to move the gate. The second version is a hybrid laboratory that additionally includes digital audio to play the sound of the bell that sounds before and after the train passes and the sound of the train itself. An overlay video of a real train crossing has been added. This train crosses from left to right, or from right to left. Different activities can be proposed based on the functionalities of this laboratory station, some of the tasks can be: - Programming tasks (concepts of variables, constants, loops, if statements, etc.) - LEDs control - Pulse Width Modulation (PWM) concepts (dim lights, control servomotors) - State machines development (connecting the student mobile lab kit) - Counters development Figure 7.23: Railroad crossing remote experiment Figure 7.24: Hybrid version of the railroad crossing remote experiment with audio and augmented reality video added 7.5.3 Implementation of Color Generator Remote Laboratory This lab uses the additive Red, Green, Blue (RGB) color model shown in Figure 7.25. Every color can be created from the RGB color model and can have a different intensity to make a total of 16,777,216 colors when varying the intensity of each color from 0 to 255. This lab is used in Introduction to Logic Design class to teach number base conversion. To simplify the model a three-bit binary number represents whether or not the Red, Green or Blue LED is set (always at highest intensity). Figure [161] shows the combinations possible and how they relate to resulting color. Thus, a random decimal or octal 0-7 will generate one of eight colors. ![Venn diagram clustering additive RGB color model](image) Figure 7.25: Venn diagram clustering additive RGB color model) The lab generates a random number to generate a color which is displayed using a red, a green, and a blue LED covered together to diffuse the lights to generate the additive color and also displays with a color chart and pointer indicating the color being displayed by the three LED combination. The design of this lab is based on the architecture of other remote lab experiments that have been developed for the FAU logic design class. The experiment follows the basic structure where the student interacts with the remote experiment connected to a Raspberry Pi3 and a camera, with the use of either a mobile laboratory kit for Logic Design or the The idea is to randomly generate a color combination from the three LEDs and let the user match that color combination. The best way to do this in a remote lab set up is to use a Raspberry Pi3 to light a combination of red, green and blue LEDs using a Python random number generator program. The PHP program that is used for the user interface has a similar structure to generate the eight color combinations on screen. There is a single seven segment display on the remotely controlled lab in order to give the user a hint by displaying the decimal number associated with the randomly generated color. Table 7.1 presents the eight combinations of colors with its respective RGB, decimal and binary representations with the intensity of the color at 0 meaning turn LED off and 255 indicating the highest possible intensity, meaning turn LED on. For example, 101 turns red on, green off and blue on yielding magenta and the number 5. The user will have to match the color combinations indicated on the color wheel and seven segment display displayed by the LEDs. If the user is inputting their color matches from the breadboard, there will be a set of uncovered 3 (red, green, blue) LEDs and a set of LEDs that are covered with thin white paper to diffuse the light. Both sets will be controlled by the same switches. The color-matching remote lab will be included as one of several interactive remote labs that will be implemented by the Logic Design class in SARL to introduce the binary number system. Within the lab activities of this lab will be included an activity to discuss color generation and color blindness and adapting interfaces and methods to accommodate persons with this disability. Students that log into the system and complete the lab experiment will have their progress tracked and monitored using the xAPI module. The Raspberry Pi3 is connected to the internet and makes the color matching experiment available through the SARL interface. The remote lab itself is comprised of a breadboard, wires that are connected to the seven-segment display using a Raspberry Pi3 to display the random number between 0 and 7. Three other wires were connected to the corresponding red, green and blue LEDs on the breadboard. A set of red, green, and blue LED lights were connected to GPIO output pins of the Raspberry Pi3: 3, 5, and 7 pins respectively. The LEDs also used 1k ohm resistors on the breadboards in order to balance current flow to the LEDs. The remote lab uses the Raspberry Pi3 to also connect the experiment to the internet and to the server. Additionally, the LEDs are covered by a color diffuser, made with a piece of paper and some tape using origami to make into box shown in Figure 7.26. This is done by removing or folding back the portion of the A, B, C, D flaps that fold inside the base of the origami to allow more light passing through the box. The paper box is turned over to cover the three LEDs, the distance between the LEDs and the top of the box has to be adjusted to generate a correct diffusion of colors. Figure 7.26: origami template for box to defuse RGB LEDs to generate colors Figure 7.27 presents the remote experiment using the Raspberry Pi 3 as controller. Figure 7.27: Color matching remote lab experiment An improvement of this lab experiment includes the inclusion of a servo motor with an arrow and a color wheel, where the arrow points to the color generated with the LEDs. Figure 7.28 presents the remote experiment interface using the SARL platform. ![Color matching remote experiment - SARL platform](image) Figure 7.28: Color matching remote experiment - SARL platform ### 7.5.4 Implementation of Basketball Game Remote Laboratory To develop the basketball game remote laboratory [162], we use a very inexpensive mechanical dual basketball game (cost 10 $USD) [163] and different support components such as: plastic pieces, and different gauge wires. The plastic is used to prevent the ball from escaping their play area. Wires were shaped to create the trigger for the touch sensor to count balls going through a basket and a wire and servomotor to create the launcher actuator. The touch sensor for the counter uses a wire shaped as a spring and a cooper wire, to create a sensor that is similar to a switch. The cheaply made sensor is responsible for counting the points in the game, it is located below the hoop and it is activated when a ball goes inside the hoop and counts the point for the player or computer. Figure 7.29 shows the hoop sensor. 2 wires are connected to the hoop, the blue wire is connected to a cooper... wire in the hoop and in the other side to the raspberry Pi3 using an input pin in pull-up mode, and the white wire is connected to the spring in the hoop side and to ground in the Raspberry Pi3. When the ball passes through the hoop, the cooper wire touches the spring and a signal is sent to the Raspberry Pi3 and a point is counted. ![Basketball game hoop sensor](image) Figure 7.29: Basketball game hoop sensor The ball launcher device is manipulated electronically by the servo motor and a rigid wire. This wire is responsible for the strength of the shoot and direction of the ball. The servo motor together with the wire acts as the arm of the basketball player. The user can calibrate the force by setting starting position of the servo motor “arm” and the amount of movement of the servo. The user also can define the delay between shots with which the servo motor will launch the ball to the hoop. The game came with three orange and three blue balls that automatically return after the throw to the launch area by gravity because of the slant of the basketball court (base). The color designates the player side. In practice it was found that occasionally three balls caused two balls to get stuck blocking the launch entrance. This was resolved using only two balls per side. Figure 7.30 presents the interface of the remote laboratory including the user activity (programming task). The experiment is also used as part of a hybrid laboratory for the Introduction of Logic Design class, giving the student the possibility to connect the breadboard with the experiment for the class. In this case the students have two different activities, first launch the ball from the mobile laboratory kit using one of the debounced pushed button switches, and second, implement a driver for one or more of the LEDs in a seven-segment display counter in their mobile laboratory kit that increments automatically when the ball goes through their hoop in the remote laboratory that matches with the real time counter of the remote laboratory interface, see Figure 7.31. Another variation is for the user to control the game’s seven-segment display driving the display with the circuit on their mobile laboratory kit and update it when the user makes a basket in the remote laboratory. Sound and virtual reality crowd could be added that react when their side scores. Figure 7.30: Basketball game accessed through the SARL platform The experiment has different modes: - Free for programming tasks - One player game (user vs time) - Multiplayer game (two users connected to the same lab station) This experiment is used to provide external input to the student circuits and to use decoders to control seven-segment display LEDs. 7.5.5 Implementation of Hex-Bugs Robots Remote Laboratory To develop the Hex-bugs remote laboratories, we use a set of two remote controlled Hex-bugs Battle Spiders (cost 25$USD each) [164], see Figure 7.32. A set of infrared (IR) receivers and external battery pack with wireless chargers for each hex-bug, allow hardening of the laboratory by not having to replace batteries and flexibility in the scenarios created. The remote controller of each robot has been connected to the Raspberry Pi3, five GPIO pins were used, two for forward and backwards movement, two more for left and right rotation and 1 for triggering the infrared beam. The scenario is augmented with virtual elements that are displayed in the wall and floor, attached to each virtual image is one of the IR receivers. In the experiment the student will control the robot and select a specific element in the scene using the IR gun built into the robot, the set of elements displayed is previously defined in the activity. A proposed scenario is composed the robot working to provide support collecting supplies to attend an emergency. The robot mission is to select the item in the order specified. Figure 7.33 presents the simulated scenario that will be integrated as AR element during the real time control of this remote hybrid laboratory. After its collection the hex-bug must be maneuvered to the charging location to complete its mission successfully. This laboratory experiment can be controlled directly from the browser interface or using the student mobile laboratory kit and be used in the Introduction of Logic Design class to create lab activities based on truth tables, validation of Boolean expressions, sequential circuits and counters. It is an example of a hybrid laboratory utilizing mobile, remote and virtual laboratories and uses multi-threading in the Raspberry Pi to control movements/rotation and control the infrared/detection target hit. 7.6 CHAPTER SUMMARY This chapter covers the implementation of prototypes of an online laboratory system that implements proof of concepts of the Smart Adaptive Remote Laboratories (SARL) architecture. This system implements the basic functionalities included in the proposed model of RLMS. Integration of mobile laboratories as well as low-cost lab experiment station prototypes that are fully functional developed for the Introduction to Logic Design class are presented. These labs are flexible and can be composed through different interfaces. The same lab station can be used for different experiments in different programming languages. Virtual and augmented reality backgrounds provide flexibility of setting different context for different problems on an experiment that could include lessons relevant to public safety, public health, security, global issues, economics and social impacts, disability accommodations, among others. Figure 7.34 presents an updated view of the laboratory stations developed for Introduction to Logic Design course at Florida Atlantic University (Lab in a Window V2). Figure 7.34: Laboratory stations developed for Introduction to Logic Design CHAPTER 8 ANALYSIS OF ONLINE LABORATORIES IMPLEMENTATIONS This chapter compares the implemented prototype of the SARL online laboratory system presented in chapter 5 with the existing implementations of online laboratory systems presented in the chapter 2 in the category of university projects and shows a brief analysis of the comparison. Additionally, a comparison of SARL with other xAPI models implemented for Online Laboratories is presented. 8.1 COMPARISON WITH EXISTING ONLINE LABORATORIES UNIVERSITY PROJECTS The comparison features defined are the same features used in chapter 2. To compare existing online laboratories, The Smart Adaptive Remote Laboratory implementation was included as one of the items in the table. Table 8.1: Table of comparisons including SARL \| Lab Implementation \| Integration VLE \| Users Login \| Learning Activities \| Lab Type \| Concurrency \| User Roles \| Async-Lab \| Scheduling \| \|--------------------\|-----------------\|-------------\|---------------------\|----------\|-------------\|------------\|-----------\|------------\| \| iLab \| - \| - \| Yes \| R \| P \| Yes \| Yes \| Yes \| \| VISIR \| - \| - \| - \| R \| P \| - \| - \| Yes \| \| WebLab-Deusto \| Yes \| Yes \| - \| R \| P \| Yes \| - \| Yes \| \| UNED \| Yes \| Yes \| Yes \| R, V \| Yes \| Yes \| - \| Yes \| \| FEUP \| Yes \| Yes \| Yes \| R, V \| Yes \| Yes \| - \| Yes \| \| TELUQ L@d \| Yes \| Yes \| Yes \| R, M \| P \| Yes \| - \| Yes \| \| ISES \| - \| - \| Yes \| R \| - \| - \| - \| Yes \| \| IST \| - \| Yes \| Yes \| R \| - \| Yes \| - \| Yes \| \| RCL \| - \| - \| Yes \| R \| - \| Yes \| - \| Yes \| \| RELLE \| - \| Yes \| Yes \| R \| - \| Yes \| - \| Yes \| \| Remote Farm \| - \| Yes \| Yes \| R \| - \| - \| - \| Yes \| \| eLab-TeleLab \| - \| Yes \| Yes \| R \| - \| Yes \| - \| Yes \| \| SARL \| Yes \| Yes \| Yes \| R, V, H, M \| Yes \| Yes \| - \| Yes \| Additional features included in SARL are: smart adaptive laboratory interfaces, lab authoring tools, low-cost stations, multi-language support, auto-grading system, data collection for analytics, real circuit building and anti-cheating measures. 8.2 ANALYSIS OF THE RESULTS Some of the university projects in the area of online laboratories reviewed in this section were developed for a specific topic or class, for example WebLab Deusto. The projects that have implemented online laboratories for a longer period of time have reached a higher level of development, for instance projects such as: UNED, FEUP, TELUQ and WebLab Deusto have integrated their laboratories with VLEs and implemented RLMS features such as login and schedulers. These university projects generally were started by a professor or a group of professors to transform the laboratory experience. This motivated them to start doing research in the area with the goal of implementing online laboratories to be used in a specific class. Our implementation is different because we added a combination of elements such as: - Use of generic architectures for the RLMS which has been reviewed and accepted as a software design pattern. - The use of xAPI as support for the tracking of lab experiences utilizing standard xAPI vocabulary and adding roles, components and systems that can generate xAPI statements. - Innovative methods to generate user interfaces dynamically, making the system smart and adaptive, as well as permitting flexibility in lab composition through providing AR components. - Provide support for storing local centralized, distributed and hybrid configurations of LRS’s increases the opportunities to conduct learning analytic and support for micro credential documentation. The efforts to provide reliability to the implementation, through the identification of failures and quick response with required countermeasures. 8.3 XAPI IMPLEMENTATIONS COMPARISON The set of features used in this comparison are the same features used in the xAPI implementations comparison presented in chapter 6. The Smart Adaptive Remote Laboratory (SARL) xAPI implementation was included as one of the items in the table. Table 8.2: Comparison of existing xAPI approaches including SARL \| Feature \ Tool \| c-MOOLs \| ForgeBox \| Lab@Home \| xAPI Int Framework \| LA (TU Ilmenau) \| SARL \| \|---------------------------------\|---------\|----------\|----------\|--------------------\|-----------------\|------\| \| Reporting user experiences \| YES \| YES \| YES \| YES \| YES \| YES \| \| Reporting system information \| - \| - \| YES \| YES \| - \| YES \| \| Classification xAPI statements \| YES \| - \| YES \| YES \| - \| YES \| \| Origin xAPI statements \| - \| - \| Client \| Client and Experiment \| Client and Experiment \| Client and Experiment \| \| ADL vocabulary or other \| ADL + Other \| - \| ADL + Other \| ADL + Other \| Other \| ADL + Other \| \| Optional fields xAPI statement \| YES \| YES \| YES \| YES \| - \| YES \| - : Not reported The proposed xAPI model has been implemented following xAPI definition and good practices recommended by the Advanced Distributed Learning (ADL), utilizing standard ADL xAPI vocabulary. Making use of the additional xAPI fields such as context, timestamps, authority and results. Additionally, using the SARL defined set of roles and adding the SARL system modules and laboratory hardware components as actors capable of reporting xAPI statements to the LRS. CHAPTER 9 CONTRIBUTIONS, CONCLUSIONS AND FUTURE WORK 9.1 SUMMARY OF CONTRIBUTIONS The contributions of this dissertation include: - Definition of Smart Adaptive Remote Laboratory (SARL) architecture, described in Chapter 5, was presented at the Frontier in Education conference FIE 2017 indexed in the IEEE Xplore library [120], the definition complies with the new IEEE-1876 - Networked Smart Learning for Online Laboratories 3.6. - Definition of a design pattern for a Remote Laboratory Management System, presented in Section 4.2, presented in the 2018 Latin American Conference on Pattern Languages of Programs (PLoP), indexed in the ACM Digital Library [107]. - Use of Smart Adaptive Remote Laboratory (SARL) architecture to support the Latin American and Caribbean network of online laboratories presented in Chapter 2, presented at the Frontier in Education conference FIE 2016 and indexed in the IEEE Xplore Library [102]. - Definition of an xAPI-based activity tracking system for online laboratories, presented in Chapter 6, presented at the Frontier in Education conference FIE 2018 indexed in the IEEE Xplore Library [122], fully complies with xAPI vocabulary and standards. - Definition of reliability model for online laboratories presented in Chapter 5, presented at the International Conference on Remote Engineering and Virtual Instrumentation (REV2018) and published in the book Smart Industry & Smart Education by Springer in 2018 [116]. - Definition of Learning Record Store (LRS) centralized and distributed architectures, presented in Chapter 6, presented at the 2018 Learning With MOOCS Conference (LWMOOCS) indexed in the IEEE Xplore Library [136], accommodates security and privacy requirements of stakeholders. - Integration of online laboratories with Actionable Data Book (ADB) e-books, presented in Chapter 7. Demonstrated during the Frankfurt Book Fair in 2017 [157]. - Contributions to the definition of the IEEE 1876 - Networked Smart Learning for Online Laboratories Standard, presented in Section 3.6 approved March 21, 2019. - Design and implementation of a set of online laboratories for Introduction to Logic Design, presented in Chapter 7, some of the demonstrations have been presented and published at LACCEI International Multi-Conference for Engineering, Education and Technology during 2017 [152], and 2018 [155, 162], indexed by Scopus. Showing how SARL can support and evaluate all the labs in an engineering course, integrated to an LMS and provide flexibility to change the problem to be solved and change its context easily without changing the remote lab stations, only changing the interfaces and Augmented Reality elements. 9.2 CONCLUSIONS The motivation and funding for this research came from an “Engineering for the Americas” initiative from the non-profit Latin America and Caribbean Consortium of Engineering Institutions (LACCEI) to develop the infrastructure to support a Latin American and Caribbean network of low-cost online laboratory stations hosted by LACCEI institutional members. The Smart Adaptive Remote Laboratory (SARL) system is the prototype for this infrastructure. This research defines models and architectures for remote laboratories that adhere to current and developing standards. It incorporates models that support user roles and collaboration in the educational context that support synchronous remote laboratory formats. In particular, we defined and implemented prototypes of the proposed Smart Adaptive Remote Laboratory (SARL) architecture, including the use of the Remote Laboratory Management System (RLMS) managing the Smart Laboratory Learning Objects (SLLO), multiple user roles, and Experience API (xAPI) for reporting information about interaction between the labs and users. Through the use of standards and adaptive interfaces it is possible to integrate other systems such as Virtual Learning Environments (VLEs), to inform the remote laboratory of the mastery level of the student and the complexity of the experiment. With this information, the laboratory can block or hide some of the controls from the lab interface, restricting the view of part of the controls or blocking the option of configuring some others or adding additional assistance. In this way, students can start using a very simplified version of the remote laboratories experiment based on the difficulty level and their knowledge. As their knowledge and mastery level increase, the remote laboratory can turn on more controls, increasing the complexity of the experiment. Information must flow in both directions, from the student profile to the remote laboratory and vice versa, keeping updated the student level and the remote laboratory interface. The Smart Adaptive Remote Laboratories through the use of adaptive interfaces, creates a meaningful laboratory experience for the students, guiding them in the learning process and providing different learning scenarios. Providing a context through the use of Virtual Reality and Augmented Reality allows the teacher to incorporate other concepts important to the education of engineers such as public safety, public health and economic, social or ecological impact. This creates a whole new learning experience in which the teacher and administrators will be participants of the students learning process and allows reuse of a remote lab stations by different experiments. Depending on the type of activities proposed in the remote lab experiment, evaluation of the lab activities may need a specific software implementation to generate the automatic result for the student, otherwise students must wait until the teacher grades the lab activities. In the near future, the implementation of this design is expected to have a wider use of remote laboratories adapted to the requirements of the curriculum. The IEEE-1876 Networked Smart Learning for Online Laboratories Standard will generate a unified view of the meaning of a learning object that includes remote experimentation as a main component. New developments in technology will make possible new ways to interact with and use remote labs while accommodating disabilities and ability to select the communication language. It is important to support the IEEE ICICLE initiative to develop new standards to support the new discipline called Learning Engineering, which focuses on engineering learning systems, not only to define technological aspects, but also to include the educational context and the pedagogical aspects such as teaching program objectives and outcomes, mastery micro-credentials or badges. Security aspects are important in the implementation of remote laboratories. Risks could be generated due to bad use of the laboratory, intrusion of viruses or malware, impersonation of users remotely, and many other threats inherent to systems distributed through any type of networks. Safety concerns, due to the possibility of exceeding operational requirements of the equipment and components, need to be addressed. Privacy laws affect the storage and access of personal data. A standard model of assessment of failures of online laboratory systems gives developers tools to protect and improve the systems, making the systems more reliable, efficient, and secure, generating in users a higher level of confidence when they want to invest in this type of solutions. The reliability model proposed is intended to be applied to different types of online laboratories, more specifically remote laboratories, virtual laboratories, and hybrid configurations that use software and hardware components suggesting possible resolutions. However, the model does not use specific data about batch experiments or other asynchronous configurations part of its knowledge base. 9.3 FUTURE WORK The next stages in the development of the area will include the full implementation of xAPI as a new standard in educational technologies, and the double direction communication that allow the information flow between the RLMS and the VLE platforms. Additionally, more flexible and adaptive interfaces will be developed including technological advances in Augmented Reality (AR), Virtual Reality (VR) and learning analytics (LA). Additionally, online laboratories may include the use of assisted remote laboratories, in which part of the experience is made by the user and part is made by the system. A virtual tutor can be trained using expert knowledge, or the system can learn by mimicking and processing the user behavior (avatar). The intelligent tutor identifies the level of student knowledge and then acts as an expert team mate, doing at the beginning most of the experiment with explanations, but later giving the student more and more responsibilities. This can be mapped as a level of trust. The more the student and avatar practice together, the higher will be the level of trust, so the student can perform increasingly complex tasks. Students can learn from seeing how the intelligent tutor solves the problems. This kind of systems has been used in contexts such as: e-learning environments, video games, and training simulation software. These tutors or teacher avatars can make use of the adaptive interfaces described in this dissertation to control or block the students access to some parts of the laboratories. Remote laboratories present a new technological challenge in terms of access and resource sharing, permitting many users to access the same equipment at the same time. This is something that, for now, is considered to be not possible, taking into consideration that the lab equipment is composed by actuators, sensors, cameras and the control unit are accessed sequentially. To help solve part of this restriction of the physical equipment, some advances made in the fields of networks communication systems and cloud computing architectures can be adopted in the remote laboratories implementation. One approach will be the implementations of multiplexing of connections. This consists in allowing multiple users to share reading the sensors during the experimentation process. The first approach would require the control system to remember the current state of the experiment for each of the users connected and allow each student, in a short window of time, to manipulate the actuators according to their programs. This approach will simulate a multitasking system. A second approach recalls the concept of operating systems virtualization [165] which allows the system hardware to run multiple instances of different operating systems concurrently. This concept can be applied to remote laboratories virtualizing the control unit as an instance of a larger infrastructure that can provide an equivalent computational power and the memory required to run the experiment. This approach generates additional challenges, such as: the emulation of the specific architecture of the control unit, e.g. Programmable Logic Controller (PLC), Microprocessor, Peripheral Interface Controller (PIC), and Field-Programmable Gate Array (FPGA); and the management of the available resources that can be assigned to a user in time windows. Reliability of the remote laboratories can be improved through more complex scheduling algorithms that take into account the mean-time-to-failure and maintenance requirements such as battery or expendable materials replacement. 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Mutation rate dynamics reflect ecological change in an emerging zoonotic pathogen Gemma G. R. Murray\textsuperscript{1}\textsuperscript{}, Andrew J. Balmer\textsuperscript{1}, Josephine Herbert\textsuperscript{1aa}, Nazreen F. Hadjirin\textsuperscript{1}, Caroline L. Kemp\textsuperscript{2}, Marta Matuszewska\textsuperscript{3}, Sebastian Bruchmann\textsuperscript{1}, A. S. Md. Mukarram Hossain\textsuperscript{1ab}, Marcelo Gottschalk\textsuperscript{2}, Alexander W. Tucker\textsuperscript{1}, Eric Miller\textsuperscript{1ac}, Lucy A. Weinert\textsuperscript{1} \textsuperscript{1} Department of Veterinary Medicine, University of Cambridge, Cambridge, United Kingdom, \textsuperscript{2} Département de Pathologie et Microbiologie, Université de Montréal, Montréal, Canada \textsuperscript{a} These authors contributed equally to this work. \textsuperscript{aa} Current address: School of Pharmacy and Biomedical Science, University of Portsmouth, Portsmouth, United Kingdom \textsuperscript{ab} Current address: Cancer Biomarker Centre, Cancer Research UK Manchester Institute, The University of Manchester, Alderley Park, United Kingdom \textsuperscript{ac} Current address: Haverford College, Pennsylvania, United States of America firstname.lastname@example.org Abstract Mutation rates vary both within and between bacterial species, and understanding what drives this variation is essential for understanding the evolutionary dynamics of bacterial populations. In this study, we investigate two factors that are predicted to influence the mutation rate: ecology and genome size. We conducted mutation accumulation experiments on eight strains of the emerging zoonotic pathogen \textit{Streptococcus suis}. Natural variation within this species allows us to compare tonsil carriage and invasive disease isolates, from both more and less pathogenic populations, with a wide range of genome sizes. We find that invasive disease isolates have repeatedly evolved mutation rates that are higher than those of closely related carriage isolates, regardless of variation in genome size. Independent of this variation in overall rate, we also observe a stronger bias towards G/C to A/T mutations in isolates from more pathogenic populations, whose genomes tend to be smaller and more AT-rich. Our results suggest that ecology is a stronger correlate of mutation rate than genome size over these timescales, and that transitions to invasive disease are consistently accompanied by rapid increases in mutation rate. These results shed light on the impact that ecology can have on the adaptive potential of bacterial pathogens. Author summary Mutations are the ultimate source of all genetic variation and mutation rates vary considerably both within and between bacterial species. Understanding the drivers of this variation is important as it influences the capacity of bacteria to respond to challenges. It is particularly important for bacterial pathogens as it impacts how they respond to host immune responses and antibiotic treatments. Our study investigates how mutation rates... strains have been deposited under the BioProject ID: PRJNA763404. Accessions are provided in S1 Table. Funding: This work was primarily funded by an Isaac Newton Trust / Wellcome Trust IISF / University of Cambridge Joint Research Grant to LAW. In addition, LAW, ELM, GGRM were supported by a Sir Henry Dale Fellowship to LAW jointly funded by the Wellcome Trust and the Royal Society (109385/Z/15/Z). GGRM was also supported by a Research Fellowship at Newnham College, University of Cambridge, and by a ZEUS BBSRC award (BB/L018934/1) to AWT. AJB was supported by a BBSRC-funded studentship. MM was supported by a Medical Research Council studentship, co-funded by the Raymond and Beverly Sackler Fund. MH was supported by EU Horizon 2020 grant “PIGSs” (no. 727966) to LAW and AWT, which also funded the collection of some of the isolates in this study. The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. Competing interests: The authors have declared that no competing interests exist. Mutation rates vary within a bacterial species that has both a variable genome size and a variable ecological relationship with its host. While inter-species comparisons have found that bacterial species with smaller genomes tend to have faster mutation rates, our within-species comparisons show no evidence of a link between mutation rate and genome size. Instead, we find that strains that were involved in invasive infections have faster mutation rates than those carried asymptptomatically by a host. This suggests that different factors influence mutation rate variation over different timescales, and that short-term changes are sensitive to ecological transitions. This contributes to our understanding of both the adaptive potential of pathogens, and the obstacles that bacteria have to overcome to cause disease in their host. Introduction Mutation rates vary within and between bacterial species, contributing to differences in both the burden of deleterious mutations and the capacity to adapt to environmental change [1–3]. Understanding how mutation rates evolve in response to selective pressures is fundamental to our understanding of evolutionary dynamics. In the case of bacterial pathogens, it is important for understanding pathogen emergence, evasion of host immunity, and evolution of antimicrobial resistance [4–7]. There are several reasons to predict that bacterial pathogens will have higher mutation rates than non-pathogens. First, pathogens may be less able to constrain the evolution of their mutation rate. Mutation rates evolve as linked traits, and as deleterious mutations are more common than beneficial mutations, theory predicts that selection against these mutations will generally lead to indirect selection for lower mutation rates. Common features of pathogen ecologies such as host-restriction, frequent between-host transmission, and rapid within-host adaptation, could all contribute to a smaller effective population size [4, 8]. This could lead to a reduced efficacy of natural selection, and therefore to maladaptive evolution, including a higher mutation rate [1, 9, 10]. Second, a higher mutation rate may be associated with a lower selective cost for pathogens. Bacterial pathogens tend to have smaller genomes with fewer genes than closely related non-pathogens [11, 12], and a smaller genome will mean that a higher (per site) mutation rate will lead to fewer additional mutations [13]. Finally, pathogens might actually benefit from higher mutation rates. Pathogens often face challenging and hostile environments, and higher mutation rates can increase the speed of adaptation [3, 14, 15]. This might lead to positive selection for a higher mutation rate, although indirectly via linkage with beneficial mutations. Despite these predictions, the influence of ecology and genome size on mutation rate dynamics in natural populations of bacterial pathogens is not well understood. Across bacterial species, mutation rates have been found to be inversely correlated with genome size, and largely independent of ecology [1, 16]. Within several bacterial species, hypermutable strains with orders of magnitude higher mutation rates than the species average have been identified [17–23]. Nevertheless, this within-species variation remains poorly characterized, and while there is evidence that transient increases in mutation rates can promote adaptation, it remains unclear whether there is an association with pathogenic ecologies. To investigate the influence of ecology and genome size on mutation rate, we carried out mutation accumulation (MA) experiments and whole-genome sequencing for eight isolates of the opportunistic and emerging bacterial pathogen Streptococcus suis. This experimental approach allowed us to obtain precise estimates of mutation rate, and therefore to investigate small-scale rate variation, which is more likely to persist over time, and to be associated with longer-term ecological transitions [24, 25]. S. suis both asymptptomatically colonises the upper respiratory tract of pigs, and causes severe invasive infections in both pigs and humans [26, 27]. Natural variation within this species allows us to compare the mutation rates of closely related isolates with different pathogenic ecologies and a range of genome sizes (1.97–2.67 Mb) [12, 28]. Results We first estimated the mutation rates of two pairs of closely related isolates, that span the known range of S. suis genome size (strains 1–4 in Figs 1 and S1, and Tables 1 and S1). In each pair, one isolate was sampled from the site of an invasive infection (disease) and the other from the tonsils of a pig without S. suis associated disease (carriage). The relationship between these isolates, and their placement in a core genome phylogeny of S. suis was established in a previous study [12]. This study found that while both asymptomatic carriage isolates and invasive disease isolates are present across the S. suis phylogeny, invasive disease isolates are more common in one clade (a “more pathogenic” group) and carriage isolates more common outside of this clade (a “less pathogenic” group). Genetic diversity in the more pathogenic group is lower than, and falls within the diversity of the less pathogenic group, consistent with a more recent origin [12]. One of our pairs of isolates was sampled from this more pathogenic group (isolates 1 and 2) and the other from a less pathogenic group (isolates 3 and 4) (Figs 1A and S1). Our choice of strains therefore allows us to discriminate between three possible correlates of mutation rate: short-term transitions from carriage to disease (Fig 1B), long-term changes in pathogenicity (Fig 1C), and genome size (Fig 1D). We estimated the mutation rates of the four isolates through four parallel 200-day MA experiments. We evolved 75 replicate lines of each strain over 200 days, with daily passaging through single-colony bottlenecks. We estimated that this 200-day period corresponds to between 3,445 to 3,991 generations for these four strains (Tables 1 and S2, and S2 Fig). We ![Fig 1. Differences in mutation rate between carriage and disease strains, and in mutational spectrum between more and less pathogenic groups.](https://doi.org/10.1371/journal.pgen.1009864.g001) (A) Phylogeny (B) Short-term disease-association (C) Long-term pathogenicity (D) Genome size (E) Mutation rate (F) Ts/Tv (G) TSGC→AT / TSAT→GC The attributes of the strains in the 200-day MA experiment, and (E)–(G) our estimates of mutation rate and spectrum. (A) A phylogeny based on an alignment of shared genes. (B) Short-term disease association: whether the strains were isolated from the tonsils of animals without disease (carriage) or the site of an invasive infection (disease). (C) Long-term differences in pathogenicity between the two main groups of S. suis, with which the two disease strains fall in a core genome phylogeny based on analysis of a global collection of S. suis isolates [12]. (D) Genome size. (E) Estimates of genome-wide single-site mutation rates. (F) Estimates of the ratio of transitions (Ts) to transversions (Tv). (G) Estimates of the ratio of G/C to A/T to A/T to G/C transitions. Disease strains (1 and 3) are shown in red and carriage strains (2 and 4) in blue. Strains from the more pathogenic group (1 and 2) are shown as filled circles, and strains from the less pathogenic group (3 and 4) are shown as empty circles. In (E)–(G) all points represent mean values across 50 replicate lines, and bars represent 95% confidence intervals estimated from bootstrapping across lines. https://doi.org/10.1371/journal.pgen.1009864.g001 Table 1. Characteristics of the eight strains of Streptococcus suis used in both the 200-day (not shaded) and 25-day (shaded) MA experiments and estimates of their mutation rates. \| Group \| Strain \| More pathogenic \| Less pathogenic \| \|------------------------\|--------\|-----------------\|-----------------\| \| \| \| 1 \| 5 \| 6 \| 2 \| 7 \| 8 \| 3 \| 4 \| \| Disease-association \| \| Disease \| Carriage \| Disease \| Carriage \| Disease \| Carriage \| Disease \| Carriage \| \| Genome size (Mb) \| \| 1.97 \| 2.02 \| 2.08 \| 2.12 \| 2.23 \| 2.16 \| 2.32 \| 2.67 \| \| Duration of experiment (days) \| \| 200 \| 25 \| 25 \| 200 \| 25 \| 25 \| 200 \| 200 \| \| Number of generations \| \| 3,991 \| 523 \| 513 \| 3,989 \| 511 \| 503 \| 3,484 \| 3,445 \| \| Single-base mutation rate (95% CI) x10⁻⁹ /site/generation \| \| 1.67 (1.51–1.84) \| 1.24 (0.58–2.05) \| 1.44 (0.86–2.16) \| 1.03 (0.92–1.15) \| 1.43 (0.75–2.24) \| 0.17 (0.01–0.42) \| 1.83 (1.68–1.97) \| 0.99 (0.84–1.12) \| https://doi.org/10.1371/journal.pgen.1009864.t001 then sequenced the genomes of 50 randomly selected evolved lines of each strain, and estimated mutation rates through identifying differences in the genomes of the evolved lines compared to the genomes of the ancestral strains. Increased mutation rates associated with the transition from carriage to disease We found that the two disease isolates had accumulated single-base mutations at a faster rate (per site per generation) than the two carriage isolates, while there was no consistent difference in overall rate between isolates from the more and less pathogenic groups, or a correlation with genome size (Fig 1, Tables 1 and S3). The increased accumulation rate in disease isolates is observed across all classes of single-base mutations, including transitions, transversions, A/T to G/C transitions and transversions, and G/C to A/T transitions and transversions (Figs 2 and S3), and across both core and accessory genes (S4 Fig). MA experiments aim to minimise the effect of selection on new mutations, so that accumulation rates reflect mutation rates as closely as possible. Our results indicate that the influence of selection on accumulation rates was low across our four MA experiments. First, distributions of single-base mutations across the 50 replicate lines do not differ significantly from a Poisson distribution for any of the four strains (S4 Table), suggesting that accumulation rates did not vary across lines. Second, rates of single-base mutation were similar across 1st and 2nd codon positions and 4-fold degenerate sites for each strain (S5 Fig). Third, non-unique single base mutations were rare: only 5 of the 2,267 single base changes observed over the four experiments occurred in more than one line, and none occurred in more than two. Fourth, we ![Fig 2. Disease strains have faster rates of transitions (Ts) (A), transversions (Tv) (B), G/C to A/T transitions (C), A/T to G/C transitions (D), G/C to A/T transversions (E), and A/T to G/C transversions (F), but not deletions (G, H). Disease strains are shown in red and carriage strains in blue. Strains from the more pathogenic group are shown as filled circles, and strains from the less pathogenic group are shown as empty circles. All points represent mean values across 50 replicate lines, and bars represent 95% confidence intervals estimated from bootstrapping across lines. Rates for (A)-(G) are shown on the left axis, and rates for (H) are shown on the right axis.](https://doi.org/10.1371/journal.pgen.1009864.g002) found no evidence of an overall change in maximum growth rates over the course of the experiment for the evolved lines of the two carriage strains or the disease strain with the smaller genome, and a net decline in maximum growth rate in the disease strain with the larger genome, consistent with its accumulation of the largest number of mutations, and these mutations tending to have a weakly deleterious effect (S6 and S7 Figs, and S5 Table). And finally, we sequenced five lines of each of the four strains at the midpoint of the experiment (100 days), and estimated rates of accumulation over the first and second halves of the experiment. This revealed no evidence of a change in rate (S6 Table). To further test the observed difference in mutation rate between disease and carriage isolates we undertook an additional smaller scale (25-day) MA experiment with an additional four isolates. These four isolates were chosen to include much closer relatives of the two isolates from the more pathogenic group from our original experiment, and a more distantly related disease/carriage pair, also from the more pathogenic group (Tables 1, S1 and S7). This allowed us to investigate whether the difference between disease and carriage isolates holds over shorter evolutionary distances, and to test the generality of the association. 15 replicate lines of the four strains were evolved over 25 days, 11–13 randomly selected lines of each strain were sequenced, and mutations were identified in the same way as in the 200-day experiment. Our estimates of single-base mutation rates for this combined data set of four pairs of disease and carriage isolates showed a consistent pattern: disease isolates have faster rates than closely related carriage isolates. Moreover, all disease isolates have faster rates than all carriage isolates. While there is uncertainty associated with the rate estimates for individual strains and our sample size is small, a two-sided paired t-test suggests that the difference between disease and carriage isolates we observe in our point estimates is unlikely to have arisen by chance: $p = 0.035$ (Fig 3 and S8 Table). This pattern appears to be independent of genome size as it holds across pairs with variable average genome sizes, and both across pairs in which the disease strain has a smaller genome than the carriage isolate (3 pairs) and a pair in which the disease isolate has a larger genome than the carriage isolate (Fig 3B and 3C). While we observe greater variation in overall mutation rates across the four carriage isolates in our two experiments than across the four disease isolates, we find no evidence that this variation is correlated with genome size (Figs 3 and S8). Changes in mutational spectrum associated with increased pathogenicity Over the course of our 200-day MA experiment sufficient mutations accumulated to allow us to examine differences in mutational bias across isolates (S3 Table). Comparing the four isolates from the 200-day experiment, we found that while there is no consistent difference in the single-base mutation rate across isolates from more and less pathogenic groups there is a difference in the mutational spectrum. The two isolates from the more pathogenic group have a higher rate of transversions relative to transitions, and a higher rate of G/C to A/T transitions relative to A/T to G/C transitions (Fig 1F and 1G). In addition, while we observe a context-dependency of mutation rates (a higher mutation rate at sites flanked by a G/C base) in the two isolates from the less pathogenic group as in previous studies [29, 30], we do not observe this in the two isolates from the more pathogenic group (S9 Fig). The differences in mutational bias across the different groups are observed consistently across both core and accessory genes (S10 Fig). Moreover, the rate of G/C to A/T mutations relative A/T to G/C mutations is correlated with the base composition of core genes (despite a small sample size, Pearson’s correlation: $r^2 = 0.98$, $p = 0.01$; Fig 4). Comparison of our estimates of mutational bias and the base composition of core genes across these four strains also reveals that the two isolates from the more pathogenic group are further from their Fig 3. Disease strains have faster mutation rates compared to closely related carriage strains, independent of genome size. (A) The relationship between the eight strains in our two MA experiments based on a core gene alignment, with their location in the more and the less pathogenic groups in a phylogeny of a global collection indicated on the right (S1 Fig). (B) Genome sizes of the eight strains. (C) Point estimates of the genome-wide rate of single-base mutation, based on mean values across all replicate lines. Bars represent 95% confidence intervals estimated by bootstrapping across lines. Disease strains are shown in red and carriage strains in blue. Strains from the more pathogenic group are shown as filled points, and strains from the less pathogenic group are shown as empty points. A two-sided paired t-test suggests that the difference between disease and carriage isolates is unlikely to have arisen by chance: $p = 0.035$. Strain numbers match those in Fig 1 and Table 1, and isolates from the 25-day MA experiment are indicated with . https://doi.org/10.1371/journal.pgen.1009864.g003 Fig 4. Mutational bias may explain differences in core genome base composition. The rate of accumulation of G/C to A/T mutations relative to the rate of accumulation of A/T to G/C mutations plotted against the proportion of bases that are A/T in genes common to all four strains from the 200-day MA experiment (1, 2, 3 and 4). All points represent mean values across 50 lines, and bars represent 95% confidence intervals estimated by bootstrapping across lines. Disease strains are shown in red and carriage strains in blue. Strains from the more pathogenic group are shown as filled circles, and strains from the less pathogenic group are shown as empty circles. The dashed line represents a line of best fit. https://doi.org/10.1371/journal.pgen.1009864.g004 equilibrium base composition (S11 Fig). This suggests that the change in bias occurred in an ancestor of the two isolates from the pathogenic group, and may therefore be associated with their transition to a more pathogenic ecology. Deletion rates decline with genome reduction* Deletion mutations show a different pattern of variation to single-base mutations across the four strains in the 200-day MA experiment. When considering short insertions and deletions (< 30 bp), we observe a faster rate of deletion in the two isolates from the less pathogenic group, without a corresponding increase in the rate of insertion (Figs 2G and S12, and S9 Table). As most small deletions occur in intergenic regions, which tend to be shorter in the two isolates from the more pathogenic group, the difference may be due to the absence of intergenic regions that are more prone to deletion in these isolates. In contrast, larger deletions (> 100 bp) arose at a faster rate in the two carriage isolates than the two disease isolates (particularly the carriage isolate from the less pathogenic group, Fig 2H). We identified 34 deletions larger than 100 bp across the four strains, with 10 larger than 10 kb (S10 Table). Most involved the loss of regions that show signatures of being mobile genetic elements (including phage-associated genes), which are more common in the isolates with larger genomes (S13 Fig, and S11 and S12 Tables). No loss of genes from DNA-repair pathways We found no evidence that the loss or truncation of genes from known DNA repair pathways led to the observed differences in mutation rate or spectrum. Genes from the base excision repair, nucleotide excision repair and mismatch repair pathways were uniformly present across all eight strains (S14 Table). In addition, no genes that were consistently absent in disease strains were also consistently present in carriage strains (or vice versa) (S15 Table). Some DNA-repair pathway genes were present in multiple copies in some strains, but the presence/absence of these additional copies did not correlate with disease/carriage status or location in more/less pathogenic groups. In addition, the majority of DNA-repair pathway genes had a constant length across the eight strains, and where small length variations were observed, these did not correlate with disease/carriage status or presence in a more/less pathogenic group (S14 Table). Discussion While we were only able to estimate the mutation rates of a small sample of S. suis isolates due to the time-consuming and labour-intensive nature of MA experiments, our results support two links between pathogenic ecologies and the rate and spectrum of mutations. First, S. suis isolates sampled from the site of invasive infections have consistently higher mutation rates than carriage isolates sampled from the tonsils. Second, isolates from the more pathogenic group of S. suis show a greater bias towards both G/C to A/T mutations and transversions, than those from a less pathogenic group. These changes in bias are uncoupled from disease/carriage status, and from overall mutation rate. In contrast, while genome size has previously been found to be a strong predictor of mutation rate variation across bacterial species (S8 Fig) [1, 16], we found no evidence of a link with mutation rates within S. suis. Disease isolates with a wide range of genome sizes have consistent mutation rates, and while the mutation rates of carriage isolates are more variable, they are not correlated with genome size. Nevertheless, as our sample size is small, further work is required to definitively test these associations. In opportunistic pathogens, such as S. suis, carriage is thought to be a prerequisite of invasive disease, with carriage isolates acting as a source of disease isolates [31]. This transition from asymptomatic carriage to invasive disease is likely to involve both growth in novel environments, and additional pressures from host immune systems [4]. Under these conditions, isolates with faster mutation rates may have an indirect selective advantage because they are more likely to generate novel adaptive variants [2, 3, 22], or because mutation rate is linked to another trait that is adaptive in these new conditions [32, 33]. While the strains in our experiments only represent a single isolate from any host, the difference we observe between carriage and disease isolates plausibly reflects within-host evolution. If this is the case, the rapidity of the change in rates suggests that it is driven by positive selection rather than random drift. This might involve selection on standing variation in carriage populations; variants with higher mutation rates could be present at low frequencies in carriage populations and rise to high frequencies in invasive populations. This is consistent with the results of previous studies that have identified variation in mutation rates in within-host bacterial populations [6, 18, 21, 23, 34], and with our observation of no correlation between the difference in rate and the evolutionary distance between disease and carriage isolates. In contrast to previous studies that have identified hypermutable strains, the rate variation we observe between disease and carriage isolates is not associated with the loss or pseudogenisation of genes in DNA-repair pathways, and is much smaller in scale. While this means a smaller increase in the frequency of adaptive mutations, it also means a smaller increase in the frequency of deleterious mutations. These higher rates may therefore be maintained for longer and reach higher frequencies in a population than larger rate increases. This could contribute to the maintenance of mutation rate heterogeneity within populations, which is predicted to promote faster responses to selective challenges, while reducing the long-term burden of deleterious mutations [7, 35]. In addition to the difference in point mutation rates across disease and carriage isolates, we observed a difference in deletion rates. While we only have the power to estimate rates of deletion in our 200-day MA experiment, almost all of the large deletion events in this experiment occurred in the two carriage isolates, and often involved the loss of regions that contain phage-associated genes. This difference in rates might reflect fewer temperate prophages in the genomes of disease isolates. In S. suis the transition from carriage to disease is associated with a reduction in genome size, and it has been suggested that this is, in part, due to the loss of mobile genetic elements [12]. While the rate of prophage loss observed in our experiments is probably too slow to explain genome reduction during the transition from carriage to disease within a host, the stress associated with this transition might lead to a higher rate of loss [36]. Previous studies have found evidence that several clusters of S. suis have evolved to become more pathogenic to pigs, and are also responsible for zoonotic disease in humans [12, 28]. The emergence of these more pathogenic clusters has previously been shown to be associated with both genome reduction and an increased AT-richness of the core genome [12]. Here, we have found evidence that it is also associated with a change in mutational spectrum. While this is only supported by comparison of the four strains from our 200-day experiment (due to too few mutations in the 25-day MA experiment) our observation of a strong correlation between mutational bias and core genome base composition, is consistent with this underlying a broader association between AT-richness and pathogenicity in S. suis that was identified in a previous study [12]. Increased AT-richness is a common correlate of genome reduction in bacterial symbionts [8, 9, 37], and has also been observed in the evolution of the pathogen Shigella [38]. As G/C to A/T mutations tend to be more deleterious than A/T to G/C mutations, these patterns are commonly attributed to increased genetic drift [8, 9]. While our results are consistent with this as an ultimate explanation of the increased AT-richness in more pathogenic clusters of S. suis, the correlation we observe between mutational bias and core genome nucleotide composition suggests that it is an immediate consequence of a change in mutational bias. In addition, our observation that the change in bias is not accompanied by an increase in overall rate suggests that it is unlikely to lead to a substantial increase in the burden of deleterious mutations [39, 40]. Overall, our results indicate that mutation rate variation within bacterial species extends beyond hypermutable strains, and can be sensitive to ecological transitions. Both the changes in overall rate and in mutational bias we observe in S. suis could influence the frequency of adaptive mutations, and therefore the capacity to rapidly respond to selective challenges such as evading host immunity or antibiotic treatments [41, 42]. This link between ecology and mutation rate could therefore prove to be both important in understanding the evolutionary trajectories of bacterial pathogens, and a useful marker of ecological change. Methods Strains and culture conditions Strains were selected from a collection of S. suis isolates described in [12] together with three isolates sampled from pig farms in Europe (S2 Table). Isolates were sampled from different pig farms in Canada, Spain, the Netherlands and the UK, between 2009 and 2017. Isolates were classified as “disease” if they were recovered from systemic sites in pigs or humans with clinical signs consistent with S. suis infection, or from the lungs of a pig with signs of pneumonia. Isolates recovered from the tonsils or tracheo-bronchus of healthy pigs or pigs without signs of S. suis infection were classified as “carriage”. Strains for both experiments were chosen based on clinical information, genome size, and location in a core genome phylogeny previously described in [12]. All strains were from pigs, and all “disease” isolates were associated with systemic infections. The solid media used for all experiments was Todd–Hewitt broth (THB) supplemented with 1.5% (w/v) agarose and 0.2% yeast extract (THY) (Oxoid, Basingstoke). 20% Glycerol/THB (36.4g in 1 litre) with 0.2% yeast extract was used for archiving and PCR, and THB with 0.2% yeast extract was used for overnight growth and growth rate experiments. Cultures were streaked to single colonies on solid media and incubated overnight in a static incubator at 37˚C to generate stock plates. For overnight cultures, an independent colony was picked from the stock plate to inoculate THB + 0.2% yeast extract broth and incubated in a static incubator at 37˚C. Mutation accumulation experiments 75 replicate lines were established from each strain in the 200-day mutation accumulation (MA) experiment and 15 replicate lines in the 25-day MA experiment. Each line was passaged through single-colony bottlenecks by selecting the last visible independent colony in the streak (to minimise selection bias). Plates were incubated at 37˚C for approximately 24 hours between each transfer. All passaged plates were stored at 4˚C for 24 hours, to allow lines that failed to grow during passage to be reset from the stored plate. In the 200-day experiment lines were archived in liquid broth every 14 days, and every 100 days. PCR For the 200-day experiment, the four strains were grown on quadrants of a single plate. To allow for errors during passaging to be corrected we developed a multiplex PCR to distinguish the strains. Two sets of primer sequences for a multiplex PCR were designed using a custom Python script to identify unique regions of each strain of set lengths that would resolve in electrophoresis, along with a S. suis positive control (S15 Table). To conduct the PCR, a single colony was transferred to 150 μl liquid media, 5μl of which was added to 50 μl sterile MiliQ water and heated at 95 °C for six minutes. Amplification conditions and reagent volumes are given in S15 Table. We tested all lines every 14 days. If a mismatch was identified, lines were set back to the previous PCR run. Estimation of generation times Strains were streaked to single colonies from overnight cultures on THY agar plates and incubated at 37 °C for 24 hours, with a minimum of three biological replicates. Single colonies were collected by excising a small disc of agar around a colony and resuspending it in 10 ml of PBS. The solution was serially diluted, and dilutions spread on THY agar plates. The plates were incubated in a static incubator at 37 °C and examined after 24 hours to determine the number of colony forming units (CFU). Generation times were calculated by dividing log₂(average CFU) by the period of growth (S2 Table and S2 Fig). Growth rate measurements Growth rates were estimated for the ancestral lines and a random sample of 25 of the sequenced evolved lines of each strain in the 200-day experiment, with a minimum of three biological replicates. Overnight cultures were pelleted by centrifugation at 4000×g for 3 minutes to remove spent media. After discarding the supernatant, the cell pellet was resuspended in fresh THB +0.2% yeast extract media to a final concentration of $10^7$ CFU per well. 300μl of the culture was transferred into wells and incubated in a Bioscreen C (Oy Growth Curves Ab Ltd) at 37 °C, with optical density (OD$_{600}$) measured every 5 minutes for 24 hours. For 10 evolved lines (9 of strain 1 and one of strain 3) there was insufficient overnight growth to reach the required starting concentration, and growth rates could not be accurately measured. Maximum growth rates were calculated by taking the slope of a linear regression model of log₂(OD$_{600}$) over time, using a 30-minute sliding window to identify the period of fastest growth (for details, see [43]). To test the reliability of OD as a proxy for CFU during exponential growth, additional time-sampled growth curves were completed, measuring both OD and CFU for each of the four ancestral strains (S16 Table). Sequencing Illumina whole genome sequencing was undertaken for all ancestral strains, a random sample of 50 evolved lines of each of the strains in the 200-day MA experiments, 5 evolved lines of each of the strains in the 200-day MA experiments at day 100, and 11–13 evolved lines of each of the strains in the 25-day MA experiments. DNA extraction, library preparation and sequencing using a HiSeq 2500 instrument (Illumina, San Diego, CA, USA) was undertaken by MicrobesNG (Birmingham, UK). Long-read sequencing, assembly and annotation of ancestral strains We assembled high-quality reference genomes for all eight ancestral strains using methods that combine short-read and long-read sequence data. For the 200-day experiments, long-read sequencing library preparation was performed using Genomic-tips and a Genomic Blood and Cell Culture DNA Midi kit (Qiagen, Hilden, Germany). Sequencing was performed on the Sequel instrument from Pacific Biosciences using v2.1 chemistry and a multiplexed sample preparation. Reads were demultiplexed using Lima in the SMRT link software ([https://github.com/PacificBiosciences/barcoding](https://github.com/PacificBiosciences/barcoding)). Reads shorter than 2500 bases were removed using prinseq-lite.pl ([https://sourceforge.net/projects/prinseq/](https://sourceforge.net/projects/prinseq/)). Hybrid assemblies, using filtered PacBio and Illumina reads, and preliminary assemblies of long-read data generated with Canu v1.9 [44] were generated with Unicycler v0.4.7 using the normal mode and default settings [45]. Assembly graphs were visualised and, if necessary, manually corrected with Bandage [46]. For the 25-day MA experiments, library preparation, short-read and long-read sequencing, and hybrid assembly with Unicycler were undertaken by MoleculsNG as part of their Enhanced Genome Service, which uses both Illumina and Oxford Nanopore Technologies. For 4/8 strains the assemblies were single-contig, and for the other four the longest contig was >98% of the total assembly length (smaller contigs likely representing plasmids or mobile elements). Genomes were annotated using Prokka v1.14.5 [47] and putative mobile elements identified using IslandViewer 4 [48]. Panaroo v1.2.2 [49] was used to identify orthologous genes (using recommended parameter settings) and create alignments of shared genes. Core-genome distance matrices were estimated and a neighbour-joining tree created using these alignments and the ape package in R [50]. Mutation calling in evolved lines Mutations in evolved lines were called by mapping short-read sequence data to the reference genomes of the ancestral strains. Illumina reads were adapter-trimmed using Trimmomatic with a sliding window quality cutoff of Q15 [51]. They were mapped to the ancestral strain (excluding any short contigs) using Bowtie2, and variants called using SAMtools and BCFtools [52, 53]. False variant calls were identified using several approaches. First, we excluded any calls with a depth of less than six reads (average coverage was always >30x) or where the reference allele was present in more than 5% of reads. Second, short-read data from the ancestral strains was mapped back to itself, and any variants identified were excluded. Finally, any variant calls that either had a lower quality score than the maximum for the line, were within 100 bases of another variant call in any line, or were within 1000 bases of the start or end of the reference genome, were checked by eye for evidence of mapping error. In the 200-day experiment, clusters of mutations were identified (mutations within 30 bases of another in the same line). They were common only in strain 4 (<5% of mutations in the other three strains), and only 10% fell in regions of the genome shared across the 4 strains. These mutations were not excluded from our core analyses, but S4 and S5 Figs describe the impact of their exclusion. Indels were identified using both SAMtools and ScanIndel [53, 54]. To avoid false calls, we required indels to be identified by both analyses and not identified when short-read data for the ancestral strain was mapped back to the reference assembly. In addition, we required that the alternate allele is supported by at least five reads, at least one in each orientation, and fewer than 5% of reads supporting the reference allele, a quality score in SAMtools of at least 20, and an ‘IMF’ of at least 0.8. Deletions longer than 100 bases were called by identifying extended regions with zero coverage in our mapped assemblies, and confirmed through examination by eye. Estimating average rates and statistical comparisons The single-base mutation rate per site per generation for each strain was estimated as: \[ \mu_{sb} = \frac{m}{ng} \] where $ m $ is the number of observed single-base mutations, $ n $ is the number of nucleotide sites analysed (genome length multiplied by the number of lines), and $ g $ is the total number of generations over the duration of the experiment (see above). This value was estimated for the whole genome, for different subsets of sites, and for different types of single base mutations, with the number of nucleotide sites analysed adjusted in each case. 95% confidence intervals were generated for estimates using two approaches. First, based on 1000 bootstrap samples of the lines of each strain, and second based on estimates of the standard deviation in the rate across lines. We found that confidence intervals were similar across the two methods, and none of our results were contingent on the use of either method. Identification of DNA-repair genes DNA-repair genes were identified from the Prokka and Panaroo annotations using descriptions of genes in the S. suis DNA mismatch repair, base excision repair and nucleotide excision repair pathways from KEGG [55]. Supporting information S1 Fig. Population structure of a global collection of Streptococcus suis isolates. (a) A core genome phylogeny of 962 isolates of S. suis [12]. Individual disease (red) and carriage (blue) isolates are indicated in the inner strip. The more pathogenic clade is indicated by a red outer ring, and the less pathogenic clade by a blue outer ring. The locations of each strain in our two MA experiments are indicated on this strip (Table 1). (b) The proportion of isolates in each clade that are associated with disease (excluding isolates for which disease-association is unknown). (c) A box plot of genome sizes of isolates from each clade. (d) A box plot of the core genome GC-content of isolates from each clade. (PDF) S2 Fig. Estimates of number of generations per day based on colony counts for each ancestral strain. Points represent mean estimates of the number of colony forming units (CFU) present after 24 hours of growth from a single CFU for each ancestral strain, on a log$_2$ scale. Bars show the range of values returned across biological replicates (at least 3 biological replicates of each strain). Disease strains are shown in red and carriage strains in blue. Log$_2$(CFU) after 24 hours of growth gives an estimate of the number of generations over that period. We find no evidence of a difference in generation time between disease and carriage strains, but the two strains from the less pathogenic clade (strains 3 and 4) have a longer generation time than the six strains from the more pathogenic clade (strains 1, 2, 5, 6, 7 and 8). (PDF) S3 Fig. Comparison of mutation rates for different types of single nucleotide variants in the 200-day MA experiment. Points represent mean values across 50 replicate lines, and bars represent 95% confidence intervals estimated from bootstrapping across lines. Numbers relate to Table 1, disease strains are shown in red and carriage in blue, strains from the more pathogenic clade are shown as filled shapes and strains from the less pathogenic clade as empty shapes. (PDF) S4 Fig. Comparison of mutation rates across core and accessory genes in the 200-day MA experiment, with (a) and without clustered mutations (b). Estimates of rates of single-base mutation rates across accessory (squares) and core (circles) genes. Points represent mean values across 50 replicate lines, and bars represent 95% confidence intervals estimated from bootstrapping across lines. Numbers relate to Table 1, disease strains are shown in red and carriage in blue, strains from the more pathogenic clade are shown as filled shapes and strains from the less pathogenic clade as empty shapes. (PDF) S5 Fig. Comparison of mutation rates in the 200-day MA experiment across different categories of sites, with (a) and without clustered mutations (b). Both figures show rates for $1^{st}/2^{nd}$ codon positions, four-fold degenerate sites, and intergenic sites, for both regions that are shared across all four strains and regions that are not shared. Shared intergenic sites were defined as intergenic regions between genes that were syntenic across all four strains. Estimates based only on genes that are shared across all four strains (core) are shown as circles, and estimates based only on genes that are not shared across all four strains (accessory) are shown as squares. Disease strains are shown in red and carriage strains in blue. All points represent mean values across 50 replicate lines, and bars represent 95% confidence intervals estimated from bootstrapping across lines. (PDF) S6 Fig. Comparison of the maximum growth rate estimates for evolved and ancestral lines of the four strains in the 200-day MA experiments. Histograms of maximum growth rates (change in optical density (OD) per min) for evolved lines (mean values across 3 biological replicates; shown in grey) and repeated measurements of the ancestral line (red for disease and blue for carriage). Estimates were attempted for a random sample of 25 evolved lines for each strain, however insufficient overnight growth meant that we could not obtain accurate maximum growth rate estimates for 9/25 evolved lines of strain 1 and 1/25 evolved lines of strain 2. Vertical lines represent mean values across repeated measurements of the ancestral strain (red/blue), and across evolved lines (grey). For strain 3 there is evidence of a net decline in maximum growth rate in the evolved lines (Welch’s t-test, $p = 2.9 \times 10^{-5}$, indicated by * above brackets). For the three other strains there is no evidence of a net change in the maximum growth rate. Estimates of maximum growth rate for 7 individual evolved lines were significantly lower than estimates for the ancestral strain, and 1 significantly higher (Welch’s t-test, $p < 0.05$ after Bonferroni correction for multiple testing, indicated by † above bars). (PDF) S7 Fig. Relationship between maximum growth rate and numbers of single-base mutations accumulated in the evolved lines of the four strains in the 200-day MA experiments. Maximum growth rate (change in optical density (OD) per min) plotted against the number of single-base substitutions accumulated over the course of the experiment for evolved lines of each strain. Growth rate estimates were attempted for a random sample of 25 evolved lines of each strain, however insufficient overnight growth meant that we could not obtain accurate maximum growth rate estimates for 9/25 lines of strain 1 and 1/25 lines of strain 2. The estimates of maximum growth rates shown are mean values across 3 biological replicates. Spearman’s $\rho$ and p-values for correlation tests are reported for each strain. There is no evidence of a significant correlation between maximum growth rate and the number of mutations accumulated for any of our four strains. However, the 9 lines of strain 1 that had insufficient overnight growth had more single-base mutations (average of 15.4) than 16 lines that had sufficient overnight growth (average of 11.4) (Welch’s t-test, $p = 0.04$). Similarly, the line of strain 2 than had insufficient overnight growth had a high number of single-base mutations ($n = 13$) compared to the other lines of this strain included in the experiment. (PDF) S8 Fig. (a) Mutation rate estimates for S. suis in the context of those of other species, and (b) a comparison of mutation rate estimates per genome. (a) Mutation rate estimates against genome size, for S. suis, Mesoplasma florum, Helicobacter pylori, Thermus thermophilus, Staphylococcus epidermidis, Deinococcus radiodurans, Vibrio cholerae, Vibrio fischeri, Bacillus subtilis, Mycobacterium tuberculosis, Escherichia coli, Salmonella typhimurium, Salmonella enterica, Teredinibacter turnerae, Agrobacterium tumefaciens, Pseudomonas aeruginosa, Mycobacterium smegmatis and Burkholderia cenocepacia [1, 56]. S. suis disease isolates are shown in red and carriage isolates in blue, with closed circles representing isolates from the more pathogenic clade and open circles isolates from a less pathogenic clade, other species are shown in grey. In (b) the dashed line indicates the value of the constant mutation rate identified by Drake in his original study of the relationship between mutation rate and genome size [16]. S9 Fig. The influence of flanking sites on mutation rates for the four strains in the 200-day experiment. Estimates of mutation rates for sites that have at least one G/C flanking site, and estimates of rates for sites that have no G/C flanking site for each of the four strains from the longer experiment. Points represent mean values across 50 lines, and bars represent 95% confidence intervals from bootstrapping across lines. S10 Fig. Mutational biases in shared and non-shared genomic regions in the four strains in the 200-day experiment. (a) The ratio of transitions to transversions for shared (circles) and non-shared (squares) regions of the genome. (b) The ratio of G/C to AT transitions to A/T to G/C transitions for non-shared (squares) and shared (circles) regions of the genome. Disease-associated strains are coloured in red circles and carriage strains in blue, with filled shapes representing isolates from the more pathogenic group and empty shapes isolates from the less pathogenic group. All points represent mean values across 50 lines, and bars represent 95% confidence intervals estimated by bootstrapping. S11 Fig. Equilibrium GC-content for the four strains in the 200-day MA experiment. Equilibrium GC-content estimates, calculated from the rates of A/T to G/C mutation and G/C to A/T mutation (circles) and actual genome-wide GC-content for the four strains (squares). Disease-associated strains are coloured in red and carriage strains in blue, with filled shapes representing isolates from the more pathogenic group and empty shapes isolates from the less pathogenic group. All points represent mean values across 50 lines, and bars represent 95% confidence intervals estimated by bootstrapping. S12 Fig. Rates of accumulation of small indels for the 200-day MA experiment. (a) The rates of loss/gain of nucleotide bases through short deletion (circles) and insertion (square) events, and (b) the rates of short deletion (circle) and insertion (squares) events. All points represent mean values across 50 lines, and bars represent 95% confidence intervals estimated by bootstrapping. S13 Fig. Length of elements identified as mobile genomic islands by IslandViewer for the four strains in the 200-day MA experiment. Figures show the relationship between the total length of mobile genetic elements in each strain and total genome size (a), and the relationship between the length of the genome excluding mobile genetic elements and total genome size (b). S1 Table. Description of the eight strains used in both MA experiments. S2 Table. Counts of colony forming units (CFUs) after 24 hours of growth for the 8 ancestral strains used to estimate generation time for each strain. S3 Table. Description of all single-base mutations observed for each of the 50 lines of the 4 strains in the 200-day experiment. The table describes the position of the mutations in the (single contig) assembly of the ancestral strain, the inferred single base change, the category of site, whether or not the site is shared across strains ('Shared region'), whether the site is on the leading or lagging strand, the two flanking bases, and whether or not the mutation is clustered (within 30 bp of another mutation in that line). The site categories are 1st/2nd codon positions (1), 3rd codon positions (3), 4-fold degenerate sites (4) and intergenic (0). Shared sites (1) are defined by whether or not the gene is present in all strains for sites within genes, and whether or not the two flanking genes are present in all strains for intergenic regions. (XLSX) S4 Table. Results of Chi-Squared test for the goodness of fit of a Poisson distribution to mutation rates of single-base substitutions in the 200-day MA experiment. Counts were divided into four categories for each strain, with each category having an expected frequency >5 under a Poisson distribution given our estimates of the mean rate. (DOCX) S5 Table. Growth rates for ancestral and evolved lines in the 200-day MA experiment. (XLSX) S6 Table. Comparison of numbers of single-base mutations observed at day 100 and day 200 in the 200-day experiment. 5 lines of each strain in the 200-day MA experiment were sequenced at the mid-point of the experiment to establish whether faster rates were transitory. Lines were selected that had higher than average rates from each strain. We found no evidence of a difference in rate over the first and second half of the experiment. (DOCX) S7 Table. Core genome pairwise nucleotide distances between the eight ancestral strains used in the MA experiments. The proportion of nucleotide bases that differ between pairs of strains in the MA experiments based on an alignment of shared genes generated by Panaroo. Closely related disease/carriage pairs are highlighted. (DOCX) S8 Table. Description of all single-base mutations observed for each of the lines of the 4 strains in the shorter experiment. (XLSX) S9 Table. Description of all short indel mutations observed for each of the 50 lines of the 4 strains. (XLSX) S10 Table. Description of all long deletion mutations observed for each of the 50 lines of the four strains. Each row is a line in which a long deletion was identified. Lines in which no long deletion was identified are not described. The locations and lengths of the deletions are described, and genes in the deleted regions described. Whether or not the deleted region was identified as a mobile genetic element (MGE) by IslandViewer is described (1 = yes). (XLSX) S11 Table. The size of regions identified as mobile genetic elements for each strain in the 200-day MA experiment. The lengths of the regions identified by IslandViewer for each strain. (DOCX) S12 Table. The regions identified as mobile genetic elements by IslandViewer. (XLSX) S13 Table. Table of gene presence/absence across 8 strains. The output of Panaroo for the eight strains used in our MA experiments. (XLSX) S14 Table. Genes in major DNA repair pathways in the 8 strains. (XLSX) S15 Table. Oligonucleotide primers (Sigma-Aldrich) and conditions used for Multiplex PCR strain identification. (DOCX) S16 Table. The relationship between CFU count and OD during exponential growth in the four ancestral strains from the 200-day experiment. The relationship between OD and CFU count can vary across bacterial strains. To test whether OD is a reliable indicator of CFU count in the strains in our 200-day experiment, we undertook an additional growth rate experiment following the same procedure as before. Every half hour for the first 5 hours of growth, then every hour up until 8 hours of growth, and at the end of the experiment (24 hours of growth), 100µl of the 300µl culture was removed from a single well. This was serially diluted and spot plated on three THY plates. Comparisons of OD and CFU count revealed a linear relationship in all four ancestral strains during the period of exponential growth (between 0.5 and 3.5 hours). For all four strains OD was found to be a good predictor of change in CFU count during exponential growth (Pearson’s correlation coefficient >0.9 for each strain). (XLSX) Acknowledgments Genome sequencing was undertaken by MicrobesNG (http://www.microbesng.uk/), which is supported by the BBSRC (grant number BB/L024209/1), and by the Sanger Institute in collaboration with Julian Parkhill. We wish to thank John Welch and Olivier Restif for helpful comments on the manuscript, and Virginia Aragon and her team for one of our strains. Author Contributions Conceptualization: Gemma G. R. Murray, Nazreen F. Hadjirin, Eric Miller, Lucy A. Weinert. Data curation: Gemma G. R. Murray, Sebastian Bruchmann, Eric Miller. Formal analysis: Gemma G. R. Murray, Andrew J. Balmer, Josephine Herbert, Sebastian Bruchmann. Funding acquisition: Eric Miller, Lucy A. Weinert. Investigation: Gemma G. R. Murray, Andrew J. Balmer, Josephine Herbert, Nazreen F. Hadjirin, Caroline L. Kemp, Marta Matuszewska, A. S. Md. Mukarram Hossain, Eric Miller, Lucy A. Weinert. Methodology: Gemma G. R. Murray, Eric Miller, Lucy A. Weinert. Project administration: Eric Miller, Lucy A. Weinert. Resources: Marcelo Gottschalk. Supervision: Gemma G. R. Murray, Nazreen F. Hadjirin, Marta Matuszewska, Alexander W. Tucker, Eric Miller, Lucy A. Weinert. Visualization: Gemma G. R. Murray. Writing – original draft: Gemma G. R. Murray. Writing – review & editing: Gemma G. R. Murray, Andrew J. Balmer, Josephine Herbert, Lucy A. Weinert. References 1. 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The “regional nationalisms” of the early twentieth-century Netherlands East Indies are usually portrayed as mere subcomponents of the emerging Indonesian nationalist movement. Akira Nagazumi’s authoritative work on the first ten years of Budi Utomo, for instance, is entitled The Dawn of Indonesian Nationalism.¹ Yet this Javanese nationalist organization consistently refused to embrace the outer islands—tanah sabrang, the lands overseas—during the period in question. Parallel movements such as the Sundanese association Pasundan and the Ambonese Sarekat Ambon, both of which maintained their separate identities even after the eventual fusion of Budi Utomo into the Indonesian party Parindra in 1935, also tend to be characterized in the historical literature as “local,” “regional,” or “ethnic” tributaries of the Indonesian nationalist current.² Even where the persistence of exclusive local nationalisms is admitted, they are dismissed either as expressions of “primordial” ethnic loyalty or as conservative reactions by privileged minority groups against the Indonesian nationalist attack on the colonial order.³ As Benedict Anderson has pointed out, the common assumption that the boundaries of the colonial state as a whole define the only frontiers appropriate to an anticolonial nation- --- ¹ Akira Nagazumi, The Dawn of Indonesian Nationalism: the Early Years of Budi Utomo, 1908–1918 (Tokyo: Institute of Developing Economies, 1972). ² For instance: J.T.P. Blumberger, De nationalistische beweging in Nederlandsch-Indië (Haarlem: Willink, 1931), p. 41; H. Bouman, Enige beschouwingen over de ontwikkeling van het Indonesisch nationalisme op Sumatra’s westkust (Groningen: Wolters, 1949), p. 31; H.A.J. Klooster, Indonesiërs schrijven hun geschiedenis (Dordrecht: Foris, 1985), p. 32; J.M. Pluvier, Overzicht van de ontwikkeling der nationalistische beweging in Indonesia in de jaren 1930 tot 1942 (The Hague: Van Hoeve, 1953), p. 81; Merle C. Ricklefs, A History of Modern Indonesia (London: Macmillan, 1981), p. 159. ³ See, for instance: Pluvier, Overzicht, p. 15; Clifford Geertz, “The Integrative Revolution: Primordial Sentiments and Civil Politics in the New States,” in Old Societies and New States, ed. C. Geertz (New York: Free Press of Glencoe, 1963), p. 111. alism is not universally valid. The Vietnamese pioneers of nationalism in French Indochina, for instance, never came to accept Cambodians and Laoitans as compatriots, with the result that the colony disintegrated into three independent nations.$^4$ Dismissive attitudes toward the regional nationalisms of the Netherlands Indies are inspired in part by a teleological projection of postwar Indonesian realities back into the colonial period. But Indonesia before 1942, as Tony Reid has observed, “was less clearly or consciously a nation than most colonies.”$^5$ This is not to suggest that fissiparous tendencies were ever as strong in the Dutch colony as in Indochina. Nevertheless, there was at least one area, Minahasa in North Sulawesi, where a modern nationalism with autonomous historical roots developed parallel to, rather than as a component of or even a reaction against, Indonesian nationalism. A nation can be characterized as a perceived community defined with respect to a home territory and imbued with a range of powerful social and political ideals.$^6$ Such ideals may be couched partly in religious terms, but they almost always include the secular objectives of social unity, material and intellectual progress, and collective autonomy in cultural and, above all, political spheres. A degree of conceptual equality between all the members of the national community—even those, numerous in emerging colonized nations, who do not yet perceive that community themselves—is also inherent in the concept of nationhood, and this is often manifested in a desire for political democracy as well as national independence. This article outlines the processes by which Minahasa acquired the characteristics of a nation as a result of, and a reaction to, Dutch colonialism. Although they began at earlier dates and operated on a smaller scale, these processes were similar in many cases to the ones which gave rise to Indonesian nationalism. I will first describe how Minahasa was defined in the seventeenth and eighteenth centuries as a territorial unit isolated by colonial boundaries from its socioeconomic environment. The initial fragmented ethnic and political situation within this territory is then outlined, and the evolution of a perceived Minahasan community during the nineteenth century explained in terms of Christianization and the impact of colonial administrative and educational institutions. Mission and government personnel also helped to imbue the emerging community with ideals of social unity and economic progress. Because of the racial stratification inherent in the colonial system, however, the Minahasan group defined itself partly in contradistinction and even opposition to the European community. The fact that Minahasans became a subaltern colonial elite themselves as officials and soldiers elsewhere in the Indies enhanced their sense of exclusive Minahasan identity even if it complicated their relationship with the Dutch. Further sections of the article will deal with the emergence of Minahasan nationalism as a political movement, the contribution of Christianity to that movement, the historical parallels between Dutch Minahasa and the colonial Philippines, and the Minahasan view of Indonesian nationalism. The tension between Minahasan nationalism and its Indonesian counterpart was resolved, at least to the satisfaction of leading Minahasan political figures, by the idea of an independent Indonesian commonwealth in which each ethnic nation or --- $^4$ Benedict R. O'G. Anderson, Imagined Communities: Reflections On The Origin And Spread Of Nationalism (London: Verso, 1983), pp. 113–20. $^5$ Anthony Reid, “The Revolution In Regional Perspective,” in The Indonesian Revolution: Conference Papers, Utrecht, 17–20 June 1986 (Utrechtse Historische Cahiers 7 No. 2–3, 1986), p. 196. $^6$ My interpretation of the nation as a generic concept is inspired mainly by Anderson’s Imagined Communities, E. Gellner’s Nations and Nationalism (Oxford: Blackwell, 1983), and A. D. Smith’s The Ethnic Origins of Nations (Oxford: Blackwell, 1986). bangsa, including bangsa Minahasa, would retain political autonomy within a federal framework. A final section of the article briefly compares Minahasan regional nationalism with some parallel movements elsewhere in colonial Indonesia, and tentatively suggests a framework within which variations in the strength of such movements might be explained. Minahasa as a Territorial Unit The territorial basis for the Minahasan nation was established in the seventeenth and eighteenth centuries, when a mountainous area of about 4,800 square kilometers at the tip of the northern peninsula of Sulawesi was isolated from its immediate environment by a series of conflicts and treaties which brought it under the exclusive suzerainty of the VOC. The Dutch objective here was to extract rice from the fertile uplands around Lake Tondano with which to feed VOC garrisons in the nearby Moluccas. They thus needed to release the rice-cultivating communities from the control of the Spanish, who had been active in the area intermittently for some decades, and from the influence of a local “king”—raja, datu, or kalano—who dominated the coastlands around Manado and had previously mediated relations with the highlands. The Castilians were duly expelled in 1660, and in 1679 a combination of military pressure and commercial opportunity led leaders of “the entire community of the landstreek van Manado, or the northernmost part of Celebes” to conclude a treaty with the VOC, in which they renounced their allegiance to the king and declared themselves Company vassals. Formerly peripatetic, the king and his successors were now restricted to Bolaang, 100 kilometers down the coast from the VOC fort in Manado. In 1756 a rigorous border agreement separated the Dutch zone from the domain of the king, which included the Mongondow highlands. Like the other small principalities of North Sulawesi, what became known as the kingdom of Bolaang-Mongondow was then left in substantial independence by the Dutch until the twentieth century. The landstreek van Manado, by contrast, became an isolated island of directly ruled colonial territory called Minahasa. The word minahasa means “united, become one.” When it first appears in Dutch documents in 1789, it refers to the council of chiefs from different parts of the territory convened at intervals by the VOC to receive instructions and resolve internal disputes. The landstreek van Manado contained some twenty-seven separate political units, each relating --- 7 The standard source for the early history of Dutch involvement in Minahasa is E. C. Godée Molsbergen, Geschiedenis van de Minahassa tot 1829 (Wellevreden: Landsdrukkerij, 1928). 8 Early Spanish activities in North Sulawesi are described in: S. Stokman, “De missies der minderbroeders op de Molukken, Celebes en Sangihe in de XVIe en XVIIe eeuw,” Collectanea Franciscana Neerlandica 2 (1931): 499–556; C. Wessels, De katholieke missie in de Molukken, Noord-Celebes en de Sangihe-eilanden gedurende de Spaansche bestuursperiode, 1606–1677 (Tilburg: Bergmans, 1935). W. Dunnebier outlines the history of the local dynasty in “Over de vorsten van Bolaang Mongondow,” Bijdragen tot de Taal-, Land- en Volkenkunde van Nederlandsch-Indië [hereafter BKI] 105 (1949): 219–74. 9 Godée Molsbergen reproduces the 1679 treaty in Geschiedenis van de Minahassa (pp. 55–58). 10 Dunnebier, “Over de vorsten van Bolaang Mongondow,” p. 244; Godée Molsbergen, Geschiedenis van de Minahassa, p. 103; R. Padtbrugge, “Het journaal van Padtbrugge’s reis naar Noord-Celebes en de Noordereilanden” (1677), BKI 14 (1867): 105–340, p. 132. 11 Godée Molsbergen, Geschiedenis van de Minahassa, p. 119. 12 J.A.T. Schwarz, Tontemboansch-Nederlandsch woordenboek met Nederlandsch-Tontemboansch register (Leiden: Brill, 1908), p. 46. 13 Godée Molsbergen, Geschiedenis van de Minahassa, pp. 135, 137, 139. independently to the Dutch authorities.\textsuperscript{14} The majority of these groups, known as \textit{walak}, were communities defined by a combination of features including cultural homogeneity, loose territoriality, recognition of a single leadership, and a strong but partly fictive tradition of common descent.\textsuperscript{15} Attempts by the VOC to appoint paramount chiefs for the whole region had failed due to endemic rivalries between the \textit{walak}, rivalries constantly inflamed by the traditional practice of headhunting.\textsuperscript{16} In the eighteenth century, the power of the small Dutch presence to alter traditional institutions remained limited. After the replacement of the VOC by colonial government proper, however, this situation quickly began to change. In 1809, Dutch forces crushed a serious rebellion by a number of \textit{walak} at Tondano.\textsuperscript{17} In 1822 the compulsory cultivation of coffee, for which climate and soil in the uplands were ideal, was introduced on a large scale. This made the intensification of colonial administration both economic and necessary, and ultimately led to the transformation of the \textit{walak} leaders into a bureaucratic corps trained, directed, and paid by the Dutch.\textsuperscript{18} It was during this period that the term Minahasa came to designate the whole territory within which a miniature colonial state was being created.\textsuperscript{19} \textbf{Ethnic Diversity in Precolonial Minahasa} Precolonial Minahasa—if the anachronism may be excused—had been culturally diverse as well as politically fragmented. At least eight mutually unintelligible languages, for instance, were spoken within it.\textsuperscript{20} Among three of the largest language groups, however, there was already some awareness of common belonging. The various \textit{walak} speaking the Tontemboan, Tombulu, and Tonsea languages were all believed to have developed, by way of a series of divisions and migrations, from a single ancestral group.\textsuperscript{21} According to one common oral tradition, the progenitors of this group had been an incestuous mother and son, Lumimu’ut and To’ar.\textsuperscript{22} This perceived genealogical unity was also reflected in folk religion. At their initial separation, the Tontemboan, Tombulu, and Tonsea peoples had each been \textsuperscript{14} J.G.F. Riedel, “De Minahasa in 1825: bijdrage tot de kennis van Noord-Celebes,” \textit{Tijdschrift voor Indische Taal-, Land- en Volkenkunde} [hereafter \textit{TBJ}] 18 (1872): 458–68, p. 459. \textsuperscript{15} Attempts to reconstruct the \textit{walak} from diverse Dutch sources can be found in: M. Schouten, “De veranderende positie van het walakhooft in de Minahasa gedurende de 19e eeuw” (thesis, Vrije Universiteit, Amsterdam, 1978), pp. 23–31; B. Supit, \textit{Minahasa dari amanat Watu Pinawetengan sampai gelora Minawana} (Jakarta: Sinar Harapan, 1986), pp. 43–69. \textsuperscript{16} A fascinating eyewitness account of this violent society was recorded in 1679 by R. Padtbrugge, “Beschrijving van de zeden en gewoonten van de bewoners der Minahassa,” \textit{BKI} 13 (1866): 304–30. \textsuperscript{17} Godée Molsbergen, \textit{Geschiedenis van de Minahassa}, pp. 168–69; Supit, \textit{Minahasa}, pp. 154–94; E. Mambu, “Jalannya Perang Tondano” (paper for the Seminar Perang Tondano, Jakarta, November 1986), pp. 56–81. \textsuperscript{18} This process is the principal subject of Schouten’s “De veranderende positie van het walakhooft.” \textsuperscript{19} The earliest evidence of this usage is from 1822—see C.C.G. Reinwardt, \textit{Reis naar het oostelijk gedeelte van den Indischen Archipel in het jaar 1821} (Amsterdam: Muller, 1858), p. 583. \textsuperscript{20} Their approximate distributions are shown on the accompanying map. J.N. Sneddon is the main authority on these languages—see his \textit{Proto-Minahasian: Phonology, Morphology and Wordlist} and \textit{Proto-Sangiric and the Sangiric Languages} (Canberra: Department of Linguistics, Research School of Pacific Studies, Australian National University, 1978 and 1984). \textsuperscript{21} Short histories of most of the \textit{walak}, adapted from oral sources, are given by J.G.F. Riedel, \textit{Pada menjatakan babaran perkara deri pada hhikaiainia tuwah tanuh Minahasa sampej pada kadatangan orang kalit putih Nederlanda itu} (Batavia: Landsdrukkerij, 1862); J.E. Jasper, “Historische verhalen en legenden van de Minahasa,” \textit{Tijdschrift voor het Binnengelandsch Bestuur} 50 (1916): 257–86; and A.M. Domsdorff, “De Minahasische dorpsgemeenschap in haar genetisch verband,” \textit{Adatrechtbundels} 34 (1937): 344–59. \textsuperscript{22} J.A.T. Schwarz reproduces several versions of this story in \textit{Tontemboansche teksten}, 2 vols. (Leiden: Brill, 1907) 2: 389–405. MINAHASA: LANGUAGE GROUPS MINDANAO (PHILIPPINES) North TALAUD SANGIR ISLANDS MINAHASA Bolaang MONGONDOW CORONTALO NORTH SULAWESI 0 20 40 kilometres 0 50 100 150 kilometres Drawn by L. Crisman in Autocad assigned slightly different ritual systems.\textsuperscript{23} The differences, however, were understood as complementary in a cosmic sense, and there was apparently at least one joint ritual in which this complementarity was acted out by participants from all three groups.\textsuperscript{24} A network of ritual experts certainly transcended both \textit{walak} and language boundaries.\textsuperscript{25} It has sometimes been argued on this basis that Minahasa was already a nation in pre-colonial times.\textsuperscript{26} There are several reasons to question this assertion. First, the tripartite ethnic core excluded more than one quarter of the population of the territory.\textsuperscript{27} The numerous Tondano language speakers, for instance, were considered outsiders who had been permitted to settle in the area only as “slaves of the Tonsea.”\textsuperscript{28} Even within the core groups, not all individuals traced their descent from To’ar and Lumimu’ut.\textsuperscript{29} Second, besides lacking the modern secular ideals usually associated with nationhood, the community was also without the basic corporate quality of a nation. It had, for instance, no name. Even the later name of Minahasa alludes to a former diversity now unified, not an ancestral unity now diversified. The religious emphasis was not upon unity, but upon systematic and necessary diversity. Common belonging was symbolized by the open vertical tree of descent, not the bounded horizontal field of nationality, and it entailed neither political solidarity nor any degree of social equality. Slavery, for example, was an important institution, and slaves could be obtained in the course of war between related groups.\textsuperscript{30} The elements of unity present in pre-colonial culture are best understood as latent resources upon which people would later draw to help create a new kind of community in Minahasa. Minahasa Becomes a Perceived Community The most conspicuous aspects of traditional religion—major ceremonies, sacred oral literature, senior ritual specialists—disappeared in the nineteenth century and were replaced by their Christian equivalents. Christianization had already begun in VOC and even Spanish times, but the great majority of Minahasans were converted between 1831 and 1891 by the NZG or Nederlandsch Zendeling Genootschap, the Dutch Missionary Society.\textsuperscript{31} The attraction of Protestant Christianity in this period can be explained partly by its association with the prestigious Dutch rulers, partly also by the erosion of old cultural institutions under new political pressures. Compulsory coffee cultivation and other colonial labor duties interfered with ritual activities and with the traditional agricultural cycle, to which those \textsuperscript{23} Jasper, “Historische verhalen,” pp. 262–63, 285; Riedel, \textit{Pada menjatakan babarapa perkara}, pp. 15–16. \textsuperscript{24} F.S.A. de Clercq, “Korte beschrijving der fosso Mahapansa zoools die voorheen gevierd werd door de Alifoeroe in de Minahasa,” \textit{TBG} (1870): 546–54. \textsuperscript{25} K. Tauchmann, “Die Religion der Minahasa-Stämme” (doctoral thesis, Universität zu Köln, 1968), pp. 150–51, 172–74. \textsuperscript{26} Most recently in ibid., pp. 46, 185–88. \textsuperscript{27} Approximately 26,000 out of 89,000 in 1846 (Schouten, “De veranderende positie van het walakhooft,” pp. 11, 14). \textsuperscript{28} N. Graafland, \textit{De Minahassa: haar verleden en haar tegenwoordige toestand}, 2 vols. (2nd ed., Batavia: Kolff, 1898), 1: 78–79. \textsuperscript{29} Schwarz (\textit{Tontemboanske teksten}, 2: 408–10) reproduces a Tontemboan genealogy beginning with a different pair of mythical ancestors. \textsuperscript{30} Riedel, “De Minahasa in 1825,” p. 575; Graafland, \textit{De Minahassa}, 1: 407, 422. \textsuperscript{31} The history of Christianization in Minahasa is summarized by J. W. Gunning, “De protestantsche zending in de Minahasa,” \textit{BKI} 80 (1924): 451–520. activities were closely related.\textsuperscript{32} The suppression of headhunting, the abolition of slavery, and the reconstruction of houses and settlements according to new plans had a similarly disruptive effect upon the old culture complex.\textsuperscript{33} A traditional admiration for strength and power, however, survived to motivate imitation of Dutch religious practices, which were assumed to be particularly efficacious.\textsuperscript{34} At the same time, the bureaucratic restructuring of the internal social hierarchy meant that sponsorship of traditional religious ceremonies ceased to confer influence or prestige.\textsuperscript{35} The process of Christianization was central to the emergence of a Minahasan national community, most importantly because it replaced the old cultural ideals of legitimate violence, systematic diversity, and natural inequality with one of peaceful and homogeneous unity. “The Christian religion shall eliminate all divisions,” taught the NZG, “and all Minahasans shall truly become brothers.”\textsuperscript{36} Inevitably, the reality was never so perfect. Christian Minahasa, although pacified by colonialism, remained a land of intense personal and group rivalries. Nevertheless, the \textit{ideal} of Minahasan unity was embraced wholeheartedly, and its appeal only seemed to be enhanced by the persistent discrepancy between ideal and reality. Though this ideal was new, the missionaries attempted to promote it partly by harnessing the latent unity which they detected in traditional society and culture. NZG teaching material, for instance, stressed the cultural similarity and common origin of most \textit{walak}, and also portrayed the Tondano language group—among whom, significantly, many of the earliest converts were made—as a fourth indigenous core group, equal in seniority to the Tombulu, Tontemboan, and Tonsea.\textsuperscript{37} At the effective cost of perpetuating ancestor worship, the missionaries even appropriated and promoted a version of the legend of To’ar and Lumimu’ut, whom they now portrayed as the ancestors of all Minahasans without exception.\textsuperscript{38} European interest in Minahasan tradition, however, was not entirely calculating. Many of the later missionaries, and some white government officials too, genuinely idealized what they perceived as the innocence and authenticity of the vanishing tribal society.\textsuperscript{39} This reflected both intellectual trends in Europe and a growing anxiety about what they saw as excessive cultural Westernization among Minahasans, whose imitation of Europeans had extended beyond religion to such things as fashion and drink.\textsuperscript{40} The missionaries sought to \begin{itemize} \item[32] In 1856, for instance, a Dutch restriction on the duration of religious ceremonies triggered a wave of conversion to Christianity in Tonsea (Graafland, \textit{De Minahassa}, 2: 279–83). \item[33] Many villages were rebuilt under state supervision after an earthquake in 1845. Debt slavery was outlawed in 1822, chattel slavery in 1859. The last recorded headhunt took place in 1862 (ibid., 1: 86, 90, 514–16; Schouten, “De veranderende positie van het walakhooft,” p. 16). \item[34] The importance and religious ramifications of strength or \textit{keter} in Minahasan culture are emphasized by M. Schouten in “The Minahasans: Eternal Rivalry,” in \textit{Indonesia in Focus} ed. N. Jonge, V. Dekker and R. Schefold (Meppel: Edu’Actief, 1988). \item[35] Tauchmann, \textit{Die Religion}, pp. 215–26. \item[36] From an NZG schoolbook for Minahasans by N. Graafland, \textit{Inilah kitab batja akan tanah Minahasa} (Rotterdam: Wijt, 1863), p. 24. \item[37] Graafland, \textit{Inilah kitab batja}, pp. 22–24. Dutch readers, strikingly, were treated to a more complete story (Graafland, \textit{De Minahassa}, 1: 78–80, 212–13). \item[38] The standardized version is presented by Graafland in \textit{De Minahassa}, 1: 210–13. It was taught in NZG schools until well into the twentieth century (Supti, \textit{Minahasa}, pp. 15, 19–22). \item[39] Graafland, \textit{De Minahassa}, 1: 204; J.G.F. Riedel, “De vroegere regten en verplichtingen der vrije aliferoes van noord-Selebes,” \textit{TBG} 18 (1872): 157–63, p. 157. \item[40] Graafland, \textit{De Minahassa}, 2: 199, 349; H. van Kol, \textit{Uit onze koloniën} (Leiden: Sijthoff, 1903), p.296. \end{itemize} limit this process by fostering pride in the Minahasan identity itself. In doing so, they applied their own European assumptions about nationality, distinguishing "nationaal" customs and crafts from foreign borrowings. Some of the former—a form of structured labor exchange, a harvest dance, a style of rattan work—were deliberately standardized and promoted. Missionary education director Nicolaas Graafland even composed a patriotic song for Minahasan schoolchildren: Minahasa yang tercinta Dengar kidung hatiku Karena untungmu kuminta Limpah berkat pada Hu Mana dapat jauh dan rapat Tanah lebih elok trang? Tagal itu sabagitu Beta cinta engkau grang. Beloved Minahasa Hear my heart's song For your good fortune I ask God's great blessing Where is there a lovelier More tranquil land? Because there is none I love you with passion. The NZG believed that it was not creating Minahasa, but recreating it in a new Christian form. De wedergeboorte van een volk—"the rebirth of a people"—was how one missionary described the process. The idea of a single Minahasan volk was disseminated through new social institutions which, because they encompassed Minahasa as a whole, automatically helped to make that idea credible. The most important such institution was the local mission school system, the most extensive anywhere in the nineteenth-century Netherlands Indies. This system eventually came to feature a single curriculum and a single corps of Minahasan teachers trained at a central training college. There was also a single preferred medium of instruction, Malay, which transcended local linguistic rivalries and became the language of Minahasan unity. Contact with the teachers, and instruction in Minahasan history and geography, enabled schoolchildren to perceive themselves as members of a Minahasan community, even when their own social circles were otherwise still much more local. Another NZG institution, the mission newspaper Tjahaja Sijang or Light of Day, performed an analogous integrative role for adults. First published in 1868, it was subtitled "Newspaper for Minahasa" and treated all Minahasan news as home news. Anderson has emphasized the importance of schools --- 41 Graafland, De Minahassa, 1: 134, 227, 342, 346, 370; ibid., 2: 199; R. Grundemann, Johann Friedrich Riedel: ein Lebensbild aus der Minahassa auf Celebes (Gutersloh: Bertelsmann, 1873), p. 244. 42 Tjahaja Sijang, March 15, 1905; Schwarz, Tontemboansche teksten, 2: 259–62; N. Graafland, "Indrukken en gedachten op de tentoonstelling, te Tomohon, 22 en 23 Juliij 1874," Mededelingen vanwege het Nederlandsch Zendelinggenootschap 19 (1875): 1–33, pp. 30–33; H. Kroeskamp, Early Schoolmasters in a Developing Country (Assen: Van Gorcum, 1974), pp. 192–93. 43 Reproduced in Tjahaja Sijang, October 1, 1921. 44 H. Rooiker, quoted by E.A.A. de Vreede in "De uitgroei van het zendingswerk in de Minahassa tot de huidige kerk," De Opweker 80 (1935): 329–350, p.340. 45 It is estimated that by 1870 almost all Minahasan boys between 6 and 14 years old, and over half of the girls in the same age bracket, were registered pupils (Kroeskamp, Early Schoolmasters, p. 129). 46 Kroeskamp (ibid., pp. 98–296) describes the development of mission education in Minahasa. 47 The story of Tjahaja Sijang, which was still being published in 1925, is told by A.B. Lapian in "Tjahaja Sijang (The Light of Day): Its Significance for the History of the Indonesian Local Press," in Proceedings, Seventh IAHA Conference, 22–26 August 1977 (Bangkok: International Association of Historians of Asia, 1979). and printed media in defining the Indonesian nation at a later date.\textsuperscript{48} In Minahasa, these processes were already at work on a smaller scale in the nineteenth century. The colonial government also contributed to the creation of a perceived Minahanas community. Its administrative policies, for instance, created a newly privileged elite of chiefly families which intermarried increasingly with each other, across \textit{walak} boundaries, in order to maintain their status.\textsuperscript{49} In 1865 the state followed the mission example by providing a central training school for its Minahasan officials, including clerks and coffee supervisors as well as administrative chiefs.\textsuperscript{50} The main language of administration, as of proselytization, was Malay, although knowledge of Dutch also became widespread among the Minahanas elite.\textsuperscript{51} In combination with linguistic unification and \textit{Pax Neerlandica}, the dense road network built to transport the coffee harvests gradually gave more substance to the perceived community by facilitating contact and movement between the \textit{walak}.\textsuperscript{52} At the conceptual level, European government spokesmen introduced Minahasans to an ideal of material and economic progress which complemented the ideals of social unity and spiritual enlightenment promoted by the mission.\textsuperscript{53} By the last decade of the nineteenth century, articles by local writers in \textit{Tjahaja Sijang} show that Minahasans themselves had learned to speak the same language. \begin{quote} I hope that the name of Minahasa will remain powerful for our children and our children’s children. The benefits of the unity to which it refers are now plain to see. All we Minahasans, both government and people, are united in a fine endeavor. United in the cause of better roads, houses and economic activities for our profit and pleasure as Minahasans. And united above all in the quest for knowledge to guide us in this life and the next.\textsuperscript{54} \end{quote} This gentle nationalism was, to a large degree, designed and tailored by Minahasa’s European masters. Nevertheless, it was also the partly unintended consequence of a set of real institutions which defined and created the community in which it took root. Furthermore, Minahanas nationalism was already developing a reactive, antagonistic dimension which brought it into conflict with its original sponsors. Ethnic Discrimination and Minahanas Identity European ambivalence toward Westernization among Minahasans was informed by prejudice and pride as well as genuine moral concern. Most missionaries could not accept Minahasans as equals, and saw any aspiration to equality as impertinent or even threatening.\textsuperscript{55} The earliest published expression of national feeling by a Minahasan came from an NZG employee, Lambertus Mangindaan, whose ambition to train as a missionary himself \textsuperscript{48} Anderson, \textit{Imagined Communities}, pp. 35–37, 110–12, 121. \textsuperscript{49} Schouten, “De veranderende positie van het walakhooft,” pp. 63–65. \textsuperscript{50} Kroeskamp, \textit{Early Schoolmasters}, pp. 227–32. \textsuperscript{51} Schouten, “De veranderende positie van het walakhooft,” pp. 60–63. \textsuperscript{52} Craafland, \textit{De Minahassa}, 1: 179–80. \textsuperscript{53} An example of this message is contained in an address by Resident A.J.F. Jansen to the Minahasan chiefs in 1859, reproduced in Panavuot, \textit{Minahasa lama dan baroe; moelai dari tjeritera-tjeritera doega-doegaan sampai pada tjjeritera kedjadian-kedjadian baroe tentang kegerakan2 kaem dan tanah Minahasa} (Manado, n.d. [1926]), pp. 57–63. \textsuperscript{54} F. Makelev in \textit{Tjahaja Sijang}, September 6, 1895. \textsuperscript{55} Schouten, “De veranderende positie van het walakhooft,” p. 63; M.H. Schippers, “Herinneringen uit mijn’ vorige werkkring te Maeombi in de Minahasa,” \textit{Mededeelingen vanwege het Nederlandsch Zendelinggenootschap} 35 (1892): 131–47; 36: 201–16, 420–32, 3rd part, p. 430. had been frustrated by his European superiors despite his possession of a teaching qualification from the Netherlands.\textsuperscript{56} In 1873, Mangindaan wrote a historical article in which he portrayed the Tondano revolt of 1809 as the result of a “popular desire for liberation” among Minahasans.\textsuperscript{57} Members of the many \textit{walak} which fought on the Dutch side in that conflict were described as “disloyal countrymen” whom the “magnanimous” rebels endeavored not to shoot in battle.\textsuperscript{58} For the first time, the ideal of Minahasan unity sponsored by the Dutch was being turned, at least figuratively, against them. The secular colonial government was less hostile than the mission to the idea of cultural assimilation, but it too exposed its employees to treatment which encouraged them to identify with Minahasa rather than with the Dutch. “I have learned from experience that we natives are inferior beings in the eyes of a great many European officials,” declared one of the most distinguished chiefs, Albert Lasut Waworuntu, after his retirement.\textsuperscript{59} The loss of political and economic autonomy which such men experienced during their transformation from \textit{walak} leaders into district officials also ranked.\textsuperscript{60} When these disaffections coincided with broader public grievances, members of the chiefly elite sometimes acted to represent Minahasan interests against those of the local colonial state. In 1891, for instance, Waworuntu petitioned the governor-general in Batavia for an impartial investigation into the administration of Resident of Manado M.C.E. Stakman, whose reforms to the tax and \textit{corvéé} labor systems were unpopular with peasants and chiefs alike.\textsuperscript{61} Waworuntu signed the petition “in the name of the people of Minahasa, to which I am proud to belong.”\textsuperscript{62} The role of racial stratification in defining the Minahasan nation was complicated by the fact that, if Minahasans were subordinate to Europeans, they were nevertheless becoming a lesser elite themselves as accessories to colonialism outside their homeland. The expansion of mission and later also state education in Minahasa generated a local surplus of literate, numerate manpower which was drawn off by government and private enterprise elsewhere in the Netherlands Indies. By 1930, around half of all Minahasans were literate—compared with fewer than 7 percent of all Indonesians—and one in every eight was living outside Minahasa.\textsuperscript{63} The experience of these expatriates as clerks in government offices, overseers on plantations, policemen in the colonial cities, and assistant missionaries in remote areas tended to reinforce a lesson which they had already learned at school—that as a Christianized, civilized people, Minahasans were “more elevated and illustrious” than the other \textsuperscript{56} E.F. Kruijff, \textit{Geschiedenis van het Nederlandsche Zendelingengenootschap en zijne zendingsposten} (Groningen: Wolters, 1894), pp. 390–91. \textsuperscript{57} L. Mangindaan, “Oud Tondano,” \textit{TBG} 20 (1873): 364–77, p. 367. \textsuperscript{58} Ibid., p. 368. \textsuperscript{59} \textit{Handelingen Volksraad} 1918: 206. A.L. Waworuntu (1862–1925) was decorated by the government in 1896 and appointed to the newly formed Batavia Volksraad in 1918—see L.F. van Gent, \textit{Nederland-Menado (1896–1921)} (Weltverdien: Balai Poestaka, 1923), p. 86. \textsuperscript{60} Schouten, \textit{De veranderende positie van het walakhoofd}, pp. 66–97. \textsuperscript{61} M. Schouten, “Myth and Reality in Minahasan History: The Waworuntu-Gallois Confrontation,” \textit{Archipel} 34 (1987): 119–41. \textsuperscript{62} Reproduced by M.C.E. Stakman in \textit{De Minahassa: bezwaarschrift, opgemaakt naar aanleiding van het rapport nopens den staat van zaken in de Minahasa, uitgebracht door W.O. Gallois, lid van den Raad van Nederlandsch-Indië} (Amsterdam: Van Holkema, 1893), p. 113. \textsuperscript{63} Calculated from the 1930 \textit{Volkstelling van Nederlandsch-Indië}, 8 vols. (Batavia: Departement van Economische Zaken / Landsdrukkerij, 1933–1936), 5: 22, 89, 90, 122, 135, 141, 142, 208. No net literacy figure for all ethnic Minahasans is available, but a reconstructed rate of 45 percent for rural Minahasa alone represents a minimum estimate. natives of the Indies.\textsuperscript{64} The Minahasan status category, therefore, had a native floor as well as a European ceiling. As in the case of the Eurasians of the Indies, to whom Minahasans often compared themselves, the pride imparted by this knowledge enhanced group solidarity even if it did little to maintain the serviceability of Minahasa as a vehicle for selfless ideals. One poignant manifestation of Minahasa’s ambivalent position in the colonial order was a certain expansionist element in Minahasan nationalism. The whole island of Sulawesi became, for a time, the object of a subaltern form of imperialism among Minahasans. Between 1914 and 1920 the most important Minahasan political figure of the twentieth century, G.S.S.J. (“Sam”) Ratulangie, educated son of a chiefly family from Tondano, called repeatedly for a \textit{pénétration pacifique} of Celebes by Minahasans.\textsuperscript{65} The ultimate aim was to be “complete assimilation of North and Central Celebes to Minahasa,” and although Dutch government support for this project was welcome, it would be first and foremost a “national mission” for Minahasa.\textsuperscript{66} But while some 10,000 Minahasans were living in other parts of Sulawesi by 1930, only among Christian Sangir and Talaud islanders from the far north was there any tendency for members of other ethnic groups to assimilate to Minahasa.\textsuperscript{67} Elsewhere, the strength of existing identities, the condescending attitudes of the Minahasans themselves, and above all the increasing influence of Islam in most areas made this impossible.\textsuperscript{68} Ultimately, the colonial government itself also stood in the way of Minahasan imperial ambitions. By 1936 it was Dutch policy to dispense with Minahasan personnel in the “self-governing” states of Celebes as soon as suitably qualified local people became available.\textsuperscript{69} Apart from the fact that educational facilities outside Minahasa were improving, this policy also reflected a broad change in colonial attitudes to ethnic discrimination in the Indies. Except where European privileges were concerned, the absolutist colonial state of the twentieth century was often opposed in principle to the kind of ethnic favoritism which had served imperial interests in the past.\textsuperscript{70} The most striking illustration of how this affected and enhanced Minahasan nationalism concerns a special group of emigrants, those who served in the Dutch colonial army.\textsuperscript{71} Institutionalized racial discrimination had reached its apogee in the army, where the intermediate status of the Minahasans or “Manadonese” between European and other Indo- \textsuperscript{64} The phrase is from Graafland’s schoolbook \textit{Inilah kitab batja} (1863), p. 5. \textsuperscript{65} G.S.S.J. Ratulangie, “Het Minahassisch ideaal,” \textit{Voordrachten en Mededelingen, Indische Vereeniging} 9 (1914): 31–45, pp. 43–45; idem with F. Laoh, “De Minahassers in de Indische beweging,” \textit{Koloniaal Tijdschrift} 6 (1917): 467–78, pp. 476–77. G.S.S.J. Ratulangie (1890–1949), now an Indonesian national hero, is the subject of a biography by W.S.T. Pondaag, \textit{Pahlawan kemerdekaan nasional Mahaputera Dr. G.S.S.J. Ratu Langie} (Surabaya: Badan Penerbitan Dr. G.S.S.J. Ratu Langie, n.d. [1966]). \textsuperscript{66} G.S.S.J. Ratulangie, “Minahassa perspektieven,” \textit{De Taak} 3 (1920): 125–27, p. 126. \textsuperscript{67} \textit{Volkstelling}, 5: 22; Ratulangie and Laoh, “De Minahassers in de Indische beweging,” p. 476. \textsuperscript{68} In 1923, the Islamic modernist organization Sarekat Islam even staged its own “National Celebes Congress” in Manado (\textit{Tjaha Ja Sijang}, August 4, 1923). \textsuperscript{69} J.H.R. Broeder, “Een en ander over de zelfbesturende landschappen op Noord-Celebes,” \textit{De Indische Gids} 58 (1936): 1005–1018, p. 1008. \textsuperscript{70} See, for instance, the 1901 colonial ministry statement on law, race, and ethnicity reproduced by J.H. Carpentier Alting in his \textit{Regeling van het privaatrecht voor de inlandsche bevolking in de Minahassa-districten der residentie Menado} (Batavia: Landsdrukkerij, 1902–1903), vol. 1, pp. iii–v. \textsuperscript{71} Minahasans first fought for the Dutch overseas in 1829, during the Java War (\textit{Van Gent, Nederland-Menado}, pp. 10–11). In 1920 they formed 15 percent of the colonial army (\textit{Kolonial Verslag} 1921, Appendix C, p. 5). nesian troops was regulated with military precision and affected everything from food to pensions.\textsuperscript{72} Simultaneously hailed as a martial elite among natives and frustrated in their aspiration to equality with Europeans, the Minahasans in the barracks of the Indies formed tight communities isolated from other groups by ethnic pride and jealousy.\textsuperscript{73} It was members of such a community at the Magelang military base in Central Java who founded the first formal Minahasan nationalist organization, the Perserikatan Minahasa or Minahasa Association, in 1909.\textsuperscript{74} “Our Minahasan troops,” wrote a Dutch officer in 1917, “always give me the impression that they \textit{could} form a danger, that they will preserve and extend their privileges at all costs.”\textsuperscript{75} Faced with a plan to abolish their special status in 1919, Minahasan soldiers angrily petitioned the governor-general for immediate legal “equalization”—\textit{gelijkstelling}—of all Minahasans with Europeans.\textsuperscript{76} At the same time the leader of this campaign, J. H. Pangemanann, insisted that \textit{gelijkstelling} was not synonymous with naturalization, and that Minahasans wished emphatically to remain Minahasans.\textsuperscript{77} Having something in common to lose proved as effective a stimulus to Minahasan patriotism as having something in common to gain. Minahasa as a Political Cause The \textit{gelijkstelling} petition brought Minahasans into unusually direct confrontation with the colonial government, not least because Pangemanann was a member of the Indische Sociaal-Democratische Vereniging, the forerunner of the Indonesian Communist Party, as well as vice chairman of Perserikatan Minahasa.\textsuperscript{78} Nevertheless, it was also the continuation of a long tradition of peaceful political protest. As early as 1877, the Minahasan district chiefs had appealed jointly to Batavia against legislation designating all uncultivated land in Minahasa as state domain.\textsuperscript{79} This first political action was unsuccessful, but Waworuntu’s above-mentioned protest of 1891 ultimately led to the dismissal of Resident Stakman, the highest Dutch official in North Celebes.\textsuperscript{80} At the turn of the century Waworuntu and two other disaffected chiefs found an ally in a socialist member of the Netherlands parliament, H. Van Kol, whom they advised—incorrectly—that Minahasa was in a state of serious \textsuperscript{72} B. van Kaam, \textit{Ambon door de eeuwen} (Baarn: De Toren, 1977), pp. 42–47. The Manadonese, including a small number of Sangir islanders, formed the greater part of the “Ambonese” component of the army. \textsuperscript{73} L. Balner, “Karakterschetsen van den Indischen soldaat, benevens practische voorstellen tot verbetering der keuringsresultaten,” \textit{Indisch Militair Tijdschrift} 56 (1925): 18–36, 83–100, 144–70, 222–41, 296–327, 3rd part, p. 164; C. Marcus, “Stroomingen in het leger,” \textit{Indisch Militair Tijdschrift} 50 (1919): 415–40, p. 417. The Manadonese did share their intermediate status with the Ambonese proper, but rivalry between the two groups was strong (Marcus, “Stroomingen in het leger,” p. 417). \textsuperscript{74} \textit{Nafiri Minahasa}, July 31, 1916, reproduced in P. Soeharto and A.Z. Ihsan, eds., \textit{Maju setapak: capita selecta ketiga} (Jakarta: Aksara Jayasakti, 1981), p. 160. The association aimed to promote the mental and material welfare of Minahasans and to help and support members and their families—see De Koning, “De Vereeniging Minahasa,” \textit{Orgaan der Nederlandsche Zendingstoeveniging} 56 (1916): 29–30. \textsuperscript{75} In V 15/5/1918/64. This and all other official documents cited here are from the Algemeen Rijksarchief, Den Haag. \textsuperscript{76} V 27/12/1921/A14X. \textsuperscript{77} In \textit{Kilat} (Magelang), May 20, 1919. \textsuperscript{78} V 27/12/1921/A14X. \textsuperscript{79} C.E. van Kesteren, “De ‘vriendschap’ der Indische regeering voor de bevolking der afdeeling Minahassa,” \textit{De Indische Gids} 1 (1879): 449–68, pp. 463–68. \textsuperscript{80} Schouten, “Myth and Reality,” p. 132. unrest over excessive taxation and a draconian new interpretation of the state domain law.\textsuperscript{81} In 1912, finally, Perserikatan Minahasa joined with a group of teachers to protest against proposed cuts to local education in Minahasa—always a politically sensitive issue—and succeeded in persuading the government to water down the plan.\textsuperscript{82} All of these actions had certain characteristics in common. Thanks to colonial education, the protests were framed in a language which the Dutch could understand—both literally, because they were written in Dutch, and metaphorically, because even the chiefs cast themselves as \textit{representatives} (rather than, say, divinely appointed rulers) of the Minahasan \textit{volk}, and appealed effectively to the Dutch sense of imperial duty and justice. This appeal was reinforced by a constant stress upon the essential loyalty of Minahasa to the Netherlands. \begin{quote} No! Minahasa does not ask to become a state in its own right. Minahasa wishes always to remain attached to the Netherlands, to become a part of the Netherlands, because Holland can bring Minahasa good fortune, provided only that what was promised in the contracts is not forgotten.\textsuperscript{83} \end{quote} The “contracts” referred to here were the various treaties concluded between the \textit{walak} leaders and the VOC, and particularly the original agreement of 1679, around which a whole mythology of “alliance” was developed.\textsuperscript{84} In reality, the 1679 treaty had only been one of a whole series confirming various North Celebes potentates as Company vassals, rather than allies, and neither it nor its later supplements promised Minahasans anything beyond protection from external enemies.\textsuperscript{85} Nevertheless, its perceived importance in the late nineteenth and early twentieth centuries reflected a genuine belief among Minahasans that colonialism was a contractual, reciprocal relationship which offered them rewards—spiritual enlightenment, material progress, and, above all, social prestige—as well as obligations.\textsuperscript{86} The petitioners of 1919 regarded the proposal to reduce them to the status of the Javanese as a breach of the colonial contract.\textsuperscript{87} The \textit{gelijkstelling} petition succeeded only in causing a rift within Perserikatan Minahasa, which then went into decline.\textsuperscript{88} Minahasan military privileges were abolished as planned in 1921, although a few were restored four years later.\textsuperscript{89} The soldiery, partly out of increased \begin{footnotesize} \begin{itemize} \item[81] Schouten, \textit{De veranderende positie van het walakhoofd}, pp. 93–97; Van Kol, \textit{Uit onze koloniën}, pp. 277–81; E.J. Jellesma, \textit{De Minahassa en enige andere streken der residentie Menado} (Amsterdam: De Bussy, 1903), pp. 5–9. \item[82] Gunning, “De protestantsche zending,” pp. 513–15; Ratulangie and Laoh, “De Minahassers in de Indische beweging,” pp. 468–69; T.F. Viersen, \textit{De invoering der onderwijs-reorganisatie in de Minahassa} (Amsterdam: Blikman & Sartorius, 1913); “Een Volksstem: een heftig protest van de ‘Minahassa-Vereeniging’ tegen de overplaatsing van het hoofd der Menadosche school,” \textit{De School van Nederlandsch Indie} 2 (1912): 522–23. \item[83] A.L. Waworuntu at a public meeting in 1902, quoted in Van Kol, \textit{Uit onze koloniën}, p. 237. \item[84] See, for instance, the preface to Godée Molsbergen’s \textit{Geschiedenis van de Minahassa} (1928), published to commemorate the 250th anniversary of the 1679 contract. \item[85] Godée Molsbergen (\textit{Geschiedenis van de Minahassa}, pp. 90–94, 139–44) reproduces the supplementary treaties of 1699 and 1791 as well as the original. The equivalent agreements with neighboring regions are summarized by L.W. Alders, “Internationale rechtspraak tussen Indonesische rijken en de V.O.C. tot 1700” (doctoral thesis, Katholieke Universiteit te Nijmegen, 1955), pp. 83–88. \item[86] This was congruent with older assumptions about power and dependency as manifest in the custom of \textit{mekoki}, an instrumental form of adoption practiced between adults—see L. Adam, “Zeden en gewoonten en het daarmee samenhangende adatrecht van het Minahassische volk,” \textit{KITLV} 81 (1925): 424–99, pp. 469–77. \item[87] This was made explicit by a Minahasan spokesman quoted in V 27/12/1921/A14X. \item[88] MR 779X/20; V 27/12/1921/A14X. \item[89] J. de Vries, “Het KNIL en de emancipatie van de inheemse bevolking van Nederlands-Indië, 1908–1942,” \textit{(doctoraal scriptie, Rijksuniversiteit te Groningen, 1988)}, pp. 20, 30. \end{itemize} \end{footnotesize} realism, gradually became apolitical and conservative. Another reason why the crisis was soon overcome, however, was that the disappointing developments in Java coincided with new evidence of political progress in the homeland itself. In 1919 a representative council for Minahasa, the Minahasaraad, was inaugurated in Manado. With a direct system of election and an overwhelming indigenous majority, the Minahasaraad was the most democratic organ of government ever created in colonial Indonesia. Revised statutes adopted by Perserikatan Minahasa in 1918 had included the goal of loyaal streven naar zelfbestuur, "loyal pursuit of self-government," and the new council seemed to vindicate this paradoxical strategy. Presiding over local taxation and public services, the Minahasaraad abolished corvée labor, initiated a migration scheme to relieve local overpopulation, and involved itself in public health, markets, and credit services. Exercising its right of petition to higher authority, it secured an extension of its own franchise from an initial 10 percent to almost 70 percent of the adult male population. In its consultative capacity, it defended local education against more threats from above. Minahasaraad elections, meanwhile, were highly popular events in the local cultural context of endemic status competition and rivalry. Ratulangie, secretary of the council between 1924 and 1927, called it "an ultramodern body" and "an absolute success." If the Japanese invasion had not intervened, progress toward political autonomy would have continued with the development of the Minahasaraad into a groepsgemeenschap or "group community" government for Minahasa. In economic terms, too, the twentieth century was kinder to Minahasa than the nineteenth. Compulsory coffee cultivation was abolished in 1899, whereupon this unpopular crop promptly disappeared from the Minahasan scene. Its place as staple export was taken by copra, good prices for which brought conspicuous prosperity to coconut growers. Even in those parts of Minahasa less suitable for coconut trees, a relatively even pattern of land ownership and a growing rice market precluded absolute poverty. The Great Depression --- 90 There were 18 directly elected Minahasan members, one Chinese and four Europeans—see M. Brouwer, "Bestuursvormen en bestuurstelsels in de Minahassa" (doctoral thesis, Rijksuniversiteit te Leiden, 1936), p. 102, and J. Tideman, memorie van overgave as resident of Manado, February 23, 1926, pp. 59–63. Other regional councils were elected by means of stepped voting systems (V 27/10/1938/20). 91 Nafiri Minahasa Celebes (Batavia), October 10, 1918. Perserikatan Minahasa had petitioned the government for such a council in 1917 (V 11/3/1919/36). 92 Brouwer, "Bestuursvormen," pp. 112–13, 116; Tideman, memorie van overgave, pp. 86–88; M. van Rhijn, memorie van overgave as resident of Manado, May 12, 1941, pp. 56–57. 93 A.P. van Aken, memorie van overgave as resident of Manado, May 9, 1932, p. 51. A high initial income qualification was lowered in 1929 to give every adult male taxpayer the vote (Brouwer, Bestuursvormen, pp. 102–103; MR 3204/1928). 94 Tideman, memorie van overgave, p. 156; MR 2955/1924; MR 23/1927. 95 Turnout was 76, 71, and 68 percent in the elections of 1920, 1934, and 1938 respectively—"Herziening van het kiesrecht voor den Minahassaraad," Locale Belangen 16 (1929): 880–86, p. 883; Van Rhijn, memorie van overgave, p. 195. 96 G.S.S.J. Ratulangie, "De inlandsche gemeenteordonnantie voor de Minahassa," De Stuu 1/17 (1930): 9; "Herziening van het kiesrecht," p. 883. 97 Van Rhijn, memorie van overgave, pp. 229–35; V 27/10/1938/20. 98 "Copra in de Minahassa," Economisch Weekblad voor Nederlandsch-Indië 1 (1932): 630–32, 669–70, 609–712, 762–64, 811–13, 3rd part, p. 712; MR 779X/1920. In 1926, copra made up 90 percent of Minahasa's exports by value (Tideman, memorie van overgave, p. 116). 99 There are no landholding data for the Dutch period, but the 1963 agricultural census gives a high average farm size (1.74 ha) despite an unexceptional ratio of population to number of farms—see Sensus pertanian 1963. hit the Minahasan economy hard after 1930, but local and remitted salaries and pensions, which accounted for as much as 60 percent of the region’s money income in 1932, cushioned the blow.\textsuperscript{100} The fact that most of these came from Dutch government and business sources helped to prevent any strong political reaction to the crisis. Combined with Christianity and cultural Westernization, Minahasa’s reputation for political loyalty earned it the epithet of “twelfth province” of the Netherlands.\textsuperscript{101} This loyalty was, however, a stylized and instrumental one calculated to further the interests of Minahasa as a nation or \textit{bangsa}. A local newspaper article from 1929 compares the confrontational nationalism of Java and Sumatra, which “bangs and smashes at the government’s door,” with the more restrained—and effective—Minahasan variety. Minahasa, which might be called sophisticated, is never slow to face the government either. But it comes respectfully, knocking on the door, requesting admission and asking that its wishes be granted. Those Minahasans who have some political awareness know how to make practical use of politics, know exactly what to do and how to behave in order to benefit their land and \textit{bangsa}.\textsuperscript{102} Within Perserikatan Minahasa, which attracted many civilian as well as military members in the years before the \textit{gelijkstelling} petition, \textit{bangsa Minahasa} was explicitly perceived as a nation on the European model.\textsuperscript{103} At the inauguration of a civilian branch in the homeland in 1915, one speaker even exhorted Minahasans to draw inspiration from the bloody patriotism of the First World War. Minahasa, my \textit{bangsa}! Do not be discouraged by fatigue, adversity, ridicule or oppression. Look at what is happening in Europe, where each man so loves his \textit{bangsa} that if he dies on the battlefield it is as if to say: take my worthless body, I fought to the death for the glory of my country and the good of my \textit{bangsa}.\textsuperscript{104} “There is a sense of nationality, a Minahasan nationalism,” confirmed Ratulangie in a Dutch language article published two years later. “Everything Minahasan, everything which involves a national ideal, is concentrated in \textit{Perserikatan Minahasa}.”\textsuperscript{105} Christianity and Nationalism Another part of the rhetoric of Minahasan nationalism was traceable directly to nineteenth century missionary discourse, and its central message was that of unity. \textsuperscript{100} From a table of regional income estimates reproduced from an unknown source by G.S.S.J. Ratulangie in \textit{Maesa} (Batavia) 11–12 (1935): 217. \textsuperscript{101} The nickname was popularized by Dutch “Ethical” politician C.T. Van Deventer (\textit{V 27/12/1921/A14X}). \textsuperscript{102} A.M. Tareran in \textit{Fikiran}, April 6, 1929. \textsuperscript{103} \textit{V 27/12/1921/A14X}. With some 10,000 members in 1917, Perserikatan Minahasa was the largest native association in the Indies after Sarekat Islam (\textit{V 15/5/1918/64}; D. van Hinloopen Labberton, “De invoering van een militie in Indië, welke rekening houdt met het karakter van den inlander en de stromingen in de inlandsche maatschappij,” \textit{Orgaan der Vereeniging ter Beoefening van de Krijgswetenschappen} 1916–1917: 579–622, p. 604. \textsuperscript{104} J.U. Mangowal, quoted in \textit{Nafiri Minahasa}, July 31, 1916, and reproduced in \textit{Maju setapak}, ed. Soeharto and Ihsan, p. 167. \textsuperscript{105} Ratulangie and Laoh, “De Minahassers in de Indische beweging,” pp. 472, 473. So, brothers, friends, members of the association, and all who have pure Minahasan blood, think of your land and join the movement of your times. Grasp the banner of the association and march forward together. Show that we are truly united. Follow the example of the ancestors from whom we inherited the name Minahasa—unity, unified, united in all good and righteous endeavors, for the good of the association and for the love of our land and bangsa.\textsuperscript{106} At the same time, Christianity also contributed to an emerging ideal of emancipation. The NZG had sometimes been at odds with the secular colonial authorities, and had not shrunken from publishing attacks on government policies in \textit{Tjahaja Sijang}.\textsuperscript{107} “Christianity produces loyal subjects,” Graafland wrote, “but a people which understands the notions of right and justice must also be treated justly.”\textsuperscript{108} The mission did much to create a political culture in which the legitimacy of loyal dissent was taken for granted.\textsuperscript{109} In the ecclesiastical sphere, it went further by supplying a vision of independence from Dutch leadership. Despite their hostility to the idea of training Minahasan pastors immediately, most missionaries agreed that their \textit{ultimate} goal was to make themselves redundant by creating an autonomous Minahasan church.\textsuperscript{110} After 1875, however, financial difficulties forced the NZG to transfer its Minahasan congregations to the care of the state \textit{Indische Kerk}.\textsuperscript{111} For half a century the church in Minahasa became a rigid appendage of the colonial government.\textsuperscript{112} Yet much of the school system remained in mission hands, and Minahasan teachers at the NZG schools, most of whom remained lay preachers too, kept the ideal of ecclesiastical independence alive through their organization Pangkal Setia.\textsuperscript{113} Resentment also persisted among some Minahasan employees of the Indische Kerk itself. In 1933 members of both groups founded an independent national church called Kerapatan Gereja Protestan Minahasa (KGPM), the Minahasa Protestant Church Union.\textsuperscript{114} The Indische Kerk now accelerated its own belated autonomy program, and the established church in Minahasa received formal independence in 1934 as Gereja Masehi Injil Minahasa (GMIM), the Minahasan Evangelical Protestant Church.\textsuperscript{115} GMIM, with its great institutional momentum, remained \textsuperscript{106} J.F. Rawung, second secretary of Perserikatan Minahasa, in \textit{Tjahaja Sijang}, September 19, 1923. \textsuperscript{107} Grundemann, \textit{Johan Friedrich Riedel}, p. 168; Gunning, “De protestantsche zending,” p. 471; De Vreede, “De uitgroei van het zendingswerk,” p. 338; Graafland, \textit{De Minahassa}, 2: 393. \textit{Tjahaja Sijang} continued the tradition of dissent after its transfer to wholly Minahasan editorship in 1920 Lapian, “\textit{Tjahaja Sijang},” pp. 918–20. \textsuperscript{108} Graafland, \textit{De Minahassa}, 2: 135. \textsuperscript{109} This atmosphere was probably unique in the colony, and certainly made a strong impression upon Javanese observers—see Prijohoetomo, “\textit{De Minahassa},” \textit{Oedaya} 85 (1930): 72-74. \textsuperscript{110} “De opleiding der gemeenten in de Minahassa tot meerdere zelfstandigheid,” \textit{Mededelingen vanwege het Nederlandsch Zendelinggenootschap} 11 (1867): 83–96, p.83; H.J. Tendeloo, “Bene nieuwe bijdrage tot de kennis van den aanleg en het karakter der Minahassers,” \textit{Mededelingen vanwege het Nederlandsch Zendelinggenootschap} 11 (1867): 164–225, p. 187; I.P.C. van ’t Hof, “Overzicht van de geschiedenis der kerk in de Minahassa,” \textit{De Heerbaan} 4 (1951): 234–38, 296–300, 330–35; 5 (1952): 117–30, 158–69, 4th part, p. 123. \textsuperscript{111} Van ’t Hof, “Overzicht,” p. 118. \textsuperscript{112} Van ’t Hof, “Overzicht,” pp. 117–28; De Vreede, “De uitgroei van het zendingswerk,” pp. 344–47. \textsuperscript{113} As early as 1892, two NZG teachers pressed for the appointment of Minahasan pastors (H.M. Taulu, 125 tahun Kweekschool-SPCK Kuranga-Tomohon, 1851–1976 [1976], p. 7; De Vreede, “De uitgroei van het zendingswerk,” p.343). Pangkal Setia was inaugurated in 1910 (M. Schouten, personal communication). \textsuperscript{114} \textit{Eikiran}, June 10, 1933; A.B. Lapian, “Gerakan Kristen revolusioner sampai 1942,” \textit{Prisma} 11 (1985): 86–96, pp. 94–95. \textsuperscript{115} “Algemeen Reglement der Minahassische protestantsche kerk,” \textit{De Opwekker} 80 (1935): 55–73; D.M. Lintong, “Ds. A.Z.R. Wenas, ketua synode GMIM (1942–1967)” (\textit{sarjana} thesis, Universitas Kristen Indonesia, Tomohon, 1978), p. 27. preponderant, but KGPM grew rapidly and included 61 congregations by 1941.\textsuperscript{116} The KGPM leader, B.W. Lapian, retained close links with secular nationalism in the form of Persatuan Minahasa, a political party created by Ratulangie and other intellectuals to replace the civilian wing of Perserikatan Minahasa in 1927.\textsuperscript{117} Philippine Parallels While Javanese intellectuals of the early twentieth century often looked to the nationalist movement in British India for inspiration, their Minahasan counterparts were more interested in the American Philippines.\textsuperscript{118} When future Philippine president Manuel Quezon—a personal friend of Ratulangie—met Batavia Minahasans on a visit to Java in 1934, the idea was even raised that Minahasa might one day secede from the Indies to join the neighboring republic.\textsuperscript{119} Despite the obvious differences in scale and timing, there are real historical parallels between Minahasa and the northern Philippines in the colonial period. In both cases many small traditional communities, unshielded either by a world religion or by an overcapping indigenous polity, were welded into unity by Christianity and a colonial state. In both cases, a genuine nationalism arose which was inspired partly by a frustrated ambition to assimilate into European society—an ambition with which it always remained in some tension—and partly by a European fascination with precolonial society.\textsuperscript{120} In both cases, Christianity was also a source of inspiration and the church a focus of nationalist unrest.\textsuperscript{121} In the early twentieth century, however, a dynamic equilibrium was in both cases established between colonialism and nationalism. This was achieved on the basis of economic welfare, educational progress, and representative institutions which sustained a sense of political progress.\textsuperscript{122} One major contrast, however, was that Christian Filipinos, although they too had to share their colony with other groups to whom they felt superior, constituted a large demographic majority with a virtual monopoly over the Philippine nationalist movement. Minahasans, on the other hand, not only found themselves part of a state in which the Moros—so to speak—made up 90 percent of the population, but also had to come to terms with nationalist ideas and organizations originating outside their own region. Minahasa and Indonesia Minahasan leaders were already alert to political conditions elsewhere in the archipelago in 1877, when they complained that neighboring territories, though less loyal and less profitable to the government than Minahasa, were not subject to the state coffee monopoly \textsuperscript{116} Lapian, “Gerakan Kristen revolusioner,” p. 95. \textsuperscript{117} MR 154X/1940; Blumberger, \textit{De nationalistische beweging}, p. 306. After 1927, Perserikatan Minahasa became a purely professional organization for Minahasan soldiers. \textsuperscript{118} Ratulangie’s magazine \textit{Nationale Commentaren} (Batavia, 1937–1941), for example, gave extensive coverage to Philippine affairs. \textsuperscript{119} G.M.A. Ingkwiwirang, interview, August 21, 1988. Ratulangie’s friendship with Quezon is mentioned in Pondaag, \textit{Pahlawan nasional}, p. 108. \textsuperscript{120} On the influence of the latter in the Philippine case, see J.N. Schumacher, “The ‘Propagandists’ Reconstruction of the Philippine Past,” in \textit{Perceptions of the Past in Southeast Asia}, ed. Anthony Reid and David Marr (Singapore: Heinemann, 1979), p. 267. \textsuperscript{121} Lapian draws attention to this parallel in “Gerakan Kristen revolusioner,” pp. 87, 92–96. \textsuperscript{122} It is interesting that only 14 percent of Filipinos were enfranchised in 1941—O.D. Corpuz, \textit{The Philippines} (New Jersey: Prentice-Hall, 1965), p. 133. In quantitative terms, Minahasa was far more democratic. or the state domain law.\textsuperscript{123} In the twentieth century they began to look to Java, where, for instance, corvéé labor was phased out more quickly than in Minahasa.\textsuperscript{124} Even the foundation of Perserikatan Minahasa in 1909 must have been connected with the establishment of military chapters of the new Javanese national organization Budi Utomo in the same year.\textsuperscript{125} Ethnic rivalry, however, and the determination not to be outdone by any other bangsa, was much more important than any interest in solidarity here. “Minahasans,” as one writer bristled in 1922 at the suggestion that other groups were more patriotic, “can rival anyone in the Indies in love for their tanah air.”\textsuperscript{126} When Douwes Dekker’s Indische Partij began to suggest that all indigenous peoples actually shared one great common tanah air, the overt response from Minahasans was cautiously positive.\textsuperscript{127} Some of their motives here were still strongly ethnocentric, however. A quarter of a million strong among a population of more than fifty million, they sensed that their future might ultimately depend not upon Dutch protection, but upon the goodwill of their neighbors.\textsuperscript{128} Although I do not yet fully understand what the current developments mean, I feel it is time for us as children of Minahasa, which is part of the Indian archipelago, with our Minahasan blood which is also Indian blood, to think about our present and future stance toward this movement. We must beware of what might happen if, in times to come, we should find ourselves alone and isolated. We cannot afford to take a false step, we cannot risk becoming trapped.\textsuperscript{129} The Indische Partij ultimately lost the support of more popular sectional groups like Sarekat Islam and failed to form the nucleus of an Indonesian national movement. The really difficult choices for Minahasa were therefore postponed until the appearance of Sukarno’s Partai Nasional Indonesia in 1927. Some Minahasan students in Java played important roles in the youth movement from which the new unitarian nationalism of the PNI drew much of its strength.\textsuperscript{130} It is also well known that Ratulangie ultimately became a prominent Indonesian nationalist. In 1936 he sponsored the “Soetardjo petition,” calling for independence for the whole colony within ten years, and in 1939 he led Persatuan Minahasa into Gabungan Politik Indonesia or GAPI, a concentration of Indonesian parties.\textsuperscript{131} These facts, however, represent only part of a more complex picture. An attempt to absorb Minahasan student groups into Indonesia Muda or \textsuperscript{123} In the first petition to the governor-general, reproduced by Van Kesteren in “De ‘vriendschap’ der Indische regering,” p. 465. \textsuperscript{124} A.L. Waworuntu, “De Minahassa en het Minahassavolk, 1679-1917,” \textit{De Indische Gids} 40 (1918): 651–65, p. 654. \textsuperscript{125} Nagazumi, \textit{The Dawn of Indonesian Nationalism}, p. 94. \textsuperscript{126} In \textit{Tjaha Siang}, June 7, 1922. \textsuperscript{127} Several leading members of Perserikatan Minahasa were also involved in the Indische Partij (MR 779X/1920; V 20/5/1924/R6X). \textsuperscript{128} The population of Minahasa was 241,909 in 1920 and 307,767 in 1930—see P.M.L. Tammes, “De biologische achtergrond van het bevolkingsvraagstuk op Noord-Celebes en de Sangihe- en Talaud-archipel,” \textit{Tijdschrift voor Economische Geografie} 31 (1940): 177–98, p. 190. \textsuperscript{129} “J.J.” in \textit{Tjaha Siang}, October 20, 1923. Ratulangie expresses similar apprehensions in “Minahassa perspektieven,” pp. 125, 127. \textsuperscript{130} Two of the seven speakers at the first Indonesian Youth Congress in 1926, for example, were Minahasans—see \textit{Laporan kongres pemuda Indonesia pertama di Weltevreden, 1926} (Jakarta: Takari, 1981). \textsuperscript{131} Pluvier, \textit{Overzicht}, pp. 83, 118, 136; Pondaag, \textit{Pahlawan Nasional}, p. 26. Young Indonesia, for example, was unsuccessful, and a delegate from Indonesia Muda trying to recruit members in Manado was obliged to use the name Minahasa Muda instead.\textsuperscript{132} Nor did Persatuan Minahasa join Permufakatan Perhimpunan-Perhimpunan Politik Kebangsaan Indonesia or PPPKI, the federation of nationalist parties sponsored by the PNI in 1927.\textsuperscript{133} It is also striking that, although the unitarian nationalist parties Parindra and later Gerindo were present in Minahasa, they never had much support there despite an unusually tolerant local Dutch administration.\textsuperscript{134} Insofar as it was politicized along party lines, the \textit{Minahasaraad} was dominated instead by Persatuan Minahasa, to which one half of its elected members belonged between 1934 and 1938.\textsuperscript{135} Persatuan Minahasa candidates also consistently won every seat on the Manado town council which had been created alongside the \textit{Minahasaraad} in 1919.\textsuperscript{136} Persatuan Minahasa derived its popularity partly from its close attention to specific local issues—school funding, ecclesiastical autonomy, an unpopular state copra freight monopoly—and partly from its explicit appeal to Minahasan national sentiment. In 1940 two \textit{Minahasaraad} members sympathetic to Gerindo founded a new party called Perserikatan Kaum Minahasa in order to give Leftist politics a similar ethnic cachet.\textsuperscript{137} Ratulangie explained his opposition to the PPPKI partly in terms of the latter’s noncooperative stance, which was alien to Minahasan politics, and partly in terms of its interpretation of \textit{kebangsaan} or nationality. “The peoples of Indonesia,” he argued, “can be divided into territorial units, each with its own rights as a \textit{bangsa}.”\textsuperscript{138} One reason for the central committee’s refusal to join is that the PPPKI is based upon \textit{kebangsaan} in name only. In reality its unity does not reflect the rights of each \textit{bangsa} in Indonesia. The Sarekat Islam party and the PNI in particular, although they claim to act on the basis of \textit{kebangsaan}, do not represent specific \textit{bangsa} in the sense just explained.\textsuperscript{139} While some radical Minahasans in Java objected to this attitude, most regarded it as entirely natural.\textsuperscript{140} One newspaper correspondent in the homeland even opined that Minahasa should seek its own independence “with or without Indonesia—after all, Minahasa is a bigger country than, say, the Republic of Haiti.”\textsuperscript{141} \textsuperscript{132} KAPAK [Kerukunan Antar Pemuda Kawanua], \textit{Sejarah perjuangan pemuda Maesa} (Jakarta: DPP KAPAK Jaya, 1976), pp. 27–28; \textit{Fikiran}, June 7, 1930. \textsuperscript{133} Blumberger, \textit{De nationalistische beweging}, p. 306. \textsuperscript{134} MR 697X/1932; MR 1125X/1933; MR 389X/1938; MR 807X/1934. Three Gerindo candidates (Partindo had become defunct in 1936) were all unsuccessful in the local elections of 1938 (MR 444X/1939). \textsuperscript{135} MR 740X/1935. The remainder, like all \textit{Minahasaraad} members prior to 1930, seem to have claimed no formal party affiliation. \textsuperscript{136} Until 1939, when one independent candidate was elected (MR 426X/1940). \textsuperscript{137} MR 426X/1940. \textsuperscript{138} Ratulangie at a Persatuan Minahasa congress in May 1928, reported in \textit{Fikiran}, June 23, 1928. \textsuperscript{139} \textit{Fikiran}, June 23, 1928. \textsuperscript{140} Some of the dissenters formed a splinter group called Perserikatan Celebes in 1930, but this was successful only as a joint venture with local politicians in South Sulawesi (L.J.J. Caron, \textit{memorie van overgaze} as governor of Celebes and dependencies, December 14, 1933, pp. 14–16). \textsuperscript{141} \textit{Fikiran}, June 11, 1932. Federal Nationalism Ratulangie’s own view in 1938, and the official standpoint of Persatuan Minahasa, was that there was no necessary contradiction between Minahasan independence and Indonesian unity. The national unity of the Indonesian volk is a political unity. It rests upon the political will to form a unity and to be a political nation. With full recognition of the cultural and ethnic differences between the various groups, and of the political consequences of those differences, we must campaign strongly for the recognition, acceptance, and realization of the political unity of the component parts of the Indonesian volk.$^{142}$ The only ideological way to reconcile the old Minahasan nationalism with the new Indonesian one, and the only practical way to allay Minahasan fears of domination by other more numerous bangsa, was federalism. Ratulangie always recognized Indonesia as a geographic and political unit—in fact, he was one of the first people to popularize the concept outside scientific circles.$^{143}$ But in 1922 he was already insisting upon federalism as the basis for its political development, and in 1930 he assured a public meeting in Manado that “the organization of the future state must be based upon the federal principle, with full recognition of the rights of each autonomous bangsa within the Indonesian framework.”$^{144}$ Despite Ratulangie’s protestations of Indonesian solidarity, a corollary of federalism was that Minahasans were much less skeptical than many other Indonesians toward the decentralisatie policy by which the Dutch claimed to be promoting the incremental emancipation of the indigenous peoples. The Minahasaraad, after all, was a product of this policy, and while Minahasans might criticize the Minahasaraad for its limited powers—Pangemanann called it a “farce” in 1919—few thought of denouncing it as an instrument of “divide and rule.”$^{145}$ Minahasans also took a keen interest in the “Government of the Great East” created in 1938 to administer eastern Indonesia from Makasar, and in the groepsgemeenschap plan for Minahasa which was still pending in 1942.$^{146}$ Despite formal acknowledgement by Persatuan Minahasa of a fundamental conflict of interests between sini and sana, or native and European, and despite the gradual erosion of Minahasa’s elite status within the colonial order, Dutch policies never quite diverged sufficiently from Minahasan aspirations to radicalize Minahasan nationalism or to end the continuity and autonomy of Minahasan history.$^{147}$ Regional Nationalism in Colonial Indonesia The Minahasan case confounds some common assumptions about nationalism and regionalism in colonial Indonesia.$^{148}$ While the politically moderate character of Minahasan “regional” nationalism was certainly conditioned by an unusually benevolent colonial history, it would be incorrect to dismiss Minahasa’s claim to its own national identity as reactionary or defensive in spirit. That claim preceded Indonesia’s both historically and morally, $^{142}$ Nationale Commentaren, November 26, 1938. $^{143}$ Akira Nagazumi, “‘Indonesia’ and ‘Indonesians’: semantics in politics,” Asian Profile 1/1 (1973): 91–102, p. 96; Laporan kongres pemuda, p. 47. $^{144}$ Minahassa Revue (Makasar), March 31, 1927; Fikiran, May 31, 1930. $^{145}$ Kilat, May 20, 1919. $^{146}$ Nationale Commentaren, February 3, 1940; Menado Bulletin, June 10, 1939. $^{147}$ Ratulangie made a public statement of his alignment with sini in Manado in 1930 (Fikiran, May 31, 1930). $^{148}$ These assumptions are admirably summarized by Pluvier, Overtzicht, pp. 15, 81. and the federal idea represented an honest attempt to reconcile it with Indonesian nationalism. At the same time, Minahasan nationalism cannot be characterized as a “primordial” phenomenon either. Precolonial tradition, in fact, was a factor only in the minds of intellectuals who attempted to portray it as a tribal premonition of liberal democracy, and thus link it with the Minahasaraad. A wave of rather unrealistic cultural nationalism among some young educated Minahasans between 1930 and 1942, concentrating upon the belated promotion of the indigenous Minahasan languages, leant heavily upon Dutch missionary literature and ideas. In retrospect, it is easy to dismiss colonial Minahasa as a political anomaly, a privileged region with a vested interest in the kind of incremental, decentralized emancipation favored by the Dutch. But for Minahasans themselves, Indonesia was the anomaly. It was their misfortune that by 1942 their own vision of Indonesia as a federation of autonomous bangsa was not as widely shared as they might have wished. Even the Ambonese, often compared with Minahasans on the basis of their superficially similar colonial history, did not have such a strong sense of their own separate nationality. Although bangsa Ambon constituted a perceived community of sorts in the late colonial period, it was deeply divided between Christians and Muslims, weakly supported by Amboinese institutions, without a clearly defined national territory, and preoccupied even in the last years by stark questions of loyalty and disloyalty to the Dutch crown which would have seemed anachronistic in Minahasa. In North Sumatra, Christian Bataks enjoyed a somewhat clearer national consciousness generated by missionary institutions similar to those in Minahasa, but this was not reinforced by a representative body or a strong political party. More traditional in structure and outlook, the numerous non-Christian societies of the Netherlands Indies were mostly even less prone to ethnic nationalism. If precolonial Minahasa bore little resemblance to a nation, the same can generally be said of the other groups which Harsja Bachtiar has called the “old nations” of Indonesia. The memoirs of Prince Diponegoro, for instance, show that while he was much concerned with “the land of Java,” his objective in the Java War was to conquer it, not liberate it from the Dutch, whom he did not even perceive as a collectivity. The best known hikayat from the Aceh War, conversely, is clear about the identity of the Dutch unbeliever, but makes no mention of Aceh. Furthermore, one of the crimes of which it accuses the Dutch is that they “treat everybody in --- 149 Fikiran, December 23, 1933; Menado Bulletin, September 14, 1939. 150 See, for instance, M.R. Dajoh, Streecn naar ontstoeiing van de Minahassische cultuur (Batavia: Maesa, n.d. [1937]), pp. 27–34, 51. 151 Richard Chauvel, Nationalists, Soldiers and Separatists: the Amboinese Islands from Colonialism to Revolt, 1880–1950 (Leiden: KITLV Press, 1990), pp. 1–171. 152 The religious movements in which this Batak nationalism found its clearest expression are discussed by J.R. Hutauruk, “Die Batakkirche vor ihrer Unabhängigkeit (1899–1942): Probleme der kirchlichen Unabhängigkeit ansgesichts der Problematik von Mission, Kolonialismus und Nationalismus” (doctoral thesis, Universität Hamburg, 1980). See also Lance Castles, “The Political Life of a Sumatran Residency: Tapanuli, 1915–1940” (PhD dissertation, Yale University, 1972), p. 173. 153 H.W. Bachtiar, The Indonesian Nation: Some Problems of Integration and Disintegration (Singapore: Institute of Southeast Asian Studies, 1974), p. 7. Bachtiar defines nations somewhat vaguely as “ethnic societal communities.” 154 Anderson, Imagined Communities, p. 19. 155 H.T. Damsté, ed. and trans., “Hikajat Prang Sabi,” BKI 84 (1928): 545–609. the same way: one cannot distinguish any more . . . who is a slave, and who is a lord."156 There is little room here for the horizontal comradeship of an Acehnese nation. Some of the larger ethnic peoples of Indonesia did nevertheless begin to develop their own national consciousness in the twentieth century. Javanese nationalism and its misrepresentation in the historical literature have already been mentioned, but a better comparison with Minahasa is perhaps the Sundanese example. As an "autonomous" province with its own representative council created under the decentralisatie programme in 1926, West Java acquired an official institutional shell to complement the unofficial one being built up from below by "Pasundan," a modern organization formed in 1914 to promote the "mental, moral and social development" of the Sundanese.157 Like Persatuan Minahasa, Pasundan was led by moderate intellectuals with Dutch educations and followed a cooperative nationalist policy concentrating primarily upon regional issues.158 Although Pasundan was closer to the unitarian nationalist movement than the Minahasan parties, its activities, combined with a sense of territoriality and a homogeneous culture expressed in a considerable local press, gave some Sundanese a polycentric understanding of Indonesia comparable to that current among Minahasans.159 Conclusion The strength and character of Minahasan nationalism owed much to a specific experience of conversion to Christianity, but the Sundanese example shows that similar movements could also develop in the absence of religious transformation. If there is any broad analytic model which can illuminate the general phenomenon of regional nationalism in colonial Indonesia, then it must have to do with the uneven impact of modernization in time and space. It was local "islands" of mutually reinforcing modern institutions which tended to cradle nations narrower than Indonesia. In Minahasa, the mission school system, the local state and press, the Minahasaraad, Perserikatan and Persatuan Minahasa, and the two Minahasan churches all combined to generate and maintain the idea of an exclusive Minahasan community. And because they also embodied ideals of unity, progress, and autonomy derived mainly from Dutch sources, they made that community a national community. Where the framework of such institutions was less complete, as in Ambon or the Batak lands, or where the time lag between the crystallization of the local nation and the emergence of equivalent pan-Indonesian institutions was short, as in the Sundanese case, fissiparous tendencies were relatively weak. But in Minahasa, where the local institutional shell had its origins in the nineteenth century, the demotion from bangsa to sukubangsa or ethnic group was more difficult to face. Indonesia, for Minahasans, was not part and parcel of modernity. Minahasa itself had already served as the social vessel of modernization. Indonesia was only a problematic option faced by a people already welded into unity by a dramatic social transformation. 156 Ibid., p. 595. 157 Blumberger, De nationalistische beweging, p. 38. 158 Pluvier, Overzicht, p. 82; W. J. O'Malley, "Second Thoughts on Indonesian Nationalism," in Indonesia: The Making of a Nation, ed. J.A.C. Mackie (Canberra: Research School of Pacific Studies, Australian National University, 1980), pp. 608-9. 159 Pluvier, Overzicht, pp. 80, 82. Ratulangie enjoyed good relations with the Pasundan leaders, and even addressed a Pasundan congress in 1932 (Nationale Commentaren, November 26, 1938).
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"COMMITTED FOR EXCELLENCE IN EDUCATION" The SLC results are out. Doors for higher education have opened for those who got through the Iron Gate. Many of them have been looking for options beyond the government colleges which once used to be the only avenue. Private schools and colleges have now become the major avenue notwithstanding many shortcomings. As government schools and colleges face resource crunch and quality infrastructures, private schools offer the best options to students. Of course, fees are too high for many to be able to afford it. But to those who can afford it, good education is available at home. They do not necessarily need to go abroad. The challenge still remains: to make higher education accessible and affordable to as many students as possible. For this the government needs to take necessary step to improve the quality at the government schools and develop a mechanism to offer scholarships to the needy in the private schools. This requires a political will which in turn warrants political stability. Unfortunately, Nepal has been passing through the same old phenomenon of instability. This we think need to be addressed. But that does not close the windows for taking a look at the state of higher education. This is what we have tried to do in the cover story in this issue. Keshab Poudel Editor Cover Story: Growing Disparities ECONOMIC SURVEY: Uncomfortable Truth 7 THE PRIME MINISTER: Rat Race 8 NEWSNOTES 2 NEWS CLIP 4 OPINION: – Dipak Gyawali 5 ILAM’S TEA: Price Of Bargain 6 MEDIA : Dhruba Adhikary 10 GURKHA RECRUITMENT: A New Controversy 11 COMMENTARY : Yubaraj Ghimire 12 ARTICLE : Shirish Ranabhat 13 INTERVIEW: Govinda Raj Joshi 16 EDUCATION 18 VIEWPOINT: Umesh Lama 23 PROFILE : Surendra Bahadur Basnet 24 FORUM : Arjun Bahadur K.C. 25 CEAPRED: Changing Farms 26 HEALTH : Buddha Basnyat, MD 28 Editor and Publisher : Keshab Poudel, Senior Correspondent: Saroj Dahal Correspondent: Abijit Sharma, Reporter: Pradipti Bhatta Marketing Manager : Madan Raj Poudel, Tel: 9841320517, Nabin Kumar Maharjan Tel: 984129014, Photographer : Sandesh Manandhar Cover Design/Layout : Hari Krishna Bastakoti Editorial Office : New Spotlight, 1st Floor, Shree Ram Building, Gokarnath Marg, PO.Box: 7256 Office : Kamal Pokhari, Thir Bom Marg, House No. 559/144 (Opposite to Himal Hospital) Printers : Pioneer Offset Printers (P) Ltd., Dillibazar, Kathmandu. Ph: 441568/7 Kathmandu DAO Regd. No. 148/11/063/64, Postal Regd. No. 07/066/067 US Library of Congress Catalogue No. 91-905060 WVIN’s Book Launched World Vision International Nepal (WVIN) has launched two books: Guidebook to ensure Child Participation and Protection in Local Institutions and at the Community Level; and Minimum Standards for Education in Emergencies, Chronic Crises and Early Reconstruction (A Nepali version). The Guidebook to ensure Child Participation and Protection in Local Institutions and at the Community Level provides guidelines to address the protection issues of children at the local level. It was developed to suggest activities that need to be undertaken by the VDCs and Municipalities to ensure that children are protected, and that they participate in the development process for themselves and their communities. The guidebook is the first of its kind that has been developed in Nepal. The core recommendation suggested in the guidebook is to set up function committees and mechanisms at the local level for the protection and participation of children. Apart from the books, several Information, Education and Communication (IEC) materials were also launched. The books and IEC materials will be handed over to all district offices in Nepal. Mahendra Shrestha, Secretary of the Ministry of Women, Children and Social Welfare, was the chief guest at the function. Government officials and international development community members were also present. In his vote of thanks, National Director of WVIN Michael Frank said, “The launch was organized as a prelude to celebrate ten years of working for the needy children and their communities in Nepal.” India Supports Embankments in Lalbakeya Ambassador of India to Nepal Rakesh Sood handed over a cheque of NRs. 248.79 million to Bal Krishna Khand, Minister for Irrigation, as India’s contribution towards construction of embankments along Lalbakeya, Bagmati, Kamala and Bhakuwa rivers in Nepal. The work is being undertaken in accordance with the decisions made by the India-Nepal Joint Committee on Inundation and Flood Management. India is also providing grant assistance for river training works along Gagman, Trauma, Lachine, Sunsari and Kankai rivers in Nepal amounting to NRs. 195.21 million. Likewise seven separate Memorandum of Understanding (MoUs) were signed on July 7, 2010 by the Embassy of India, Kathmandu with concerned executing agencies of Government of Nepal and the beneficiary organizations for providing GOI grant assistance of NRs. 8.02 crores. GOI will provide grant assistance of NRs. 3.37 crores to Nepal Netra Jyoti Sangh (NNJS) to cover the cost of conducting 15,000 cataract eye surgeries. GEMS proudly announces admission in PLUS 2 in SCIENCE stream for the academic year 2010 - 2011. If you are intending to pursue higher education in PLUS 2 with the blend of exciting and rewarding activities, then we provide you with avenues where you can explore your potential beyond scholastic accomplishments. State-of-the-art facilities along with a team of professional and dedicated faculty at GEMS will make you realise your set goals of pursuing a career as a science student. Eligibility: - SLC or an equivalent degree with at least first division marks with additional mathematics. Selection Criteria: - Performance of entrance tests that include both written tests and an interview. - Percentage in the SLC or an equivalent exam. Application forms are being distributed from the school office between 8:00 a.m. and 3:00 p.m. Sunday through Friday. Deserving and needy students may apply for a scholarship. Parents and students may contact or visit us for detailed information and facilities. GEMS (GRADED ENGLISH MEDIUM SCHOOL) Khumaltar, Dhapakhel, Lalitpur \| Ph: 5003060/ 5003111 NEW SPOTLIGHT NEWSMAGAZINE \| July 16, 2010 \| 2 Nepal To Host Mountain Conference At a time when temperature continues to increase resulting in a threat to the Himalayas and mountains, Nepal's Minister for Environment Thakur Prasad Sharma has announced that Nepal will host a Conference on International Mountain Alliance. "Nepal proposed the concept of this alliance during the meeting of COP15 in Copenhagen and we are in the process of materializing it," said Minister Sharma. "This is one of the major decisions taken by the government." Although Nepal government has already decided to hold the conference of mountain alliance, the criteria of selection of the countries is yet to be set. "We will set the criteria for the eligible to take part in the conference," said Dr. Ganesh Raj Joshi, secretary of Ministry of Environment. "Every country has some sorts of mountains. What we want now is to fix the countries on the basis of the heights of these mountains. Within a few days, we will set the criteria," said Ratu Krishna Upreti, chief of the Climate Change Division of Ministry of Environment. Environment Division Chief Purushottam Ghimire highlighted the numbers of achievements made by the Ministry. KOICA Volunteers Arrived in Nepal Korea International Cooperation Agency (KOICA) has dispatched four new KOICA Volunteers, who are the fourth batch of 2010, to work in Nepal for two years. They arrived in Katmandu on July 12, 2010 and were welcomed by the Deputy Representative, Mr. Ki Jeong Song and other officials of KOICA Nepal Office at the Tribhuvan International Airport. These new KOICA Volunteers will be assigned in different government and public organizations with in and outside the Valley and will share Korea's knowledge in Korean language, Special education, Regional development and Electronic engineering etc with the Nepalese people. They will be stationed in Kathmandu University, Baglung AWMR, Nuwakot DDC, TU (Pokhara) and other organizations. KOICA Nepal Office will organize 8 weeks of local adaptation training that focuses mainly on learning the Nepali history, language, and culture. During this period they will also visit cultural sites which will help them to understand the local environment and localities. This training also includes on the job training in their respective organizations to familiarize them with their new working environment. British Gurkha Death in Afghanistan It is with sadness that the British Embassy announces the death of a Gurkha and two British soldiers, serving with the 1st Battalion The Royal Gurkha Rifles in Afghanistan, early on Tuesday morning, 13 July 2010. It is believed that they were killed by a renegade member of the Afghan security forces. President Karzai has apologised on behalf of the Afghan government. Next of kin have yet to be informed. A British Army spokesman has said that this sad loss strengthens the British Army's resolve to work closely with the Afghan forces in order to stabilise Afghanistan and strengthen the Afghan government. New Consular Fees New fees for Immigrant Visas will go into effect on July 13, 2010. Fees for Non-Immigrant Visas were increased on June 4, 2010. The revised fees are the same worldwide and cover actual operating expenses for the 301 overseas consular posts, 23 domestic passport agencies and other centers that provide these consular services. The new Immigrant Visa fees are listed below: \| CURRENT FEE \| NEW FEE \| \|-------------\|---------\| \| Immigrant Visa Fees \| Application Processing Fee \| \| 1. Family-based immigrant visa \| $ 365.00 \| $ 330.00 \| \| 2. Employment-based immigrant visa \| $ 355.00 \| $ 720.00 \| \| 3. Other immigrant visas (SIVs, DVs, etc.) \| $ 355.00 \| $ 505.00 \| \| 4. Second Spouse/Partner \| $ 45.00 \| $ 74.00 \| \| Direct Visa Lottery additional processing fees \| $75.00 \| $ 440.00 \| President China Visit Uncertain Due to political instability in Nepal, the visit of Nepalese president Dr. Ram Varan Yadav proposed visit to People's Republic of China on end of August to take part as a special guest in Nepal day in Shanghai Expo which is schedule to celebrate on September 3. Nepalese Ambassador to China Tanaka Karki reportedly is taking initiative to this visit. According to Lalit Basnet, personal secretary of President Dr. Yadav, they don't know anything about the proposed official visit to China. "It is the foreign ministry which needs to take initiative and manage such visit," said Basnet. Following the resignation of prime minister Madhav Kumar Nepal, there appear uncertainty over the visit and other matter related to Nepal-China relations. Nepalese president Dr. Yadav reportedly gave his own consent to Nepalese ambassador to China Tanaka Kari to his maiden visit to China. Dr. Yadav already paid his official visit to India last year as a first president of Federal Republic Nepal. Despite uncertainty over president visit to China, Chinese government has announced a major policy giving duty free access to Nepalese products. At a time when Nepal's trade is growing all the countries, Chinese decision is taken as an important step. Kantipur India Worry on China's Concession China has decided not to impose any duty on exports from Bangladesh and Nepal. This zero-duty treatment to exporters in these countries is likely to affect Indian exporters adversely. Another Asian nation to benefit from its zero tax tariff system is Afghanistan where India and China are seriously engaged in reconstruction and development. The move is bound to force India, a major seller to these countries to sit up and take notice. For Nepal, the zero tariff moves that came into effect on July 1 means an opportunity to reduce its heavy reliance on Indian buying, sources said. In case of Bangladesh, the move comes on top of Chinese support in building a 150 megawatt power project in Chandpur, which will be built by Chengda Engineering Corporation of China, and construction of the seventh friendship bridge at Kajirtek. The Times of India wrote, "Business relationship between China and Bangladesh have picked up momentum since the visit of PM Sheikh Hasina to Beijing last March, when the two countries decided to establish a "Closer Comprehensive Partnership of Cooperation" and Beijing made an offer of concessional loans. The visit also saw the China National Petroleum Corporation signing a MoU on cooperation with Bangladesh Oil, Gas & Mineral Corporation and Bangladesh Petroleum Corporation." The Times of India Former King Celebrated His Birthday Former king Gyanendra celebrated his 64th birth anniversary at his private residence Nirmal Niwas, Maharajgunj, in a manner faintly reminiscent of the monarchy era. A group of supporters carried pamphlets with photos of the ex-King. While wishing him, some suggested him to "do something to save the nation from going further down". The ex-king, who recently courted controversy by making political comments, only sported his typical smile, avoiding any comment. This was his third birthday bash after the abolition the 238-yr old monarchy in the country. He had celebrated his 62nd birth anniversary at Nagarjun palace where he has been staying since his ouster from Narayanhiti. NEPALI PRESS "I Want Work" Vice President In his exclusive interview to vernacular Nepalese daily Rajdhani on July 8, the first vice president of Federal Republic of Nepal Parmananda Jha demanded some role in day-to-day affairs of the country to make himself busy. "I have given no responsibility at all. My duty is now to come to office at 10 a.m. and back home at 5 p.m," said vice president Jha. He complained that no senior officials came to visit his office in the last two years tenure. "Prime minister Nepal came just one time in his thirteenth months tenure. I have not seen chairman of Constituent Assembly. Don't talk about minister. If there is no role, it is better to abrogate this position," said Jha. Vice president Jha's position was made non-functional till few months ago. By amending the constitution, his position was restored again taking oath of the office second time. Vice president Jha also criticized the president Dr. Ram Baran Yadav for ignoring him. "I know president too has no power at all but he can at least consult with me in many issues," said Jha, a former judge of Supreme Court. "If I am a guardian of constitution, I should be given certain role." Rajdhani Journalist Jasuda Died Jasuda Pradhan, the managing editor of the People Review Weekly, died last week. Jasuda, 50, wife of Journalist Pushpa Pradhan was active journalist having played major roles in promoting free media. Politicians including PM Madhav Kumar Nepal and CA chairman Subash Newang, journalists and large numbers of her well wishers attended her last rights at Pashupati Aryaghat. Since the muddy waters of Nepali politics will not clear until a new crop of visionary leaders with competence and integrity emerges, it is pointless to fret over who the next prime minister will be. More worthwhile is to explore the quixotic political sloganeering inspiring the current lot, which Shakespeare would have described as “full of sound and fury signifying nothing”. There is something very disturbing about Nepali politics that prefers form over substance, as if the party leaders are more in love with the words than their practical implications. This attitude is so different from leaders in the land of Mao who bluntly said that it is immaterial if a cat is black or white as long as it can catch mice. Consider the burning issues of hydropower, constituent assembly and federalism that plague the country. An example of “form-over-substance” politics has been Arun 3, the hydro project on the eponymous river that collapsed because of its bad economics with pre-construction cost estimate four times higher than the going market rate. It also came pre-packaged with a set of debilitating institutional pre-conditions that would have crippled the Nepali consumer. Ironically, it is one of the best hydro sites in Nepal, which could be developed cheaply to meet Nepal’s own needs. Unfortunately, the political leadership of Kangress and EhMaLe spent their time blaming each other over who lost the project, rather than learning the lessons from it. Their pledge to “revive the project at all costs” has been precisely that, a very high cost to be paid by the nation – it has been criminally handed over by them, with Maoist acquiescence, for export to India. Yes, in form the project has been revived; but in substance it will now no longer energise Nepal’s development nor ameliorate the crippling load shedding we have. The idea of a constituent assembly is another placebo that claims the impossible but delivers zilch, primarily because of the inherent contradictions therein. Ever since King Tribhuvan’s speech in 1951 that mentioned it (poorly thought through, he even used the word gautantara, i.e. republicanism, for “democracy” instead of prajatantra, since the draft had been prepared by Nehru’s advisors), it has been a holy grail for the form-worshipping brahminical left in Nepal. In form, India is a republic brought about by a constituent assembly that drafted its constitution; in substance it is a dynasty continuing the Raj. Nehru’s CA was not elected but hand-picked from the remains of the 1935 British act, which is what was dressed up and eventually legitimised. Even if it was what it said it is, the leaders of the 2006 experiment on Nepal should first explain why is it that the Indian republic, founded by a constituent assembly, now has a raging Maoist revolt shaking its polity. The republic born of a CA in theory should not have led to a Naxal insurgency; but it has. In Nepal this means that neither the 1990 constitution nor its constitutional monarchy was the issue, and should not have been thrown out: rather, it was party kleptocracy since 1990 which has re-surfaced more virulently with the 2006 experiment. The idea of federalism, another “driver” of the 2006 experiment, reminds one of a ribald Nepali expression that politely translates as “realizing one is inside the house after relieving oneself”. The demographic atlas Infused Ethnicities: Nepal’s Indivisible and Interlaced Social Mosaic by retired government secretary proved, if proof were needed, that there is no place in this country, unlike say in Sri Lanka, where any single ethnicity enjoys a majority presence. Add to it the fact that Nepal is a country of minorities, and ethnic federalism becomes an idea even more impractical than a CA with no clear-cut agreement on the envisaged political framework. What was needed were decentralisation and the devolution of development authority closer to the grassroots, but on this count, the 1990 constitution, by removing the constitutional protection for local bodies that the Panchayat system had, made multi-party politics even more centralizing to allow the majority party’s bosses free to distribute the national booty to its cadre of local goons. The feudal party leaders of the 2006 experiment, arrogating the democratic mantle without the commensurate belief or behaviour, have gone a regressive step back by refusing to let their local leaders manage the local bodies these last eight years. The list of political slogans without any serious homework behind them is long, and the din from these empty vessels roils Nepali politics. How did “feudalism” end with the monarchy when socialist and communist parties remain feudal to boot? What is “consensus” politics in a multiparty, competitive democracy when party leaders do not attend the parliament? How could the interim parliament of 2006 declare Nepal an “untouchability free country” when King Mahendra had already done this in 1962 through the constitution and the reforms in the Mulki Ain and when Dalits are even now excluded from top party leadership? Why does the EhMaLe think its bahudalija janabadi is a new invention by its dear departed Madan Bhandari when all it translates as is “multiparty democracy”, something known from the time of Socrates? How can the Madhisey politicians claim to be discriminated against when the bulk of infrastructure development since the 1960s has occurred in the Tarai? Ethno-opportunism? Why use the words “progressive” and “democratic” to describe the EhMaLe and the Kangress respectively when both of them took the highly regressive step of dissolving a robust parliament in 2002 (and welcoming the dissolution) and then clamouring for its restoration, not by the people through votes but by the King? How does one explain these incongruities? A simple incident might shed some light. It was sometime during the monsoon of 2006, after the Maoists had come above ground but had not yet been invited unelected into the resurrected parliament, that a red banner hung across Patan Dhoka. Obtruse even by Marxist standards, the slogan in about four lines made little sense in normal Nepali; but because it crossed my path between home and office, my eyes could not help lingering over the words. After several days of incomprehension, and while the Maoist bargaining was going on for a share of the government with an appeasement at all-costs Girija Koirala, it struck me what this meant. It was a bad Nepali translation of the April-June 1917 Bolshevik thesis "Vsyu Vlast Sovetam", meaning "All Power to the Soviets!" If anyone in the parliamentary parties – who with current hindsight seem to have signed up as porters to Maoist ideology – had been alert enough, they would not have deluded themselves into believing that Maoists had given up on the goal of Leninist-Stalinist rule of party oligarchy invoking in vain the name of the people, the Jana Sarkar. Today's drama in the zombie CA is simply a continuation of that party line. Among the chatterati class, much of last week was consumed by two articles in the press – one by Khagendra Jung Gurung describing how Indira Gandhi, as part of her post-Bangladesh but pre-Sikkim imperialism, was pressuring him and other Janjati leaders to go against King Mahendra; and the other by veteran communist general secretary Keshar Jung Rayamajhi describing how the extreme left and the extreme right play into Mughlani hands. It might be worthwhile going a decade back when Prachanda spoke of the need for a South Asian Soviet Federation ("Soviet" in Russian simply means "council"). In the discussion circle around the leftie Mulyankan group, some thought this was treason and are currently battling to prevent the Maoists from leading a new government; but others who liked the idea have amalgamated with the Maoists. Is the idea of a Soviet-style Jana Sarkar mere form or substance of Nepal's convoluted politics? ILAM'S TEA Price Of Bargain Ilam's tea farmers are facing a tough time UMAKANTA KHANAL in Jhapa The bargaining has been going on for the last many years. The green tea leaf producers are not satisfied with the price of their green tea. They blame that the tea factory owners have been cheating them by not giving them a reasonable payment for their product. "There is a lack of trust between the green tea producers and the tea factory owners. We are getting a very low price for our product. So the factory owners are responsible for this," Saroj Bhattal, a green tea producer of Jhapa, said. Although attempts have been made to ease the tussle between the green tea producers and the tea factory owners, nothing has come out of them. Now the green tea producers say the government should intervene in this matter. "We are in a great problem. At this moment, we request the government should take initiation to settle the case," another green tea producer Shiva Kumar Oli said. The government has established a board to look after tea and coffee production in the country but the role of National Tea and Coffee Development Board has not been effective in the settlement of the price of green tea. The office representative of the regional office of the board in Biratnand, Jhapa, Ram Awatar Shah, claimed, "Neither green tea producers nor tea factory owners have come to the board complaining about the price of green tea. And our responsibility is only to act as a mediator." In Nepal, tea gardens cover approximately 17 hectares of land. The eastern districts of Nepal like Ilam, Panchthar, Jhapa, Dhankuta and Sankhuwasabha are known for green tea production. But tea gardens which have their own packaging companies do not have this problem. The orthodox tea which has a big demand in the international level has been produced in the hills. The tea factory owners are also demanding the government's action to settle the price of green tea. Bhrikuti Adhikari, owner of Jagadamba Tea Processing Company, Bhadrapur, said, "We have tried a lot to negotiate with the tea producers but the case has not been settled." Adhikari claimed that if the tea factories have to provide the price as per the producers' demand, all the factories will be closed in the near future. In India, green tea producers get up to Rs. 21 and in Nepal, they get up to Rs. 18. The internal consumption of the ready tea leaf is only thirty percent. Seventy percent of the production is exported to India, so, that way, the green tea producers are not getting the price as per their demand and as the Indian producers get. If the government develops a system of auction within the country, the misunderstanding between tea factory owners and green tea producers will be settled, said Chandri Parajuli, one of the tea factory owners. ECONOMIC SURVEY Uncomfortable Truth The government is forced to confront the bitter truth that its efforts at increasing revenue are further pushing trade gaps and consumption. By SANJAYA DHAKAL It became official with the release of the Economic Survey 2010. The country is spending far too much on consumption and saving far too little – than is desirable for an ailing economy like this. The GDP of Nepal has reached Rs 1200 billion. Of the total, almost 92 percent is spent on consumption. This high consumption is fueled by the surge in remittance income – which totaled Rs 250 billion this year. In fact, 40 percent of the country’s households have at least one member abroad. The money sent back by them are being used up in consumption. That, in turn, has pushed the import growth. The import has grown by astounding 42 percent this year compared with the 10 percent decline in exports. The trade gap has widened to staggering Rs 298 billion. These figures have come up as uncomfortable facts before the officials at the Ministry of Finance who were, otherwise, wallowing in the huge rise in revenue. Primarily based on the import surge, the custom duties and other taxes like VAT collection have continued to grow in astounding rates. The Survey showed that in the last one year, the revenue growth was 25 percent compared to the previous year. The government collected Rs 178 billion this year as revenue. Revenue Vs Trade Gap The distortion in the foreign trade balance of Nepal has triggered a debate whether the government’s policy of encouraging revenue growth has backfired. “Definitely, there is a problem to be rectified. We must act to narrow down the trade gap. But handsome revenue growth, in itself, is a very positive outcome,” said Finance Minister Surendra Pandey, addressing a post-budget press meet. Encouraging the Ministry officials on this revenue drive are the multilateral donor agencies. They have always been pointing out the benefits of strong revenue growth. But the consequences of the revenue-centered policies are now becoming too glaring to ignore. The huge trade gap that is almost one quarter of the total GDP and the resulting Balance of Payment deficit has rung alarm bells at the Ministry. The minister himself admitted that had he been given the opportunity to bring the full budget – instead of the advance budget he submitted to the parliament – he would have introduced measures to control import. The officials were already talking about controlling imports of luxury goods and promoting import-substitution industries. “The fact that in an agriculture-based economy like ours, there were imports of cows, goats and buffaloes totaling Rs 15 billion, is a shameful one. We wanted to introduce measures to substitute such imports by promoting local livestock industry,” said Keshab Acharya, senior economic advisor at the Ministry. Whether such policies would have been introduced and whether they would have been successful are now a matter of speculation. But what has been established firmly is the fact that the one-sided policy of increasing revenue can no longer be sustained. The debate has already begun. ADVANCE BUDGET For the second time in the last three years, Nepal is forced to do with a truncated budget due to political instability. The parliament, on July 12, passed an advance budget for fiscal year 2010/11 submitted by the Finance Minister Surendra Pandey. Being a caretaker government, Minister Pandey could not introduce the full budget. Instead, he proposed the advance expenditure bill of Rs 110 billion – one-third of the actual expenditure of the current fiscal year 2009/10. “With this budget, the projects being carried out in the current fiscal year can be continued by remaining within the one-third expenditure limit,” he said. The advance budget, however, could not introduce any new policy, tax and revenue rate or new project due to the constitutional provision. “This is only the interim expenditure management provision. It cannot address the current economic and financial problems faced by the country. Only full-fledged budget can do that. I hope a new government is formed quickly so that a full budget can be introduced expeditiously,” said Minister Pandey. Political Leaders: No common cause THE PRIME MINISTER Rat Race With no common cause to bind them together power remains the only goal for major parties By SUSHIL SHARMA with SAROJ DAHAL Four years ago, they looked like tigers that cleared the Nepali political jungle of "the beastly" monarchy. Tall promises were made to turn the jungle into a beautiful garden called New Nepal. The much-touted constituent assembly elections and two elected governments later, the promised garden threatens to turn into a deadly crevasse. And the political parties have been reduced to rats that can not see beyond the race for power. Yes, the race is on – again. To fill in the vacancy left by Madhav Kumar Nepal. More than two weeks after Nepal resigned under pressure from within and without, a consensus on his successor remains elusive. The Speaker is set to blow the first whistle for the race in the parliament track next Wednesday. But there are no front-runners yet, let alone clear winners. The big three – the Maoist, the Nepali Congress and the UML – are at each other's throat to re-capture the seat of power. The Delhi-brokered 12-point bonhomie of the jana andolan days is nowhere to be seen in Kathmandu today. The all-party consensus mantra has not stopped. But agreements within the major parties have become a rare commodity. Eyeing the top post one more time is the Maoist chairman Pushpa Kamal Dahal 'Prachanda'. In case of a failure, he wants to throw the party's weight behind his UML counterpart, Jhalnath Khanal. This is why Khanal has been nursing the idea of a two-thirds majority government which he can hope to lead with a Maoist-UML combine. Senior Maoist leader Baburam Bhattarai is opposed to both ideas. He has own ambition. Instead of riding the Khanal bandwagon, he favours the Madhesi lot if a Maoist-led government did not look plausible. Sources said, both Prachanda and Baburam are however one in the third option: to let a Madhesi party lead the government with the Maoists dictating its terms. The idea is to take the international community – read India – into confidence even as the Maoists, being the largest partner, control key portfolios such as defense, home and finance. The ever ambitious UML boss finds himself at loggerheads with none other than Madhav Nepal who accuses the former of being instrumental in his fall from power. Singha Durbar: The seat of power At a recent standing committee meeting, the two had a heated exchange with both trading charges of incompetence and sabotage. Khanal appears to be the only clear aspirant for the prime ministerial job, but he has enough hurdles to clear before he make it. With Nepal and K.P.Oli out to stop him from the finishing line, Khanal will have to show extra speed and skill which few believe he possesses. Also in the rat race is the second largest party, the Nepali Congress. It sees itself as a logical claimant to the job as the two other big parties “failed to deliver” in the past two years. It has not disclosed what cards it has up its sleeve to prove different from the other big two. Few believe it has any, except the “international” backing. On the surface, the parliamentary party leader, Ram Chandra Poudel, appears front-runner within the Nepali Congress. But it is a divided lot, too. Poudel faces more opposition from within, in the form of two other aspirants, Sher Bahadur Deuba and K.B Gurung, than from the outside. The Deuba and Gurung camps are likely to go to any length to stop Poudel from touching the red ribbon. The race is on. First, within the parties. Then, among the parties. The first hurdle is no less formidable than the second one. As the parties and the leaders get set for the all-important dash next Wednesday, the first round looks increasingly unlikely to be decisive. It is too early to foresee what the second round picture will be like. The Contenders UCPN (Maoist) Pushpa Kamal Dahal ‘Prachanada’ Baburam Bhattarai UML Jhalnath Khanal NEPALI CONGRESS Ram Chandra Poudel Sher Bahadur Deuba Kul Bahadur Gurung WAITING IN THE WINGS Upendra Yadav (Madhesi Janadikhar Forum) Bijay Gachhadar (Madhesi Janadikhar Forum-D) Mahanta Thakur (Teri-Madhesh Loktantrik Party) As all eyes get focused on the rat race for the prime minister’s char, the search for consensus is certain to be elusive. Said an analyst, the stalemate is unlikely to end without another “12-point” accord. The signatories had set aside their declared political principles, ideologies and values for “a larger common cause”. But no such “cause” does exist today. Making of a new constitution and the conclusion of the peace process are certainly not the “common cause” contrary to the claims of the parties. Incredible events continue to make a dent on credibility of the media—worldwide. A recent incident involving Middle East editor of CNN may be taken as an indicator of a broader picture one may view at the start of second half of the year that is set to close the first decade of new century. It was a question of credibility that figured at the centre of dispute that led the CNN to sack Ms. Octavia Nasr after she wrote on Twitter that she “respected” Lebanese Shia Muslim cleric Ayatollah Fadlallah, 75, who died on July 4 after a long illness. He was a controversial figure with alleged links with groups that carried out bombings claiming 260 American lives. Ms. Nasr’s explanation that she was merely alluding to late cleric’s “pioneering” views on women’s rights failed to impress her bosses at CNN. And reaction to her Twitter message, she herself conceded in a subsequent blog post, was “immediate and overwhelming”. She now advises her media peers to avoid using 140 characters to comment on controversial and sensitive issues, especially those dealing with the Middle East. A junior Indian minister, Shashi Tharoor, earlier lost his job when his country’s watchful media picked up one of his Twitter messages and raised questions about his loyalty and sincerity. He was obliged to resign; nobody else could take blame for whatever happened to him. Actions speak louder than words. * Fiji Times is the name of a newspaper in trouble. It has to change its owner, by September end, to remain in existence. The alternative is to fold for good, depriving the island nation in the South Pacific of its largest newspaper which also happens to be the oldest one, printed since 1869. Would passing on this news to media magnate Rupert Murdoch (of neighboring Australia) be of help? The answer inevitably has to be in the negative, because this time it is Murdoch himself who is looking for rescuers! The publisher of Fiji Times, News Limited, was told by Fiji’s authorities on June 28, to change the paper’s ownership in three months or face closure. Under media industry development decree, media groups are required to change ownership structure so that 90 per cent of shareholders are Fijian citizens. The country’s attorney-general, Aiyaz Sayed Khaiyum, who announced the new measures, warned that any news organization that fails to comply with ownership requirements “shall cease to operate as a media organization”. The new decree also provided for establishment of a tribunal to monitor media’s compliance and ensure nothing is printed or broadcast against the “national interest or public order”. Fiji Times, together with other foreign-owned media outlets, have constantly and consistently been critical of the interim government saying that it was installed through a coup of December 2006. Despite censures and angry noises aired from nearby Australia and New Zealand, Fiji appears determined to implement its new policy, says the attorney general, “for proper accountability and transparency of all media organizations”. Politics apart, there is nothing wrong in the contention that a newspaper meant for Fiji must be owned by citizens of that country. * On July 1, China’s Xinhua news agency launched a 24-hour global news channel in English: CNC World. In a report on this event, BBC quoted Xinhua president, Li Congjun, as saying that the new channel would present an “international vision with a China perspective”. CNC World has initially started broadcasting in Hong Kong but has an objective to reach 50 million viewers in Europe, North America and Africa within its first year. Xinhua is the largest of China’s three state media organizations, along with People’s Daily newspaper and the broadcaster CCTV which telecasts in Arabic, French and Spanish in addition to Chinese. From an official news agency Xinhua is trying to transform itself into a multimedia platform in line with China’s overall plan to expand media outlets with a view to taking its messages to a wider world. Investment in the media sector is massive—running into millions of dollars—and the ultimate goal is to challenge the domination of BBC and CNN. Like al-Jazeera, CNC World aims at becoming a channel to counterbalance Western preferences and prejudices in news and analyses to be presented to international audience. Recent initiatives show that China’s expansion drive is not confined to the electronic media. A new English daily, Global Times, was added last year allowing it to compete with the China Daily, launched in 1981. In an assertive article posted on July 7, the Times pointed out that market-oriented media groups in China have wielded a huge social impact, “moving from a propaganda role to that of watchdog, with increasing independence. It is a phenomenon that foreign observers have been slower to identify.” In fact, internet edition of Global Times has already been seen as a provider of reliable facts and figures on China to the media organizations beyond its borders. Nepal’s elderly readers who have remained addicted to The Times of India thus far, may now find it refreshing to browse this English paper China has published for international readership. * Internet/web edition or online newspaper, however, is yet to become the best substitute for the news printed on plain paper—in both tabloid and broadsheet sizes. Examples abound, but a lively case was recently witnessed in Nepal itself when Kantipur Publications had to conduct a media campaign to secure a smooth passage for a fleet of containers transporting newsprint from Calcutta to Kathmandu. Indian officials working at the port had held up Nepal-bound consignments from Canada and South Korea ostensibly for special investigations. Subsequently, a meeting between Kantipur’s Kailash Sirohiya and Ambassador Rakesh Sood resolved the issue, although neither side has made public the details of what transpired at the embassy meet, and why both of them chose to bypass this country’s seat of authority in Simha Durbar. Would passing on this news to media magnate Rupert Murdoch (of neighboring Australia) be of help? The answer inevitably has to be in the negative, because this time it is Murdoch himself who is looking for rescuers! Sirohiya also owes an explanation to the readers of Kantipur and The Kathmandu Post as to why they were forcibly fed newsprint story every day for several days as if non-delivery of their imported newsprint cargo on time was an unprecedented national event shaking the very foundation of a country called Nepal. But, if it indeed was a case of striking magnitude, he should not hesitate to share relevant information with the audience on whose strength his media house ran a stinging campaign against India with whom Nepal has to have good, neighborly relations. --- GURKHA RECRUITMENT A New Controversy The Supreme Court asks the government to review part of the 200-year-old legacy of Gurkha recruitment By BHAGIRATH YOGI in London The Supreme Court had to come forward this month to refute media reports that the apex judicial body had issued ‘order to the government of UK to stop Gurkha recruitment.’ Deputy spokesperson of the Supreme Court Hemant Rawal said, “It is beyond our jurisdiction to issue orders to a foreign government. The court has, however, issued a ‘directive order’ to the Nepal government saying that the recruitment of Nepali youths in foreign army should be done on the basis of bilateral agreements only.” Sharma had argued that the government of UK was violating the 1947 Tri Partite Agreement (TPA) between Nepal, India and UK by sending Gurkha soldiers to Brunei and Singapore without separate agreements with those countries. Historians say the case of Gurkhas serving in Brunei and Singapore is fundamentally different. While the British government recruits Nepali youths, trains them and sends them to Singapore police, many retired Gurkhas join the Gurkha Reserve Unit—that guards the palace and key installations in Brunei. The Gurkha soldiers were able to earn the trust of the Sultan of Brunei after they successfully suppressed a revolt against him in December-1962. The tie still continues. A resident infantry battalion of the Brigade of Gurkhas has its barracks in Brunei. Mixed Reactions The organisations of British Gurkhas have had mixed reactions towards the Supreme Court verdict. Said Major (Retd.) Tikendra Dal Dewan, chairman of the British Gurkha Welfare Society (BGWS), “The issue should have been dealt in a diplomatic way. It’s intriguing to see why the issue was taken up after more than six decades.” In fact, in 2001, a Gurkha activist Gyan Raj Rai moved the court asking it to direct the government of Nepal to take up the issue of alleged discrimination against Gurkha soldiers in the British army through diplomatic channel. The Supreme Court, however, ruled that it could not intervene on the issues related to treaties Nepal had entered into with the friendly countries. Rai, who is now convenor of the United British Gurkha Ex-Servicemen’s Association (UBGEA), said that the latest verdict by the Supreme Court is a positive step. “Nepal should not send its youth to Singapore without proper agreement,” he added. Major Dewan of BGWS is, however, worried that such controversy could have adverse impact on the Gurkha recruitment in the British Army, which has drastically come down over the years. Britain now recruits little more than 200 Gurkhas every year out of tens of thousands of aspiring youths. A senior official at the Foreign Ministry said he was still waiting to see the copy of the court verdict. “We will act in accordance with the court verdict,” he said. It is, however, not clear if the court verdict will, in any way, change the decades-old practice “Gurkhas serving in the Singapore Police have never taken part in any armed conflict and it can’t be termed as a military service,” said Prof Surendra KC. While the Nepal government may take up the case with the British government through diplomatic channel, it is least likely that on-going practice will be affected in any way—for now. Promising and not Delivering YUBARAJ GHIMIRE Nepal’s political parties saved the constituent assembly, and perks and privileges of their legislators by extending the tenure of the House by a year on May 28 after it failed to deliver the constitution. The House has, however, failed to get down seriously to pursue the constitution writing exercise except that Speaker Subhash Nembang has announced that the constitution would be delivered by Mid-April instead of the new deadline, May 28, 2011. Nembang is good at making promises and not fulfilling them. He has the knack to pass on the buck of that failure on someone else. This is exactly what he did this time around as well. As he was repeatedly asserting—mostly publicly—that the constitution would be delivered well within the deadline, and that no one should have any doubt on ‘our sincerity, ability and commitment’, people saw no reason to doubt the promise coming from the ‘custodian’ of their collective trust. After all, as the Chairman of the House, the highest representative body, what the Speaker says carries a lot of meaning and impression in the minds of the people. In parliamentary practices, the Speaker is supposed to be speaking the least. But when he does, that carries a tremendous weight. It will not be easy for the people to dismiss him like any other politician of the day. However, unfortunately, that institution stands discredited in the same measure as political parties and their leaders. His latest exercises to put tremendous pressure on Madhav Nepal to quit in deference to May 28 agreement signed by leaders of the three big parties has not only discredited his image irreparably, but also projected him as a partisan person. Why would a Speaker who has never promised conduct the House ‘come what may’ get into implementing a deal signed by three leaders? Madhav Nepal quit. But that did not pave the way for the formation of anational unity government as Nembang had said it would. The House and big political parties missed two deadlines—stretched over 12 days—which President Rambaran Yadav had given to the House to elect the New Prime Minister through consensus. Three paper tigers—Prachanda from the Unified Communist Party of Nepal—Maoists (UCPN-M), Ramchandra Poudel of the Nepali Congress and Jhalanath Khanal of the Communist Party of Nepal-Unified Marxist Leninist (CPN-UML)—stuck to their claims over the leadership, but with no success. None of them came out with agenda. And unfortunately, their claim to the leadership appeared more as their private decision than that of their respective parties. Poudel was nominated by NC’s working president Sushil Koirala without even consulting the party’s parliamentary board. NC’s general secretary K B Gurung has already challenged the way Poudel was fielded, and announced that he would be a candidate too for the top executive post. Amidst all this, another general secretary of the party, Bimalendra Nidhi took up with Indian ambassador Rakesh Sood an issue that many Nepali Congress leaders were sore about. Someone identifying himself as Rajesh Gautam posing as Sonia Gandhi’s right hand man had been calling senior leaders of the Nepali Congress with instruction that “Poudel is Sonia Gandhi’s candidate for the post”. If that does not happen, no one can stop the Maoists from coming to take the government leadership. Poudel has only issued technical clarification to the episode saying “this is meant to defame me”, but that is not enough. Understandably, some people like Hormis Thararkkan, former RAW chief, who was involved personally in getting the Maoists and the pro-democracy political parties to bring on the anti-monarchy platform, have advocated that Maoists should be heading the new government to save the peace process. That appears aimed at proving that India’s Nepal Policy has not failed yet. Hormis has expressed himself openly. He tries to make it a point that Indian and Nepali Maoists cannot be put in the same bracket as the latter are into a democratic exercise. But unless the government of India endorses that line as explicitly even today, it will not carry any weight in Nepal now at a time when anti-India feelings are at peak. The activities of the likes of Rajesh Gautam will be dissected more here than the straightforward opinion of Hormis, himself an actor, some time ago. In fact, there is no dearth of characters from across as many people appear in Nepal posing themselves as India’s representatives, with Nepali actors showing no guts to have it verified through appropriate channels. That India would have a lot of interest in who becomes the Prime Minister in Nepal is understandable. But whether its ‘interest’ or Nepali legislators and political parties opinion will prevail should have no room to debate or speculate. Discouraging clandestine interference will be the best way to recognising India’s legitimate interest. And that is best achieved by the transparency of its expression. But this is also equally true that when Political leaders have ambitions not matched by their ability—and when they have no way to realise it through legitimate means—they tend to depend more on illegitimate, and sometimes outside sources for support. Nepali leaders’ increasing dependence on external world in pursuit of their power centric politics is a case in point. They are largely responsible for inviting role from outside countries in Nepal’s internal affairs. Similarly, neither Prachanda nor Khanal have got their party to announce their candidature in a manner of their respective parties’ constitution. The responsibility to elect a new leader by majority now lies with the House, but whether it can or can not do that will depend on whether the members are given the liberty to decide on their own, or political zamindars like Nembang and many of his hues, will dictate the course once again. Peace First, Then Constitution, Please! SHIRISH RANABHAT Democratic system is a rule of law where people are supreme and ultimate authorities. They govern the country constitutionally through their duly elected representatives who belong to different political parties. Government is formed by a single party or a coalition of parties with majority. A minority party serves as responsible opposition in the parliament. Constitution confines the limits within which such majority and minority may exercise their respective powers and perform their duties. Nepal is running through unique and tricky transitional phase. Not only is it facing the dilemma of managing former and emerging armed forces but also drafting a sustainable and inclusive constitution for a federal regime. Unnecessary lengthening of a transition leads to a state of uncertainty, confusion, anarchy, and distrust. If not cautiously managed, these transitional periods may often turn to be fertile for corruption, impunity, violence, conflict, terror, socio-economic disorder, internal crisis of confidence, and external interference. Only peace, political stability and good governance can address these problems, which are the urgent needs of the nation. The purpose of Constituent Assembly (CA) in our country was (and still is) to draft and promulgate a constitution that can fulfill the aspirations of the sovereign people and guide the nation toward enduring peace, political stability and socio-economic transformation for an advanced and civilized society. The constitution-making process (CMP) has been marred with the distrust among the political parties and lack of strong determination of the political leaders. CA itself seemed to have failed to perform its vital and sensitive responsibilities. Given the fact that the tenure of CA has been extended by a year from now, and assuming that the political parties with their leaders and CA members show their sincerity and act on their responsibilities to the nation, managing conflicts and drafting a constitution can be accomplished within the extended time frame. Any conflict issue can be subdued and eventually terminated through the negotiations to a peace agreement. Looking back at the world’s history, specifically the histories of the conflict-torn countries, constitution-making was unsuccessful when it was combined with the conclusion of a peace agreement. For example, Namibia’s conclusion of a peace agreement was a precondition that enabled the negotiations among the interested parties on the future of the country. Bosnia and Herzegovina and Zimbabwe are examples of such countries where the peace agreement and the drafting of the constitution were combined into a single negotiation process. In Bosnia and Herzegovina, negotiations were focused on satisfying the interests and demands of the groups with the capability to continue the violence. As the emphasis was given only on the termination of armed hostilities, the new constitution did not reflect an agreement among the warring parties on a common ground. As a result of disagreements, the constitution does not have the capacity to ensure the longevity of the current political system. Zimbabwe’s 1980 constitution was not conducive to the resolution of conflicting interests; in the long-term as the militarized nature of the conflict conflated the peace-making process. In both the countries, the constitution embedded disagreements without providing avenues for political change. Other such examples where peace process and constitution-making were combined to a single process, and have failed, include Nicaragua and Colombia. In Nicaragua, the need to engage in extensive compromises among the participants prevented the emergence of a substantive consensus on the nature of the state. As a result, the 1987 Constitution of Nicaragua left many issues undecided. For example, the type of democracy was not agreed upon in the 1987 Constitution. Conflict continued for next three years. The resolution of the armed conflict in Nicaragua was possible only through the constitution drafting process and subsequent amendment to their 1987 Constitution. Colombia’s 1991 Constitution was an attempt to mitigate the violent conflict. The constitution drafting process provided for substantial public participation and guaranteed the representation of a wide range of political actors. In a situation where the intra-party political conflicts and inter-party group interests are intensified, the process of conflict management and drafting a constitution as well is badly affected. Achieving both the goals of addressing conflicts and drafting a constitution are possible when we tie together with wide and wise vision of national unity and reconciliation. This process requires open cooperation, true negotiations and lasting agreements among all parties on different grounds. It also requires public participation in order to gain legitimacy and to reflect popular aspirations. Experiences around the world demonstrate that the constitution-making cannot serve as a peace process while conflicts continue. Minimum conditions need to be in place before constitution-making commences. In our country’s case, one of the required minimum conditions is the meaningful ending of peace process. Nepal should prioritize clear and immediate needs. A sustainable peace should first be achieved, and then it should work towards drafting a long-lasting constitution to successfully tackle the transitional phase. firstname.lastname@example.org Growing Disparities Despite so many shortcomings, the higher secondary education system has brought about many positive changes in the education sector. For years, Tribhuwan University’s old Proficiency Certificate Level model dominated the college education. Because students did not like it, PCL is now on the verge of becoming a history. Although higher secondary education system is monopolized by private investors, the rush of students to private schools to acquire quality education seems to be increasing. Private sector education institutions are outnumbering public schools in urban areas. The choice of children of medium class families is quality education and quality of schools. However, the children with poor family backgrounds in rural areas do not have any other alternative than to go to public schools which do not have infrastructures and manpower. The result is a big gap in quality between rural and urban education. By KESHAB POUDEL Attractive ads are everywhere these days. Have a look at the hoarding boards across main roads or narrow streets of Kathmandu or read newspapers, watch television channels and tune in to FM radio stations. It is easy to glean that higher secondary schools are engaged in a tough competition to attract new students. When urban centers like Kathmandu are in a festive mood, the rural parts of Nepal are quiet, as usual. The rural students have only limited choices. Some higher secondary schools of rural Nepal are facing a severe shortage of students and have little option but to shut down. Thirteen years ago when then education minister Govinda Raj Joshi and the vice chairman of the Higher Secondary Education Board decided to introduce the +2 to replace the Proficiency Certificate Level education, they had to face tough challenges. “I requested principles of renowned schools to take the lead by opening +2 and nobody was ready to risk their investment. I had to put pressure on the administrator of Budanilkantha School to open the classes,” said Joshi remembering his experience. The situation now is different. One needs to wait for more than a couple of years to get the permission to open a +2 school. It is reported that the license of +2 colleges are now sold in the market and some make money selling the old licenses. For good or bad, the +2 has definitely enhanced the quality and capacity of Nepalese students. Although the course of +2 has not changed in the last 12 years, the students of +2 are competing with the students from different parts of the world. The HSEB has established that it imparts quality education. “Because of its curriculum, +2 students can compete with anybody, anywhere in the world,” said Dr. Baburam Pokharel, founder principle of VS Niketan College. “There is the scope as well as hope for the students.” Carnival After Results Following the announcement of School Leaving Certificate results, the advertisements started to flood in the media as if this is a carnival. Targeted at parents and students, the flood of advertisements in the media makes it all the harder for them decide where to go and where not to go. From name of schools to buildings, the urban higher secondary schools have been boasting about everything. With massive investments, several new schools are replacing the older ones, which have had their monopoly for long. Some private boarding schools are even demanding to make +2 as a part of schools since they are not in a position to survive in this competitive world. “The competition is so tough each school is struggling for survival. The market will decide which school is going to survive and which school is going to close,” said Nara Bahadur Bista, principle of Global College of Management. “This is good for students and parents as private sector investment is growing and there are more choices for good schools.” According to Higher Secondary Education Board (HSEB), more than 13,000 higher secondary schools get affiliation from the board and an overwhelming number of them are in the private sector. “Our policy is now to encourage the public schools to add the +2 so that the students of far flung areas will get the opportunity to acquire college level education at home,” said Dr. Upendra Koirala, vice chairman of HSEB. “We have a long list of schools waiting for permission to start classes.” Number of Students Nobody knows the capacity of the +2 colleges and whether the students get the space at all. Given the present estimate, there are going to be more than 350,000 students who require a place in +2 schools. Out of 427051 students who appeared in last year’s SLC exams, 259916 students passed. There are 1030000 students who are appearing in the partial examination next month. Following the cancellation of the proficiency certificate level course by Tribhuwan University, the students have only one choice now: go to +2 colleges. It seems that that the rush will continue for some time to come. Competition on Name One can easily understand the competition among schools for fame. However, there is a competition among the schools for using an attractive name and those names are derived, mostly, from the west. It seems that there is no popular western name left to name again. Columbus, NASA, Golden Gate, Orient. Einstein Texas. Some other names are Noble, Milestone, Pentagon, Herald, Pyramid, Bern Hard, Gillette, Grammar, REHDON, New Millennium, Reliance Academy and what not. According to Higher secondary education board, it is said that education is a lifelong process, but the basic education that one gets during the formative years definitely contributes to the shaping of one’s future and outlook. This is where the school and high school education assumes importance. The board claims that today’s schools are not merely schools, they are much more. Its teachers and staff together with the guardians and students give them a wholesome environment. As students not only find gurus here but guides and friends for life. It is a place to inculcate the fundamentals of honored values. The education of the weak brains between the ages of 17 - 18 is counted within the school education in the international arena. “The higher secondary education in Nepal is nothing more than the result of globalization, a need to come to terms with the global markets when the world is turning into a global village, and the countries, borderless,” said Dr. Koirala. “Today is the time of multiculturalism, where every voice from every country is striving to be heard. Today the situation may be viewed as an indeterminate set of attitudes that has been shaped by various diversities of cultural and intellectual currents.” According to Higher Secondary Board’s website, there are 1976 schools. Out of them 1313 are government schools, 373, 10+2 private schools, 100 10+2 schools and 130 campuses affiliated to the HSEB. At a time when globalisation has changed the world, there is the need of an education system that helps to make extensive interaction with people of different countries possible. For this, it demands a system and standard of education that can earn international recognition. Here the +2 education is the best and the most uniform in this regard. In the first decade, people did not have to worry much but now the Higher Secondary Education is a critical stage. It has to manage the growing disparities between the rich and poor. GOVINDA RAJ JOSHI is not only a Nepali Congress politician. Joshi claims he has spent 25 years in the field of education and is known for his tenure as a Minister for Education a decade ago. His decision is credited for opening up education to the private sector. Joshi, who has been the founder of three colleges and a number of schools, took the early decision to allow private medical colleges and private +2 schools while diverting government resources to public primary and high schools. Joshi spoke to KESHAB POUDÉL on various issues regarding the education sector. Excerpts: You must be happy to see the flourishing of the private schools since you took a major decision to introduce the +2 education at a wider scale? When I held the portfolio of education minister, there was a traditional system in higher education. It was certificate oriented and there was no change in the curriculum for 28 years. I realized that it was impossible to make Nepali students competent by going through such a traditional education system. I started reform with an aim to provide quality to modern students. Are you proud of your decisions? Yes, of course. I am proud that the present growth of 10+2 and private medical schools is the result of the decision taken during my first tenure as the education minister between 1993 and 1995. Looking at all these issues, we introduced education policy to make Nepal self reliant. There was no academic environment at the college level. Education is an issue of universal interest. In the international level, there were 10+2 high schools, 3 year bachelor’s and 2 year master’s degrees. We introduced the +2 in education to make it match internationally. What was the purpose of introducing the new education? Our aim was to create a good environment for students from Nepal as well as abroad. For this, we would require good educational institutions. This was the reason we allowed private medical schools and higher secondary schools. There is some weakness in the management side now. The government also failed to play the appropriate role. Higher secondary schools can allow brighter poor students to go to schools. During my tenure, 16 percent of the national budget was spent on education. Our aim was clear — the government should invest in primary level and higher education should go to private sector. We had to manipulate many schools in Kathmandu. Although TU has agreed to phase out proficiency certificate level from colleges for a long time, it is still running the classes. There is no utility of the students at the proficiency level except to bear the torch in the period of agitation. It does not have any future but the pressure is growing. How about medical colleges? During my tenure, I did not permit any medical college to open in Kathmandu valley. My objective was to allow private medical colleges to open outside the valley. All the medical colleges currently running in the valley were permitted during the period of other governments. Are you satisfied with the changes that were brought about by your decisions? Definitely. I am satisfied with the decisions I have taken. Students who learnt at private schools are definitely better in quality. Of course, the fees in the private schools are much higher than in the government schools. Children of poor parents cannot afford for private school education. It is just a problem related to the management. It is the duty of the government to create a proper atmosphere to give quality education to children of the poor. This is a weakness of the government. What dissatisfies you much about all this? Of course, we opened three universities during my tenure, including Kathmandu University, Purwanchal University and Pokhara University. But the recent trend to open more universities in the different parts of the region will ruin our whole education system. That is discouraging. What prompted you to take the decisions? I was very much worried about the politicization of education at the college level by various student organizations. Another concern was the erosion of quality of education. The third reason was to make Nepal’s higher secondary education compatible to the South Asian region as well as compatible to the world. In the name of privatization, there is commercialization of 10+2 education. How do you look at it? Actually, +2 education is also a part of high school education. In early days, no private or government schools were ready to teach +2 courses. Few individuals showed interest to open +2. I had to coerce some schools and colleges to start the +2. My objective was clear. I wanted to open the higher education, including +2, to private sector and channel the ministry’s resources to primary and secondary education. Private sectors have invested a lot of resources. Along with quality of education, the infrastructures are also well built. Don’t you think the time has come to make +2 as a part of high school education in practice? With some ifs and buts, the Tribhuwan University will have to stop admission of the students at the proficiency certificate level. It is almost certain now that no one prefers Tribhuwan University’s proficiency certificate. Whether one likes it or not, +2 is a reality now. So far as integrating it with high school is concerned, the process has already started. Opponents of +2 education accuse persons like you for encouraging too much commercialization of education. What do you say? It is very unfortunate that those who are accusing us for commercializing the education are responsible for the worsening condition of government school system. Along with allowing private sector in education, I have also increased the numbers of teachers and government high schools. By allowing private sector in +2, I increased the government subsidy to government schools. Following my departure from the ministry, no single school is given permanent stature. There is weakness also and we need to change them. What is the reason behind your understanding that this kind of education is better? I want to remind something to you. My involvement in the education sector goes more than 25 years. During that period I had performed various roles, including as the founder of high schools, colleges and a number of other schools. I also worked as the headmaster for more than five years in schools. All these experiences helped me to understand the loopholes and lapses in the education sector. Actually, I was inspired by B.P. Koirala’s vision when I met him in 1968 in his exile in India. B.P. suggested to me to go to village and work as a teacher. He strongly believed that without educating people it is impossible to transform society. Not only to me, B.P. Koirala recommended everyone to go to village and work in school if they really wanted to do a revolution. He thought that giving people education was more powerful than handing them guns. After my graduation in 1968 and meeting with B.P Koirala, I returned to the village and started teaching at a local high school. What are your other experiences in education? I taught for 12 years in school and two years in college. I was the Minister for Education for five long years. I have almost spent 25 years in education. I can challenge anybody to discuss on the education sector. One needs to go deep inside the education sector to know about it. I am not claiming all but I can claim some expertise. I established high schools and colleges in my village and I taught at two colleges in Damauli. I have made personal contributions to change the education sector. I have never taught for the sake of job. I taught free of cost. I am the founder of three colleges. I don’t think you can find any politician to have such experiences. My entry to education is to transform the society and change politics. I have made a lot of success in education. Although a lot of investments have already been in education sector by private investors with an aim to provide quality education at higher level, the number of students going abroad has increased rapidly in the last years. The trend to go abroad continues to rise. In the last couple of years the number of Nepali students studying abroad has increased rapidly. The annual report on international academic mobility published by the Institute of International Education (IIE) with the Bureau of Educational and Cultural Affairs of the United States Department of State says the number increased from 8,936 to 11,581 in 2008/09 - a 29.6 per cent increase over the 2007/08 academic year. Nepal ranks 11th among the leading countries of origin of international students, as it did the previous year. In the academic year 2006/2007, Nepal ranked 13th among the countries of origin of international students. India tops the list with 15.4% followed by China with 14.7%. There are many reasons why Nepali students are going abroad. Firstly, because of Nepal's political uncertainty, students are under constant worry about whether the same education policies would be followed. So, a large number of students are affected. Another reason is that overseas education is perceived to be superior to that provided by most Nepali institutions. The lack of diversity in the choices that a student can make in studying in Nepal is another reason why students go abroad. In other countries if one takes biology or any other subject then there are numerous options to choose from. The outdated curriculum of colleges and universities is also a problem that prompts students to go abroad. Many students complain that Nepal does not have appropriate opportunities to utilize the skills learnt abroad. So, the skills they gain in foreign countries are used in those countries and not in Nepal. Coming back is not guaranteed because of disorganized companies and the lack of employment opportunities in the country. Nepal is losing a number of educated young people and for many this is a worrying sign. --- Good Reasons to Choose - ISO 9001: 2008 QMS Certified organization. - College premises have covered 38332 sq. ft. physical infrastructures - International standard Basketball court and many more - It has air-conditioned (AC) classrooms, lift facilities, CC Television, and well carpeted classrooms. - Students will be encouraged to complete their assignments performances through online, progress report - To help our graduates become ethical, employable and capable in global market. - To establish as our quality education institution with an international focus in all coursework programs - To provide student loan for their further study - Interested students will receive health insurance - College has a pick up and drop services for students from any corner of Kathmandu - Separate hostels for boys and girls - Students, who want to pursue their further studies in abroad, will also receive special counseling desk for abroad study - Well managed and planned TOFEL, IELTS classes - Short-term professional training courses (i.e. research methodology, leadership developments, financial management, teacher’s training and time management) - Regular health checking Contact Address:** Southwestern State College Kathmandu P.O.Box 8075 EPC 5345 Bhaisepati, Kirtipur, Kathmandu, Nepal Tel: 435049, Fax: 435049, Fax: 977-1-4366482 email@example.com www.southwestern.edu.np “+2 Is a Part of High School Education” - DR. TIRTHA KHANIYA Member of National Planning Commission Dr. TIRTHA KHANIYA is a well known education expert of Nepal. Nepal opened the door for private schools after the appointment of Dr. Khaniya as the chairman of Higher Secondary Education Board (HSEB) in 1996. By now, the +2 education system has virtually wiped out the proficiency certificate level. Dr. Khaniya spoke to NEW SPOTLIGHT on various issues. Excerpts: You played the key role to start the +2 education system. How do you look at the evolution of higher education since then? Actually, we failed to convince the people about the objectives of +2 education. The other failure is that we are not pushing the +2 education ahead as per our mission and vision. What do you mean by this? There are certain reasons behind upgrading 1 to 10 school education to 1 to 10+2. Our experiences have shown that the 1 to 10 high school education cannot make a student mature enough for university courses. It is better for students to go to the university level after completing +2. The aim of +2 is to make students capable to handle education at the university level. One cannot be matured enough at the age of 17 when he just completes his high school. Why has it gone wrong? The present crisis appears because we have made separate arrangements to run the +2 education system by constituting the Higher Secondary Education Board (HSEB) through an act. The act clearly defines the structure and state of higher education system. Instead of efforts of the whole Ministry of Education, only the minister is given the role in the Board. Because of this provision, the +2 became minister’s prerogative rather than a whole part of high school education. As a member of National Planning Commission and education expert, what do you suggest now? The national education policy says that class 11 and 12 will be brought into the school system. It means integrating the school curriculum of up to class 10 to up to 12. The Curriculum Development Center of the Ministry of Education is now preparing the curriculum for +2 also. This way the efforts are being made to streamline +2 under the broader concept of school education. There is no need to have a separate curriculum center in HSEB. It is said that the curriculum of +2 has not been upgraded. The curriculum is nobody’s concern. It is not only the school education system moving to 12 but also the curriculum. Upgrading the school system up to 12 means, making the +2 also as part of the school system. When we introduced the +2 system, there was a policy to make 9 to 12 as a high school. The teachers who are given classes to 9 are also given classes to 12 and the teachers who are recruited to teach class 12 is also given to teach class 9. This is an integrated approach. But, we are also not going this way. What is the objective of +2? The aim of the +2 education is to make a student capable to distinguish what is right and what is wrong. Even you can see the difference between the students of +2 and the students going to university from colleges. Only a few students who go to university through +2 seem to get involved in politics. Students who jumped from class 10 to university college remained wild since they used to be suppressed in the schools by teachers. The +2 is a transitional phase when a student prepares his life from school to college. This means if there is over guidance at 9 and 10; the students should be given independent education at 11 and 12. It should be semi-guided to make the students more capable to cope with the university education. What planning do you have to ascertain quality education? The three years’ interim plan has clearly stressed the need to amend the existing policies and acts to make them timely and institutionalized. The number of people who talk about education at the professional level is very few. When we talk about private school education, we can only name four or five schools. This is time to think about private sector in education, the why and how. How do you look at the state of private schools? Private schools are victims of unnecessary pressures from various students groups affiliated to various political parties, the government and unhealthy competition. Private sector in education does not mean +2 education only. It involves institutions from the Manipal Medical College of Pokhara to so many other engineering and medical colleges. What do say about the row of 1 percent taxes? Now the Ministry of Finance is tightening private schools on the issue of 1 percent tax. Some of the schools in Bhaktapur are unable to send their students because of their failure to pay tax. Has the Ministry of Finance ever talked about the taxes paid by medical colleges? Have they paid one percent tax on the money they charged from students? Nobody talks about this. There are many schools which are under institutional set up, including company, trust and others. Don’t you think it is necessary to regulate the private schools in making profits? There is the need to develop a mechanism to regulate the private schools. We have to accept the fact that they are also a part of economic activity. The state permits private sector to do business. Of course, the state may ask stakeholders about their contribution in nation building. Private sectors have made a lot of contributions by taking risks. They need to contribute to the betterment of the country also. “Free Competition Is Good” NARA BAHADUR BISTA NARA BAHADUR BISTA, the principle of Global College of Management, has a long experience of working in the education sector. At a time when colleges are competing to admit more students to their plus 2 programs, Bista talks to NEW SPOTLIGHT about various related issues. Excerpts: How do you look at the present trend in the education sector? It is good. The investment has increased and new colleges are coming up. Most importantly the participation of the private sector has gone up. Some point out unhealthy practices in the education sector. What do you say? Education sector should allow free competition and there should not be any restriction on investment. It is natural to see competition in the education sector. Competition is good and the market will decide the fee structure. This is a globalised trend where the role of private sector is growing stronger in the field of education. How many students are you planning to admit in your college? Like last year, we will admit 550 students. Since plus 2 is a part of school education in several countries of the world, don’t you think that time has come to make it a part of school here and not a part of college? There is a need to do a certain bridging at school level. What is your impression about the market trend? By spending huge money, some schools may attract students in the short term but that will not last long. Finally, you need to provide quality education and what will matter is the result. What should be the role of the government? The government should work as a watchdog. Education is not a trade or a business like other sectors. If the present situation continues, it will increase the disparity. Where is the place of the Global College of Management in the education sector? We are specialized in management and our classes are run by well trained experts and well trained teachers. Our results are good and our placement is also good. Since our students are placed in good office and our results are good, we don’t need to be worried. “Higher Secondary Education Is Commercialized” KRISHNA K. PARAJULI Following the publication of the results of School Leaving Certificate exams (SLC), various schools have been making efforts to attract students to their +2 courses. KRISHNA K. PRAJULI, founder principle of CANVAS International College, spoke about the present state of higher secondary schools. Excerpts: How do you see the present state of higher secondary education? Don’t you think education is commercialized? Of course, higher secondary school education has played a major role to uplift the country’s overall education. It has been providing quality education back home by reducing the number of students going abroad to pursue +2 education. However, the negative trend is that many bad practices are also coming into the education sector. Some people are investing in education to make profits. In this way, the core objective of education is spoiled. Is it not good to make investment in education? I am not opposing investment in the education. What I am opposing is the commercialization of education. Education is not just a business and there are many things involved in it. I am very much worried about the involvement of all kinds of people in education in the name of investment. What do you suggest to contain it? There is the need to have strong mechanisms within the Ministry of Education and Higher Secondary Education Board to look after what is happening in the institutions. A lot of investments have been made to decorate the classrooms and buildings. Unfortunately, the parents will be charged for this. Do you favour setting the criteria for the investment? The time has come to set the criteria on who can invest in the education sector and who cannot. Only the persons having the academic background should be given the opportunity to invest in the education sector. If we allow every Tom, Dick and Harry to invest in the education sector, it will spoil the whole education system. That is not good. Education is not a sector to allow unhealthy practices. How do you respond to the views of making the +2 as part of high schools and confining it to that level only? I don’t think this is the solution. Students who pass SLC want to go to other schools to pursue their higher secondary school education. Students should be given choices after SLC. I think some schools are pursuing this view to monopolies education. This is another bad idea. After uniting all the Ph.D holders under Nepal Ph.D Association, Dr. RAJENDRA K.C took the responsibility as the principle of the South Western State College amidst the surge in the number of private boarding schools following the results of the School Leaving Certificate (SLC) exams. Excerpts: How do you say your school is different from others? You can see a lot of schools in the nooks and corners of the city, but ours will try to be different from others. We want to deliver quality education and we will not compromise with quality. According to a study, annually 48.5 billion rupees will be spent to send the children abroad. People generate that amount of money by selling their house and land. I want to give quality education at home. I want to prove that there will be quality education back home. I don’t think the government is not aware of the situation. We need to focus on such matters. How do you see +2? Even regarding the issue of +2, we have not gone in depth. Unhealthy practice prevails. Schools are competing with one another too fiercely. Along with providing +2 classes, we also want to offer bachelor’s master’s and M.Phil courses, leading to Ph.D. We have a very strong pool of qualified teachers whose experiences will be very helpful to the +2. We have very good human resources. Why your college is expensive? I don’t have any intention to make money through education. My only aim is to provide quality. I don’t want to involve myself in unhealthy education practices. I want to invite all the good manpower to the college. As the president of the Ph.D association, I want to use their human resources for the benefit of the country as well as my school. I will make efforts to use the input of all these human resources. As a president, my effort will be to unite all of them. I have a very good rapport with all the Ph.D holders. There were only a few Doctoral degree holders until a few years back. Now there are many and I want to enlist all their support in the process of improving the quality of education. It is said that your fees are high. What do you say about fees? Although many people have said many things about our school but our school will not compromise on quality; our teaching system will be different; our efforts will be more focused on quality of education. --- Norm Is Needed - RAJESH KHADKA Nepal’s pioneer in the private boarding education RAJESH KHADKA, founder principle and managing director of GEMS is watching all these developments. President of PABSON, Khadka spoke to NEW SPOTLIGHT on various issues. Excerpts: As a pioneer in promoting private boarding schools in the country, what is your impression about the ongoing trend of publicity for competition? My observation is that the competition is not like that of education profession but the competition is for others. You can see there is competition among various colleges to put the boarding boards. There are hoarding boards all over the town to attract the students. I don’t think this can promote the cause of education. Education is not a business at all but it also involves dedications and commitments. What do you suggest to check the current unhealthy practice? Since 10+2 is part of the high school, the permission should be given only to the schools having classrooms down to 10 and below. This will definitely check the present unhealthy practice. If +2 is also a part of school, it must be put at the school level. If we continue to run +2 outside the school system, it will create more troubles. “Higher Secondary Education is not a Business” Dr. BABURAM POKHAREL Dr. BABURAM POKHAREL is not a new name in the education sector. Founder principle of VS Niketan School and College, Pokharel has made a lot of contributions in promoting quality education in the country. As a pioneer in the higher education sector, Dr. Pokharel spoke to NEW SPOTLIGHT on various issues. Excerpts: You are a pioneer of +2 education and have a long experience in the education sector. How do you see the present state of +2 education when there is a stiff competition? Don’t you think it will make +2 education over-commercialised? Higher Secondary Education Board (HSEB) was established under an act. The initial objective of the HSEB was to provide +2 education in remote parts of Nepal and to provide them opportunity up to +2 in their door steps. The other aim was to extend school education up to 12. Do you think higher secondary education has been able to achieve its objectives? We are unable to materialize these objectives. In fact, in a reversal, and the +2 schools are confined to urban areas. Most of the schools are located in the densely populated areas. Instead of government involvement, private sector jumped to +2 education. This is where the problems appear. Many see +2 education as a lucrative business venture where they can make money. It is very unfortunate that 10+2 education has failed to achieve its own objectives of expanding up to far flung rural parts of Nepal. Even infrastructure has not been extended up to the village level. What is the state of +2 now? One can see the involvement of people of various types. School is not only a business, it is also a part of social work. One needs to have commitment and dedication in this sector. If you see +2 schools are just businesses, you will lose the essence of education. I have spent almost all my career in the education sector but I have not seen a very unusual situation like now where promoters are focusing more on buildings and facilities than projecting quality of education they are going to deliver. Don’t think the time has come to change the policy? In the initial phase, the HSEB issued permission to all, including institutions which did not have high schools. This is the reason a number of education institutions were established for +2 only. Now the HSEB has stopped the issuance of permission to such schools. Only those schools having +2 are responsible for present trend of unhealthy education. HSEB has made many contributions offering quality education within the country. How do you look at the government’s approach? One of the positive steps taken by the government is to bring some sorts of reforms in the curriculum. Under the school sector reform project, the government is trying to improve the situation. The time has come to curtail the role of HSEB just to issue affiliation and monitoring. Secure Future Is Organic UMESH LAMA There is a saying “no security without food security.” It means food security is basic. In order to be food secure, operationally, there are three dimensions; food availability, food accessibility and food utilization that need to be addressed. These dimensions of food security are greatly affected by uncertainty and risks, hence vulnerability is often considered an indispensable dimension of food security. Food security, as defined by the world summit 1996, is a state when everyone every time, has physical and economic access to sufficient, safe and nutritious food to meet the dietary needs and food preferences for an active and healthy life. In Nepal, the degree of hunger and food insecurity varies mainly with the classes/groups of people, age, educational level, gender, culture and the geographical regions. The more food insecure people with extreme hunger are the low income groups of people living in remote and far flung settlements. Nepal’s policy and plans have been developed and implemented by focusing on the production of commodities. Further the focus on the needs of hungry people has remained in low priority. Food security projects have largely been limited to the growth of agricultural production, which is one aspect of the dimensions. The agricultural perspective plan (APP) gives high priority to national production but pays little attention to food security of the poor and socially excluded group. Although the present Tenth Plan recognizes food security as an important development objective, it has not been able to recognize the actual food insecurity groups, their resources and appropriate ways of mobilizing them. The plan’s focus is on production and supply in the food deficit areas. The access to food of hungry households and individuals, which is a crucial dimension of food security, is not adequately reflected in the plan. The problem is not limited to the government projects, projects implemented by non-government organizations also do not adequately address issues of food security among malnourished and hungry people. Emergency food aid supports the rehabilitation and reconstruction of temporarily damaged areas, but ignores the perpetual food insecurity among underprivileged groups. Today organic agriculture is growing throughout the world. The organic market is expanding worldwide. The worth of world organic products marketing reaches more than 39 billion USD annually, with an annual growth rate 15-25%. More and more farmers in the planet are making the decision to base their living on organic farming. Every country has more or less share in this development, so does Nepal. With its holistic approach organic farming contributes to the society in many ways. Using no chemical is safer for farmers, and the environment and leaves no residue in the products for consuming. Quality assurance is there for smart eating. Nepal is rich in indigenous knowledge, investing in building on the indigenous knowledge instead of synthetic inputs provides long term revenues for improving food security situation. Furthermore improving the soil fertility using locally available resources saves currency, reduces dependency, increases the resilience and stability of the production system, thus decreasing the vulnerability of poor small farmers to food insecurity and natural disasters and other disturbances, like climate change and desertification. Following a 3 year conversion period from chemical to organic farming, it will lead to sustainable yields sometimes higher than the conventional and in most cases premium prices improve the farm income meaning improvement in the accessibility to available food. There are many more positive examples; and this is why many government agencies such as ICGO the Netherlands, EED Germany, SIDA Sweden, KOICA South Korea, SDC Swiss etc. and INGO such as FAO, SNV, Helvetas, ICIMOD, UMN clearly acknowledge this contribution and are starting to support organic farming initiatives in different ways. It is encouraging that the government of Nepal has in its 3 year interim plan included organic agriculture. There is also positive development in Nepal as the national organic standards is in hands and establishment of National Organic Farming Coordination Committee and National Organic Accreditation Body are pluses to this sector. Further the government should address time wise issues related to organic agriculture and develop effective support package and the mechanism of delivery to inspire organic farmers, traders and marketers. It is obvious that tourists love unique places with peaceful, clean and natural environment. Organic farming, which is also termed as None Violence Farming, plays an important role in the promotion of responsible travel to conserve the nature. Hence the future project can be shaped in an holistic manner, in which the main interventions may include; awareness raising on the importance of organic agriculture and ecotourism, capacity building of local institutions on related areas particularly on knowledge transfer related to nature conservation, ecotourism, organic production, value addition of commodities and market development. Nepal with abundant heritage is our pride and its natural beauty in the world, if we could make it chemical and pesticide free organic nation, will add a feather in its cap to further beautify and enhance its attraction. Thus a combination of organic farming and ecotourism may result in an ideal destination with unique identity. The author is the chairman of Organic World Ind Fair Future (OWF) and can be contacted at firstname.lastname@example.org Success is the good fortune that comes from aspirations and inspirations and along with success comes a reputation for wisdom.” As Nepal emerged from centuries of isolation, the Nepalese people realized a dire need of developing basic infrastructure for travel and transport. Infrastructure building is still a big challenge in the country. The geographically difficult terrains come in the way to constructing roads, which involves a large amount of capital. Against this background, Surendra Bahadur Basnet decided to make a debut by starting the Buddha Air. He is the chairman of the now largest domestic air service in Nepal. Besides this, Basnet has held very high level and important positions in the country. From being a Supreme Court Justice to the Chief Election Commissioner, he has accumulated a wealth of experience and knowledge. He also served the country as a minister in several governments and under important portfolios. Basnet comes from a simple Nepali family with an agricultural background. His passion to serve the nation and its citizens is an inspiration to the younger generation. His timely realization of the need and the growing demand for air transport prompted him to establish the Buddha Air, a family owned operation with extraordinary success. Basnet was born in Dingla, Bhojpur on 1st January 1929 in a simple Nepali family. He then moved to Biratnagar where he received his primary and higher secondary education. He was then sent to Varanasi Hindu University in India as was the custom those days. He completed his LLB, BSC and then MA from the same university before returning home in Nepal to practice law. Buddha Air today has the largest fleet of the most expensive and brand new aircraft amongst all domestic airliners that are in operation. Buddha Air has safety records and reliability which earned it a host of awards including the “Highest Safety Award” given by the Ministry of Tourism and Civil Aviation of the Government. “We Wrote On Wood Planks” Although Basnet came from a simple background, his determination and will to make a difference in the society brought him where he reached today. “There is a vast difference now from what Nepal was,” Basnet says, while opening up to Shradha Gyawali. Excerpts: How is the world today different from what it was when you were a child? There is a vast difference between then and now. During our times we wrote on wood planks and there were no technologies available then, whereas today every student has a laptop. Not only this, there is also a vast difference in the social life. In those days, there was a conception that girls should get married as soon as they attained maturity but now there is a change in the status of women, which, in a way, is good because if the status of women improves, the society gets better. What was school like for you when you were a child? What were your best and worst subjects? I started learning the English alphabets at the age of fourteen. I was the youngest child in the family who was pampered by everyone and didn’t really feel like studying at that time. I started studying under the guardianship of late Krishna Prasad Koirala, father of late B.P. Koirala at Biratnagar. My best subjects were Math and Science whereas I dint really like Hindi as I started studying Hindi from 9th grade and I had a lot of problems learning a new language. What accomplishments are you most proud of and what according to you is success? Sometimes I laugh at myself when I think of all these achievements of mine and feel at the end that I have achieved nothing to satisfy my innermost desire. Every soul looks for peace and satisfaction is the first step to peace. What would be the contribution of Buddha Air to make Nepal Tourism Year 2011 a success? Buddha Air will definitely have an important role in making the Tourism Year 2011 a success. We have already extended our services to Bhutan and we have also taken the permission to extend it to India which I am sure will play a vital role to attract a large number of tourists. At the age of 82 what is your typical day like? Nobody grows old simply by living a number of years. We grow old by not following our principles and forgetting our values in life. I try to keep myself busy in my work as well as in different other aspects of life. Solar Batteries Poisoning Springs in Nepal ARJUN BAHADUR K.C. Despite having over 6000 rivers and rivulets with abundant quantity of water flowing towards south, Nepal has gone through a severe water crisis everywhere in the country. In the remote areas, water sources are very scattered and people have to spend hours to get a bucket of water. In cities such as Kathmandu, getting a bucket of water in the morning is like getting a victory after fighting a big war. Quality of water does not come into discussion as quantity is yet a big deal. However, millions of people are suffering health problems not only because of insufficient supply but also having poor quality of water. Poor quality of water could be due to various reasons; however, the focus of this article is to highlight the water contamination due to batteries especially from solar photovoltaic home systems discharging in the vicinity of Silent Springs in rural Nepal. Alternate energy development was supported in Nepal starting from Eighth Plan (1992-1997), and got continues focus on Ninth Plan (1997-2002), The Tenth Plan (2002-2007) and The Interim Plan (2007). Promotion of solar photovoltaic system was one of the priorities to enhance the rural livelihood in all of those plans. As a result, over 87,000 solar home systems were installed by the end of 2007 through SHP and it is planned to install approximately 150,000 SHS by the month of March 2012 on a demand driven basis. Solar home systems have been even more popular recently as the country goes to load shading of approximately 18 hours a day in dry months where water level in hydro dams reduces substantially. Lead-Acid battery is still the battery of choice for 99% of solar and backup power systems in Nepal and everywhere. As the name indicates, it contains lead and acids, usually sulfuric acid. According to WHO (1989), lead is a highly toxic metal that produces a range of adverse health effects. Lead exposure can cause brain damage; affect a child’s growth; damage kidneys; impair hearing among several other effects. Elevated lead levels can increase blood pressure, kidney damage, digestive problems, nerve disorders, sleep problems, muscle, joint pains etc. Infants and children including fetuses are more vulnerable to lead exposure as the tissues of small children are more sensitive to the damaging effects of lead. Acid is obviously a very caustic and toxic material as well. The haphazard disposal of batteries whether solar or car batteries has a high potential to contaminate water. USEPA has set 15 parts per billion (ppb) as the maximum level above which water system should be treated before consumption should it occur in drinking water. The users of solar home systems in Rural Nepal have very minimum knowledge of the chemistry and operation of the batteries such as where to store safely, how long to charge, changing after its life cycle etc. The situation is severe in very remote districts such as Dolpa. Discharging the batteries in their backyards is a very common phenomenon in rural Nepal. In such cases, no safe methods of acid disposal are generally adopted such as neutralization, dilution, vegetation control, soil filtration etc. Over 180,000 batteries were imported for solar electricity generation purpose in Nepal from different countries. After their useful life, the batteries are usually disposed as garbage discharging the acids to land or water bodies and sell the remaining part to India. Management of batteries poses a certain challenge from health and safety point of view. Most of the users of the solar home systems are not aware of the general know how, the storage of used batteries and acid disposal practices. It is reported that in many cases, the users have been changing the batteries without following the proper health and safety procedures. Users do not know the harmful effects about the acid and lead. Moreover, the allowance of transfer of batteries in neighboring India is against the Basal Convention principle which came into effect in 1992. The Basel Convention on the control of transboundary movements of hazardous wastes and their disposal is an international treaty that was designed to reduce the transboundary movements of hazardous waste between nations. Being the signatory of Basal Convention, it is Nepal's responsibility to safely manage the battery waste as it provides subsidy to solar home system installation. However, to date, Government of Nepal has neither drawn any policies nor taken any actions towards battery waste management. This situation has created serious concerns on lead contamination in soil and groundwater especially the springs in rural Nepal. Even though, lead can be emitted from other sources, solar home systems could be the most dominating source of lead emission into water bodies in Nepal. A recent study (China Daily, 2009) in China showed that over 121 children out of 287 tested were exposed to over 100 and 218 micrograms of lead per liter of blood and due to this reason the villagers of Huaqiang Battery Plant want to shut down the battery plan forever. Daniel Chiras (2006) wrote that even residents of Nepal which is a non-industrialized country have 10 times higher level of lead in their blood level than those estimated to be present before the widespread use of lead which attests the global distribution of lead into the atmosphere. It shows that lead emission is a global phenomenon, however, thousands of batteries used in solar home systems in rural Nepal aggravates the problem contaminating the water bodies threatening millions of lives. These alternatives are not only carbon neutral but do not have negative environmental impact from their life cycle operation. Based on the above mentioned facts, Nepal Government and Donor Agencies should promote micro/mini/small hydro, biogas, biomass combustion technologies such as improved cookstoves, gasifiers instead of solar home systems in Nepal in order to save the battery poisoning of Silent Springs of Nepal as well as stimulate the Nepalese economy. KC is a Ph.D. Candidate in Sustainable Energy Development in Dalhousie University, Halifax, Canada and can be reached at email@example.com. CEAPRED Changing Farms CEAPRED has shown that Nepal's ecological comparative advantage can be used to boost alternative agriculture to bring prosperity to rural parts of Nepal. By A CORRESPONDENT Megendra Gurung of Dhankutahad never thought that his barren land could bring him prosperity and help transform his entire village. When the Center for Environmental and Agricultural Policy Research, Extension and Development (CEAPRED) began to promote off-season vegetable farms at the initiative of Dr. Hari Krishna Upadhyaya, a renowned agro-economist, two decades ago, subsistence agriculture was the norm in Dhankuta and elsewhere. "Twenty years ago, we came up with a particular vision or philosophy for agriculture. It was not just an approach to agriculture development. It was like new paradigm that was fit for Nepal, a paradigm that was fit for Nepal's unique geo-physical and ecological context," said Dr Upadhyaya, (see New Spotlight June 18) "We did not have enough food to feed our families. We grew maize and left our lands barren for the rest of the year," said Megendra Gurung, a cooperative manager. "When Upadhyaya sir came to our village with his proposal to grow off-season vegetables, only a few people took the risk." The situation has changed. Most of the corridor along the Dharan-Dhankuta highway now produces off-season vegetables which are sold even in India. Gurung has been a witness to all this transformation that took place over the last two decades. "CEAPRED taught us how to maximize our income and livelihood through off-season vegetables," Gurung, manager of Sidhuwa Multipurpose Cooperative Ltd, said. "We are exporting vegetables worth Rs.120 million in Indian rupees." Ambika Sapkota, a vegetable producer of Kavre district, has a similar story to tell. With the introduction of off-seasoned vegetable, Ambika's village has also transformed drastically. "Our land used to produce food just enough for four months and we had to go outside the village to make money to buy food for the rest of the year," Sapkota, vice chairperson of Chandrawati Vegetable Producers' Cooperative, said. "After taking up off-season vegetables farming, I now make more than Rs.300,000 a year." CEAPRED was established in 1991 under the leadership of Dr. Hari Krishna Upadhyaya, a renowned agriculture economist. The leading national developmental NGO of Nepal is now known as the first non-governmental organization in the country to work in the agricultural sector. Dr. Upadhyaya's approach not only changed the vegetable production Dr. Upadhyaya: Commitment for cause pattern in the country but also inspired other farmers to replicate the achievements made by the farmers of Dhankuta and Kavrepalanchowk district. CEAPRED has programs also in Rukum and Salyan districts where farmers are getting a lot of benefits. Dhankuta's successful off-season vegetable program is being replicated by farmers' groups all over the country. As the number of such farmers grows, it is getting easier to find off-season vegetables in the market as well. Noted among many programs implemented by the CEAPRED are the commercial off-season vegetable production program launched in eastern Nepal in the early 1990s and commercial vegetables seed production program currently in operation in several districts of Nepal. "In remote and inaccessible areas, commercial production of bulky and perishable commodities, such as fresh vegetables, is not a feasible strategy for increasing household income and food security due to lack of market access. But commercial production of low-volume high-value commodities, such as vegetables seed is. Vegetable seeds can be stored locally for some time and without losing quality," said Dr. Hari Krishna Upadhyaya, Executive chairperson of CEAPRED. "Over the past two decades of its operation, CEAPRED has implemented 64 development projects; most of them are related with income and employment generation through commercial high-value agriculture and agro-enterprise promotion. Ever since its establishment, CEAPRED has consciously and consistently focused on sustainable poverty reduction and enhancement of food security and livelihoods of the poor, disadvantaged and deprived families including small and marginal farmers of rural Nepal," said Bharat Prasad Upadhyay, executive director of CEAPRED. CEAPRED has directly worked with around 120,000 families in 42 districts of Nepal. The incomes earned by the participating families are estimated at several billion rupees annually. "CEAPRED has shown the way to transform livelihoods of rural parts of Nepal. We need to replicate the experiences gained by CEAPRED throughout the country. Our past experiences have shown that we cannot uplift the life of rural people without bringing change in agriculture sector. CEAPRED has shown that off-season vegetables is the best way," said Jagadish Chandra Pokharel, vice chairman of National Planning Commission. One of the keys to the success of any organization is its approach. CEAPRED follows a three-pronged program approach consisting of social mobilization, capacity development and local institution building. CEAPRED has already promoted some 102 cooperatives of various types, of which 20 are multipurpose, 53 marketing, 27 saving and credit and 2 district unions. "A number of new cooperatives including district and central unions are currently in the process of formation," said Upadhyay. CEAPRED's two decades of experiments have revolutionized Nepal's agriculture sector while transforming it from subsistence to commercial farming. Although its program began from a small scale, the impacts were nationwide, establishing Dr. Hari Krishna Upadhyaya and CEAPRED's approach to off-season vegetable farming as a way to transform the life of people as well as the agriculture sector. Census Data Vital: Bhatta The World Population Day slogan 'data for development' assumes a greater significance in the context that Nepal is bracing for another edition of the national census next year. PADAM RAJ BHATTA, chief of population division at the Ministry of Population and Health, talks about this. How do you view this year's World Population Day slogan? This year, we are celebrating the World Population Day with the slogan 'Data for Development'. This is a good slogan. Next year we will have another national census. How relevant is this slogan in that context? Next year, we are conducting a national census as well as a DHS survey and a living standards survey. In this context, the slogan is very relevant. Data have a very important role in census. What is the state of Nepal's population? The census was held in 2001 when the population was 23.2 million. The projection estimated that the population will be between 27.5 million to 28 million. According to a recent projection of Central Bureau of Statistics, the rate of growth of the population is going to be 2.13 per cent. Earlier, it used to be a 2.5 per cent growth rate. What about the fertility rate? The trend of fertility decline is very positive. The rate came down from 6.1 to 3.1. Since our population growth rate is still high, we need to reduce the fertility rate further down. Our interim plan is also projected to bring it under 2.1. We need to bring it at the replacement level. It is still higher in rural areas but it declines tremendously at urban level. How is political instability affecting the population program? It has not made a major impact since we are working under the national population policy and plan. Population is a cross cutting issue and there are multiple stakeholders. High Altitude In Gosainkunda Buddha Basnyat, MD Even as I observed this congregation of 5000 pilgrims at 4300 metres, ready to pray to the great Vedic deity Shiva at a magnificent mountain lakeside in Gosainkunda, I knew that many were in no mood to pray. They were stricken with altitude sickness in its various forms: acute mountain sickness, high altitude pulmonary oedema, and high altitude cerebral oedema. Acute mountain sickness, which is just like having a hangover, can be relatively benign (with a headache, some nausea, and tiredness), but high altitude pulmonary oedema and high altitude cerebral oedema are undoubtedly life threatening. The initial symptoms of acute mountain sickness are warning signs to be heeded carefully. Alas, many pilgrims climb too high too fast (from Kathmandu at 1300 metres to the lake in two nights) and totally disregard initial symptoms. Just like many impatient tourists that come to trek in the foothills of the great Himalayas, these pilgrims too are a determined bunch and do not turn back even in the face of increasing symptoms. Many claim that once you undertake the pilgrimage it does not bode well for your spiritual welfare to give it up halfway. Recent studies have shown that acute mountain sickness is rampant in this population of pilgrims to Gosainkunda and that many pilgrims are dehydrated because they are fasting. Many are so serious about the fasting that they do not even drink water. Women are more meticulous about fasting and sometimes they present with severe dehydration. Many pilgrims still feel that the sickness they experience is caused by the scent of the flowers and alpine vegetation that grow on the wayside. This is akin to what many Catholic fathers thought in the early 18th century when they were crossing these Himalayan mountain passes. Indeed Spanish Jesuit fathers in South America were the first in Western literature to document the symptoms of altitude sickness. The scent of the flowers as the cause of altitude sickness does not make sense, as I am fond of reminding the pilgrims, because invariably the patients improve significantly on descent, even though the flowers are still giving off their scent. One study postulated that the visions that these high altitude pilgrims often report may not actually be divine revelations but just hallucinations caused by the cerebral oedema. The pilgrimage community may not favour this rather scientific explanation. Gosainkunda is just one high altitude sacred place to which people trek. There are many such holy sites scattered in the Himalayas. Damodar Kunda, Dudh Kunda, Lake Tilicho, Kedarnath, Badrinath, Mukti Nath [* Internal error: Invalid file format. \| In-line.WMF ] these are some other examples. Finally, because of the immensely increasing fascination that Buddhism holds for people, many pilgrims, including vast numbers of Westerners, visit Lhasa (3600 metres), Tibet. Many experience the ill effects of altitude. This is because there is no chance for people to acclimatise as they make their journey quickly by air or by road. Acetazolamide (diamox) taken after consultation with their doctors could be a useful precautionary measure to ward off the ill effects of sudden hypoxia in Lhasa. Pilgrims face other problems besides altitude. I have seen obese men and women, who can barely climb up stairs in their homes, undertaking high altitude pilgrimages on helicopter and horseback. Usually they decide to do this on the spur of the moment as a famous "guru" is going to lead them. The main problem is that you have to get down from the horse during the descent when the trail gets very steep, and your knees and hips may not be up to this. The pilgrimage then turns out to be a nightmare. We have tried to encourage the Nepali government to campaign to increase awareness of altitude sickness among pilgrims. This has happened to some extent. So in brief to avoid altitude sickness, it is important to consider beforehand if you can do the trip, not to go too high too fast, to listen to your body, drink adequate amount of clean water, and use medicines if necessary. Buddha Basnyat MD (This is a slightly changed version of an article by Dr Basnyat written in the BMJ in 2002;324:745) CORRECTION Please read the following instead of what inadvertently appeared in the focus entitled “The Situation is Getting Worse” in July 2-15 issue of New Spotlight. After working years in Agriculture Development Bank, PITAMBER PRASAD ACHARYA with the mission of bringing tangible change in the life of rural poor conceived Development Project Service Center (DEPROSC-Nepal), in September 1993. Nobody would have imagined that DEPROSC-Nepal would emerge as a leading NGOs contributing to uplift the life of thousands of rural population, but Mr. Acharya has the vision for that. After eighteen years, Acharya shows that a small NGOs can bring changes in the socio-economy of rural population in the remote parts of Nepal. Out of 75 districts, DEPROSC has been implementing its projects in 41 districts of mountain, hill and terai region. From supplying food to food deficit region to high yield agriculture and micro-finance to health, education, nutrition, community development. DEPROSC has already established its name. Editor Read NEW SPOTLIGHT News Magazine Packaged with Up-to-Date News, Views and Analyses Every Alternate Friday Integrated efforts for academic excellence T.U. 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